HomeMy WebLinkAboutNYS DOT Scenic Byways & Seaview Trails STATE OF NEW YORK
DEPARTMENT OF TRANSPORTATION
ALBANY, N.Y. 12232
February 18, 1997
GEORGE E, PATAK]
GOVERNOR
Neboysha R. Brashich, Chairman
Southold Transportation Committee
Town Hall
53095 Main Street
Southold, NY 11971-0959
Dear Mr. Brashich:
Here is an Agreement Between the New York State Department of Transportation and the
Tawn of SouthoM for a New York State Scenic Byways Program project, State Project Number
SB93.09.321.
The agreement is revised from the original that was signed by the New York State Department
of State as the "applicant". Without changing the scope of the project, Schedule A (see page 11)
has been reworded to more specifically define the work to be accomplished by the Town of
Southold. As we discussed, this agreement is contingent on the Town of Southold's continued
willingness and ability to provide the required matching funds through in-kind services.
Please obtain the notarized signature of the Town Supervisor, and return the signed agreement to
this office.
If you have any question please call me at (518) 457-4460.
Sincerely,
MARK WOODS
New York State Scenic Byways Program
MW:mw
Enclosure
AGREEMENT BETWEEN THE
DEPARTMENT OF TRANSPORTATION AND THE
TOWN OF SOUTHOLD
(State Project No. SB93.09.321)
THIS AGREEMENT made this 4th day of March , 1997, by and
between the People of the State of New York (hereinafter referred
to as the "State"), acting by and through the New York State
Department of Transportation (hereinafter referred to as the
"Department"), having its principal office at the State Campus,
Building 5, 1220 Washington Avenue, Albany, New York 12232 and
the Town of Southold, (hereinafter referred to as the
"Applicant") acting by and through, Jean W. Cochran, Supervisor
of the Town of Southold, its duly authorized representative,
having an office at Town Hall, 53095 Main Road, Southold, New
York 11971-0959.
WHEREAS, the Congress of the United States has provided
Federal funds to the State for the purpose of carrying out a
Scenic Byway Program pursuant to Section 1047 of the Intermodal
Surface Transportation Efficiency Act of 1991; and
WHEREAS, the Federal Highway Administration (hereinafter
referred to as "FHWA") has the responsibility of administering
Interim Scenic Byway Grants pursuant to Section 1047 of the
Intermodal Surface Transportation Efficiency Act of 1991; and
WHEREAS, the Department has been selected as a recipient for
a grant for carrying out eligible projects under the Interim
Scenic Byways Program pursuant to Section 1047 of the Intermodal
Surface Transportation Efficiecy Act of 1991; and
WHEREAS, the New York State Department of State (hereinafter
referred to as DOS) and the Department had entered into a
contract (D007684) in which DOS was to perform certain work; and
WHEREAS, DOS has advised the Department that it is unable
perform such work and wishes to be relieved of its
responsibilities thereunder; and
WHEREAS, Contract D007684 has been terminated; and
WHEREAS, the applicant has submitted a Project Description
as more fully described in Schedule A (hereinafter referred to as
· Project"); and
WHEREAS, FHWA has advised the Department that it concurs
with the Applicant performing the work associated with the
Project; and
Wq~REAS, the estimated total cost of the Project is $68,750
and FHWA has approved the Project and has authorized the State to
enter into an agreement with the applicant to carry out the
Project; and
WHEREAS, the Department is authorized, pursuant to Section
2
349-bb of the New York State Highway Law, to enter into
agreements for services relating to the development of the New
York State Scenic Byways Program or services relating to the
operation, development or promotion of a specific scenic byway;
NOW, THEREFORE, in consideration of the mutual benefits
accruing to the parties, the parties agree as follows:
1. The Applicant shall render all services and furnish all
materials and equipment necessary to complete the Project. Upon
completion, said Project shall be the responsibility of and
maintained at the sole expense of the Applicant.
2. The work associated with the Project shall be completed
within two years of the date of this agreement.
3. The Applicant must receive the prior written approval of
the Department before entering into any contracts associated with
the completion of the Project.
4. The Department agrees to reimburse the Applicant an
amount not to exceed 80% of the total direct cost of the Project
or $55,000 whichever is less, for only that work and those items
that are eligible for federal reimbursement pursuant to Section
1047 of the Intermodal Surface Transportation Efficiency Act of
1991. The State shall be entitled to recover from the Applicant
any moneys which it pays to the Applicant under this agreement
which are determined to be ineligible for federal reimbursement
and the Applicant hereby agrees to either reimburse the State for
such moneys or authorizes the State to withhold such moneys from
other moneys due the Applicant.
5. The Applicant agrees to comply with all Federal and
State laws, rules and regulations, guidelines and procedures
which are applicable to the Project, including, but not limited
to, all environmental laws, regulations and requirements which
may apply to the Project and further agrees to obtain all
regulatory permits, if any, before beginning the Project.
6. If the Applicant finds it desirable to have
reimbursement made intermediately, between the start of such work
and the final inspection thereof by the State and the FHWA, the
State shall make progress payments on billings prepared and
submitted by the Applicant based on costs incurred as disclosed
by the records thereof with adjustments to be made after audit by
the State or the FHWA. Work will be progressed and payment made
in accordance with a work plan prepared by the Applicant within
45 days of the date of this Agreement and approved, in writing,
by the Department.
7. A final certificate of completion shall be prepared by
the Applicant and approved, in writing, by the Department
demonstrating that the Project has been completed in accordance
with the terms and conditions of this agreement before final
payment is made.
8. The Applicant certifies that requests for reimbursement
do not and will not duplicate reimbursement of costs and services
received from other sources.
9. The Applicant shall maintain accurate records and
accounts of all financial transactions entered into by the
Applicant relating to the Project which shall show in detail all
income of the Applicant and all expenditures, including but not
limited to, payments for eligible costs, made by the Applicant.
Such records and accounts shall include, without limitation,
property, personnel and financial records, cash receipts and
disbursements journals and general subsidiary ledgers. All
records and accounts shall be maintained in accordance with
generally accepted accounting standards. All expenditures of the
grant monies 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
Department, Comptroller of the State of New York and any other
authorized representatives of the State of New York or FHWA shall
have the right to examine all records and accounts relating to
the financial transactions of the Applicant including the
expenditure of the grant monies and all other funds secured and
5
services rendered for the benefit of the Applicant.
10. The Department may review the performance of the
Applicant in carrying out the Project work in such manner and at
such times as the Department shall determine. The Applicant
shall at all times make available its employees, records and
facilities to authorized representatives of the Department in
connection with any such review. Such review shall be for the
purpose, among other things, of ascertaining the quality and
quantity of the Project work performed by the Applicant, the
conformity thereof to the provisions of this Agreement and the
financial integrity of reimbursement claims submitted by the
Applicant.
11. The Applicant shall notify the Commissioner of the
commencement of any audit by any governmental agency of any of
the Applicant's activities within five (5) days of receiving
information relating thereto.
12. If the Department determines that the Applicant has
failed to diligently progress the Project, the Department may
demand repayment of all financial assistance provided by the
State in connection with such Project and make a final notice of
termination. Upon such demand, the Applicant shall repay the
State all funds received from the State in connection with such
Project.
6
13. The Applicant shall maintain all records relating to
this Agreement for not less than three (3) years after the date
of completion.
14. This Agreement shall be deemed executory only to the
extent of money available to the State for the performance hereto
and no liability on account thereof shall be incurred by the
State beyond money available for the purpose thereof.
15. If the Applicant 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 Applicant, its officers, agents, servants
or employees, contractors, subcontractors or others in connection
therewith. The Applicant 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. The Applicant agrees to indemnify and hold
harmless the State and the Department and FHWA and their
respective agents and employees from any and all liability for
injuries to or death of any person or persons and for the loss
of, damage to, or destruction of any property which arises from
the activities conducted by or on behalf of the Applicant, its
employees, agents, contractors or subcontractors pursuant to this
Agreement, including all related costs and counsel fees.
7
16. The Applicant agrees not to assign, transfer, convey,
sublet or otherwise dispose of this agreement or any part
thereof, or of its right, title or interest therein, or its power
to execute such agreement to any entity, public or private,
without the previous written consent of the Department first
having been obtained.
17. Appendix A, a standard clause for all New York State
Contracts, and Appendix B, U. S. Government Required Clauses, are
attached hereto and are hereby made a part of this agreement as
if set forth fully herein.
18. This Agreement consists of this document, Schedule A,
Appendix A, Appendix B and the Resolution of the Applicant
authorizing its duly authorized representative to execute this
Agreement.
19. The Applicant agrees that the scenic, historic,
cultural, natural and archeological integrity of the highway and
adjacent area along which the project is to be carried out will
be protected.
IN WITNESS WHEREOF, the Department has caused this
Instrument to be signed by its authorized representative and the
Applicant has caused this Instrument to be signed by its duly
authorized officer ,to be effective on the date first written
above.
TOWN OF SOUTHOLD
DATE: March 4, 1997
PEOPLE OF THE.~hTATE OF NEW YORK
Commi ~o/~er of Transportation
..'~AP, 2 4 i~97
DATE:
APPROVED AS TO FORM: /
I
/ Attorn%?3s~Aa~
/ ,~ ~ ~/gg7 ~AR 3 1 1997
APPROVE~t~:~/ ./]
F~omp~l er pur~ant
to Sec~on l12~a~ Finance
Law
STATE OF NEW YORK )
) SS.:
COUNTY OF SUFFO[K )
On this 4th day of March , 1997, before me
personally came Jean W. Cochran to me known and known to me to be
the Town Supervisor of the Town of Southold, the same person
described in and who executed the foregoing instrument pursuant
to a Resolution of the Town of Southold, which was adopted on
March 4, 1997 and to which a certified copy is attached
and made a part thereof, and she acknowledged to me that she
executed the same by like order.
NOTARY PUBLIC
JUDITH T. TERRY
Notary P.Jblic, State of New York
NO. 52~963
Gual~fi~ in Suffolk ~unW~
~mmJ~mn ~ires M~ 31, 1~
lO
SCHEDULE A
The Town of Southold, located in Suffolk County on the North Fork
of Eastern Long Island, will use grant funds to produce an
innovative model within a corridor management framework that can
be replicated by other communities in New York State for the
protection of scenic byway corridors and viewsheds, tourism
development, and recreation. The project will be a valuable
resource for the New York State Scenic Byways Program and
Advisory Board.
Project Grant $ 55,000
Project Cost $ 68,750
The Town of Southold will use these grant funds to:
Develop a Model Eligibility Assessment Procedure for Scenic
Byways Designation:
The Town of Southold will develop an eligibility assessment
procedure that will be transferable to other potential New York
State Scenic Byways. The eligibility assessment procedure will
afford a unique opportunity to bring together a number of federal,
State and local planning and management initiatives for the
protection and enhancement of scenic byways corridors and
viewsheds.
Assess the Eligibility of Roads for Designation as New York
State Scenic Byways:
Using the model Eligibility Assessment Procedure and the New York
State Scenic Byways Program Nomination Handbook, the Town of
Southold will assess the eligibility of roads within the town for
designation as New York State Scenic Byways, and identify a
specific road as a model for nomination and eventual designation.
3. Develop a Corridor Management Plan:
The Town of Southold will develop a corridor management plan for
the specific road to be used as a model for nomination and
designation. This corridor management plan can then be used as a
model for preserving scenic byways characteristics in New York
State.
RAR0042B
11
CONR 335-~f (~"/89) APPENDIX A
STANDARD CLAUSES FOR ALL NEW YORK STATE CONTRACTS
The parties to the attached contract, 'license, lease, amendment or other agreement of any kind
(hereinafter, "the contract" or "this contract") agree to be bound by the following clauses which are hereby
made s part of the contract (the word "Contractor" herein refers to any party other than the State, whether
a contractor, licensor, licensee, lessor, lessee or any other party):
1. EXECUTORY CLAUSE- In.accordance with Section 41 of the State Finance Law, the State shall have
no liability under this contract to the Contrac';or or to anyone else beyond funds appropriated and available
for this contract.
2. NON.ASSIGNMENT CLAUSE.. In accordance with Section 138 of the State Finance Law, this
contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred,
conveyed, sublet or otherwise disposed of without the previous consent, in writing, of the State and any
attempts to assign the contract without the State's written consent.are null and void. The Contractor may,
however, assign its right to receive payment without the State's prior written consent unless this contract
concerns CertificAtes of Participation pursuant to Article 5-A of the State Finance Law.
3. COMPTROLLER'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 $5,000 ($20,000 for certain S.U.N.Y. and C.U.N.Y. contracts), or
if this is an amendment for any amount to a contract which, as so amended, exceeds said statutory amount,
or if, by this contract, the State agrees to giYe something other than money, it shall not be valid, effective
or binding upon the State until it has been approved by the State Comptroller and filed in his office.
4. WORKERS' COMPENSATION BENE."tt~. In accordance with Section 142 of the State Finance Law,
this contract shall be void and of no force and effect unless the Contractor shall provide and maintain
coverage during the life of this contract for the benefit of such employees as are required to be covered
by the provisions of the Workers' Compensation Law.
5. NON.DISCRIMINATiON REQUIREMENTS. In accordance with Article 15 of the Executive Law (also
known as the Human Rights Law) and all other State and FederAl satutory and constitutionsl non-
discrimination provisions, the Contractor will not discriminate against any employee or applicant for employ-
ment because of race, creed, color, sex, national origin, age, disabillty 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 distribution of materials, equip-
ment 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: la) discriminate in hiring against any New York State citizen who is qualified and
available to perform the work;, or lb) discriminate against or intimidate any employee hired for the perfor-
mance of work under this contract. If this is a building service contract as defined in Section 230 of the
Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcon-
tractors shall, by reason of race, creed, color, national origin, age, sex or disability: la) discriminate in
hiring against any New York State citizen who is qualified and available to perform the work; or
discriminate against or intimidate any employee hired for the performance of work under this contract.
Contractor is subiect to fines of S50.00 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 ell moneys due hereunder for a
second or subsequent violation.
6. WAGE AND HOURS PROVIS|ON~ If this is a public work contract cove~ed 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 statues, 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 REQUIREMENT. In accordance with Section 139-d of the State Finance
Law. If this contract was awarded based upon the submission of bids, Contractor warrants, under penalty
of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition.
Contractor further warrants that at the time Contractor submitted its bid, an authorized and responsible
person executed and delivered to the State a non-collusive bidding certification on Contractor's behalf.
CO. NR 335-3f
12. EQUAL EMPLOYMEIN~.~PPORTUNITIES FOR MINORITIES AND ~MEN: 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 combina-
tion of the foregoing, to be performed for, or rendered or furnished to the contracting agency; or (ii) a
written agreement in excess of $100,0(30.00 whereby a contracting agency is committed to expend or does
expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real
property and improvements thereon; or (iii) a written agreement in excess of $100,000.00 whereby the owner
of a State assisted housing project is ccmmitted 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) Thec~ntract~rwi~n~tdiscriminateagainstempl~y~es~rapp~icantsf~rempi~ymentbecause
of race, creed, color, national ori(~in, sex, age, disability or marital status, and will undertake or
continue existing programs of affirmative action to ensurethat minority group members and women
are afforded equal employment oppcr~unities 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 barganing or
other agreement or understanding, to furnish a written statement that such employment agency,
labor union or representative will not discriminate on the basis or race, creed, color, national origin,
sex, age, disability or marital status and that such union or representative will affirmatively cooperate
in the implementation of the contractor's obligations herein; and
('c) the Contractor shall state, in all solicitations or advertisements for employees, that, in the
performance of the State contract, ail qualified applicants will be afforded equal employment
opportunities without discrimination because of race, creed, color, national origin, sex, age, disability
or marital status.
Contractor will include the provisions of "a", "b" and "c", above, in ever'/subcontract o~er $25,000.00 for
the construction, demolition, replacement, major repair, renovation, planning or design of real propeAy
and improvements thereor~ (the "Work") except where the Work is for the beneficial ~Jse of the Contractor.
Section 312 does not apply to: (i) work, ~ccds or services unrelated to this contract; or (i~ 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 feder.~l law concerning
equal employment opportunity which effectuates the purpose of his section. The contracting agency shall
deterrhine whether the imposition of the requirements of the provisions hereof duplicate or conflict with
any such federel 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 ali
duly promulgated and lawful rules and regulations of the Governor's Office of Minority and Women's Business
Development pertaining hereto.
13. CONFLICTING TERMS. in the event of a conflict between the terms of the contract (including any
and all attachments thereto and amendments thereof} and the terms of this Appendix A, the terms of this
Appendix A shall control.
14. GOVERNING LAW. This contract shall be governed by the laws of the State of New York except
where the Federat supremac~ clause recuires otherwise.
15. LATE PAYMENT. T~meliness of payment and any interest to be paid to Contractor for tate payment
shall be governed by Article XI-A of the State Finance Law to the extent required by law.
16. NO ARBITRATION. Disputes involving this contract, including the breach or alleged breach thereof,
may not be submitted to binding arbitration (except where statutorily authorized) but must, instead, be heard
in a court of competent jurisdiction of the State of New York.
17. SERVICE OF PROCESS. In additicn to the methods of service allowed by the State Civil Practice
Law & Rules ("CPLR"}, Contractor hereby consents to service of process upon it be registered or certified
mail, return receipt requested. Service hereunder shall be complete upon Contractor's actual receipt of
process or upon the State's receipt of the return thereof by the United States Postal Service as refused
or undeliverable. Contractor must promptly .notify the State, in writing, of each and every change of
address to which service of process can be made. Service by the State to the last known ad,ross
be sufficient. Contractor will have thirty (30) calendar days after service hereunder is complete in which
to respond.
August 1989
U. S. GOVL'-~h~NT KEQUIRED CLAUSE5
The Contractor and its subcontractors agree to comply Executive Order
112&6, entitled "Equal Employment Opportunity" and Departmen~ of Transportation
regnlations (49CFK Parts 21, 23, 25,~ and 27), and the following:
1. Non Discrimination. No person shall, on the ground of race, color,
creed, national origin, sex, age or handicap, be excluded from participa-
tion in, or denied the benefits of or be subject to discrimination
under this Project.
2. Equal Emotoy~nent Opportunity. In connection with the execution of
this Agreement, the Contractor shall not discriminate against any
employee or applicant for e=ployment because of race, religion, age,
color, sex or 'national origin. The Con=rector shall take affirmative
actions tO ensure that 'applicants are employed, and that employees
are treated during their' e:ployment, without regard to their race,
religion, color, sex, national origin or age. Such actions, shk!l
include, but not be limited to, the following: .employment, upgrading,
~emotion or transfer; rec.-uitment or recruitment advertising; layoff
or termination; rates of pay or other for~s of compensation; and se!ac-
tion for training, including apprenticeship.
~isadvanta~ed Business Enterprises. In connection with the performance
of this Agreement, the Con:rector will cooperate with the State in
meeting its commitment~ and goal? with regard to the maximum utilization
of 'disadvantaged business enterprises and will use its best efforts
to ensure 'that disadvantaged business enterprises will have t'he maxi=an
practicable opportunity to compete '~or subcontract work Under this
Agreement.. Also, in this connection the .Contractor shall, undertake
such actions as may be necessar~ to comply with Section 105(f) of the
Surface Transportation Assis:ance Act of 1982, as implemented in 49CFK
Part 23. ~
In addition, the Contractor and its subcontractors agree to abide by the state-
ments in paragraphs (1) and (2) below. ~--aese statements' are, by reference,
made par~ of this Agreement a~d =ust be included in all subsequent %greements
between the Contractor and .any subcontractor and in all U~TA-assisted contracts
between recipients or subrecipients an~ any contractor.
"Policy. It is ~he policy of the Department of Transportation that
minority business enterprises as defined in aPCDF Part ~3 shall have
the maximum opportunity to ~articipate in the performance of con~raczs
financed in whole or in par: with Federal funds under :his agreemen:.
Consequently, the M. BE requirements of ~9CFK Part 23 apply to this
agreement."
"}/BE ~bligation.
minority business
The recipent or its contractor agrees to ensure that
enterprises as defined in &9CF~ Part 23 have the
maxi=u= ogportunity, to par:icipate in the performance of contracts
an4 subcontracts financed in ~hole or in part with Pederal funds provided
under this agreement. In thi~ regard, ali recipients or contractors
shall take all necessary and reasonable steps in accordane with aPC~t
Par= 23 to ensure that minority business enterprises have the maxi--u=
opportunity =o compete for and perform contracts. Recipients and their
contractors shall not discri=inate on the basis of race, color, national
origin or sex in the award and perfo~ance of DOT-assisted contracts."
TOWN OF SOUTHOLD SCENIC BYWAY CORRIDOR MANAGEMENT PLAN March 1996
WORK SPECIFICATIONS
1. Description
Background:
The Town of Southold is requesting proposals from qualified consultants for the preparation of a Corridor
Management Plan for the Town of Southold. A Corridor Management Plan forms a major element of a
nomination for the designation ora Scenic Byway. It demonstrates how a Scenic Byway will be operated and
managed and how comdor preservation and enhancement will be implemented. It must also show a strong
evidence of local support.
The Comdor Management Plan will form one part of a multi-phase project being undertaken by the Southold '
Transportation Committee. This Committee will present tho Town Board with "...a Transportation Model,
including a comprehensive scenic byway/comdur management plan, which addresses the nsc and protection of
local resonrces, and their impact on town residents, for recreational and economic benefit through an innovative
road-rail-trail-waterways network while maintaining the scenic, historic, and rural characteristics of the Town,
as well as to guide its subsequent implementation."
The Southold Transportation Committee recently held a Transportation Symposium tiffed "One Town, Many
Routes". The need for the symposiem came out of a lengthy study of the challenges facing the town as it becomes
a tourist destination, while attempting to maintain its rural character. The symposium is expected to be the
beginning of a continuing dialogue on transportation issues within Southold. The recommendations of the
symposium were summarized in a report and become the topic of hamlet meetings to get further citizen input.
As part of their continuing work, the Southold Transportation Committee will bring together in the
Transportation Model the results of a series of independent, yet related, studies on transportation in Southold.
In addition to the Corridor Management Plan, the Town has been awarded $2.25 million of grants for a storm
water mitigation project, a transportation and traffic study and the creation of recreational trails.
Task:
Assess the eligibility of roads within the Town of Southold for designation as Scenic Byways, pursuant to the
federal In~aixodal Surface Transportation Efficiency Act of 1991. Produce a Comdor Management Plan that:
identifies certain roads for nomination as Scenic Byways and demonstrates how the(se)
proposed Scenic Byway(s) racet(s) the basic designation criteria
describes how the proposed Scenic Byway(s) will be operated and managed and how Scenic
Byway(s) comdor preservation and enhancement will be implemented within the Town of
Southold.
The report may also serve as a model for assessing the eligibility for the nomination and designation as Scenic
Byways of scehie roads in communities on Long Island and elsewhere along the state's coastal and inland
waterways.
Organization:
The preparation of the Comdor Management Plan will be developed by a consultant(s) under the guidance of the
Southold Town Transportation Committee and the Town Planning Department. Technical Assistance will be
available from the New York State Deparlment of State. The Town of Southold is keen to utilize local expertise
end knowledge in the preparation of the Corridor Management Plan and expects to see the consultant develop
local partnerships in the preparation of the Corridor Management Plan.
Project cost:
A maximum of $50,000 is available for this project through the Federal ISTEA Program. This will be matched
at 20% with in-kind services through the involvement of the Southold Transportation Committee, the Town of
Southold Planning Department, the Town of Southold Financial Department end the Town of Southold Attorney.
2. Study Area
The study ama is the entire Town of Southold, with a focus on the transportation corridor that includes thc Long
Island Railroad, NY Route 25 from Laurel to Orient Point, County Route 48 (Middle Road), two ferries, and.
associated local highways.
3. Performance Standards
The final report shall contain thc completed Comdor Management Plan for the proposed Scenic Byway(s) in the
Town of Southold, with all of the products listed in Section 4, Deliverables, as a minimum. The final report shall
also include a discussion of the methqdology used, reference all sources of information, end identify any
information gaps and issues requiring further study. This final report shall incorporate and respond to the
comments on the draft report provided by the Department of State, Department of Transportation and the Town
of Southold.
Throughout the project period, public participation activities will be undertaken to:
raise local awareness about the intrinsic resources associated with the Town's byways
gain insight into local perceptions about these msoorces
determine the naturo of local commitment to preserving these resources
The consultant will be required to attend a minimum of three public meetings organized by the Town of Southold
to elicit local concerns on scenic byway issues and obtain public comment on the draft document.
The report will be prepared using WordPerfect 5.1. Map products and tabular data shall be prepared using the
guidelines in Attachment 1.
4. Deliverables
A. A draft Corridor Management Plan for the Town of Southold containing the following elements:
(1) Inventory and Analysis
(a)
A review and discussion of the Town of Southold's Transpoaation Core Concept and the charge
of the Southold Transportation Committee, placing the proposed Scenic Byway(s) nomination
end Corridor Management Plan in the context of the work of the Southold Transportation
Committee.
(b) An identification of intrinsic resources related to the transpoaation comdor, characterizing the
2
(i)
nature and extent of the resources, their context in the conSdor and significance to the comdor.
The intrinsic resources to be identified include scenic, historic, natural, cultural, recreational or
archaeological features considered representative of the transportation comdor or umque or
irreplaceable to the corridor.
A map identifying the transportation eomdor and the location of intrinsic resources and
different land uses associated with the comdor.
A determination of whether the quality of the intrinsic resources warrants the nomination and
designation of any part of this transportation corridor as Scenic Byways.
An identification of the parts of the transportation comdor to be proposed for nomination and
designation as Scenic Byway(s).
A map identifying the parts of the transportation comdur to be proposed for nomination and
designation as Scenic Byway(s) and their boundaries.
An identification of any conditions which impair the intrinsic qualities of potential Scenic
Byway(s).
An identification of existing user features associated with potential Scenic Byway(s) in the
Town, such as:
traveler service facilities, including parking, food service and restrooms
access and accessibility, including features designed to accommodate various
transportation modes and types ofnsers
tourism and related amenities and on-go'rog tourism promotion activities, including
brochures, maps and signagn
interpreting the visitor experience, including promoting and interpreting the significant
features, history and rural characteristics of the comdor and signage
Reco~izing that the effects of traffic accidents cause a catas~ophic impact on the quality of
life, an important element will be a review of traffic safety to include the following:
(i)
a general review of traffic and driving practices that are illegal, such as failure to yield,
pedesUian right of way, speed and passing on the right.
(ii)
a general review of the potential Scenic Byway(s) safety and accident record to identify
any correctable faults in highway design, maintenance, or operation.
(iii) a review of the existing level of traffic congestion and smtability for additional traffic.
(j)
The Southold Transportatien Commattee and the New Yonk State Department of Transportation
are undertaking a txansportation/traffic study which will provide information for this review.
This will become available by mid-1997.
A discussion of whether the potential Scenic Byway(s) are in an air quality attainment or
(k)
(2)
(a)
(b)
(3)
non-attainment area, and if in a non-attainment area, an assessment of the impact of designation
on air quality.
An identification and investigation of existing local and state management tools, including laws
and regulations, to determine their usefulness in maintaining and enhancing the intrinsic
resources of thc potential Scenic Byway(s) in the Town of Southold.
Corridor Management Strategy
A strategy for maintaining and enhancing those intriusic resources. The strategy should include
recommendations concerning design review and land management techniques such as zoning,
easements, and economic incentives. NOTE: The level of protection for different parts of the
proposed Scenic Byway(s) can vary, with the highest level of protection afforded those parts .
which most reflect their intriusic values. The strategy should include:
(i)
a development strategy describing how existing development might be enhanced and
new development might be accommodated while still preserving the intrinsic values of
the comdor.
(ii)
a plan to accommodate commerce while maintaining a safe and efficient level of
highway service, including convenient user facilities.
(iii)
a strategy to integrate the proposed Scenic Byway(s) with on-going work in the Town
to develop an alternative transportation initiative which involves integrating
transportation improvements for bicyclists, pedestrians and boaters and identifying
linkages to transportation provided by the railroad and ferries.
Ov)
a demonstration that inmasions on the visitor experience have been minimized to the
extent feasible, and a plan to enhance that experience. Such improvements should be
eligible for Federal scenic byways program funding grants.
(v)
A signage plan which demonstrates how to control the number and placement of signs
to make them more supportive of the visitor experience.
(vi)
A discussion of design standards as they may apply to proposed modifications, if any,
to the roadway, with a discussion and evaluation of how they may impact on its
intrinsic qualities.
A narrative describing hew ~he proposed Scenic Byway(s) will be positioned for promotion and
marketing.
(i)
Develop proposals for promotional activities which may be appropriate, recognizing
the rural nature of roads in the Town.
(ii)
A description of plans to interpret the significant resources of the proposed Scenic
Byway(s).
Implementation Strateg~
4
(a)
Dcvelop concepts for new local legislation, road maintenance guidelines and other actions which
may be needed to protect proposed Scenic Byway(s).
(b)
A schedule and a listing of ail agency, group, and individual responsibilities in the
implementation of the corridor management plan, and a description of enforcement and review
mechanisms, including a schedule for the continuing review of how well those responsibilities
arc being met.
(c)
A plan to assure on-going public participation in the implementation of corridor management
objectives.
(d)
A demonstration of compliance with all existing locai, state and Federai laws on outdoor
advcrtizing.
Five final report copies including comments from the drafi report provided by the Department of
State, Department of Transportaaon and the Town of Southold, and a 3.5"floppy disk containing the
report in WordPerfect 5.1 format.
5. Proposal Requirements
Each proposal received will be carefully evaiuated for its technical merit. The following items must be addressed
in the proposal. Those proposals which most satisfactorily address these items will be considered in the finai
selection:
A work program for performing thc Scenic Byway Corridor Management Plan based on the performance
standards set forth in Section 3, Performanc~ Standards, and provisions for delivering ail data products
listed in Section 4, Deliverables as a minimum. The work program should show the Contractor's ability
to provide the necessary products and meet the deadlines for delivery described in Section 4,
Deliverables. Work program should also discuss the methodology and specify sources of information
for performing the Corridor Management Plan.
Your firm's ability to perform the required services. Names, titles, qualifications, and relative
con~bution of all the individuals who will be providing their services should be given for evaiuation.
Indicate how their combined qualifications/assignments enablc them to competently complete thc work.
Your gum's direct expetienca with scemc byways, visual and scenic assessment and scenic protection
work and examples of this work should be presented.
In addition, consideration will be given to how well each proposai demonstrates an understanding of the goals
and objectives of the Scenic Byways Program and the Southold Transportation Committee. It should be noted
that because the corridor management plan concept is relatively new and experimental, the Southold
Transportation Committee is looking for an innovative approach to the Corridor Management Plan and envisages
a dynamic implementation document which will not be filed and forgotten, but which will sell the concept of
Corridor Management to the officials and residents of the Town of Sonthold. As the concept of a Corridor
Management Plan is so new, the RFP does not specify the detailed products required, but rather outlines the
general nature of the deliverables, ailowing the consultant flexibility to develop an innovative approach.
6. Schedule of Work
5
The following schedule of major milestones and accompanying completion dates shall be maintained in
developing the Scenic Byway Comdor Management Plan for the Town of Southold.
MAJOR MILESTONE:
Issue Request For Proposal
Prop6sal Due Date
Proposal Review and Selection; Contract Award Date
Comments from DOS, DOT and Town on Consultant Work Program
Public Meeting # 1
Draft Inventory and Analysis
Public Meeting # 2
Revise Inventory and Assessment
Draft Comdor Management Strategy
Comments from DOS and Town on Comdor Management Strategy
Revise Corridor Management Strategy
Draft Implementation Strategy
Comments fi.om DOS and Town on Implementation Strategy
Public Meeting #3
Revise and Finalize Corridor Management Plan
TOTAL:
Time from each milestone:
Start
one month
one month
one month
one month
three months
one month
one month
two months
one month
one month
two months
one month
one month
one month
18 months
Public Meeting #1
Public Meeting #2
Public Meeting #3
Introduce project and scope local concerns on scenic byways issues.
Prepare display mater/als and conduct public information meetings on the Inventory
and Assessment, including roads identified as eligible for possible federal designation
as Scenic Byways.
Prepare display materials and conduct public information meetings on Comdor
Management Strategy and Implementation Strategy.
6
ATTACHMENT 1: REQUIREMENTS FOR CONTRACT MAP PRODUCTS
GENERAL MAP PRODUCT REQUIREMENTS
The following general cartographic requirements must be adhered to by the Contractor:
1) Map Products - The Town of Southold's preference is for the delivery of digital map products that meet the
specifications outlined in the Digital Cartographic File Requirements section. If analog map products are
produced, fi~y must meet specifications outlined m the Digital-Ready Map Product Requirements section. Thc
ability to provide digital map products will be one of the factors used in selecting a Contractor.
2) Deliverable Format - All digital map and attribute table fries must be provided in Maplnfo 3.0 for Windows
format on 4 mm DAT tape or 3.5" floppy diskette media. Alteaaatively, the digital products may be provided ·
in UNIX or PC ARC/INFO bina~, format or AutoCAD DXF format un the same media types upon approval of
the Town. All other digital formats require prior approval of the Town.
All non-digital map products must be provided on stable base material at a scale agreed upon by the Town. The
map products must include an index map to all map sheets and thorough descriptions of all the cartographic
elements portrayed on the maps.
3) Documentation -- A data dictionaxy must be included along with the map files describing file contents, file
names, map projection, coordinate system, RMS accuracy, information sources, and creation methodology.
4) Map Accuracy -- Unless otherwise stated by the Town, all deliverable map products must conform to
National Map Accuracy Standards for horizontal accuracy as established by the United States Geological Survey
(USGS). For example, maps at 1:20,000 or smaller, not more than 10% of the well-defined map points tested
must be more than 1/50 inch (5 mm) out of cermet position. At 1:24,000, this tolerance translates to a required
horizontal accuracy of 40 feet.
DIGITAL CARTOGRAPHIC FILE REQUIREMENTS
Thc following cartographic construction requirements must be adhered to by the Contractor:
1) Edge-matching-- All map sheets must be both visually and coordinate edge-matched with adjacent map
sheets. No edge-match tolerance will be allowed. Attributes for splitable features must also be identical.
2) Common Boundaries -- All f~tures that share a common bounda~, regardless of map layer, must have
exactly the same coordinate position of that feature in all common layers.
3) Point Duplication -- No duplication of points that occur within a data string is permitted.
4) Connectivity - Where graphic elements visually meet, they must also digitally met. All confluences of line
undershoots, shvers, or "offshoots" are NOT permitted.
and polygon data must be exact; "overshoots"," "" ' "
5) Line Quality - A high quality cartographic appearance must be achieved. Transitions fi~m suaight lines to
curvilinear elements must be smooth, with angular inflections at the point of intersection. The digital
7
representation must not contain extraneous data at a non visible level. There should be no jags, hooks, or zero
length segments. Any lines that are straight, or should be straight, should be digitized using only two points that
represent the beginning and ending points of the line.
6) Polygon Closure - For area f¢,0_~ms being digitized, tbe l~st coordinate pair must be exactly (mathematically)
equal to the first coordinate pair. No line or polygon must oross itself except to join at an actual confluence. All
digitized features across map boundaries must be edited to effect smooth and continuous lines.
7) Graphic Precision -- All digital graphic elements must contain positional coordinates significant to one
thousandth (.001 ) of a foot.
8) Digitizer Accuracy -- The required RM$ error for digitizer aecura~ must be .003 or better for digital map
registration.
DIGITAL-READY MAP PRODUCT REQUIREMENTS
The following requirements for non-digital map products must be followed to facilitate the future conversion of
the maps to digital map products.
1) Base Map Media - All maps must be created on mylar or other stable base material.
2) Map Scale -- All maps of a similar series should be created using the same base scale. Unless
othenvise stated by the Town, all maps should be compiled at 1:24,000. If other map scales are approved by the
Town, they will conform to standard map scales such as 1:9600; 1:50,000; 1:75,000; or i: 100,000.
3) Map Registration - The maps must provide a minimum of four (4) comer and four (4) interior ticks tied to
USGS/NYSDOT quadrangle Lat/Long or NYTM coordinates. The maps must be geometrically correct and
should register when overlaid on the appropriate USGS/NYSDOT quadrangle control ticks.
4) Map Projection and Datum -- The maps must include the map projection and the map datum used.
5) Map Title ~nd Legend -- The maps must provide a title and legend block describing the information
contained on the maps.
6) Cm'tographic Quality - The quality of all map line work and symbolization must conform to items 1 - 6 in
the map criteria set forth in the Digital Cartographic File Requiremants section outlined above.
8
CONTRACT DATABASE STANDARDS
Delivery Media
All database and tabular files must be delivered on 4 mm Digital Audio Tape (DAT) or 3.5" diskette. Delivery
in another media format must have prior approval of the Town.
Software Format
All database and tabular fdes must be provided in Borland's Paradox for Windows version 4.5 format. Other
formats that are convertible to Paradox may be used with prior approval of the Town.
Geographic Attributes
Database and tabular fdes that contain elements with a geographic reference must provide a corresponding data
field and a geographic coordinate pair for each feature location.
Neboysha R. Brashich
Chairman
Michael Acebo
Robed Bayley
Margaret Brown
Robert W. Brown
Victor Brown
Gaif F. Horton
Barbara Michelson
Merlon E. Wiggin
Southold Transportation Committee
Town Hall, 53095 Main Road. Southold, New York 11971-0959
(516) 765-1938
December 6, 1996
Mr. Harry Tenenbaum, P. E.
Regional Enhancements
Project Manager
NYS Department of Transoortation
Veterans Memorial Highway
Hauppauge, New York 11788
Re:
Seaview Trails of the North Fork
Southold, New York
PIN # OT 1199
Dear Yr. Tenenbaum:
Enclosed please find the ISTEA Transportation Enhancement
Project Agreement for the Seaview Trails of the North Fork
duly executed by Southold Town Suoervisor Jean Cochran. The
Town Board authorized the sum of S77,000 in cash and $10,000
in in-kind services to cover the cost of oarticipation in
the above project. An additional S33,000 is anticipated in
in-kind services from the National Park Service, the )IYS
Deoartment of State and the British Trust for Conservation
Volunteers. Public/private rights-of-way are valued at
and some $7,000 is expected from Harchiselli Funds bringih~
the oroject total to S535,000.
The Committee would greatly appreciate your office reviewing
the aoreement and forwarding it subsequently to NYSDOT/Albany
for final signature. If you need additional information or
clarification, olease do not hesitate to get in touch with
Enclosure a/s
~!ncerely,
Nebeysha ~. Brashich
Chailrman
Seaview Trails
of the North Fork:
Southold Town's Alternative Transportation Initiative
ISTEA
Transportation Enhancement Project
Agreement
PiN # 0756.99
Town of Southold
Main Road
Southold, New York 11971
NY State Dept. of TranspoCcation
State Campus, Building S
1220 Washington Avenue
Albany, New York 12Z3Z
The Southold Town Transportation Committee
Seaview Trails of the
ProJeC~ iden'.ified as:
North Fork, Southoldf NY - PIN ~
IsTEA TRANSPORTATION ~qHANC~TJ~2~T FROJ]~CT AGP.ELML:"RT
~ e=ween =he people ~,,~ .~in~ by ~d =~ough ~e New xo
~ -DeuCe-- ~ -- - -- -~--~on AvenUe, ~---~- ~ ~ _. .he
2!32 ~d -
1007(a)
(IST~) of 1991; and . -~{-~-~a=ion
..... -~a"~ h~ ~e re P --- ~- Sec'-ion
1007 (a)
s ~en delegated responsibility
~, ~e Dep~n= ha _- ---~ wl~in New York
'-- n E~ncemenu
~or the Trans9°~=i° of =he in~o~l S~ace
pursuant no Sec=ion 1007(a)
%ranspOr=anion Ef[icien~ Ac= of 1991 and ~e New York Highway
Law; and
~, ~he IS~A au~orizes ~e Dep~~n= =o receive
applications for Federal fi~cial assis=~ce for ~
and no provide ~or the accomplis~en= of ~Y authorized ~P
Project wi~in =he !~i~=io~ of appropriations avail~le
therefor and wi=bin ~he l'~=io~ oE allocations av=il~le
therefor, 9ursuan% =o ~ A~reemen= be=ween ~e Dep~= and ~he
and
Spo~or unde~a~ng such Proje~;
~E~, the ~P ProJec= =o be unde~ken p~suant to this
Agreement is/is not on the National Highway System. (1~ the
Projec= is on the National Highway System, ~icle 12 will apply
to this ~reement);
~, %he IST~ ~P au:horizes =he Spo~Or %o unde~ake
and ca~ our any such apDroved ~ projec: for which Federal
assisnance is received or is =o be received; and
- , ~en= has :evieWed and approved ~he
Agreemen= Co~=alne~ Ln ~
NOW, ~{EF~FORE, in considers=ion ~ -h_ mu:ual .' .... fi:-
moving to each of :he carries hereto, and in pursuance cf
aooro~riate sections of Title 23, U.S. Code, as amended, and
N~ ~'~.o... S~a=e ~i=hway_ Law, as amended, and"Budge~ ____
applicable ~hereto, i= is agreed as follows:
Article 1. pefinitions ~ used herein, the following
shall include and mean:
!. .IS?~-_A Transportation E~h~ncemen= Program" or "Program"..
The program which provides for TEP Projec:s =o be ~nder=aken
pursuant =o agreemenus baDwean Municipalities, Sna=e Agencies, or
Au=hori=ies (Sponsors) and =he Deparl:men=, wi=h funds provided in
part by the IST=-A. /
2. .Depa_~cmen=." The Dep~men= of Transpor=azion of the .:
State of New York.
3. "Municipality." A city, a coun=y no~ wholly conuained
witkin a city, a =own cra village, or ~wo or more of ~he
foregoing ac=lng join~!y.
4. "Sponsor." A Municipality, S~a~e Agency or Au:hority
which under=ekes a TEP Projec~ pursuan= =o an agreement be=ween
such Municipa!i:y, S=ate Agency or Aur-hori~y and t_ha Depa_--Umen=
which has by resolu=ion au~_horized =he principal officer of ~he
Sponsor to ac~ and has confirmed and accepced che ca_-ms of ~his
Agreement.
5. "Commissioner." The Co,~issioner of Transpor=aticn of
=he State of New York.
6. ".-~P Project" cr "Projecn". A Projec~ which provides
for ~rsnspo_~auion e~--hancemen= acnivizies in connec:ion wi~h
..... _-mo=a_ - . - - i sysnem .
application ~nd furnher described in Schedules "A" and
ar:ached aere~o.
7. "State." The People of the S=ate of New York acuing by
-.-.-2 =l-_--ough =~" Commissioner. ti
~. "Agreemen=." This document a~d any au-.acbmen~s hereuo
re_erred to herein.
9. "~F,~k." Federal ~ighway Admi=is:ra=ion of =he United
S-~_--, == Depa~men= of Tr=-napcrns~icn.
---_ ........= --- ~"e underna2cing of =he m~.~
';.-~"~ =co'sc- with Federal fin~a-nciai=ss,- i~:~c-_ ~dar =he
.:rovisicns cf -h_~-- !S~ ~n=- ' =o s:=~-_-_ -'._~ ~a~, con~=ions,
wn_c., such Feder~! assisn~nce
4
~ilt~be p?ovided-
..Ar%ic!e 3. Documents Fo.--minc the Acreement. This Agreemen~
shall consist of this document and the following attachments:
Schedule "A" Description of Financial Obligations in
connection with ApprOved Transportation Enhancemen~
Project.
Schedule "B" Description of the Project Scope of
Work.
Appendix ! - Resolution authorizing the Sponsor or
anoropriate officer to execute this Agreement on behalf
o~'the Sponsor and agreeing to the terms and condiLions
thereof.
Appendix 2 (if applicable) - Resolution authorizing
the oar~icipation of the Sponsor in the Program and
authorizing the Highest Ranking officer to act on
behalf of such Sponsor a~d affirming the terms and
conditions of this Agreement.
F/(HIBIT A - Construction Contract Approval.
EXHIBIT B - Ccnsu!tant selection Procedures and
Guidelines
Attachment A - Sponsor Consultant Proposal
Evaluation Sheet
Attachment B - Sponsor Oral Evaluation Form
E~IBIT C - Sponsor Record Keeping Guidelines
Appendix "A"
Provisions.
Appendix "B"
New York State Required Contract
- U,S. Government Required Clauses.
A~ic!e 4. Poweus and Duties of Sponsor.
!. The Sponsor shall familiarize itself with the
~,~ '~ s. The Sponsor shall -end"~ all services and furnish
G__c___ne
all maueria!$ and ~cuiDment necessary to complete the Project.
The Sponsor has responsi~i!it¥ for the assurance and avai!abi!i~y
of h_ non-federal share cosu ~nc-~ases and cos= over~'-ns,
Project p!a~ning, design, consu--uction, cons:ruction inspection,
envircnmen~ai compliance, and Project maintenance. The Project
imDiemented or improved D,'~suant to this Agreement will be
av~iiab!e at all reascna~!e times for use by the public and no
sig~.s or ph¥$ica! barriers to the contra--y shall ~e erec=ed.
3
2. The Sponsor may con=fac= wiuh any person, fiT.,.
cctv-Dora=ion or agency, el=her governmenua! or priva=e, uo
acc~mp!ish =he purposes of =he TE_? in accordance with applicable
S=ate and Federal law. The choice of contract engineers by =he
SnonsOr to perform preliminary engineering or cons=ruc=ion
i~speczion is subject to =he approval of =he Departmen=.
3. The Snonsor shall hold =he S=a=e harmless from any
!iabi!i=y occurring from any aspe¢= of the design or cons=ruc=ion
of Projec=s under contrao= wi=h any person, firm, corpora=ion or
agency, either governmen=al or priva=e, or Projecus accomplished
with Sponsor's forces.
4. The Sponsor shall initia=e the Project or cause i= =o be
initiated wi=bin 90 days o~ the daue specified for this purpose
in =he Project application, or within 90 days of approval cf the
Projec= applica:ion by the Department, whichever is la=er.
Failure by a Sponsor to initiate the Projec= shall cause the
funds so programmed to such Sponsor to be subject to
reprogramming by the Department.
5. The Sponsor shall be responsible for submi=ting vouchers
or causing vouchers to be submitted for reimbursement by the
State of the Federal share of She eligible cost of =he Project as
se= forth in Schedule "A".
6. Unless de=ermined otherwise by the Depar=ment, upon
completion said Project shall be the responsibility of and
main=ained at the sole expense of the Sponsor. The Sponsor shall
a= its own expense properly main= ~ain or cause to be maintained by
others the physical and operational imp_rovements com~.leted
pursuann to this Agreement for =heir useful life. The Sponsor
shall maintain this Project for the life expectancy of any
facility constructed under the Project. If the Sponsor in~ends
uo have the Project maintained by another, any necessary
main=enance agreement will be executed and submitted to =he
Depar~men~ before construction of any TE-? Project is be.tun.
7. The Sponsor shall be responsible for all damage =o life
and property arising out of =he activities of =he Sponsor,
agents and employees, in connection with the TE-P Project. The
Sponsor specifically agrees =hat its agents and employees shall
possess =he experience, knowledge and character necessary to
qualify ~hem individually for the duties they perform.
S. THe Sponsor shall comply with all applicable sta~u~es,
permi=s, ordinances, ~-,!es and re_erie=ions relative to the
Proj~c,_ - including those for Projects which may have a significant
_f~ _ on ~h- environment (e.g Na"-iona! ~2nvironmental Policy Ac~
("N~_PA") and =he State : ~- - ,
,nv_,onm~n=&l Qua!i=y Review Act)
significan= _.= -_
-_z-c: on agricultural diszric:s (Agriculture and
Markens Law, A_r~ic!e 25A_~), =he preservation of his=oric
4
stkUct=reS; the quality of water and the potential for flood
hazards and losses (Environmental Conserwacion Law, Articles 8
and 36) and certify in a form acceptable to %he Department that
such-~equirementS have been met. '
9. There muS% be an environmental determination by FHWA
pursuant to NEPA for the Project. The Sponsor must provide the
necessary documentation to the Department in order for the
Department to' obtain a determination from FHWA that the
environmental process is being properly followed.
10. The sponsor agrees not to assign, =ransfer, convey,
sublet or otherwise dispose of this Agreement or any part
thereof, or of its right, title or interest therein, or its power
to execute such agreement to any e .....y,.~ubl~ ~r private,
without the previous written consen= of the Depa=~Cment first
having been obtained.
11. The Sponsor agrees that Che sceruic and natural
integrity of the highway (if any) and adjacent area along which
the ProjeCt is to be carried out will be protected. The Sponsor
ess the effect that the ProjeCt ~ay have on
also agrees to a~s . c with the requirements of
historic properties ~n aocordan ·
Section 106 of :he National HiStoric preservation AC~.
12. Any right of way acquisition to be performed
· · w~h a
connection with the Projec~ must be done ~n accordance it
Right of Way Plan and =he Federal Uniform Relocation Ac=, as
may be amended.
!3. The Sponsor shall perform such other and fur~-her acts
as may be necessary, proper or desirable to carry out the project
or oblige:ions, duties or functions related thereto in accordance
with the TEP Guidelines and State and Federal law and rules.
Article 5. Method of Performance of Work. (a) The work of the
Project shall ~e performed by contrac~ o~ by the forces o~ the
Sponsor in accordance with 5¢hedule "A". The Sponsor shall
insure that all work perfoL-med by its employees, cont. rac=or$,
agents and assignees shall be in accordance with all applicable
provisions of S=a~e and Federal law.
(b) Work on the Project shall not be staz~-ed unCil the Project
has been officially authorized by the Department. Contracts
shall not be awarded until the Sponsor has been officially
notified by-the Department %hat the con=tact award has been
authorized by the Depa-~ment.
(c) All appropriate required Fe~era! clauses and attachments
must be made a pa-~ of any ProjeCt contract and any ocher
requiremen% which conflic=s with said Federal requ£remen%S must
be excluded and/or expressly superseded.
5
(d) The Sponsor, in cooperazion with the Depa~menz, will
develop a reporzing system to describe the progress'of
Project, the resources used and other per~inen~ data to
info.--m the Department of the status of the Project. The
reporting system will include the consultant's monthly progress
report with comment and evaluation by the Sponsor.
(e) Cons:ruction Progec:s.
(i) All construction materials and construction methods
shall be in accordance with specificacions approved by the
Depaz"~ment. The Sponsor shall design and constl-uct the Project,
or cause it Co be designed and cons:rucced, in accordance with
standards agreed to by the Depal-cment. under the supervision of a
professional engineer, or architect or o:her proZessmonai as
agreed ~o by the Depar~:men:. Cons:ruction super~ision work shall
be performed by :he Sponsor or by conCrac=. Whenever Che
estimate for the construction work for che Project exceeds one
hundred :housand dollars ($100,000), such work shall be performed
by concract ,,~qess che law governing the Sponsor sets a lower
esnima~e.
(ii) The record sampling program, independent testing and
qua!i~y assurance procedures applicable to federal-aid Projects
performed by the Sponsor shall be in accordance with
specifications approved by the Department whether or no= such
procedures are required for =he receipt of Federa!-~%id.
(iii) Any con=rac= plans and specifications shall be
'stamped with the seal of a professional engineer licensed in this
State and shall be signe~ by such professional engineer, or shall
be si_a-ned by such other professional licensed in ~his Sta~e, as
approved by the Department. The plans and specifica=ion~ shall
be filed with the Department.
(iv) The procedure for advertising, letting and awarding
construction contrac=s to be used by the Sponsor are se~ fo~h in
E~iBiT A at~ached hereto.
(v) The contract be=ween the Sponsor ~nd the confract0r'
must comply in eve_--y way with Federal laws, rules, regulations
and the Federa!-A~d Policy Guide (FPG). The Depar=men: shall no~
be a party to any such con=rsct.
(f). Ccnsu!=an= Pro4ec~s.
(i) if the Sponsor desires =o perform Project work ~hrough
a consu!=~nt, all architecture!, engineering and survey work
shall be performed only by ~he mos~ highly qualified consultant
with which a satisfactory contrac: for fair and reasonab!~
com.Densa=ion can be negotiated. Ail onher work to be performed
by a consu!~ant mus~ be performed by the ~st higb. ly qqa!ified
. of %be'costs-
consultant chosen '-= -- proper consideration
consultant the sponsor shall ccmp!y
..(ii) In se!ecuing a and -~ederal laws% "_~ules and
wi~h all 'applicable S~ana -- -
~ecula~ions- The consul~an~ se!ec~ion procedures and guidelines
~o=be u~i!ized by ~he Sponsor are a~=ac~e~ hereto as E~iBiT B.
The sponsor ~Y use cons~=~= se!ec~ion procedures and
~ide!ineS ocher =h~ ~hose listed in ~IBIT B o~y if those
written procad~es ~d ~ide!ines ~ve been s~~:ad :o and
approved by ~he Depar:m~-
(iii) The con=.a .... ~--~1 laws, ~!es, ra~_a~lons
musU co~!Y ~ eve~ ~Y wm=n r==~
and =he Federal-~d Poli~ Guide (FPG)-. The DeP~men~ shall not
be a pa~y =o ~y such Conuracn.
(iv) The Sponsor ~s= direct ~Y con~!:~ re~ained
pursuant ~o =his Agreemen~ ~ the develo~en~ ~d ~c!usion in
~ns work produc~, where appropriate, of feb~bili=a=i°n ~ec~i~es
~d conS~c~ion con,fac= schedules-
tot_es. ~- -t ~_ ..... ~4~h will =ove~
re~-
(vi) The contract between the sponsor and r, he consul=ant
and any supp!emenUa! agreements thereto shall not be ef~ecnive
withouu %he ~_xpress writuan approval of %he Depa,~menU.
A_~ic!e 6. ~'
!. Mutual Ob!ication~. subject to compliance with %b~
uerms s.nd conditions of this Acreement, %he Depa~men~ agrees ~o
reimburse ~he Sponsor ~or no~ ~ore ~han 80 percent of approved
e!i~i~!e cos=s ~n co~ec=io~ with the Project up ~o the maximum
amou~nt se~ forth in Schedule "A" a~tached hereto.
Federal auuhcrization for the .~r_ojec: is set at the time of
~he signing of %his Agreemenu. Changes in =he dis:ribunion of
uhe federal ~unds through =he phases of =he Project. to faf!ecu
ac~ua! bids ..- ~. . the mu=ua! agr_eemen~ of %he
modifications to Son-=u-- A upon
· .. ._ .~. =a=~,s obligation for the Project in no
~-r~es. mower--, ~.._ S - . · __--- =,~ ,%. ~-n4ect and all
even_ w~!! _x ........ ~ne
cosus cf -h_ Projecu which ~xc°~= =ha:
resUcnsi~i!i=Y cf ~he Sponsor.
2. :.~mbursemen~ cf Costs. The S%ate shall reimburse the
Soonscr for the ~ntire a.:proved --~---
p~ruicipa~ing costs incu_-T_ed Ln connection with a Projec:,
7
subject ~o -L_ maximum amounts oavab!e and other !imiuau_cns
forth in Schedule "A" a~ached hereto. If the Sponsor finds
desirable to have reimbursement made intermediately, between
star~ of such work and the final insFec~ion"thereof by
the State shall make progress payments on billings prepared and
submitted by ~he Sponsor based on actual costs incurred as
disclosed by the records ~hereof wi~h adjustments to be made
after audit by the State or ~he Federal Highway Administration.
Such orogress payments shall not exceed 90% of the maximum
ob!ig~tion of the State for the Project until final acceptance by
the Deoartment. ' Such items shall be subject to audit by =he
S~ate ~nd the Federal Highway Administration.
(a) The Sponsor shall not include in f:s reimbursement claims
~he Sta~e any costs for any con~rac~ c~ge crier, suppiemen~a~
agreemen:, disrupted work settlemenns or court awards, unui! the~
basis for each such change order, supplemental agreement,
se=tlemen: or award has first be~-n fullydocuman=ed and submitted
to the DeparCmen~. for review and approval.
(b) Reimbursement claims %o the State shall inc!u~e only such
costs that have been approved ~ writing by the Department.
(c) Record keeping and billing shall conform ~o the procedures
set foru~h in EX~iBIT C attached hereto. All records established
pursuant to ~his Agreement shall be maintained by the Sponsor for
~ot less th~n tan years after final payment is made by the
Depa_~:men= to =he Sponsor for the Project.
3. Reimbursable Items. The State shall reimb,~se the Sponsor
for :he Federa~ share of only tha~ work and those items ~ha~ are
eligible for Federal pa_~icipa:ion under Title 23 of the U.S.
Code, as amended, and :he State shall be entitled to recover from
the Sponsor any monies which i~ pays ~o the Sponsor ~nder ~his
Agreement which are subsequan:!¥ ~e~ermined ~o be ine!igi~!e for
such Federal participation, items that are reimbursable include:
acuua! cost of employee personal s=--vices, leave and fringe
benefit additives dire~ly 'r-~la:e~ ~o the work of the TEP
Project. acuua! cost of con=fac:s; ulanning studies; ma=eria!s
and supplies; cons~ruczion supervision; design and constx-uczion
costs; equipmen: leases or purchases; equipment use charges; and
such other Federal pa_~icipating cos=s ~irec=!y iden=ifiab!e with
the Proj ec~.
%. .... =i-=l payment. A final c-_~-.lc=:-__ i=' - _ Of comp!etlon shall be
~-=:= == by ~a- Sponsor and a==-ove~, Ln writing, by
Department demcnsureting that the Project has been comp!e=ed in
=c_o-c~nc= wm:n .h_ terms and conditions of ~his Agreemen~ before
final payment is made. Final paymenn :o =he Sponsor shall be
made with__--sDect. to a T~_-::_ Projecn by the S~a:e, upon submission
of a voucher therefor and =~' auuroved., ce~,~lcato_ i=' _ of completion
8
'by the Sponsor, -f-__ cer~ificazicn bv the Desar~men~ tk-~ an
inspection was made of the work and ~ha~ the work is approved for
pay~.~n~ ·
Article 6. Reports. The Sponsor shall submit to the
Department such data as the Department deems necessary to assure
compliance with this Agreement and for the Department to prepare
~er~odic reports on the scope and results of the Program.
Article 7. Accomplishment of the Pro~ect Pursuan~ to
Feder~!, State and Local law. In the event that any election,
referendum, approval, permit, notice or other proceeding or
authorization is required under applicable law to enable the
Sponsor to enter into this Agreement or to accomplish the Project
or portion~-= the Pr:jcc: hereunder, or zo observe, assume, cr
carry out any of the provisions of this Agreement, the Sponsor =
will initiate and consummate, as provided by law, all actions
necessary with respect to any such matters.
Article 8. Termination or SusPension of State's
Ob!i=ations. If the Sponsor abandons for more than one year, or,
before completion, finally discontinues the TE-P Project, or if,
for any reason, the commencement, prosecution, or timely
completion of the Project by the Sponsor is rendered impossible
or impracticable, ~he Department may, by written notice to the
Sponsor, suspend any or all of the Sta~e's obligations under this
Agreement until such time as the event or condition resulting in
such suspension has ceased or been corrected, or the Departmen~
may terminate any or all of the State's obligations under this
Agreement.
Upon receipt of any final notice of termination, the Sponsor
shall proceed promptly to terw~nate or cause to be terminated
Project activities and conuracts and to take such other actions
as may be reTuired or desirable to keep to a minimum the costs
upon ~he basis of which the S~ate payments are to be computed;
and certify to the Deparument, according to good accounting
practices, the amount of work performed under the Projec~ and the
amount of all eligible costs.
If the Department determines that the Sponsor has f~i!ed to
c___g_n=_y progress the Project, the Depar~men~ will include a
demand for repayment of all financial asslstenc-' - _ provided by the
State in co,~-nection with such Project with its fica! notice of
~armination and' the Sponsor shall repay the S~ate all fu~nds
received .-'rom the Sta~e in co~ecuion with such Project.
AJzic!e 9. Remission o~ Disellowed Pro4ect Costs Upon
Ccm~!eticn of Pro4eCt. Upon comp.!euion of the Project and final
accounting, ~he Sponsor s~a!l remit ~o ~he S~ze any disallowed
previously paid to iu under ~his Agreement.
9
The acceptance by the State of a remittance of any cS all
Project funds previously received by the Sponsor or uh~ closing
out of Suave financial participation in the program shall not
constitute a waiver of any claim which the State may otherwise
have arising out of ~his Agreement.
Article 10. Executory Clause. This contract shall be
deemed executory only to the exnen= of money available to the
State for the performance of the terms hereof and no liabi!i~y on
account thereof shall be incurred by ~he State of New York beyond
monies available for the purpose =hereof.
Article 11. Eaual EmPloYment O~Dortunitv and Disadvantaaed
~usiness Ente-~orise Participation. The~Program is subject to the
recuirements of Section 1007(a) o~ ISTEA of ~99i and regulations
ur~mulgated pursuant thereto relating to equal employmen~
~oDor~uni~y and disadvantaged business enterprise participation.
T~ Sponsor agrees to comply with all provisions of such statute
and regulations regarding equal employment opportunity and
disadvantaged business par=icipation adopted by the State and
determined by the Department to apply to the TEP Program. The
Sponsor agrees to include, and require its con:ra¢~ors to
include, all required contract provisions relating to equal
employment opportunity and disadvantaged business enterprise
participation in all contracts let in connec=ion wi~h =he Program
~nd in ~!! documents soliciting bids or proposals ~herefor.
~ticle 12. For National Hi=hwav System Pro4ects Only. If
~he TEP Project is on the National Highway System and is
estimated to cost more than $1 million to con~truct, the approval
of =he Federal Highway Adminis=ration will be necessary before
work on the Project can begin, and before contracts may be
awarded by the Sponsor or amendments to those contracts may be
made. F~-WA will also accept and approve the final payment before
~hat final payment is made for any such National Highway System
Project.
10
Jea~.~W. Cochran
T!T-~: Supervisor
DA."~-: December 6. 1996
A_:PRO~:.u AS TO FORM:
DA~:
For ~he C~:!!~ p~s~nn n~
Se~on 112, S~=e Fi~c~ Law
MAR 2 1997
..A-- OF ~F!--W YORK )
) ss.:
CgLrNT~.. OF SUFFOLK )
On :his 6th ~ay of December , 1996
, before me personally came Jean W. Cochran '.~ me
k~nown and known :o me :o ~ ~e Supervisor of ~e
Town of Southold , ~e s~e ~on descried in
and who execu~ :he :oregoin~ i~--~en=; ~a: she~e
aunhcrized %: execu=e .~e luregoing i~--~en= on be~!f of ~e
Town. Bosrd pursue= %: and as provided ~
NAIvlE OF SI'ONSOI~ IJNI')EP, TAKING PI~,OJ~C'I~:
NEW YORK STATE I)EI)AI~,TMEN'F OF TRANSPORTATION
TI~ANSPORTATION ENI IANCEMENT PROGRAM
$chcdnlc "^"
NYS AGR~EMI~IT NO.
AMMENDMENT NO.
Town of Southold, New York
(
NY~I)OT
I Yl ¢ of O.-(mlracl/Work
Tolal Federal
Cosl Share
0'1'1199
Tolal Schedule
Construction/Sponsor ~ 3 Trail Loops
Equipment Purchase/ Sponsor
Consultant Contract/Sponsor
Contingencies/Sponsor
Construction Supervision/Sponsor
plus Technical Assistance Donations
Construction Contract: 5 Trail Segments
(6 miles)
Construction Contract: Resurfacing of
Shoulders (4.5 miles)
Easements Purchase/Donations
Trail Equipment & Brochures Purchase
$ 2 B,O00
$ 23,000
$ 16,000
$ ] 0,000
$ 43,000
$180,000 $180,000
5o,ooo $~ 5o,ooo
6z,ooo $ 4o,ooo
23.2,000 $ ~3,ooo
$535.000 $393.000
I:cdcr. I shm'c ()l'cligihlc cosls is al the pcrcenlagc noted: 77 % *
IVhtxim,uu nmounl i)ayablc under this Agrccmcm:_ $ 393.000
77% is based on the total agreed project cost of $510,000 (with the Town of Southold provldlng an additional
$25,000) to cover certain items. "disallowed" In the original project submission of $615,000.
Colilracl
Scltcdulc B
Of Agreenlcllt - Traltsportalion Enhal)Celttellt Project
New York Stale Department of Transportation
and
SpoDsor
DESCRIFI'ION OF THE PROJECT
Slart
Dcscril)lion of Project Conll)onel~! __ Dale
I. I~llaJneeril!R Work F'cll'()nned shall include: Effective
- PreLiminary and tinal design at 5 trail segments (fi milan) Date of this
- Final ~sign [~ d~oulder resurfacing of ~5 milesd T~n road Agreement
2. Ili(l(lin~ Ibr [;onlrucl (~ooslruciiolI 1 O/1/97
- Specs by Town Consultant and National Park Se~lce;
Bids by Town Clerk
- Specs by Town Engineering ~pt; Bids by Town Clerk
3. ?roicc! COll~fllcl~O~ Work i~=i~)m)ca shall include: 3/1/98
- Clearing, leveling, surfacing of trail segments byContractor;
- Excavating and debris renloval by Town Highway Depal'tmeot;
- Base coa~tltlCtioa and resurfacing by Contractor
4. Col~sh'llclion Eneinecrin~ nad Ins~clio~ 3/1/98
- Town-hired private engineer to oversee and inspect
construction et trail segments;
- Engineering and Inspection of Town road resur~aclng
by Town En9ineerJn9 Department
5. Ensamcal~ ?m'c!laac 6/1
- Negotiations by Town ConsuRant and To~ Planning Department;
Finalization by Town Zoning Board and Town Board
6. Trail Si-anne, [[qnil)m¢~!! & linx:lmres purchase. 9/1/96
- Specs & purchase of trail signs ~ Town Highway Oepa~ment;
- Specs & bids of trail equipment by Town Highway ] 0/} {9~
Department and Town Clerk
7. Conlingene}e~ ~
Finish
Dale
9/30/97
12/31/97
12/31/98
3/31/99
~/3o/~7
~/30/97
3131/98
Totals
Project Idclailicalion Number
Amcedmeflt Number
(Town Consultant - $8,000)
(National Park Se[vice - $1Z,O00)
(Town Engineering Dept - $1,000)
(Town Consultant - $2,000)
(National Park Service - $3,000)
( Town Engineering Dept - $1,000)
(British Trust for Conservation - $3000)
$180,000 - ISTEA
(Town Highway Dept - $6,000)
$150,000 - ISTEA
(Town Consultant - $4,000)
(Town Engineering Dept - $1.000)
(Town Consultant - $2,000; Town Planning Dept - $500)
(Town Zoning Dept - $500; Donations - $22.000)
$40,000 - ISTEA
(Town s~ns- $Z8,000)
(Town Equipment-$23,000)
$23,000 -ISTEA
(Town- $10,000; NYSDOT- $15,000)
($14"Z,000- Town and Other)
$393,000 - ISTEA
JLrDrrH T. TERRY
TOWN C LEI?~
REGISTRAR OF VITAL STATISTICS
NLARRIAGE OFFICER
RECORDS MANAGEMENT OFFICER
FREEDOM OF INFORNLATION OFFICER
APPENDIX I
Totem Hall, 53095 Main. Road
P.O. Box 1179
Southold, New York 11971
Fax (516) 765-1823
Telephone (516) 765-1800
OFFICE OF THE TOWN CT~ERK
TOV~rN OF SOUTHOLD
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION WAS ADOPTED BY THE
SOUTHOLD TOWN BOARD AT A REGULAR laeJ:i lNG HELD ON SEPTF-MBER 3. 1996:
RE. SOLUTION AUTHORIZING THE TOWN OF SOUTHOLD TO PARTICIPATE TO THE
EXTENT OF UP TO 100% OF THE NON-FEDERAL SHARE IN THE COST OF A
TRANSPORTATION ENHANCEMENT FEDERAL-AID PROJECT.
?/HERF-AS, a Project for the Seaview Trails of the Nor"th Fork, P.I.N. 0756.99
funded for in Title 23 U.S. Code, as amended calls for the apportionment of the
costs of such program to be borne at the rat/on of 80% Federal funds and 20% non-
federal funds; and
¥1/HEREAS, the Town of Southold desires to advance the above project by making
a commitment of 100% of the non-federal share of the costs of personal services,
consultants, equipment, supplies and materials,
NOW, THEREFORE, that Town Board of the Town of Southoid, duly convened does
hereby
P.E-~OLVE that the Town Board hereby approves the above-subiect proiect; and it
is hereby
FURTHER RESOLVED that the Town Board hereby authorizes the Town of $outhold
to pay 100% of the non-federal share of the cost of the above stated work for the
subject proiect or portions of the subie~::.t proiect; and it is
FURTHER RF_--KOLVED that the sum of $535,000 in cash and in in-kind services is
hereby appropriated to cover the cost of participation in the above phas,'e of .the
project; and it is
FURTHER RESOLVED that in the event the full non-federal share costs of the
proiect exc,~ads the amount appropriated above, the Town Board of the Town of
$outhoid shall convene as soon as possible to appropriate said excess amount
immediately upon the notification by the Department of Transportation; and be it
FIJRTHER RESOLVED that $outhold Town Supervisor Jean W. Cochran be and she
hereby is authorized to execute all necessary Agreements on behalf of the Town of
Southold with the New York 5tare Department of Transportation approving of the
above-subject project and providing for the Town's administration of the Proiect and
its participation in :he cost of the local share of the subject proiect; and be it
14
FURTHER RESOLVED that a certified copy of this resolution be filed with the New
York State Commissioner of Transportation by attaching it to any necessary
Agreements in connection with the Project.
Judith T. Terry
Southold Town Clerk
September 4, 1996
-iJS~iB iT A ..
Cons=ruc=ion Connrac: Approval
The Sponsor agrees =ha= all proposed cons:rucuion con:fac=
lez=ings a~d oroposed cons:ruc:ion con:fac= awe-ds shall be based
on comDe:iriv~ bidding,' and shall recul-e prior auorova! of =he
DeDar:m~n= and =he.S=aue Compurot!er in uhe following manner:
A. Prior =o adver~ising for bids; one copy each of the
Drouosed con~z_--uc=ioD conzrac=, plans, specificanions and all
~e!4ted ~idding documen:s shall be submi:ted :0 :he Depar=men=
for approval, and mus= receive approval from :he Deparnmen: prior
~o such adve~isemen:. The bid invi:ation and :he con:tact to be
let shall contain a szatement -~ha: ~he contract will be awarded
by zhe Sponsor subjec: to =he approval of =he Depa-~men=.
B. Adve~isemen~, mus= be placed in n-wsDaDe-s_ . _ _ , b~!!etins,
zrade journals and/or minority publications for a minimum of
-l~-~=__ weeks ~o ~ure ~_---~ and open. competition_ unless a
differenz period is a.~proved by =he Depa_--amen:.
C. Al=er :he bid op,~ng and before award, the following
shall be submi=:ed :0 the Depa_~men::
!. .:"roof of pub!ica:ion of adver'.i$ing for bids.
2. Ce~ificazion of all bids received wizh ~abu!azion of
up zo six lowest.
3. Copy of =he :roDosa! signed by the bidder se!ec~ed f _
award of nhe con:fac=.
4. If the award is not =o be made to the !owes: bidder, a
snatem~nt of expiana=ion.
5. Rid amount broken down by fiscal sh~--es
6. Compe:izive bidding sta~emen=
7. Recommendauions for award.
8. Analysis of low bid.
Caruification of =uan=ities. of items bid 2~% ~r _ct_ease-_ - _
over ~he engineer's estimate.
The Departmenu shall --c-~ve uhe bid confirma:ion seu fo_~h
above
, =_~r receiving the conc',-rr---ncs of the State
Comp=ro!!er, iu shall nouify the Sponsor =hat ~he con~rac~ may be
w=-*=c .... Sponsor shall award th~ contrac: and file an
axecuu~d copy ~ .... f wi=h -h_ Deparnmen=.
!$
.- Consu!uant selection ProCedureS and Guidelines
The following are the procedures the Sponsor mus~ use in
order to se!eCU any consultant :o perform work on a T ....o] ·
The procedures comply with Federal and State law and rules and
must be used by the Sponsor unless alternative procedures are
approved by the Department ~ any selection is initiated-
For the services of a consultant to perform architectural
engineering or su,--veying work the s=eps oS the procedure no~
marked by any asterisk a~nd those st~ps marked by one asterisk (*)
=~1,, For any other =yp.e of consultant services, the steps.
steps marge~
the procedure not marked by any asterzsk nAD~d those
by ~wo asr'~isks (**).apply. T~e Sponsor'S choice of which
~ '' use ~or its se!ect~on of a consultant must be
Droce-ure to ....... . ~m~e the select,on Ls initiated.
~oDroved by the ~eparum=~ ~
The names of the offices or persons responsible for actions
under =hess procedures are for illustration purposes only. The
$Donscr may substi=ute its own Derso~ne! ~it!es etc., however, no
s~bstantive change in ~he procedures may be made without ~he
approval of the Depar=ment-
pERFOPd~--D BY ACTION TAKE~
Sponsor's
Division
~equiring uhe
Consulumnt
o--Da~- a contract requirement package
and forward i: to the Director, office
of Consultant Programs. The service
package must inciu~e:
- A work statement describing in detail
the se_-vices to be performed;
- Recuired performance
sche~u!es/comp, leuion dates;
Sta~ing estimates, det&iie~ according
to ca=sgories of personnel (if~
Dossib!e), tasks to be perfo-~-med, and
~erson days required;
- A~! other data which must be included
in the Request For Proposal (~FP); such
as any specific qualifications or prior
experience recuired of consu!~ants
wishing to su~mit proposals. Also
included might be prior inspection
reports or other =ecP~ica! information
meant to be made available for
~7
evaluation by prospective proposers au
this stage of the process.
Assign a Projecu Manager to direct the
consultant's activities.
Designate individual(s) uo se_--ve as
representative(s) on the Consu!tan~
Selection Committee. The committee's
work shall be coordinated by the
Sponsor's Chief Contracting Officer.
The Project Manager shall not se_--ve on
the Committee for his/her Project.
Sponsor's
Chief Contracting
Officer
4 o
Review the contrac= requirement package'~
If necessary, arrange for follow-up with
the Project Manager to resolve
outstanding issues, missing items, arc.
Assign a con=tact number to the proposed
con~rac~.
Confer with =he Projec= Manager and
establish rating criteria to be used in
evaluating consultant's proposals
including the relative weight of each
criteria.
Establish disadvantaged business
enterprise participation goals as
appropriate.
Prepare a Request For Proposal (RFP)
package, to be sent to prospective
proposers. It must include:
a statement of the work to be performed.
the time frame for completion of the.
s~a~ed work. ~
DRE requirements, if any.
a listing of the se!ec:ion criteria and
~he re!auive weight of each criteria.
(See seiec~ion criteria listed on
Sponsor Consu!=ant Proposal Evaluation
Shee~).
=he deadline date and time by which
proposals mus~ be submitted (must be at
18
(**)
least two weeks from the da're t~ RFP ns
sent to the interested party), and the
location and individual to whom they
must be sent.
site inspec:io~ information, and/or
other information, as appropriate.
A request for a person/hour/day
estimate, by discipline and task,
required to complete the Project. (A
detailed cost proposal is not requested
at this point. The purpose of receiving
this est~mate,~ which will be in a
separmtely sealed envelope, will be to '
speed up the negotiation process once
the top-ranked proposal is determined.
0nly the estimate of the top-ranked firm
will be opened.) The P, FP shall specify
that should the consultant's proposal be
considered the top-ranked technical
proposal received for ~his Project, the
consultant will be required to submit a
price proposal within two days (48
hours) of request.
A cost proposal. A cost proposal
consists of the lump. sum fee/specific
hourly rates for performing the work in
=he scope of se-~vices- Each cost
proposal should contain the following
elements:
!. Salaries
A salary schedule !isling descriptive
job titles for the s~aff to be assigned
to this project and their present hourly
rate. If additional titles are used but
are not assigned, they should be listed.
The ~chedu!e should be prepared to
distinguish an~icipatedassignmenU by
project section/task.
Non-Salary Costs
A direcn non-salary cost schedule shall
list by task number the items of direct
non-salary co:us (out-of-pocket
expenses) ex?ected to be incurred in the
De~forma~nce of the project. Travel,
~aa!s ~nd lodging reimbursements shall
be !imi:ed :o :he preva~!ing maximum
re:es established by :he NYS'Office ~f
the State Comptroller. On separa:e
sheets, explain each item will all
factors leading to the derivations of
the cost.
3. Summary
A final schedule will summarize the
direc: labor, direct non-salary applied
Overhead costs and fee for the Project.
Make all necessary arrangements for
advertising the proposed Project. The'
adverz~isement must include a description
of the services required, performance
schedule, etc., required response date,
time, and location, and any other
pertinent information.
Adve-~:isement should be made in:
an appropriate newspaper in the
Sponsor's area
The New York State Contract Reporter
an appropriate minority publication
Advertisements shall run for one (!) day
in each of the publications. The
deadline for interested firms to contact
the Sponsor and reques= an P-=P package
will be one (!) week after the
publication date.
In addition, individual copies of the
adve~isement text may be sent to firms
known to be capable and/or intevest~a in
perfo-~-ming the subject work if the
Director, Office of Consultant Programs
deems =his appropriate to assure the
maximum possible participation of
qualified fi_-ms. These fi_--ms will have
identified themselves as a result of the
ongoing process within ~he Sponsor in
which firms deliver promotional
information describing their
capabilities. This information will be
kept on file.
20
Consultant
selection
Committee
!0. Issue an RFP to the firms responding.%c
the advertisement. All firms responclng
to the advertisemen~ and all others
requesting an RFP Will be sent a copy.
!!. Handle questions from prospective
proposers regarding point of
clarification, omissions, etc. Confer
with the Project Manager and other
personnel, as required.
12. If it is determined, as a result of
~rospective proposer's questions, that.
~ny part of the RFP requires
clarification, caange or augmentation,
issue an addendum to the P-=P, and if
necessary, an extension of the response
deadline.
!3. coordinate site visits, to be conducted
by the Project Manager to the ex~ent
that they are necessary for the
consultants to fully understand the
nature, scope, and requirements of the
Project. Arrange for appropriate safety
personnel to be present, where
necessS~-Y. (e.g., flaggers).
14. Make available plans, repor=s and other
written maneria!s pertinent to the
Project as necessary to all bidders.
15.
The proposers should be na-~rowed-down as
follows (i.e., a -short-list" developed
from the group initially proposing) to
the three mosn qualified to fulfill the
terms of the proposed connrac%. The
f£rms shall be ranked by scoring each
firm's Droposal against each of the
selecni~g criteria established in sCep 8
above, taking into account the relative
weight of each of the criteria.
Each committee member shall complete and
submi~ to the Committee Chair a Sponsor
Consu!:anu Proposal Evaluation Sheet
(autachm_=nz A) showing pre!imina-~Y
ratings prior to a=tanding the "short-
list" meeting.
A~ the meeting, the Committee chair will
Sponsor's
Consul=ant
Se!sc=ion
15 .A
presenU a composite summary of zhe
ratings and give each member an
ouDoruuni=y to voic~ his/her opinions.
T4~s'meeting shall be an open discussion
and commit=es members shall be reoep=ive
=o the points raised. By =he end of =he
meeting, each member shall finalize =he
ra=ings and a summary ranking shall be
prepared by the Commit=es chair.
In the event that more than three top-
razed firms are evaluated as having
minimal ~ifference and are found by the
committee to be qualified tc perf~--m the
work, then all such firms shall be
included in the shot= lis=. "Minimal "
difference" shall be defined as firms
having to=al scores within ten percent
of =he third-ranked firm. In similar
manner, if a significant difference is
found be=ween the 2nd and 3rd top-ranked
firms, such that the co,~m~ttee would
~ues=ion =he ability of =he 3rd-ranked
~irm to sa=isfactorily perform =he work,
=hen only =he two =op-r~nked firms may
be shot= lis=ed. .Significant
difference' shall be defined as firms
having =oral scores grea~er than twenty-
five percent different from each other.
In =he even~ that only one firm is
evaluated as having an ability to
perform the work, and no other firm is
evaluated as cap-=bls, such ~hat the
committee dete.-mines that no benefit
would be derived from hearing an'oral
presentation, then the commi=tee may
dispense with oral presentations and
diYect!y recommend the top-ranked firm
~or con:tact award.
Al=er completion of =he technical
evaluation of all proposals, a r~nking
of =he proposals is prepared in summary
forma=. The selection committee mus=
de~ermine which proposals are
=ecb~ica!!y acceptable and which
proposals are not. Only proposals
determined =o be technically accept-=ble
will be considered further and will have
their proposal inc!ude~ in the se!sc=ion
process.
Uoon review of :he cos:,proposals cf the
t~cl~nically accep~ab!e firms, a
competitive range shall be established
by ~he selection committee on ~he basis
od cost and ~he other factors stated in
~he RFP. The competitive range should
include all proposals %hat have a
reasonable chance of being se!ec~ed for
award.
Written and/or oral discussions may be
conduc:ed by ~he Soonsor if needed for
clarification, identification of
deficiencies, .etc., of a proposer's
proposal. Award can be made withou~ any
discussion wizh any proposers if !) it -
is de~ermined to be in the bes~ interest
of the Sponsor and 2) if the RFP
notified all proposers that award may be
made without any discussion taking
place.
The content and exten~ of discussions
with proposers is a matter of judgement
~ased upon ~he paZ~aicu!ar circumstances
of the ac.cuisi~i°n- ~ When discussions do
take place,.the Sponsor shall control
all discusszons.
The purpose of the discussions may be to
~) advise the proposer of deficiencies
in its proposal, 2) resolve any
uncertainties regarding a property's
proposal, or 3) resolve any suspec:ed
mistakes. In all cases, a proposer must
be civen an opportunity to submit ~ny
revisions to its proposal ~hat may
result from discussions.
The pu-~pose of dis~lssions should NOT
involve !) tec.hnical leveling (~i.e.,
assisting a proposer in raising its
urooosa! up ~o zhe level of others by
~oi~ting out weaknesses caused by a lack
of diligence, competence or
innovstiveness) 2) technical transfusion
disclosure of ~ec.hnica!
informs=ion of a competing proposal( or
3) aucnion techniques (i.e., indicating
a cos~ uha~ must be meet to be
considered further or advising a
proposer of i=s price relative =o
23
Sponsorms
Consul=an=
Selection
Comm{=~ee
Sponsor's
Cconsul=an=
Selection
Commit=es
Sponso='s
Chief
Con=fac=lng
Officer
16.
17.
18.
19.
others).
Upon completion of discussions, all
proposers within =he competitive range
shall be requested in writing =o submit
best and final offers. The request
shall include 1) ~/le no=ice that
discussion have concluded, and 2) a
deadline ~hat allows a reasonable
oppor~un/=y for submission of a best and
final offer.
(*) 20.
Request fi~m from ~he shor~-lis=ed
group ~o of~er'an oral presen~a=ion
of its proposal =o =he comm'=tee.
Inform each firm of =he evaluation "
criteria =o be used. Request that =he
f/~m's presen~ation be made by
lnd/viduals of su~hori=y within its
organize=ion (e.g., ~he proposed Project
Manager, =he firm's principal, senior
officers, or other individuals of
sufficient authority =o com~t company
resour=es =o =he Project). Convene the
selection committee =o at=end ~he oral
presen~a=ions. These presentations
shall be evaluated using =he Sponsor
Oral Evalua~ion Form (attachment B).
Convene formal meetings of '~he
Consul=an= Selection Comm/=tee =o decide
on =he firm to be recommended for award
of =he con=rac~.
Arrive a= a consensus decision on =he
firm =o be recommended. Doc=men= any
dissenting opinions for =he con=rac~
file. Subm/= completed
Architect/Engineer Evaluation fo=ms =o'
=he Sponsor's Chief Con=fac=lng Officer
for incorporation into =he contract
file.
Send a letter to the recommended firm
requesting a detailed cos= proposal~
include ins=ruction regarding
=he response deadline, addressee, etc.
Receive ~he detailed cos= proposal and
Sponsor ' s
Proj ecu Manager
21.
send a copy :o the Project.Manaqer.
Evaluate costs, labor hours, overhead
rates, etc. Review. items, as necessary,
with-the Project Manager.
Review the cost proposal and notify the
Director, office of Consu!tan: Proqrams
of any unacceptable or questionable
items, etc.
Sponsor'S
Chief
Contracting
officer
22.
Formulate a negotiating position on
behalf of the Sponsor. Consul:
with the appropriate areas of axp_ertise=
to develop this position. Meet with the
Consultant to negotiate the contract
price. Review:
overhead races
labor hours
level of expertise (and respective
hourly costs) associated with specific
tasks
subcontractor costs
other costs (e.g., printing, etc.)
contractor fee
23. Negotiated contracts will follow Federal
policy, chat a cost-plus-fixed-fee (CPFF)
type contract be negotiated for
archi~ec=ura! and engineering contracts.
~ COST°PLUS_pERCENTAGE_OF-COST ~_N-D
PERC~_NTAGE.OF_CONSTRUCTION COST ~ODS
OF CON~.~ACTING SF}T.~. NOT BE uSED.
Federal :rocurement regulations mus~ be
cited in' determining the allowability
and a!!ocabi!i=y of overhead items.
24. Review and approval of the selected firm
and final contract price shall be
r~cUesued of the Depa.-=ment and, tbjough
ch~ Department, of Federal Highway
Administration, if necessary.
25. Send a let:er to each unsuccessful firm,
nouifying them ~hat they have nou b-~"
selected, and thanking them for uheir'
efforts, etc.
pIN
ATT. ACHMENT A
sPONSOR CONSULTANT PROPOSAL EVALUATION SHEET
DATE
Prime Firm
DESCRIPTION Project i
Project 2
Prcjec~ 3
ANY VALUE (0-10)-
I. EXPERIENCE
A. ~RM IN GENERAL 10 - Very Significant
--- 7 = Significan: (several
recent re!a~ed
assignments
B. pROPOSED STAFF 5 ~ Sufficient (to perform
accep=ably)
C. WIT~ SPONSOR 3 = Margin~!lY sufficient
(Prime Only) 0 = None
ii. oRGAniZATIONAL CAPABILITY FOR THIS WORK
A. SPONSOR PRIOR pERFo~C~ RATING Any-Value (1-!0) may
' be used)
oUTSTANDING VERY GOOD SATISFACTORY MIN. UNAC~PTABLE
GOOD ACCEPTABLE
!0 8 6 4 2 0
-ute- 5 if no Performance Evaluation Available
- oVER.~LL A::ROACR/I/NDERST'~'NDING OF Project~WORKPL'~lq
Schedule
=-u-~-~ ~_DJUST (+ -) ! POINT
C. ..=.=-._N_NG WORK7-~O-~ BASE R3%TING
$ W/S~ONSOR
LOGiSTiCS A~ND :.~.=.~_A5--.
.'._%-f VALU~- (0-!0) !0 =
~'_%Y RE USED 5 =
ESTABLI SF--ED LO C.'- '.LLY
NOT ACCL!-'~-ATED OR NOT RS.:tDILY
AVAi~ .'-_=~, --~
27
ATTAChmENT B
SPONSOR
ORAL ~-VD~UATION FORM
PIN
Projec~
DATE-
FACTOR/~ATING
INITIALFINAL.
1.RATING FROM TECHNICAL PROPOSAL
EVALUATION BY SELECTION
2.OVERAT,?, A_:PROACH/UNDERSTANDING OF
Projec~ CONCEPT
3. GENERAL MANAGEMENT
4. PERSONNEL QUALIFICATIONS
5. WORK.PLAN & Schedule
RATING SC~?,~ (whole numbers only)
0 2 4 6
UNACCEPTABLE MIN. SATISFACTORY GOOD
ACCEPTABLE
Recommended By:
". Selection Commiz~ee
Approved By:
PRIME FIRM
SUBCONsu~TANTS
8
VERY GOOD
10
OUTSTANDING
/
Date
/
Daue
28
PIN
FACTO.-'. RATING sUMMA .~.
sUM.~_~_R!ZE IN WORDS THE p~ON'(S) FOR A~SIGN!NG THE R~IT!NG GIVEN
FACTOR (iF N~CE-SSARY USE SEP.~TE SH-~ET)
FOK E.
OVE_RALL APPROACH/UND-ERST'~/~DING OF THE Pro~ec~ CONCEPT -
~nterpreta~ion of Scope of Services and Project obje, ~ives.
Recognition cf vital tasks, use of proven me~hodo!ogy or need fc
innovative approach on appropriate elements of the Project,
discussion of anticipated problems and proposed solutions.
G=-'~%L MANAGEMENT - Identification of lines of authority and
essential management functions. !ntegra~ion and coordination
between the Sponsor , ~he Prime Consultan: and subconsultan~s,
any. ~
p~RSON~-E-L OUA3~iFz-CATIONS ' Based on resumes provided in Standarc
Form, (SF) 255.
of nhe
WOREP~M ~_.~D c ~',,~ DemonsZration of undersnanding
Project scope by providing a logical, realistic, efficient Work
and Schedule.
29
-2}2~iE -" T C
Sponsor Record Keeping Guidelines
The following are the authorization, funding approval and Sponsor recc
keeping requirements for State =eimbursement of participating direct
costs on Federal-aid TE_P Projects:
~ A Schedule "A" is required to support the DeparUmen~
authorization and funding of the Federal share, and the State
matching share (if applicable) of the cost of TEP Project.
Projects may be added to this Agreement by amending Schedule "A".
Applicable costs include personal service and non-personal se_-vic
costs of Sponsor employees, construction contracts, consultant
services and/or other contract costs. Supporting estimates of su
costs are required to support the Department's request to ?aderal
Highway Administration for Federal authorization and fundin~ for
such costs.
o
Consultant A=reements. The procurement procedures used by the
Sponsor for all proposed consu!tan~ agreements must meet the
requirements of Title 23, USC. Prior to the award of any
consultant agr. eemenz, the Sponsor must conduct a review of the
proposed consultant agreement to independently evaluate i~s
compensation provisions or reimbursable cost elements, and for
cost-based agreements, the ability of the consultant's cost
accounting and billing system to properly classify and segregate
direct and indirect costs related to the work, and to adequately
document all costs claimed for payment by the consultant. The
Sponsor will retain and provide to the Department upon reques't
documentation showing compliance with required procurement
s~ndards and pre-award evaluation of the consultants cos~ propol
and accounting and billing systems. As a general requirement fo:
reimbursement of consu!tan= se_~-~-ices, the Sponsor will provide
the Depar~men= a copy of i~s written procedures for procurement .
consu!tan= se_-~'ices if those procedures differ from ~hose set
in -I~iBiT R, =o include selection, negotiation and evaluation o
consu!tan: cos= proposals and compliance with Federal affirma=iv
action re.cuiremen~s. These written procedures must be consisten
with all applicable Fe~era!, and State laws and recu!ations.
Const_--uc=ion Contrac~s/Const_,-uc~ion Encineerinc. A separate ii
on z~- Schedule "A" detail sheet will define the portion of the
con=racz amount applicable toeton- ~ Federal .na~iciDa=ing. fiscal
share and t~ corresponding Department PIN ~. The estimated cos'
of cons~_-uc=icn engineering fo-_ =he conzracu will be assicned_
each fiscal _h___:, =-= on =- .D~o- -_-~=t=- basis and shown on a SOD=--. -_at~-
line(s) of Schedule "A". Const_--ucuion engineering includes all
e__=.=__ cos=s of inspection, cua!ity assurance, la~ora=orv
testing, etc. performed by Sponsor employees and/or b~ con~u!tan
Each component must be sho~. separaue!y on the suDDornin¢.. _ ='et~
sheet for Schedule "A". These cos:s, combined with the cos~ o~
30
· services orovided by the Department, canno~ exceed 14% cf tke f~
adjusted construction contract amount. The supporti~
..documentation for consultant agreements outline in the second
paragrap~ of Section 2 above, also applies to construction
engineer~ng-
Proaress Bi!lints. A~ter approval of a Schedule "A" by the
bepartment for any phase of work, the Sponsor may submit progres
billings to the Depar=men~ for the Federal share and the app!ica
State share of approved costs to be supported as follows:
a) Conuracts/ConSu!~ant Aareements - Separate invoices or
billings are required for each contracu, each consu!~a
agreement, and roi work,performed by Sponsor employees
Billings for payments made on contracts or consuiuant
agreements will be made on the Department's Form-FIN 4
as it may be amended, and supported by a copy of the
aoDlicable payment estimate(s) for contracts or
c~sultant agreements.
b) Work by SpOnsor Employees - Billings for Sponsor
employees will be on the Department's Form AP-3,
supported by an =_ngineer's ~ayro!l Abstrac~ for ~he
period(s) covered by the billing, couies of payroll
timesheets for the applicable bil!in~ period and copie
of paid invoices or supporting documents for all non-
per'cna! service cost item in excess of $250. Only t!
~irecU Projec~ costs as defined in applicable Federal
regu!a~ions and incurred subsequent to the date of
Federal Highway Administration authorization can be
included in billings. The supporting documents for
persona! service and non-personal service costs are t:
~nc!ude the following:
(1) parsec!! Timesheets - The signature of the employ
~Dd approval of the employee's supervisor is
required on each timesheet. These signatures at
to the employee's assignment and hours worked on
Projects indicated, and demonstrate =ha~ periods
leave
oaid leave =-e char=es to appropriate
~auegories or accoun:s. ~m~!oyee t~me for sick
leave, holidays, vacation o~ other paid leave ca
be charged directly to Projects on timeshee~s si
such costs mus~ be allocated to Projects by usin
approved percentage additive rate applied to dir
Davro!! costs. Timesheets must correspond with
~u~!icab!e payroll records and amount paid for e
e~!oyee based on a comprehensive payroll/labor
distribution system.
(2) Encineer'~ ~avro!! ~s=rac= o Leave and ~ringe
bena~i~ additives are =o be calculated and char~
to Projecus at percennage rates.ureviousiv -U7-"
by the Doper:men: for provisiona!.bi!!ing.purpo~-
subject to final audit.
c)
(3)
Non-personal Service Costs - Copies of invoices c
documentation showing amounts and no~auions as ma
be reef/ired to clearly identify the pu-~-pose of ea
item. Copies of employee rei~oursement vouchers
travel or similar costs are not required with
progress billings but must be retained by the
Sponsor for subsequent audit.
The Department will reimburse only the Fed~ra~-share c
Sponsor personal service, fringe benefits, non-persona
servlce an~ related costs incurred in connec~ion with
TEP Project. Therefore, on A.D-3S used to support
preliminary engineering or construction engineering or
o~her approved work by Sponsor employees, the personal
sea-vice, non-personal service and fringe benefit costs
identified on lines 1-3 of the Work Performed Section
the A~-3 ~nd the supporting documentation should be fc
100% of the share of the participating costs app!icab!
to the Federal Project. However, the amount shown on
line 3 of the A~-3 must be for ~he Federal share only.
with a notation after tha~ amount "$ x__%". Li
6 a~d 7 for such billings should show only the comput~
~ Line 7 is ~he amoun~ that is claimed ~
reimbursement from NYSDOT.
Pro4ect Detail Led=ers. For audit purposes, a Project. Dote
Ledger is required as the ~ accounting record of th~
Sponsor to record and accumulate all cost transactions
applicable to the T~-P Project. ~tl! costs recorded on the
Project Detail Ledger should be for 100% of such cos:s,
without reduction for the'non-Federal share. Reduction =o
Federal share is done only on billing documents submitted ~
the Department claiming reimbursement for the Federal shar~
and for any applicable State share.
Every tr&nsactio~ listed on the Project De~ai! Ledger will
recorded in the same level of detail as ~he totals'from ea
suDDor=inc source document (no summarization of source
document amounts). Ail transactions listed on the de=ail
ledger will identify the source document for the =ransac=i
by referencing conurac:/es:imate numbers, social security
numbers (for =imeshee=s and employee reimbursemen=s), vend~
or payee numbers for vouchers, euc. The applicable accoun
system record date will also be included for each ~r~nsac=
_~.e. .DAY. neriod. =toes'- for timesheets, or voucher approve
da~e paid for pa?~ents to the consultant, employee
reimbursements, etc. ,
32 ~
The ledgers for the TEP Project will ~ ~ ,~= ~ota!s f-r -ii
~ransac=ions recorded during (!) each accounuing month, (2)
the fiscal year of the Sponsor and (3) for the Projec~ life
date.
source DocumentS~ The Sponsor will retain an official ccpy
consultant estimates, payroll timesheets, employee travel
claims and all other original source documents ~or
transactions listed on the Project Detail Ledger. These wi!
be systematically filed in an order that will facilitaue
retrieval. Ail expenditure vouchers or o~her cost documents
must also be traceable through the Sponsor's disbursemen=
:rocesS ~o copies of warrants or checks issued and to
~orresponding documentation maintained in the official
accoun~in9 r=cordS of ~he Sponsor's cenurul financ=
copies of all accounting source documents supporting
. claims on the. Project must be
ex~_'endi~ures and relmbur~ement -:od of ten years after the
re=ained by =he Sponsor zor a per~ Federal-aid TEP
date =he ~inal reimbursemen= claim ~or ~he
contrac= is paid =o =he Sta=e by Federal Highway
Administranion-
Audi= Disa!!owances~ Cos=s claimed or previously reimbursed
=ha~ canno~ be suppor=ed as ou~!ine herein, are subjec= to
audit disallowance by =he Depar=men=, the State comptroller,
Federal Highway Administration, and/or ~he U.S. Department ¢
Transportation, Officer of ~he Inspector General. Amounts
paid =o the Sponsor by =he Department the= are subse.cuen~!y
~isallowed by the Federal Governmen~ are subjec~ to recove~
by the Depar=ment from the Sponsor, or a[ =he option of
S~ate, will be offset or reduced against currant or future
reimbursement claims on the same or c~her Projects.
33~.~ 19:~Sl APPENDIX A
STANDARD CLAUSES FOR ALL NEW YORK STATE CONTRACTS
~'he !~artie$ to the attached contract, license, lease, amendment or other agreement of any k~nO
(hereinafter, "the contract" or "this contract") agree to be bound Dy the Iollowing clauses wn~cn are r~ereoy
ma:3e s Dart of the contract (the word "Contractor" herein refers to any party other than the State, wnetner
a contractor, licensor, licensee, lessor, lessee or any other t3arty):
1. E3(ECUTORY CLAUSE. In accordance with Section 41 of the State Finance Law. the State shall have
no liability uncler this contract to the Contractor or to anyone else beyond luncls apl~robriated and available
for this contract.
2. NON.ASSIGNMENT CLAUSE. tn accordance with Section 138 ol the State Finance Law. this
contract may not De assigned by the Contractor or its right, title or interest therein assigned, Iransierred,
conveyed, sur.,iet or ot,~s,-wise ~,;~-p--.$---'- c.: wJt,'~cut tr.c pre,.'icus ocr. sent, in writing, cf the St---ts an..d =ny
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 Stata's prior written consent unless this contra,ct
concerns Certilicates of Particil3ation bursuant to A~ticle S-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 c! New York, Section 355 or Section $218 of
the Education Law), il this contract exceeds ~5,000 (~.0,000 for certain SJJ. N.¥. and CJJ. N.Y. contracts), or
if this is an amendment tot any amount to a contract which, as so amended, exceeds said statutory amount,
or ti. by this contract, the State agrees to give something other than money, it shall not be valid, effective
or binding -goo the State until it has been approved by the State Comptroller and filed in his office.
4. WORKERS' COMPENSATION BEN/~-i [-'. In acco~ance with Section 142 of the State Finance Law.
this contract shall be void and of no toroe and effect unless the Contractor shall provide and maintain
coverage during the file of this contract for the laenefit of such eml31oyees as are recluired to be covered
by the provisions of the Workers' Compensation Law.
5. NON-DISCRIMINATION REQUIREMENTS. In accordance with Article 15 of the Executive Law (also
known as the Human Rights Law) and all other State and Federal satutory and constitutional non-
d['scrimination provisions, the Contractor will ncr discriminate against any emDlnyee or abDlicant for eml31oy-
merit because of race. creed, color, sex, national origin, age, disability or marital status. Furthermore. in
:~cccrdance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or
recair ct any public duilding or bublic work o:' for the manufacture, sale or distribution bt materials, ecluiD-
merit or sudplies, and to the extent that this contract shall De Dertormed withi, 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: fa) ciiscriminate in hiring against any New York State citizen who is Qualitie~ and
available to perform the work; or (b) ctiscrfminate against or intimidate any emDIoyee hirecl for the perfor-
mance of work under this contract. If this is a building service contract as clefined in Section 230 of the
Labor Law, then. in accordance with Section 239 thereof, Contractor agrees treat neither it nor its subcon-
tractors shall, by reasc, n of race. creed, color, national origin, age, sex or disability: fa) discriminate in
hiring against any New York State citizen who is ~3ualified and available to perform the worlc; or (13)
discriminate against or intimidate any employee hired for the !:)ertormance of work under1 this contract.
Contractor is subject to lines of ~s0.n0 Der Deraon per clay lot any violation of Section 220-e or Section
239 as well as possible termination of this contract and forfeiture of ali moneys due hereunder for a
second or suPsec~uent violation.
5, WAGE AND HOURS PROVISIONS. If this is a public work contract covered hy Article 8 of the Labor
Law or s ~uilcling service contract cove,'ed by Article ~ thereof, neither Contractor's emDioyees nor the
emDloyees bt its subcontractors may t~e recuired or permitted to work more than the number bt hours or
clays state{3 in said statues, ex=edt as otherwise provided in the Labor Law and as set forth in prevailing
wage ant suoblement schedules issued dy the State Labor Department. Furthermore. Contractor and its
succontractcrs must 0a.v :~t least the prevailing wage rate and pay or grovicie the prevailing subdtements,
including me premium rates lot overtime [Day. as Determined by the State Labor Department in acoorclance
with the LaDer Law.
7. NON.COLLUSIVE BIDDING REOUIREI~,ENT. In acco~ance with Section 139-d bi the State Finance
Law. If :his contract wa.s awaroed based uloon the submission.of bids. Contractor warrants, unaer benalty
of oerjury, that its bid was atriveCi at inctebencently and without collusion aimed at restricting comDetition.
Contractor fur~er warrants that at the time Contractor suOmitted its Did. an authorized and resoonsible
person executed and Deliv.-red to the State a non-collusive bidding certilication on Contractor's behalf.
ACmmistrat~on ACt Ol 1979 (50 USC A~, Sections
ruination or disposition oi appeal (2 NYC~R 105.4}
f its common law. e~uitaDle ant statutory rionts of
o ~.OFF RIGHTS. T~e State snail ~a~ al~ ~ ,A t~C State'S OptiOn tO wttnnoto ~or t~e ~urDoses
s~t-ofL ~e~e Hgnts snail ~ncluOe. ~ut not De m~m~e~ .- to any amounts ~ue an~ owm~ to the
State wit~ re~ard to t~is contract, any ot~e~ contract wlt~ any State ~e0a~men~ or agency, mctuCmg any
t~e State lot ~ny otne~ mason intruding, without timitation, tax ~elin~uencies. tee Oel~n~uenc~es or monetary
penalties reta;~ t~ereta- T~e State snail ~ercise its set~l~ rights in accordance with normal S=~te Dra~-
tice~ in=lu~in~, i~ cases of set.oil pursuant to afl audit, the linal~ation ct suc~ audit ~Y the State agency,
its re=tesenmt~ve~, or t~e State Comptroller.
~0. REcORD~ T~e Contra=tot s~all estaDiis~ ~d maintain complete an~ accurate DOOES, reco~s.
~o=ume~ts. ~c=ountS an~ other c-~,~Oence ~irectty pe~inen~ to perchance un0er tins contac: ~nereinat;er.
c~tlecfiveiy '*t~e Recor~S"~. T~e Records must De Kept for t~e =atance of t~e calendar year in w~ic~ they
were mace an~ tot si~ (6} a~itional yearn tnereattec The State ComDtroller. the Attorney General an~ any
ot~er p~-son or entity aut~or[zed to conduct an examination, as ~11 ~s :~e agency or agencies invotve~
in t~is contract, s~all ~a~'~ access to t~e Records ~uring no.al Dusi~ss ~oum at an otfice ol t~e Con-
tractor wi~am t~e State of New York or. if no suc~ Office is available. ~t a mutually a~ree~Dle an~ reas~n~!e
venue wit~i~ t~e St~[~ for t~e te~ sDecifie~ ~D~ tot t~e =~rposes o~ inspection, auditing a~ coDy~n~-
The S[~e s~all take ra~so~,a~le ste=s ~o p~tect trom puDiic discto~re any of ~e Rec~rOs w~lc~ are
exempt from disclosure under Section E7 of the PuD c Oil ce~ ~w (t~e S,atu[.
Co~:ractor s~all timaly intorm ~n aDDropri3te State official in ~itin~, t~t ~i~ records s~oul~ not ~e
0isciose~: ~n~ (il) said taco:cs s~all De ~l[icie~tly i~enti[~e~: ~ (ii~ Ges[g~tto~ o~ ~ai3 retorts ~s
exempt unaer the S:~tute is re=sonaDle- Nolh~n~ con[ained ~erei:~ s~all 0iminis~, ct in any way aoversety
~e=t, ~e S;ate=s ri~t to discave~ in ~ny pen~in~ or ~uture titivation.
11. IDENTI~ING INFORMATION AND PRIVACY NOTIFICATION:
(a) FEDERAL EMP~YER iDENTIFICaTiON NUt,~EER end,or FEDERAL SOC~/~[ SiC[tR~TY
NUMBER.
Al: invo~Zes or New Yor~: State stanaar0 vouc~er~ suDmitted to: ~ayment for t~e sate of ~oods or
~'ee's i~entific3[mn numOer. ~. t~e salt-r s or Isssor's [dentilicaiton nu~Def. The numar is either
(b) PRIVACY NOTIFICATION.
ova persona intormatton from a seller of g.~ocs or services
.... ' and Fin/n-'-~. The ~ntormat~on will De u'seC tot tax
tot ct S[st~. Accounts, Office o! the S:~,Ie Com=trolle' A-'SOB, Albany. New York '[?.2.'~..
12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MIt;ORITIES ANC WOMEN: tn acc~.*cancs
lid) at the re~duest of tl~e contracting agency, the Contractor sllall reauest each emldloyment agency,,
o~ldo~lunities wi=hour discrimination 13e"~use of race. ¢ree¢l. color, na[tiona~ origin, se~, age, di=.aldility
Contractor will include the ~rovisions of "a", "b" and "c'*, above, in evar¥ subcontract over S25.000.00 lor
the construction, demolition, replacement, major reldair, renovation, 131arming or design of real
an'" imldrovaments t~ereon (the ' Work ') except where the WO~ is tot tl~e b~e. neficial use oi the Contrac;~r.
ou1-.icle New York State; or (iii) Danking service[ insurano.' Dolicie$ or the sale of securities. The State sn--.ll.
13. CONFLICTING TERMS. 'in tl~e event of a conflict tdetween t~e terms of tl~e contract (including any
1.~. GOVERNING LAW. This contract sl~al] De governed by tide laws of the State of New York exceDt
where the ;eceral suDremacy clause tecuires otherwise,
15. LATE PAYMENT. Timeliness of ~dayment and any interest to be ~dai¢l to Contractor for late Dayment
s~dall De governed ".v Article XI-A of tt~e State Finance Law to the extent reduirea ~y law.
15. NO ARBLTRATION. Disputes involving t~is contract, including the breach or allege~ '~reacn II, creel,
may no; De su'~mJ.'.tecl to O=nO~ng ar~itra;~on le~CeOt where Statutorily authorized) Out most, instead. De near~
17. SERVICE OF PROCESS. In adclit,on to I~e melnods of service allowed by the $:a;e Civil Practice
I.aw & F[ul.~$ ("C[=LR"). Cc~ltractor nereO¥ consents to sa~v~ce el Drooess uoon it De reg~sterecl or certilied
August lg~9
.,FILE." Seaview Trails ~
Town Committees-Transportation