municipal state agreements for control of snow and ice ... · 1.1 highway law, section 12,...

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MUNICIPAL-STATE AGREEMENT FOR CONTROL OF SNOW AND ICE ON STATE HIGHWAYS:

TERMS,REIMBURSEMENT PROCEDEURES AND

DOCUMENTATION

Pursuant to:

Highway Law, Section 12, Subsection 2

March 2019

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PREFACE This manual updates the December, 1999 “terms” governing the Municipal-State snow and ice control agreements under State Highway Law, Section 12, entitled Municipal-State Agreements for Control of Snow and Ice on State Highways: Terms, Reimbursement Procedures and Documentation - commonly referred to as the "Green Book."

Since the issuance of the December 1999 manual, there has been a title restructure for the Regional Maintenance Manager (RME). Many of the regions have restructured the RME title to Regional Director of Operations or RDO. For purposes in this manual, Regional Maintenance Manager will be used for both Regional Maintenance Manager and Regional Director of Operations. Additionally, office restructuring has resulted in renaming of the Transportation Maintenance Division (TMD) to Office of Transportation Maintenance (OTM). Some forms or portions of this manual may still refence TMD.

In cooperation with the Office of the State Comptroller, and in accordance with State Highway Law, snow and ice control agreements executed going forward have been modified to reflect an initial term of five years, with up to three consecutive five-year renewals, for a maximum contract life of twenty years. Adjustments to the agreements’ estimated expenditures may be processed annually through an amendment.

We intend to keep this document current. Therefore, your comments and suggestions on all aspects of the document are welcome. Please send any comments or suggestions to:

Snow and Ice Control Program Engineer

New York State Department of Transportation Office of Transportation Maintenance

50 Wolf Road, POD 5-4 Albany, New York 12232

518-457-6916 Robert Fitch, P.E. Director Office of Transportation Maintenance

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MUNICIPAL – STATE AGREEMENTS FOR CONTROL OF SNOW AND ICE ON STATE HIGHWAYS:

TERMS, REIMBUSEMENT PROCEDURES AND DOCUMENTATION

TABLE OF CONTENTS

1.0 GENERAL TERMS

1.1 Highway Law, Section 12, Subsection 2, Control of Snow and Ice

1.2 Intent of Municipal Snow and Ice Control Agreements

1.3 Responsibility for Performance; Executory Provision

1.4 Safety of the Highway and Traveling Public

1.5 Correspondence with the NYS Department of Transportation

1.6 Designated Representatives of the Resident Engineer

1.7 Failure to Perform Snow and Ice Control Adequately – Cancellation of Agreements and Other Penalties

1.8 Defense and Indemnification

1.9 Procedure for Securing Claim Defense from the Attorney General

1.A Insurance – Automobile Liability and Workers’ Compensation

1.B Maintenance and Retention of Records

1.C Audits

1.D Cost–Effectiveness / Reasonable Studies and Adjustments

1.E Source of Materials

2.0 SCOPE OF WORK

2.1 General

2.2 Operational Plan and Associated Map

2.3 Work Outside the Municipality

2.4 Supervisory Patrolling

2.5 Radio Watch / Dispatch – General Communications

2.6 Preparedness for Snow & Ice Control

2.7 Multi-Jurisdictional Beats (Routes)

2.8 Treatment of Slippery Spots, including “Black Ice”, Bridges

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2.9 Snow and Ice Event

2.A Special Requests for Reports

3.0 TIME AND MATERIALS (CONVENTIONAL) AGREEMENTS

3.1 General

3.2 Reimbursement Provisions

3.21 Calculation of Annual Estimated Expenditure

3.22 Standard and Alternative Proportional Reimbursements

3.23 Eligible labor, Equipment, Materials and Other Costs (also applicable to Fixed and Indexed Lump Sum Agreements)

3.231 General

3.232 Supervision and Labor, including Administrative Overhead and Fringe Benefits

3.233 Equipment, including Snow Fence and Weather Systems

3.234 Materials

3.235 Storing and Covering Salt and Salt/Abrasives Mixtures

3.236 Reimbursements for Meals

3.237 Reimbursement for State “Single Audit”

3.24 Adjustment of Estimated Expenditure

3.25 Monthly Progress Report Transmittals

3.26 Interim Payment

3.27 Maximum and Minimum Annual Payments

3.28 Final Payment; Overrun Justification

3.29 Overpayment

3.3 Unsatisfactory Work Performance – State Response

3.4 Extension of Agreement; Change of Agreement Type; Withdrawal from Agreement

3.5 Extra Work

4.0 INDEXED LUMP SUM AGREEMENTS

4.1 General

4.2 Calculation of Initial Estimated Expenditure and Percentage Distribution of Costs for Labor, Equipment and Materials

4.3 Adjustment of Estimated Expenditure; Periodic Cost-Effectiveness or Reasonable Evaluations

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4.4 Interim Payment

4.5 Total Annual Payment; Winter Severity Index; Payment Limits; Unsatisfactory Work Performance – State Response

4.6 Final Payment

4.7 Overpayment


4.9 Extra Work

5.0 FIXED LUMP SUM AGREEMENTS

5.1 General

5.2 Calculation of Annual Lump Sum Payment and Distribution of Costs for Labor, Equipment and Materials

5.3 Adjustment of Annual Lump Sum Payment; Periodic Cost-Effectiveness or Reasonableness Evaluations

5.4 Interim Payment Arrangements

5.5 Total Annual Payment; Payment Limits; Unsatisfactory Work Performance – State Response

5.6 Overpayment


5.8 Extra Work

6.0 FORMS AND INSTRUCTIONS FOR COMPLETION

6.05 Claims of Subcontractors

6.1 Form SI-3, Equipment List and Rental Rates

6.2 Form SI-7, Snow & Ice Equipment Operator’s Report

6.3 Form SIR-11, Statement of Monthly Expenditures: Personal Service and/or Equipment Rental

6.31 When SIR-11 is Used to Claim Reimbursement for Personal Service

6.32 When SIR-11 is Used to Claim Reimbursement for Equipment

6.33 Rental of Privately-Owned Equipment

6.34 Insurance

6.4 Form SIR-12, Statement of Monthly Expenditures: Materials and Miscellaneous Charges

6.5 Form SIR-14, Stockpiling Costs for Mixed and Unmixed Materials

6.6 Form SIR-15, Snow and Ice Voucher

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6.61 When used as a Detailed Monthly Progress Report

6.62 When used as a Request for Interim Payment

6.63 When used as a Final Payment Voucher

6.64 Distribution of Expenses

6.7 Computation of Employee Fringe Benefit and Leave Rate Additive

6.8 Computer – Generated Forms

6.A Weather Information Systems Reimbursement Calculations

6.B Cost Analysis – Mixing, Stockpiling and Loading Salt and Abrasives

6.C Cost Analysis – Salt Abrasives Storage Structure

APPENDICES

1 Highway Law, Section 12, Subsections 2 and 3, Snow and Ice Control

2 Forms and Documentation

3 Municipal Snow & Ice Agreement (Initial) Municipal Snow & Ice Agreement (Extention)

4 Lump Sum Agreement Calculations, Examples:

A. Inflationary Adjustment: Indexed and Fixed Lump Sum Agreements

B. Winter Severity Adjustment: Indexed Lump Sum Agreement

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1.0 GENERAL TERMS 1.1 Highway Law, Section 12, Subsection 2, Control of Snow and Ice on State

Highways The portions of Section 12 of the New York State Highway Law that pertain to municipal snow and ice agreements appear in Appendix 1.

1.2 Intent of Municipal Snow and Ice Agreements

All work under the agreement will conform to the following criteria: 1) Compensation will be made through a Municipal Snow and Ice Agreement in

one of the following arrangements: a) Conventional/Time and Materials (labor, equipment and materials basis) b) Fixed Lump Sum c) Indexed Lump

2) All compensable work is to be performed timely, efficiently and in a cost-effective manner.

3) The level of service provided will be in accordance with the NYSDOT Highway Maintenance Guidelines, Chapter 5 and other official policies of the New York State Department of Transportation that relate to snow and ice control.

4) An approved Operational Plan is required. An example Operational Plan Outline can be found in the NYSDOT Highway Maintenance Guidelines, Chapter 5, Appendix A.

1.3 Responsibility for Performance; Executory Provision

All work under the agreement shall at all times be under the direction of the Commissioner of Transportation, hereinafter known as the Commissioner, and interpretations and decisions of the Commissioner shall be final and conclusive. The work shall be performed under the supervision of the Resident Engineer acting for the Regional Maintenance Manager and under the general direction of the Regional Director in whose region the municipality is located. The municipality, through the superintendent of highways or person of comparable title, who shall have authority to act for the municipality, shall give constant attention to the work while it is in progress. The municipality shall, at all times, employ labor and equipment which, in the opinion of the Regional Maintenance Manager, shall be sufficient and capable of prosecuting the required work to full completion in the manner specified. The municipality shall obtain any licenses or permits required by Federal, State or local authorities in connection with the work to be performed under the agreement. In the event a municipality’s vehicle used for this work has lost the vehicle’s identification plate that lists the GVWR, the municipality may either reach back out to the manufacturer to get a new plate, or

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bring the vehicle to an appropriate vendor to confirm the ratings, and have a new plate issued. This agreement shall be deemed executory only to the extent of the monies available and no liability shall be incurred by the State beyond the monies available for this purpose. See Agreement, Appendix 3, 4 or 5.

1.4 Safety of the Highway and Traveling Public

The municipality shall conduct the work at all times with maximum consideration being given to the movement of traffic and the safety of the traveling public. The type and condition of any equipment used in any part of the work shall be such that no injury to the highway or its appurtenances or to traffic shall result from its use and shall be satisfactory to the Regional Maintenance Manager.

1.5 Correspondence with the New York State Department of Transportation 1.51 Routine Correspondence

All routine communications shall be between the Resident Engineer and the Municipal Superintendent of Highways, with a copy to the Regional Maintenance Manager. This includes the payment process, everything relating to operational plans, extra work, complaints, inquiries, agreements, extensions and other subjects of a routine nature.

1.52 Contractual Correspondence 1.521 Correspondence Initiated by the Municipality

All communications relating to general terms of this agreement, to the NYSDOT Highway Maintenance Guidelines and to other snow and ice policy and contractual disputes shall be directed to the Regional Maintenance Manager, with a copy to the Resident Engineer. 1.522 Correspondence Initiated by the Office of Transportation Maintenance of

the New York State Department of Transportation All changes relating to the general terms of municipal snow and ice agreements, to the NYSDOT Highway Maintenance Guidelines and to other snow and ice policy will be sent from the Director of the Office of Transportation Maintenance in Albany to the municipal contractors, their subcontractors, Regional Directors, Regional Maintenance Managers and Resident Engineers.

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1.53 Audit-Related Correspondence

1.531 Correspondence Initiated by the Municipality

This is generally associated with a specific audit that is ongoing or recently completed. Correspondence shall be directed to:

Director, Contract Audit Bureau

New York State Department of Transportation 50 Wolf Road, 6th Floor Albany, NY 12232 with copies to the Resident Engineer and the Regional Maintenance Manager.

1.532 Correspondence Originating with NYSDOT

This shall be directed to the municipal contractor with copies to the Resident Engineer, the Regional Maintenance Manager and the Director of the Office of Transportation Maintenance.

1.533 Correspondence Relating to the Audit Appeal Process

This shall be as directed by the Contract Audit Bureau. Copies of correspondence shall be sent to the Resident Engineer, the Regional Maintenance Manager and the Director of the Office of Transportation Maintenance.

1.6 Designated Representatives of the Resident Engineer

The designated representative(s) of the Resident Engineer shall generally be the Assistant Resident Engineer(s), however, other Department personnel may serve this function. These representatives shall be designated in the operational plan (see Section 2.21).

1.7 Failure to Perform Snow and Ice Control Adequately – Cancellation of Agreements

and Other Penalties

All municipal snow and ice control agreements contain a standard provision authorizing cancellation of the agreement in the event that the State determines that the municipality’s work is inadequate or unsatisfactory. For a restatement of this standard provision, see Section 3.3, Unsatisfactory Work Performance – State Response.

Alternatively, the State may deduct an amount from the annual estimated expenditure** for unsatisfactory work by the municipality. Such amount will be to reimburse the State for its direct labor, equipment or materials expenditures to

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remedy documented instances of the municipality’s failure to perform snow and ice control in accordance with State Highway Maintenance Guidelines, or Operational Plan or map showing the municipality’s snow and ice control route responsibilities. See Section 3.3. ** Note: “Estimated Expenditures” are discussed under each agreement type. See Sections 3.0, 4.0 and 5.0. Overrun justification is discussed in Time and Material Agreements, Section 3.28.

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1.8 Defense and Indemnification The State will provide defense against claims relating to the adequacy of snow and

ice control measures that are provided by municipal contractors on State highways. In addition, the State will indemnify and hold harmless such municipalities for any and all liability for damages resulting from claims dealing with adequacy of snow and ice control measures.

However, in no event will the State be obligated to defend or indemnify a municipality in any action, proceeding, claim or demand arising out of the actual operation of a vehicle while engaged in the operation of snow and ice control functions under an agreement with the municipality. The appropriate section of the Highway Law which provides for such relief to the municipality is attached, in Appendix 1.

1.9 Procedure for Securing Claim Defense from the Attorney General of the State of

New York

The State’s obligation to defend and hold harmless the municipality is conditioned upon the giving of prompt notice, within ten business days, at most, of any claim, summons, complaint, process, notice, demand or other pleading with which such municipality is served, and the full cooperation of the municipality in the defense of such action. The notice provision may be met by sending a copy of any written or other demand received by the municipality, within ten business days, to:

(1) Assistant Attorney General In-Charge, Claims Bureau

NYS Department of Law Justice Building Empire State Plaza Albany, NY 12224

(2) Assistant Commissioner for Legal Affairs

Chief Counsel NYS Department of Transportation 50 Wolf Road, 6th Floor Albany, NY 12232

The determination to defend and/or indemnify will be made by the Attorney General. Late giving of notice will be sufficient grounds for rejecting the State’s obligation to defend and/or indemnify.

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1.A Insurance – Automobile Liability and Worker’s Compensation

1.A1 The municipality shall obtain automobile liability insurance as follows:

Coverage on the highway equipment owned by the municipality and to be used for the purposes hereinbefore mentioned and at least with the following limits: bodily injury liability of $100,000 for each person and $300,000 for each accident, and property damage liability of $50,000 for each accident. Each policy of such automobile liability insurance shall contain, by endorsement, the following provisions: It is agreed that with respect to operations involving the control of snow and ice on State highways under Subdivision 2 of Section 12 of the Highway Law, the policy and any endorsement attached thereto are amended as follows: The word “automobile” as defined includes self-propelled land vehicles, trailers or semi-trailers. Such insurance as is afforded by the policy for bodily injury liability and for property damage liability also applies to the State of New York and the Commissioner of Transportation of the State of New York, as insured, with respect to the use, by or for the named insured on behalf of the State or Commissioner, of automobiles covered by the policy. No liability is assumed by the State or Commissioner for the payment of any premiums stated in the policy or earned thereunder. In the event of change or cancellations of the policy, ten days’ written notice will be given by the company and/or municipality to the Resident Engineer of the State of New York. The inclusion of such insured shall not affect any recovery to which such insured would be entitled under the policy were they not so included.

1.A2 The municipality shall make such policies available for inspection during regular business hours as and when the Resident Engineer shall require.

1.A3 The municipality shall be responsible to procure the renewal of any such policy that shall expire during any season covered by this agreement, of which these terms form a part.

1.A4 The municipality agrees that reimbursement for the premiums of such policies is included in the approved hourly rental rates covering equipment owned by a municipality, as per the schedule of such rates, as established by the Commissioner.

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1.A5 The municipality shall furnish to the Resident Engineer a certificate or certificates of insurance showing that the workers are protected by Worker’s Compensation Insurance. Reimbursement will be made to the municipality for the cost of such compensation coverage in connection with work under the agreement, of which these terms are a part, at the proper payroll rates which apply to the compensation classification involved. 1.A6 Reimbursement shall be made to the municipality for any premiums paid for any other coverage required by the Commissioner.

1.A7 The municipality shall require of any municipal subcontractor a certificate or certificates of insurance, showing that coverage on the highway equipment owned by the municipal subcontractor and to be used for the purposes hereinbefore mentioned is at least within the limits previously defined.

1.B Maintenance and Retention of Records All records and supporting documentation that relate to items of reimbursement

claimed under the Municipal Snow and Ice Agreement, including the Operational Plan and associated map (see Section 2.2) shall be retained for a minimum of the balance of the calendar year in which they were made and for six additional years thereafter, as per the agreement, Appendix A, item 10, Records. See Section 6.0, Forms, for a discussion of claims documentation.

1.C Audits

The State Single Audit Program (State Transportation Law, Section 21) contains the following audit requirement: Municipalities that are required by Federal law to have a Federal “Single Audit” performed and spend in excess of $100,000 per year of State funds provided through programs, projects, grants, contracts or agreements administered by NYSDOT must prepare a “Schedule of Transportation Assistance Expended” and have that schedule audited in conjunction with the Federal Single Audit. The State Single Audit must conform with the NYS Code of Rules and Regulations, Part 43. The Department retains the right to conduct audits of municipal snow and ice agreements, in addition to those required under the State Single Audit, when deemed necessary by the Commissioner. Exceptions identified during the audit process will be recovered from the next scheduled payment(s). Spreading the recovery of audit exceptions over a longer recovery period may be requested by the municipality. All NYSDOT audits include provisions for an audit appeals process. Audit staff will explain the appeals process at the conclusion of each audit.

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1.D Cost-Effectiveness/Reasonableness Studies and Adjustments

This section only applies to Indexed and Fixed Lump Sum Agreements. See discussion under Indexed Lump Sum Agreements, Section 4.32.

1.E Source of Materials

It is the policy of the State and the Department of Transportation to conserve and protect State resources through efficient and prudent use of State funds. It is further the policy of the State and the Department that, to the extent possible, New York State contractors, subcontractors and suppliers participate in and bid on contracts financed through State funds. To this end, consideration should be given to encouraging bids and procurement of supplies originating in, manufactured or fabricated in this State, to the extent possible, consistent with obtaining of quality supplies at the lowest possible cost to the State. All snow and ice control materials applied onto state highways must be approved by the Department and must conform to the NYSOGS/NYCDEP chemical constituent standards. NYSDOT does not use any hydro-fracking liquids, waste, or by-products and does not permit those materials to be used by municipal snow and ice contractors on state highways.

2.0 SCOPE OF WORK 2.1 General Municipal – State Snow and Ice Control agreements shall include all activities

necessary to control snow and ice, together with the necessary labor, equipment and materials. These activities shall be defined in the Operational Plan described below.

Activities within the agreements are grouped into two categories: (1) Standard

Activities, routinely performed under all municipal agreements and (2) Special Activities, which may or may not be included in a given agreement. In addition, there is a third category of activities, called “Extra Work”, as noted in the final paragraph of this section.

Standard Activities include:

1. Supervision; 2. Supervisory Patrolling;

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3. Radio Watch/Dispatch-General Communications (when approved by the Regional Maintenance Manager);

4. Preparedness for snow and ice control, including snow and ice markers; 5. Plowing snow from the traveled way and/or application of anti-icing/de-icing

materials; 6. Plowing of shoulders, crossovers, turnarounds and gore areas, including

removal of snow drifts, using trucks or graders only; 7. Treatment of slippery spots, including “black ice”, bridges; 8. Removal of “hard pack”; 9. Routine “benching”, using plow trucks or graders only. Special Activities include, but are not limited to: 1. Snow Fence installation, maintenance, dismantling and storage; 2. Removal of snowdrifts that are not on travel lanes, using specialized equipment

(e.g., rotary plow) or specialized staff (e.g., maintenance and protection of traffic);

3. Improving roadside snow storage capacity, using rotary plows or other specialized equipment or staff;

4. Removal of snow and ice from around appurtenances, e.g., impact attenuators; 5. Opening of culverts and waterways; 6. Removal of snow and ice from bridges (other than travel lanes); 7. Sweeping of the traveled way to remove accumulated winter abrasives.

Special Activities often require extensive use of personnel and equipment.

Therefore, they must be carefully considered before including them in the Operational Plan. Resident Engineers may choose to give municipalities authority to perform specific Special Activities under the agreement.

On the other hand, Resident Engineers may elect to perform Special Activities with State employees, especially those which are personnel intensive. Special Activities not explicitly defined in the Operational Plan shall be considered “Extra Work”, if requested, and shall be compensated as described in Section 3.5.

2.2 Operational Plan and Associated Map 2.21 Operational Plan An Operational Plan is required. Operational plans are documents that define in

detail the methodology which the Resident Engineer and the municipal superintendent have agreed on for accomplishing snow and ice control, including specific items of work and how they are to be performed, and any circumstances that may be unique to a particular agreement. The plan will account for resources required and will define payment procedures for specific operations and/or conditions. A sample operational plan outline can be found in the NYSDOT Highway Maintenance Guidelines, Chapter 5, Appendix A.

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An updated operational plan is required by October 31 each year for each

municipal snow and ice agreement. This will be initiated by the Resident Engineer and jointly developed and signed by the Resident Engineer and the municipal superintendent. The plan must be approved by the Regional Maintenance Manager.

If anticipated operations do not change much from year to year, an operational

plan may simply reaffirm the past year’s plan, with identified exceptions. File copies of the operational plans shall be kept by the municipal superintendent, Resident Engineer and Regional Maintenance Manager as records of the agreement. The operational plan is incorporated as a part of the agreement between the municipality and the State.

2.22 Associated Map The State shall furnish the municipality with a suitable map which shall delineate

the State highways within and in the vicinity of the boundaries of the municipality and shall show distinctively the State highways or parts thereof that are to be subject to municipal snow and ice control under the agreement. For each year of the term of the agreement, or for any extended term thereof, the map shall be modified to show the changes, if any, to the State highways affected by the agreement. Any such modification to such map shall be agreed upon in writing by the Regional Maintenance Manager and the municipal superintendent. They shall sign the map to acknowledge their agreement. The approved map is incorporated as a part of the agreement between the municipality and the State.

2.3 Work Outside the Municipality The managing Resident Engineer may request the municipality to perform snow

and ice-related work on State highways that are not within the municipality. If such requested work is intended to be standard practice, then it must be referenced in the Operational Plan and Associated Map, and compensated within the annual “estimated expenditure”. If it is not work to be performed on a repetitive basis, then it will be considered as “Extra Work”. See Section 3.5.

2.4 Supervisory Patrolling Supervisory Patrolling is an activity of general, shift and crew supervisors prior to

and during snow and ice events. This involves patrolling the roads in vehicles having communication capability immediately prior to and during predicted snow and ice events for the purpose of directing the appropriate response. Planning for patrolling should be coordinated by the Resident Engineer, particularly if there are several municipal snow and ice agreements in the same general area. Supervisory Patrolling shall be addressed in the Operational Plan.

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Reimbursement for patrolling shall be on a proportionate basis and claimed on Form SIR-11. See section 3.22

2.5 Radio Watch/Dispatch – General Communications The necessity of State-reimbursed radio watch/dispatch operations by the

municipal contractor will be determined by the Regional Maintenance Manager. This work will be limited in time frame to the pay period dates closet to the dates the managing residency starts and stops snow and ice radio watch/dispatch activities. This activity shall be addressed in the operational Plan, where the reimbursement proportion shall be identified. In general, reimbursement shall be in proportion to the lane miles served. Reimbursement shall be claimed using Form SIR-11.

2.6 Preparedness for Snow and Ice Control Preparedness involves both pre-season and pre-storm activities. Maintenance

and installation of Snow and Ice culvert markers is typical pre-season activity. Pre-storm preparedness is the activity of having fully prepared snow and ice trucks in a position to begin operation on their beats before or as soon as the snow or ice event begins. This activity is appropriate in situations where a snow and ice event has a high probability of occurring. Trucks shall not arrive on their beats more than 45 minutes before the predicted event arrival time unless they are implementing an anti-icing strategy approved by the State’s managing Resident Engineer. All preparedness activities shall be addressed in the Operational Plan.

2.7 Multi-Jurisdictional Beats (Routes) Many snow and ice “beats” are comprised of both State and municipal roads. A

predetermined proportioning or allocating of time is required in these circumstances. Consideration must be given to each anticipated type of operation. The Resident Engineer and municipal superintendent shall agree on the proportions and/or allocations. The details of this arrangement shall appear in the Operational Plan.

2.8 Treatment of Slippery Spots, including “Black Ice”, Bridges Winter weather-related slippery spots (pavement icing, including “black ice”, bridge

icing, freezing melt water, etc.) that occur within the confines of the limits defined in the agreement are the responsibility of the municipal contractor.

When “black ice” or other forms of icing, blow overs, drifting or other slippery spots

have a high probability of developing, it is proper to have snow and ice trucks patrol the probable locations and treat the conditions as necessary. This can generally be accomplished with only a portion of the “normal” response fleet. This activity shall be addressed in the Operational Plan.

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2.9 Snow or Ice Event A snow or ice event is any meteorological or environmental condition that causes

snow and ice to form or be deposited on the surface of portions of the State highway system. The accumulation of water on portions of the State highway system due to drainage restrictions caused by snow and ice is also considered to be a snow or ice event. The duration of a snow or ice event is from the time personnel arrive at the work facility, or start preparing equipment if they are on normal work hours, in response to snow or ice condition or imminent prediction, until they are discharged after the end of the event.

2.A Special Requests In the event that NYSDOT requests non-routine reports and information, this shall

be considered “Extra Work” for all agreements. See Section 3.5. This will be in addition to the computed reimbursement for administrative and clerical overhead. Please note that requests for information that are associated with the audit process are considered to be routine.

3.0 TIME AND MATERIALS (CONVENTIONAL) AGREEMENTS

3.1 General

The TIME AND MATERIALS agreement is a contract option for all municipalities contracting with the State for control of snow and ice on State highways. Each original Time and Materials agreement is for a five-year term. At least one year prior to the expiration of each five-year term, the municipality must notify the Resident Engineer either (a) that it requests that the term be extended five years, or (b) that it intends not to extend the agreement.

Unless a municipality elects to enter an Indexed Lump Sum or Fixed Lump Sum agreement, all initial agreements shall be Time and Materials agreements. Because of this default policy, Time and Materials agreements are also described as "conventional" agreements.

Many of the provisions described below which govern Time and Materials agreements also apply to Indexed and Fixed Lump Sum agreements. These are as follows:

Section 3.21 Calculation of Annual Estimated Expenditure Section 3.22 Standard and Alternative Proportional

Reimbursements Section 3.23 Eligible Labor, Equipment, Materials and Other Costs Section 3.24 Adjustment of Estimated Expenditure Section 3.29 Overpayment

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Section 3.4 Extension of Agreement; Change of Agreement Type; Withdrawal from Agreement

Section 3.5 Extra Work

The Time and Materials agreement is designed to assure the municipality that all its approved expenditures for controlling snow and ice on State highways will be reimbursed by the State. Thus, there is no upper limit on the maximum amount payable under the Time and Materials agreement. The guaranteed minimum annual payment is 67 percent of the agreement's annual "estimated expenditure."

The Time and Materials agreement permits adjustments in the "estimated expenditure" for documented increases or decreases in the scope of work or changes in the costs of performing the work, i.e., labor costs; equipment costs; and materials costs.

As is the case with all municipal snow and ice agreements, the detailed description of the scope of work for the Time and Materials agreement, the agreed-upon methodology for accomplishing snow and ice control under the agreement and payment procedures for some specific operations or conditions are incorporated in an annually - updated "operational plan." See Sec. 2.21, above, for discussion of operational plans. In addition, a required map identifies the State roads covered by the agreement. For discussion of this map, see Sec. 2.22. The operational plan and the associated map are to be updated each year by October 31 in a cooperative effort of the managing Resident Engineer and the municipality. Both operational plan and map are incorporated into the agreement by reference.

3.2 Reimbursement Provisions

3.21 Calculation of Annual Estimated Expenditure

The annual "estimated expenditure" establishes the basis for determining interim payments (see Sec. 3.26, below), guaranteed minimum payments (Sec. 3.27, below) and final payments (see Sec. 3.28, below.) The "estimated expenditure" will be calculated using one of the following methods, which are in order of preference, based on availability of data:

a. The average of the past three years' billings by the municipality for snowplowing or ice control chemical/abrasive spreading on State highways and for reoccurring Special Activities, after adjustments for applicable audit exceptions or "reasonableness" study adjustments and subtracting charges for loading and hauling of snow or other extra work;

b. The average of the past two years' billings by the municipality, after adjustments for applicable audit exceptions, etc.;

c. Last year's billings, after adjustments for audit exceptions, etc.;

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d. For a new Time and Materials agreement without any history of municipal

billings for work on State highways, the initial estimated expenditure will be the number of lane miles to be maintained multiplied by the average State cost per lane mile of responsibility in the managing Residency (i.e., direct labor, equipment and materials costs for "J" miles only-mileage for snowplowing or ice control chemical/abrasives spreading) during the past three years or the average of similar municipal agreements in the same geographical area, whichever yields the lower cost.

For "first time" agreements, the managing Resident Engineer shall recommend an estimate of the total annual amount to be reimbursed to the municipality under the agreement, using method "d." above. For agreements where the municipality has a history of billing the State for snow and ice work in the previous three years, the Resident Engineer uses either method a, b, or c, as appropriate. The estimate shall be reviewed and approved by the Regional Maintenance Manager and shall be submitted to the Office of Transportation Maintenance for approval.

The Office of Transportation Maintenance will update the initial estimate annually on the anniversary date of the agreement, based on expenditures for the prior year and current information on costs submitted by the municipality (through the managing Resident Engineer) or changes in the scope of the agreement or mileage covered, as reported by the managing Resident Engineer.

The municipal contractor will have an opportunity to review the calculations before they become final. A copy of the approved "estimated expenditure" calculation shall be placed in the Operational Plan.

3.22 Standard and Alternative Proportional Reimbursements

3.221 Standard Proportional Reimbursement

Certain activities like general supervision, overtime meals for supervisors, radio watch/dispatch, preparing common stockpiles for use on both State and municipal systems, and others benefit both the State and the municipality. In those cases, the cost of the activity multiplied by the proportional reimbursement factor is the amount of reimbursement that may be claimed by the municipality. The proportional factor (PF) is calculated as follows:

Number of State Lane Miles Benefitting from the Activity PF =

Number of State Lane Miles, County Lane Miles and other Local Lane Miles Benefitting from the Activity

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3.222 Alternative Proportional Reimbursement

In general, the proportional reimbursement formula described in Sec. 3.221, above, will apply. However, there may be rare circumstances where that would not be fair to the municipality. In those circumstances, the Regional Maintenance Manager may recommend an alternative approach. This shall be preapproved by the Director of the Office of Transportation Maintenance in Albany. A copy of the alternative approach (if any) and the approval should be part of the operational plan.

3.23 Eligible Labor, Equipment, Materials and Other Costs

3.231 General

The following cost elements are eligible for inclusion in the annual "estimated expenditure" for Time and Materials agreements, and for both Indexed and Fixed Lump Sum agreements:

Supervision and Labor, including Administrative Overhead and Fringe Benefits;

Equipment, including Snow Fence and Weather Information Systems; Materials; Storing and Covering Salt and Salt/Abrasive Mixtures; Reimbursement of Meals; Reimbursement for State “Single Audit”

Each of these cost elements are discussed in detail below. Also discussed in Section 3.5, below, is the concept of "Extra Work".

3.232 Supervision and Labor, Including Administrative Overhead and Fringe Benefits

3.2321 Municipal Superintendents

Hourly reimbursement for Municipal Superintendents will be proportional and shall be calculated as follows:

X

State Lane Miles in the Municipal Snow and Ice Agreement

Total Municipal Lane Miles of Snow & Ice Responsibilities (ie. State, County and Local Lane Miles)

Municipal Superintendent's Hourly Rate of Compensation*

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* The municipal superintendent's hourly rate of compensation is: Superintendent's annual salary, divided by 2080 (40 hours per week x 52 weeks per year). Thus, this rate does not reflect employee benefits or Worker's Compensation. See Section 6.31 for calculating these claims, using Form SIR-1 or SIR-11.

All eligible activities performed by the superintendent (e.g. equipment operation; manual labor) will be reimbursed at the municipal superintendent's hourly rate of compensation multiplied by the number of hours of actual work relating to snow and ice control on State highways.

3.2322 General Supervision

Proportional compensation for general supervision that involves snow and ice operations on State highways is allowable under municipal snow and ice agreements. This is specifically targeting the general supervisors in most highway organizations (Highway Maintenance Supervisor II in NYSDOT title structure). The reimbursement equals hourly wage multiplied by the number of hours of work relating to snow and ice control on State highways.

In addition, Form SIR-1 (or SIR-11) adds a separate calculation for employee benefits and Worker's Compensation. See Section 6.31.

3.2323 Crew, Shift or Line Supervision

Reimbursement for crew, shift or line supervision that involves snow and ice operations on State highways is allowable under municipal snow and ice agreements. The reimbursement may be straight or proportional, depending on the work responsibilities of the people being supervised. If all the people supervised perform work exclusively on State highways, the reimbursement is 100% of the hourly wage (plus benefits and additives). If the people being supervised have mixed responsibility (some State highways and some municipal highways), the hourly reimbursement is: Hourly wage multiplied by the proportional reimbursement factor that is described in Section 3.22. In addition, Form SIR-1 (or SIR-11) adds a separate calculation for employee benefits and Worker's Compensation. See Section 6.31.

3.2324 Operational Personnel

This category typically includes: truck drivers, equipment operators, laborers, watchpersons, flag persons, etc. Reimbursement for these people shall be at appropriate wage rates for the actual time involved in snow and ice operations on State highways. In addition, Form SIR-1 (or SIR-11) adds a separate calculation for employee benefits and Worker's Compensation. See Section 6.31.

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3.2325 Required Minimum Hours for Callout or Holdover

Labor contracts and/or policy in many municipalities specify a payment for a minimum number of callout overtime hours, regardless of the number of hours actually worked. Also, for logistical reasons, a work force may be held beyond normal working hours in anticipation of a snow or ice event.

In both of these situations, the actual hours worked may be less than the hours required to be paid by the municipality.

a. Callout Time (Being called in to work outside of normal core hours) Reimbursement may be claimed for the entire callout period, including any "minimum" callout hours, if the following criteria are met:

i. There is a documented need for the callout. ii. The applicable union contract or written municipal policy defines the

minimum callout time. (Cite specific sections of contract or municipal policy in Operational Plan.)

b. Holdover Time (Being required to stay at work beyond normal core hours) Reimbursement may be claimed for holdover time, if the following criteria are met:

There is a documented need for the holdover. Unless specified otherwise in the applicable union contract or written

municipal policy, the maximum reimbursable holdover time in the absence of a snow and ice event (see Section 2.9) shall be three hours. (Cite specific section of contract or municipal policy, if any, in Operational Plan.)

Proportional reimbursement and applicable total reimbursement for personal service associated with the described required time is allowable under the agreement.

3.2326 Administrative and Clerical Overhead

As reimbursement for administrative and clerical overhead costs, the municipality will receive 15% of all Personal Service costs (including benefits and Worker's Compensation) that are eligible for reimbursement under this agreement, exclusive of clerical costs. The computed administrative reimbursement is intended to compensate the municipality for normal clerical costs, computer costs, telephone, office supplies, facilities costs (office), and utility costs associated with administrative and clerical work performed under this agreement. Administrative and clerical overhead is to be claimed as on Form SIR-1 (or SIR-11). See Section 6.31. These costs may not be claimed separately on a time, materials and equipment basis.

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3.2327 Benefits and Additives

Reimbursement for all benefits and leave additives paid by the municipality to all employees in the same labor class(es) is allowable under snow and ice agreements. This includes retirement benefits, leave and holiday benefits, health insurance, including health insurance for retirees, dental insurance, vision insurance, life insurance, etc. Each municipality shall include in the current operational plan information required to establish a constant percentage rate for the computation of reimbursement for the above benefits. Such percentage rate is to be applied to all of the salaries and wages for which reimbursement is provided, including all overtime and holiday pay, but excluding shift differentials. Differentials are excluded because they are 100 percent premium pay, above the straight-time rate. See ''Employee Fringe Benefits and Leave Additives - Calculation of Annual Rate" in Section 6.0, Forms. For calculation of claims, see Section 6.31 and Form SIR-11 illustration.

3.233 Equipment, Including Snow Fence and Weather Information Systems

3.2331 General

The municipality will receive reimbursement for the actual time equipment is used in connection with snow and ice control on the State highways covered by snow and ice agreements or in other locations authorized by the Resident Engineer. Actual time will include the necessary time to travel from the garage or yard facility to the work site and return.

Reimbursement shall be for the use of all trucks, plows, graders, loaders, spreaders, sweepers or other mechanical equipment furnished by the municipality, as required and approved by the Resident Engineer, for the time of their use in accordance with the Equipment Rental Rate Schedule, as established by the State. Such rates shall cover all items of initial cost of the machine and accessories, fuel and supplies, public liability insurance premiums, depreciation and obsolescence, together with the cost of all repairs, repair parts, maintenance, upkeep, storage, repair shops and shop costs, including salaries of garage and shop employees.

For reimbursement for privately-owned equipment, refer to Section 6.1 and Section 6.33.

3.2332 Snow Fence

Reimbursement for the installation, maintenance, removal and storage of municipally-owned snow fence shall be at the rate published in the appropriate Equipment Rental Rate Schedule established by the State. The use and locations of snow fence shall be defined in the Operational Plan.

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Note: Snow Fence costs are claimed as Miscellaneous Charges on Form SIR-12. See Section 6.4.

3.2333 Municipal Weather Information Systems

To support municipal contractor efforts to improve efficiency and effectiveness, the State may reimburse municipalities for a portion of their weather information system costs. See Section 6.0 for the worksheet used for reimbursement calculations. Place a copy of the completed calculations in the Operational Plan when such reimbursement is requested.

Note: Weather Information Systems are claimed as a Miscellaneous Charge on Form SIR-12. See Section 6.4.

3.234 Materials

3.2341 General

Municipal law establishes purchasing practice for the various levels of government. Materials purchased pursuant to this agreement are to be in accordance with those requirements. Reimbursement shall be made for the use of all materials necessary to perform the work covered by municipal snow and ice agreements. These materials include, but are not limited to, abrasives, sodium chloride, calcium chloride, magnesium chloride and other snow and ice control chemicals. Note: All chemicals and chemical combinations proposed for use on State highways must be approved by the managing State Resident Engineer prior to deployment or use. These materials shall be obtained through competitive bidding, multiple local price quotations, or from within municipal resources, using the reference price procedure defined below. Certain "emergency" purchasing of materials is exempted from these requirements. However, "emergency" purchases must be preapproved by the managing State Resident Engineer.

3.2342 Competitive Bidding

The Office of General Services of the State of New York offers municipalities a variety of products through statewide competitive bid contracts. Municipalities are encouraged to use appropriate OGS contracts for snow and ice materials. Municipalities may also manage their own competitive bidding for snow and ice control materials conforming to the rules and regulations of the State bidding process. The State will reimburse the lowest rate established by a competitive bidding process (including delivery costs), either the OGS rate or the municipal rate.

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3.2343 Local Price Quotations

If quantities less than $15,000.00 of materials are insufficient to warrant competitive bidding, written price quotations from at least three local vendors (the three closest to the delivery locations(s)) shall be obtained. The lowest cost option (including delivery costs) shall be selected.

3.2344 Reference Prices

Certain municipalities may wish to produce and/or haul abrasives. The following defines the establishment of reference prices (the maximum reimbursement allowed under this agreement):

a. Material Production Reference Price

This will be equal to the lowest local commercially available product price (F.O.B. Mine) from producers that have all required permits. The price may be established by using competitive bidding data as may be available in NYSDOT abrasives contracts, local competitive bidding, as described above, or local price quotations, above.

b. Hauling Reference Price

The Office of Transportation Maintenance will establish a rate each year for municipal hauling of abrasives or other snow and ice control materials for those municipalities electing to haul materials from their own production points or from commercial sources. The State will reimburse proportionate to usage at the established rate per ton mile or at actual municipal cost per ton mile, whichever is lower. Reimbursement for the cost of hauling material from central municipal mixing locations to satellite stockpiles may also be claimed.

3.2345 Handling Snow and Ice Material: Mixing, Stockpiling and Loading

The intent of municipal snow and ice agreements is to reimburse the municipality for the actual cost, or maximum allowable cost, associated with handling materials (abrasives and chemicals) used for snow and ice control.

Reimbursement for mixing, stockpiling and loading operations can be obtained using any one of the following methods:

a. Actual Hours of Operation

Under this method, the actual hours of operation associated with work for State highways is documented, using Form SI -1 or SI-7. Reimbursement will be based on the NYS DOT Equipment Rental Rate Schedule and the associated personal

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service cost. Additional required time for the operator for "callout" or "holdover" as described in Section 3.2325, above, may also be claimed, if applicable.

If an operator is assigned exclusively to a loader for the duration of a snow or ice event, proportional reimbursement or total reimbursement, if applicable, may be claimed for the loader and operator for the entire duration of the event.

b. Unit Reimbursement

Unit (per ton, cubic yard, gallon, etc.) reimbursement is acceptable for (a) loading material into trucks, (b) stockpiling (taking delivered material and placing it in a stockpile or storage facility), (c) mixing and stockpiling (taking delivered material, mixing it with another material and placing the mixture in a stockpile or storage facility and (d) covering stockpiles with waterproof covers. A cost analysis for these operations shall be developed by the Resident Engineer and the municipal superintendent. Particular equipment and materials used by the municipality, reasonable production rates (tons per hour, etc.) and local labor costs will compose the analysis. See Section 6.0, Forms. If this method of reimbursement is to be utilized, the various cost analyses shall be part of the Operational Plan.

Note: NYSDOT regions are authorized to establish unit costs for mixing, stockpiling and loading on a Residency, County or Regional basis. The components of the unit cost must be based on average or representative data. Municipalities will indicate their acceptance of such rates by the normal signing of the Operational Plan.

3.2346 Conversion of Cubic Yards to Tons

To convert cubic yards (CY) to tons, use the following formula:

The normal density (in pounds per cubic yard) for sand, salt and cinders is shown in the middle column, below. The equivalent weight in tons is shown in the right-hand column:

Material Weight per Cubic Yard (Pounds) Equivalent Weight (Tons)

Natural Sand 2,700 1.35

Salt (NaCl) 2,000 1.00

Cinders 1,800 0.90

Number of CY x Pounds per CY Tons =

2000 Pounds

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Densities other than the above must be approved by the managing Resident Engineer and defined in the operational plan.

3.235 Storing and Covering Salt and Salt/Abrasive Mixtures

3.2351 Non-Structural Coverings

Proportional or total (if applicable) reimbursement for the cost of providing and maintaining non-structural stockpile covers (reinforced plastic, canvas, neoprene, etc.) that is associated with work under this agreement may be claimed. It may take the form of documented time, materials and equipment reimbursement or unit reimbursement as described under "Unit Reimbursement", above. This item is to be claimed as a Miscellaneous Charge on Form SIR-2 or SIR 12.

3.2352 Structural Covering

Proportional life cycle costs associated with buildings and other structures that are used to protect salt and salt/abrasives mixtures from the elements may be claimed under this agreement. They are to be treated as Miscellaneous Changes on Form SIR-2 or SIR 12. The reimbursement for individual structures shall be determined from a cost analysis that will be part of the operational plan. The cost analysis may be recomputed anytime there is a significant change in operating cost, capital improvements (exclusive of ordinary maintenance) are made, or a change in the proportional utilization of the structure occurs. The elements of the cost analysis are:

a. Initial construction cost (noting the year of construction);

b. The cost of any capital improvements that have been made;

c. Financing or bonding costs associated with a. and b. above;

d. Annual operating costs (power, ordinary maintenance, etc.)

A life cycle of thirty (30) years will be used to determine the annual cost of the structure. The actual and estimated costs over the entire 30-year period associated with a. through d., above, shall be added together and divided by 30. This is the annual cost of the structure. The proportion of that cost that may be claimed for reimbursement is defined in "Proportional Reimbursement" Section 3.22, above, or may be computed as: Average number of tons of material stored in the structure that are used on State highways divided by the average number of tons of material stored in the structure that are used on State and municipal highways.

Copies of supporting documentation for elements of the cost analysis shall be part of the analysis. However, some data required for the cost analysis, above, may not be available. In those circumstances, reasonable estimates may be made jointly by

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the Resident Engineer and the municipal superintendent and so noted. In cases where there is a disagreement in the reasonableness of the estimate, the Director of Transportation Maintenance’s decision will be final.

No adjustments shall be made to the annual cost for changes in the value of money (inflation or deflation). However, a new cost analysis may be computed whenever there are substantial changes in annual operational costs or capital improvements are made. A sample form for the cost analysis is among the reimbursement forms in this text. See Section 6.0.

A copy of the cost analysis shall be included in the Operational Plan.

After the original structure reaches age 30, there will be no further reimbursement for the original cost of the structure under the agreement. However, a proportional share of capital improvements added after initial construction will be reimbursable for 30 years for each such improvement, as long as the agreement is in effect. In addition, a proportional share of annual operating expenses is also reimbursable, with no cut-off date.

When the cost analysis is complete, both the municipal superintendent and the Resident Engineer will sign the document and certify that the analysis is true and reasonable to the best of their knowledge and that the subject structure will satisfactorily perform its intended purpose.

The Regional Maintenance Manager shall also indicate approval of the cost analysis and the performance capability of the structure by signing the operational plan.

Prior to construction of storage facilities requiring State participation, the municipality shall meet with the Resident Engineer and discuss possible options. Participation approval by the Regional Maintenance Manager is required prior to construction of any structural cover that will be used to store material for use on State highways that are part of a municipal snow and ice agreement.

3.236 Reimbursement for Meals

Proportional reimbursement shall be made for meals in the field for the municipal employees who are contractually or customarily entitled to this benefit. Meal reimbursement shall be capped at the municipal contract rate for contract employees or, for employees not covered by contract, the lesser of contract or the current State rate. The municipal superintendent shall keep on file all proof of expenditures for meals, i.e., bills or meal slips from restaurants; vouchers showing payment to employees for meals allowances; or bills for food if cafeteria system is used by the municipality. These need not be submitted with the reimbursement claim but must be held available for any future audit by the State. This item shall be treated as a Miscellaneous Charge and claimed on Form SIR-12.

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3.237 Reimbursement for State "Single Audit" {State Transportation Law. Sec.21}

The cost of audit work required by State Transportation Law, Section 21, and described under Section l .C, Audits, above, may be reimbursable under a Snow and Ice Agreement on a proportional basis, i.e., a percentage of the fee for auditing the required "Schedule of Transportation Assistance Expended." Contact your managing Resident Engineer for the current policy.


3.241 Normal Adjustment of Estimated Expenditure

The municipality is responsible for requesting adjustments in the estimated expenditure, based on acceptable documented changes in any of the cost elements defined in item 3.23 above. Note that, as an aid to planning, the following paragraph lists "typical" changes in costs that may impact the estimated expenditures. The State may also initiate adjustments based on cost-effectiveness/reasonableness evaluations (item 4.32, below) or on changes in the scope of work or in the State highway mileage covered by the agreement. Adjustments shall be made only during the normal agreement extension process. All adjustments shall be supported by an approved cost analysis, which shall be attached to the amended agreement and incorporated in the Operational Plan.

The following are typical changes in costs that may impact the estimated expenditure:

a. Labor rate

b. Materials cost, e.g., sand, salt, calcium chloride

c. Materials storage cost (e.g. new structure)

d. NYSDOT equipment rental rate

e. Classification of equipment (GVWR)

f. Truck staffing, e.g., one person plowing

g. Scope of work

h. State highway mileage covered by the agreement

If the State adjusts the estimated expenditure downward, based on a change in the scope of work, etc., the State shall notify the municipality on or before November 1 of the year for which such change is to apply. Upon receipt of such notice, the

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municipality shall, in cooperation with the State, review and reorganize its operations to the fullest extent practical to prevent over commitment of allocated funds.

3.242 Exceptional Adjustment

The State reserves the right to reduce the amount of the estimated expenditure in the agreement if the monies available to the Department of Transportation for control of snow and ice are not sufficient to meet the anticipated expenditures for the program. See Agreement, item 10.

3.25 Monthly Progress Report Transmittals

See Section 6.61.

3.26 Interim Payments

The State shall make one interim payment in the amount of 67 percent of the annual estimated expenditure each year during the term of the agreement, payable in the month of December. This large single interim payment is designed to pay the guaranteed annual minimum payment of 67 percent of the annual estimated expenditure early in the contract year. This interim payment intends to aid the municipality in funding significant "up front" costs, such as salt and abrasives.

To qualify for the interim payment, Time and Materials contractors must submit a properly executed voucher to the State to request payment. See Section 6.62. Note: No back-up documentation is required to be submitted with the interim payment vouchers. However, see Section 1.B, Maintenance and Retention of Records, for discussion of record keeping requirement.

3.27 Maximum and Minimum Annual Payment

Time and Material agreements are not limited by a maximum amount payable, except as noted under Final Payment, below. The guaranteed minimum payment under Time and Materials agreements shall be 67 percent of the agreement's annual "estimated expenditure."

3.28 Final Payment: Overrun Justification

In order to promptly process final payments, the municipality shall transmit to the State a final State snow and ice voucher, accounting for all expenditures actually made for the purpose of its Time and Materials agreement with the State, no later than May 15 each year. Refer to Section 6.63. The State shall pay to the municipality the total amount shown on the final voucher, less the interim payment(s) as described above, subject to the following conditions:

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a. The managing Resident Engineer indicates that the municipality performed its duties in a satisfactory manner. If not satisfactory, see Section 3.3, below;

b. The amount paid shall only be for those items and costs approved by the Regional Maintenance Manager, based on recommendation of the managing Resident Engineer;

c. Overrun Justification

When total billings for Time and Materials agreements exceed the annual estimated expenditure by 15% or more, justification acceptable to the Regional Maintenance Manager must be provided by the municipality. Final payment vouchers for those contracts will not be processed without the approval of the Regional Maintenance Manager. The justification provided by the municipality and the approval of the Regional Maintenance Manager shall accompany the final payment voucher.

3.29 Overpayment

In the unlikely event that the sum of the interim and final payments for a snow and ice season exceeds the computed seasonal payment or, where appropriate, the minimum payment, the appropriate offsetting adjustment shall be made in the first interim payment of the next season, subject to approval by the Director of the NYSDOT Accounting Bureau. However, if the municipality will not be continuing as a snow and ice contractor in the next season, any overpayment must be reimbursed to the State within 90 days after billing, unless other payment arrangements are agreed to by the Director, Accounting Bureau.

3.3 Unsatisfactory Work Performance - State Response

In the event that the State shall deem that the work of control of snow and ice by the municipality is inadequate or unsatisfactory according to the terms of the agreement and not being performed in the best interest of the public, the State may, by official order to be filed in the Commissioner's office and the Department of State, cancel the agreement and any payments therein provided by the State shall cease. Any such official order shall become effective at the expiration of five (5) days after the State shall have mailed a certified copy thereof to the clerk or other official who performs related duties in such municipality. The State shall thereupon perform the work in such manner as shall be for the best interest of the public. Refer to the Agreement.

Alternatively, the State may deduct from the annual estimated expenditure an amount to reimburse the State for direct labor, equipment or materials expenditures made by it to remedy documented instances of the municipality's failure to perform snow and ice control in accordance with State Highway Maintenance Guidelines, or Operational Plan or associated map showing the municipality's snow and ice control route responsibilities.

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The Resident Engineer shall notify the municipality orally of any observed instances of unsatisfactory performance as soon as practical, but within 24 hours of the observation. Written notification shall be provided within 96 hours of the observation. That written notification shall include:

(1) The date and time(s) of observation of unsatisfactory performance;

(2) The specific location (reference marker or other finite locator) of the observation;

(3) The deficiency observed;

(4) An opportunity for the municipality to provide information explaining such performance;

(5) A response date for providing information requested in (4) above.

If the Regional Maintenance Manager is satisfied that there is adequate explanation for the observed performance, the deduction will be reduced or eliminated.

3.4 Extension of Agreement; Withdrawal from Agreement; Methods of Reimbursement

Sections 1 and 2 of the Agreement address the requirements for agreement extensions, agreement withdrawals, and methods of reimbursement (Time and Materials; Fixed Lump Sum; Indexed Lump Sum).

The Agreement is for a five-year term. At least one year prior to the expiration of each five-year term, the municipality shall notify the Commissioner of Transportation:

that it requests that the term of the current agreement be extended five years, subject to the approval of the Commissioner; or

that it requests that, for the coming five-year term, the Commissioner join with the municipality in a new five-year snow and ice agreement of a different type, e.g., Time and Materials; Indexed Lump Sum or Fixed Lump Sum; or

that it intends not to extend the current agreement or enter into a new agreement.

During the month of September each year, the State will mail documents for the to adjust the Agreement’s estimated expenditure for the upcoming snow and ice season to each municipality, as appropriate.

During October, each managing Resident Engineer is required to review operational plans with each municipality to ensure that descriptions of the scope of work under the agreement, etc., are current and mutually understood.

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Later in October, following review of the operational plans, municipalities are to submit completed agreement extensions, with updated estimated expenditures for the season beginning in November. To be complete, the extension package must include the following three components:

a. A certified and signed resolution from the municipality's governing body authorizing a specific municipal official to enter into a snow and ice agreement with the State;

b. A complete text of the State's official Municipal Snow and Ice Agreement Extension, including the Standard Clauses for All New York State Contracts as Appendix A, with required signatures and notary seals;

c. A color-coded map showing the municipality's responsibility for maintenance of specific State highways for the season beginning November 1, signed by the municipality's designated responsible official and the Regional Maintenance Manager.

January 15 is the absolute deadline for finalizing the Agreement’s estimated expenditure for the snow and ice season beginning the prior November. This late deadline for updating the estimated expenditure allows municipalities to include in their update changes in labor and other costs occurring after January 1.

Municipalities must submit notice of intent to withdraw from the agreement a minimum of two years prior to the effected winter season. Hence, the typical five-year agreement will have at least two years remaining before possible termination by the municipality.

3.5 Extra Work

"Extra Work" is defined as snow and ice control work that is over-and-above the scope of work defined in a municipality's operational plan. Typically, such work (loading and hauling of snow, etc.) may not be required each year and therefore might not be included in the operational plan. At the discretion of the managing Resident Engineer, some situations may justify including loading and hauling of snow and other tasks as “Special Activities” within certain agreements.

The managing Resident Engineer must either initiate a request to the municipality to perform specific Extra Work or grant his or her approval prior to performance of such work requested by the municipality. An oral request or approval must be followed up with a written request or approval no later than the next business day. The municipality shall have the full rights and protections provided under its Municipal-State Snow and Ice Agreement in the performance of approved Extra Work.

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The Resident Engineer is responsible for evaluation and approving documentation for reimbursement of "Extra Work”. Municipalities must request payment by submitting to the managing Resident Engineer a standard State (non-Snow & Ice) Voucher and supporting documentation. Such vouchers are to be processed at the Regional Office and paid from Regional Snow & Ice materials funds.

4.0 INDEXED LUMP SUM AGREEMENTS

4.1 General

The INDEXED LUMP SUM agreement is a contract option for municipalities having annual "estimated expenditures" for control of snow and ice on State highways of generally less than $1.0 million. However, on a case-by-case basis, agreements in excess of $1.0 million may also be considered. Like the conventional Time and Materials agreements and the Fixed Lump Sum agreements, each original Indexed Lump Sum agreement is for a five-year term. At least one year prior to the expiration of each five-year term, the municipality shall notify the Commissioner of Transportation:




The Indexed Lump Sum option is designed to reduce the municipal contractor's financial risks associated with severe winter seasons and to minimize the paperwork burden associated with the State reimbursement process. The former is accomplished by use of a "winter severity index adjustment," described below. There is no limit on the maximum amount payable under the Indexed Lump Sum; the guaranteed minimum annual payment is 67 percent of the agreement's annual "estimated expenditure."

The Indexed option permits adjustments in the estimated expenditure for documented increases or decreases in the scope of work, or changes in the costs of performing the work, i.e., labor costs; equipment costs; and materials costs.

The Indexed option simplifies the paperwork required to administer municipal reimbursements, since both the interim payments and the final payment are "automatic," i.e., municipalities are not required to submit vouchers and "backup" details in order to obtain payment and audit of vouchers prior to payment is eliminated. Note: Lump Sum contractors are not required to prepare the following

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forms described in Section 6.0: SIR-11; SIR-12; SIR-14 or SIR-15. On the other hand, they must require their equipment operators to prepare Form SI-1 or SI-7 Snow & Ice Equipment Operator's Report, each day for each piece of self-propelled equipment operated. See Section 6.1. Lump Sum contractors must also submit Form SI-3, Equipment List.

As is the case with all municipal Snow and Ice agreements, the detailed description of the scope of work for the Indexed Lump Sum agreement, the agreed-upon methodology for accomplishing snow and ice control under the agreement and the basis for reimbursement for some specific operations or conditions are incorporated in annually-updated "operational plans." See Section 2.21 for discussion of operational plans. In addition, a required map identifies the State highways covered by the agreement. For discussion of this map, see Section 2.22. The operational plan and the associated map are to be updated each year by October 31 in a cooperative effort of the managing State Resident Engineer and the municipality. Both operational plan and map are incorporated into the Agreement by reference.

The following provisions described in Section 3.0, Time and Materials (Conventional) Agreements, also apply to Indexed (and Fixed) Lump Sum Agreements:

Section 3.21 - Calculation of Annual Estimated Expenditures; Section 3.22 - Standard and Alterative Proportional Reimbursements; Section 3.23 - Eligible Labor, Equipment, Materials and Other Costs; Section 3.24 - Adjustment of Estimated Expenditures; Section 3.29 - Overpayment; Section 3.4 - Extension of Agreement; Withdrawal from Agreement;

Methods of Reimbursement; Section 3.5 - Extra Work

4.2 Calculation of Initial Estimated Expenditure and Percentage Distribution of Costs for Labor, Equipment and Materials

4.21 Calculation of Initial Estimated Expenditure

The discussion under Time and Materials Agreements, Section 3.21, above, applies equally to Indexed and Fixed Lump Sum agreements, with the addition of the following two paragraphs:

For the Indexed Lump Sum "estimated expenditure" calculated from a Time and Materials billing history, the starting amount calculated using method a, b, or c in Section 3.21 is then multiplied by 0.98. Two percent is removed to account for decreased clerical effort required for the lump sum agreement compared to non-lump sum agreements. If the conversion is from Fixed to Indexed Lump Sum agreements, multiplication by a discounted rate (.98) is not appropriate, since the clerical savings will have been taken already in the Fixed Lump Sum years. The

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resulting product is the annual estimated expenditure under most circumstances. Note: Initial "estimated expenditures" based on method d. in Section 3.21 are not discounted.

The municipal contractor will have an opportunity to review all calculations before they become final. The cost analysis that yields the final estimated expenditure shall be included as a part of the required Operational Plan.

4.22 Percentage Distribution of Costs for Labor, Equipment and Materials

The Indexed Lump Sum agreement must also include a percentage breakdown for labor, equipment and materials costs. This breakdown will aid in more accurate subsequent periodic adjustment of the estimated expenditure. The average statewide percentages for these cost elements are:

However, individual municipal percentages can vary significantly from the statewide averages. Hence, use of historical data specific to each municipality is encouraged to the extent possible. See Appendix 7-a.

In addition, negotiators are encouraged to break down the cost components as far as possible in the Operational Plan. For example:

Equipment % Contribution

Loader #14 06

Truck #15 (37,500 GVWR) 10

Truck #16 (57,500 GVWR) 12

Total 28

Similarly, materials should be broken down into salt, sand, calcium chloride, etc., and materials storage. Labor should be broken down, into supervisors, operators, laborers, dispatchers, etc.

Plow Staffing Labor % Equipment % Materials %

Two-person 50 28 22

One-person 42 32 26

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4.3 Adjustment of Estimated Expenditure: Periodic Cost-Effectiveness or Reasonableness Evaluations


The discussion under Time and Materials Agreements, Section 3.24, applies equally to Indexed (and Fixed) Lump Sum agreements.

4.32 Cost-Effectiveness or Reasonableness Evaluations

Office of Transportation Maintenance staff and Resident Engineer shall periodically evaluate the cost- effectiveness of each Indexed (and Fixed) Lump Sum agreement on a cost per lane mile basis. This study should show the relationship to NYSDOT costs for similar work and to cost data for other local municipal contractors performing similar work. Ideally, this study should be developed cooperatively with the municipality.

Any resulting adjustment of estimated expenditures shall be based on a cost analysis that includes, at a minimum, the applicable items (a-h) found in 3.241, above. Any adjustment in estimated expenditures that results from the analysis must first be reviewed by the Regional Maintenance Manager. Adjustments to prior year estimated expenditures shall not affect State reimbursement payments made for prior years, but may be used to recalculate the current and future estimated expenditures.

The municipality may appeal cost-effectiveness adjustments to the estimated expenditure by submitting the appropriate request and acceptable documentation to justify the appeal to the Assistant Commissioner, NYSDOT Office of Budget and Finance in Albany. Acceptable documentation includes receipted bills and other records showing costs. The decision of the Assistant Commissioner, Office of Budget and Finance, shall be final and binding.

4.4 Interim Payment

The State shall make one interim payment in the amount of 67 percent of the annual estimated expenditure each year during the term of the agreement, payable in the month of December. Municipalities with Lump Sum agreements will not have to submit a voucher to obtain this payment; it will be generated "automatically" by the State. See Section 3.26 for discussion of this interim payment.

4.5 Total Annual Payment; Winter Severity Index; Payment Limits; Unsatisfactory Work Performance-State Response

The total amount paid annually to a municipality for snow and ice control under the Indexed Lump Sum Agreement is based on the estimated expenditure, the winter

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severity index, maximum and minimum payment limits, less deductions for unsatisfactory work.

4.51 Winter Severity Index Adjustment

This index is computed by dividing the current year snow and ice activity miles (J01/J02/J03 miles) per lane mile of responsibility in the managing State residency for State pay periods 15 thru 02 (approximately early November thru mid-April) by the average of snow and ice activity per lane mile of responsibility in the residency for the same pay periods in the base year(s) used to calculate the municipality's initial lump sum estimated expenditure. See Appendix 7.b.

Base year(s) is defined as the same year or years (up to three) used to determine the contracting municipality's initial lump sum "annual estimated expenditure”, i.e., the year or two or three years immediately prior to the year for which a lump sum estimated expenditure was initially calculated, during which the municipality submitted billings to the State based on time and materials.

The percentage difference (+or-) is multiplied by the estimated expenditure. The result is added to or subtracted from the estimated expenditure. This result is the total annual payment to the municipality, absent any payment limitations or deductions for unsatisfactory work.

4.52 Maximum and Minimum Total Payment Limits

For Indexed Lump Sum agreements, there is no upper limit on the total annual payment that will be paid to the municipality, except that resulting from application of the "winter severity index”.

Like the minimum for Time and Material agreements, the guaranteed minimum total annual payment for Indexed agreements is 67 percent of the "estimated expenditure", as adjusted.

4.53 Unsatisfactory Work Performance-State Response

4.531 Standard Response Option

Failure of the municipality to perform appropriate snow and ice measures satisfactorily in accordance with the applicable sections of the NYSDOT Highway Maintenance Guidelines, the Operational Plan and associated map may result in deductions from the lump sum amount of the agreement. The deduction for each calendar day unsatisfactory performance is observed is: estimated expenditure, in dollars, divided by the average number of snow and ice events per year that were recorded in the managing residency during the past three snow and ice seasons. For definition of "snow and ice event”, see Section 2.9.

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For mandatary provisions requiring the State to notify a municipality of observed instances of unsatisfactory performance, see Section 3.3.

4.532 Alternative Response Options

4.5321 Cancellation of Agreement Provision, Agreement. Section 2

For a restatement of this provision, see Time and Materials Agreements, Section 3.3. Unsatisfactory Work Performance-State Response.

4.5322 Recovery of State Costs

The State may deduct from the annual estimated expenditure an amount to reimburse the State for direct labor, equipment or materials expenditures made by it to remedy documented instances of the municipality's failure to perform snow and ice control in accordance with State Highway Maintenance Guidelines, or Operational Plan or associated map showing the municipality's snow and ice control route responsibilities.

For mandatory provisions requiring the State to notify a municipality of observed instances of unsatisfactory performance, see Section 3.3.

4.6 Final Payment

At the conclusion of each snow and ice season, during the month of June, the State shall compute the remainder of the lump sum payment (the "estimated expenditure") owed to the municipality. This will take into account any adjustments of current year estimated expenditures made under terms of the agreement, e.g., due to periodic cost-effectiveness or reasonableness audits performed by NYSDOT staff, and any deductions taken to penalize unsatisfactory work by the municipality. Also taken into account will be the provision for minimum total payment, as applicable. A final payment will then be processed automatically by the State unless the municipality has been fully paid or overpaid to date. No vouchers will be required from the municipality as part of the final payment process. It should be noted, however, that the municipal Lump Sum contractor is required to keep back-up documentation on file, specifically the Operational Plan, the associated map and copies of Form SI-1 or SI-7 Snow & Ice Equipment Operator's Report and Form SI-3, Equipment Listing as per Section 1.B, Maintenance and Retention of Records.

4.7 Overpayment

The discussion under Time and Materials Agreements, Section 3.28, applies equally to Indexed and Fixed Lump Sum agreements.

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4.9 Extra Work


5.0 FIXED LUMP SUM AGREEMENTS

5.1 General

The FIXED LUMP SUM agreement is a contract option for municipalities seeking certainty as to the amount they will be reimbursed each year for controlling snow and ice on State highways. Regardless of whether a specific winter season is mild or heavy, municipalities using the Fixed Lump Sum agreement are assured of receiving the "fixed" pre-determined amount for the season called the "lump sum payment”. Typically, such lump sum payments are less than $200,000 per year.

The Fixed Lump Sum option permits adjustments in the annual lump sum payment for documented increases or decreases in the scope of work or changes in the costs of performing the work, i.e., in labor costs, equipment costs or materials costs. In addition, like Indexed Lump Sum agreements, the Fixed Lump Sum option simplifies the paperwork required for reimbursement. Specifically, Lump Sum contractors are not required to prepare the following forms described in Section 6.0: SIR-11; SIR-12; SIR- 14 or SIR-15. On the other hand, they must require their equipment operators to prepare Form SI-1 or Sl-7 Snow & Ice Equipment Operator's Report, each day for each piece of self-propelled equipment operated. Lump Sum contractors must also submit Form SI-3, Equipment List. See Section 6.1.

As is the case with all municipal-State snow and ice agreements, each original Fixed Lump Sum agreement is for a five-year term. At least one year prior to the expiration of each five-year term, the municipality shall notify the Commissioner of Transportation:




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The detailed description of the scope of work for Fixed Lump Sum agreements, the agreed-upon methodology for accomplishing snow and ice control under the agreement and payment procedures for some specific operations or conditions are incorporated in operational plans. See Section 2.21 for a discussion of operational plans. In addition, each agreement requires a map identifying the State highways covered by the agreement. For a discussion of this map, see Section 2.22. The operational plan and the associated map are to be updated each year by October 31 in a cooperative effort of the managing State Resident Engineer and the municipality. Both operational plan and map are incorporated into the agreement by reference.

The following provisions described in Section 3.0, Time and Materials (Conventional) Agreements, also apply to Fixed (and Indexed) Lump Sum Agreements:

Section 3.21 - Calculation of Annual Estimated Expenditures; Section 3.22 - Standard and Alterative Proportional Reimbursements; Section 3.23 - Eligible Labor, Equipment, Materials and Other Costs; Section 3.24 - Adjustment of Estimated Expenditures; Section 3.29 - Overpayment; Section 3.4 - Extension of Agreement; Withdrawal from Agreement;

Methods of Reimbursement; Section 3.5 - Extra Work

5.2 Calculation of Annual Lump Sum Payment and Percentage Distribution of Costs for Labor, Equipment and Materials

The discussion under Time and Materials Agreements, Section 3.21. and under Indexed Lump Sum Agreements, Section 4.2, apply equally to Fixed Lump Sum agreements. Note that the "Annual Lump Sum Payment" is similar to the Indexed Lump Sum "Estimated Expenditure", but is not an estimate.

5.3 Adjustment of Annual Lump Sum Payment: Periodic Cost Effectiveness or Reasonableness Evaluations

The discussion under Indexed Lump Sum Agreements, Section 4.3, applies equally to Fixed Lump Sum agreements.

5.4 Interim Payment Arrangements

The discussion under Indexed Lump Sum Agreements, Section 4.4 applies equally to Fixed Lump Sum agreements.

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5.5 Total Annual Payment; Payment Limits; Unsatisfactory Work Performance

Under the Fixed Lump Sum agreement, the total amount paid to a municipality for a snow and ice season is based on the annual lump sum payment and payment limits, less any deductions for unsatisfactory work or audit exceptions.

5.51 Maximum and Minimum Payment Limits

Under the Fixed Lump Sum option, the maximum and minimum total seasonal payments are identical, i.e., they will equal the annual lump sum payment, as adjusted per the agreement, less any deductions for unsatisfactory performance or audit exceptions.

5.52 Unsatisfactory Work Performance-State Response

The discussion under Indexed Lump Sum agreements, Section 4.53, applies equally to Fixed Lump Sum agreements.

5.6 Overpayment

The discussion under Time and Materials Agreements, Section 3.29, applies equally to Fixed and Indexed Lump Sum agreements.


The discussion under Time and Materials Agreements, Section 3.4, applies equally to Fixed and Indexed Lump Sum agreements.

5.8 Extra Work

The discussion under Time and Materials agreements, Section 3.5, applies equally to Indexed and Fixed Lump Sum agreements.

6.0 FORMS AND INSTRUCTIONS FOR COMPLETION

This section describes the NYSDOT-numbered forms used to document and claim State reimbursement for snow and ice control work on State highways performed by municipalities or their subcontractors (Subsections 6.1 to 6.6). Also included are various unnumbered worksheets for use in performing cost analyses and calculating reimbursement rates for various cost components. All forms are found in the Appendix at the end of this manual.

6.05 Claims of Subcontractors

In municipalities where work under a Time and Materials agreement has been performed by municipal subcontractors, the claim of any such subcontractor shall

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be prepared using Form SI-3, Form SI-7 and forms SIR 11, 12 and 14 in the same manner as required of the municipal contractor.

Such Subcontractor claims will be required for each subcontractor for each month in which they have performed actual and necessary work in the control of snow and ice on State highways.

Subcontractors working under Lump Sum contracts need not use forms SIR 11,12, or 14 unless required by the municipality, but must submit forms SI- 3 and SI-7.

6.1 Form SI-3. Equipment List and Rental Rates

This form is prepared by the municipal contractor, showing all equipment, both municipally-owned and privately-owned, that is proposed for use in the control of snow and ice on State highways under the agreement.

Form SI-3 shall be updated annually by September 30. All copies are then submitted to the managing Resident Engineer for approval. To indicate approval, the Resident Engineer shall sign the document and distribute it as described below. The Resident Engineer shall also incorporate this form into the annual update of the Operational Plan. (See Section 2.21 for description of this plan).

The distribution of Form SI-3 is as follows: White - Municipal Highway Superintendent; Green - Regional Maintenance Manager; Yellow - Resident Engineer; Pink - Contractor's Financial Officer; Gold - Resident Engineer (for transmittal to NYSDOT Accounting Bureau with Final Claim, Form SIR-15).

See Section 6.8 for discussion of possible computer generation of this form.

Instructions for completion of Form SI-3 are as follows:

Column 1. Equipment Unit Number. Enter the number assigned by the municipal contractor to each vehicle. Note: This numbering scheme should be identical to that used in the annual Operational Plan.

Column 2. Vehicle License Plate Number. Enter the license plate number for each over-the-road vehicle listed.

Column 3. Equipment Code. Enter the equipment code. First show the prime mover (self-propelled component), followed by all attachments having costs reimbursed to the contractor under provisions of the current NYSDOT Equipment Rental Rate Schedule (municipally- owned equipment) or either the NYS Office of General Services Heavy Equipment Rental Standby Contract or the current Rental Rate Blue Book for Construction Equipment by PRIMEDIA, Inc. (privately - owned equipment).

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Use the following codes:

Prime Movers Attachments/Accessories

T=Truck P=One-Way Plow

TR=Tractor P2=Two-Way (Reversible) Plow

U=Underbody Plow

RP=Rotary Plow W=Wing Plow

G=Grader V=Vee Plow

L=Front-end Loader D=Dozer Blade

BL=Belt Loader S=Spreader

SS=Street Sweeper AC=Automatic Spreader Controller

C=Car, Station Wagon LD= Liquid Distribution Systems

A=Pickup, Van, Panel, etc. RI=One-Way Mobile Radio

R2=Two-Way Mobile Radio

BS=Broom, Self-Propelled

SC=Steam Cleaner

BT=Broom, Tractor/Loader-Mounted

PB=Pull-type Broom

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For example, the standard truck plow might be coded T-P-W- S-AC-R2 to indicate it is equipped with a one-way (nose) plow, wing, spreader, with automatic spreader controls and two-way radio.

Column 4. Equipment Description. Describe the equipment with sufficient detail to enable determination of a rental rate, using the current NYSDOT Equipment Rental Rate Schedule (municipally-owned equipment) or either the current NYS Office of General Services Heavy Equipment Rental Standby Contract or the current Rental Rate Blue Book for Construction Equipment by PRIMEDIA, Inc. (privately- owned equipment). For example, trucks will require the Gross Vehicle Weight Rating (GVWR) in pounds, the number of drive wheels, (e.g. 4x2) and whether the engine is gas or diesel. See this chapter for a procedure for determining the GVWR if the manufacturer's information plate on the truck door is missing.

Note: If equipment is privately owned, report owner's name. See Section 6.33 Rental of Privately-Owned Equipment.

Column 5. Ownership, etc. This is the hourly rental rate for "Ownership and Overhaul Expenses" shown in NYSDOT Equipment Rental Rate Schedule as "Column l" for each type of equipment. Report separate rate for each type attachment Note: For privately-owned equipment, report here the appropriate total hourly rate from the OGS contract or PRIMEDIA Blue Book.

Column 6. Repair & Fuel. This is the amount for "Field Repair and Fuel" shown in NYSDOT Equipment Rental Rate Schedule as "Column 2" for trucks and certain other equipment. Note: Does not apply to privately-owned equipment.

Column 7. Snow & Ice Extra. This is the amount for "Increased Fuel Costs Associated with Snow and Ice Operations" shown in NYSDOT Equipment Rental Rate Schedule (for trucks only), "Column 3." Note: Does not apply to privately-owned equipment.

Column 8. Total Rate. Enter the sum of columns 5, 6 and 7.

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6.2 Form SI- 7, Snow & Ice Equipment Operator’s Report

Each operator of self-propelled equipment for which a claim for State reimbursement will be made under terms of a Municipal-State agreement for snow and ice control on State highways must prepare this form for each piece of such equipment operated per day, regardless of the type of municipal agreement. This reporting requirement also applies to all subcontractors.

This form, especially items 13 thru 24, documents for State reimbursement purposes the snow and ice control work actually performed on a specific State route during a specific day and time, including the kind and quantity of material used. This form also provides essential documentation for State and municipal defense in event of claims litigation by State highway users.

Form SI-7 is a non-carbon set prepared in original and three copies. The White original copy must be kept available for State inspection or audit in the office of the municipal fiscal officer or comparable official of the municipality having a snow and ice agreement with the State. The original, as a record of such agreement, must be kept available for a minimum of the balance of the calendar year in which it is prepared and for an additional six years thereafter, as per the agreement.

The Yellow copy must be forwarded to the Resident Engineer who manages the Municipal-State agreement for the State, either weekly or as the Resident Engineer may require. Especially for Time and Materials agreements, it is essential that the Resident Engineer receive these reports on a timely basis prior to receipt of the municipality's reimbursement claim to enable the Resident Engineer to certify as to the accuracy and reasonableness of the claim.

The Pink copy is retained in the office of the municipal highway superintendent or comparable official of the municipality.

The Gold copy of Form SI-7 is provided for retention by a town, village or city or other third party to the agreement when they have performed work under the agreement as a subcontractor.

Form SI-7 is to be completed in accordance with the instructions which follow. All requested information must be supplied.

Instructions for Completing Form SI-7, Snow & Ice Equipment Operator's Report:

Note: The equipment operator is not required to perform any math calculations to complete this form, except to subtract the total for material used from the amount initially loaded to determine the amount returned to stock.

1. Primary State Contractor: County, Town, Village or City. Enter the name of the government entity contracting with the State for snow and ice control on

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State highways. If the State's agreement is not with the county, enter in parenthesis the name of the county where the contracting town, village or city is located. e.g., Voorheesville (Albany County).

2. Subcontractor. Enter the name of the town, village or city or other third party serving as a subcontractor and using this equipment on this day.

3. Date. Enter the date on which work described beginning with Item 13 was

performed.

4. Continuation Sheet. Attach a second copy of Form S1-7 as a continuation sheet and check box if day's work requires reporting of more than nine lines of information (Items 13-24, below).

5. Equipment Unit Number. Enter the municipal equipment unit number, taken

from Form SI-3, Equipment Listing, for the equipment described on this form. Note: Only one piece of self-propelled equipment per form.

6. Vehicle License Plate Number. Enter the vehicle's license plate number.

Note: Only one piece of self-propelled equipment per form.

7. Odometer Mileage/Hour Meter End/Begin. Enter the vehicle's current odometer mileage under "Begin", i.e., odometer mileage at the start of preparation for work described in Items 13-24. If the vehicle uses an hour meter in place of an odometer, enter the hours at start of work under "Begin."

Upon return to the maintenance yard following completion of the work described starting with Item 13, enter the vehicle's odometer mileage or hour meter reading under "End."

8. Crew Names (Print). Print the equipment operator's first name, middle initial and last name on the first line in this section. Print the names of all crew members transported to the first job site by this equipment.

9. Titles (Print). Print each named employee's official title in the space to the right of the employee's name.

10. Regular Hours Worked (with this Equipment). For the equipment operator

and each named crew member, enter the hours worked at regular time using this equipment.

11. Overtime ("Holdover") Hours Worked. Enter "holdover" overtime hours

actually worked by the equipment operator using this equipment and each named crew member. "Holdover" hours are defined as the hours beyond the normal working hours during which a worker is required to remain at work to deal with a snow or ice event.

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12. Overtime ("Callout") Hours Worked. Enter "Callout" overtime hours worked

by the equipment operator and each named crew member. "Callout" hours are defined as overtime hours worked as a result of a request to come to work to deal with a snow or ice event at a time not normally scheduled for work. Note: "Callout" hours actually worked maybe less than the hours to be paid, depending on municipal salary agreement.

Items 13 – 24 Routes Worked On, Etc. Items 13-24 document for State reimbursement purposes the work actually performed on each specific State route during a specific day and time, including the kind and quantity of material used. This detail also serves to document the work done in event of claims litigation by the traveling public.

Each line of information represents a single round trip completion. If the number of lines required exceeds nine, attach a second copy of Form SI-7 as a continuation sheet and check box in Item 4, above. For example, if the day's work involves one or more "beats" plowed more than nine round trips in total, attach continuation sheet.

13. Beat Number. Enter the "beat" number, using the numbering found in the listing of beats in current operational plan. Enter the label "Special" if this run is not on a standard beat as defined in the operational plan.

14. State Routes. Enter the State route number(s) on which the work identified in Item 16 is performed.

15. Other Routes. For contractor's use (optional).

16. Work Function Code. Enter the appropriate function code(s) from the list at

the bottom of the form; one code per line. Note: OPP (One-Person Plowing) = One-person crew; TPP (Two-Person Plowing) = Two-person crew.

17. Snow or Ice (S&I Event). Enter code describing the type of snow or ice event

or weather conditions at start of time period reported that resulted in equipment being dispatched. Use following codes: LS= Light Snow (less than ½ inch per hour); LMH = Light Snow with some Moderate to Heavy Snow; MHS = Moderate to Heavy Snow (½ inch per hour or more); FR = Freezing Rain; SL= Sleet; FBI= Frost or Black Ice.

18. Highway Condition. Enter code describing the highway condition at the start of the reporting time period: SN= Snow Covered; SL= Slush; HI= Hwy Icy; SS = Slippery Spots; P = Pack Formed or Forming; W = Wet; D = Dry.

19. Clock Time-Start. Enter the start of each work activity to the nearest quarter

hour. Use "Military" 24-hour notation. Thus, 12:00 noon = 1200; 1 PM= 1300; 1200 midnight= 2400.

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20. Clock Time-Finish. Enter finishing time to the nearest quarter hour. Use "Military" notation. Thus, 8:30 A.M. = 0830; 2:15 P.M. = 1415.

21. JO1 /J02 Lane Miles: State. Enter total State lane miles plowed or spread

with materials to the nearest tenth of a mile. J01/J02 lane miles only. J01 is one-person plowing; J02 is two-person plowing.

22. J01/J02 Lane Miles: Non-State. Enter total non-State lane miles plowed or

spread. J01 is one-person plowing; J02 is two-person plowing.

23. Material Used-Code and Ratio. Enter the Material code from the list at the bottom of the form. If the material used is not listed, write-in the material used, e.g., cinders. For sand and other abrasive mixes, report the ratio of sand to rock salt in the mix, determined by volume, e.g., 07/2:1.

24. Quantity of Material Used. Enter the quantity for the material identified in

Item 23 to the nearest tenth of a cubic yard, or nearest gallon or linear foot.

Note that the Materials list at the bottom of the form identifies a unit of measure for each material: C.Y. = Cubic Yard; Gal. =Gallons; L.F. = Linear Feet. If your truck is equipped with spreader controller which records the amount of material spread by weight, report this amount spread for each round trip, e.g., 1.6 tons.

25. Operator's Signature. The operator who performed the work described on the form should sign here.

26. Supervisor’s Signature and Title. The operator's immediate supervisor signs here. Include Title.

6.3 Form SIR-11 - Statement of Monthly Expenditures: Personal Service or Equipment Rental (Time & Materials Agreements Only)

Form SI-7, Equipment Operator's Report or other records from which the information is taken for this report shall be properly maintained and shall be open for future audit by the State. Distribution of the original and four copies is shown on the form and is discussed in Section 6.6. Note: Subcontractors should prepare photocopies of Form SIR-11, as needed.

See Section 6.8 for discussion of possible computer generation of this form.

6.31 When SIR-11 is Used to Claim Reimbursement for Personal Services (Time & Materials Agreements Only)

Personal Service and related Equipment claims may be integrated on the same Form SIR-11. See example Form SIR-11. However, note that NYSDOT no longer

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uses a "composite rate" for equipment rental claims, i.e., rates which include the equipment operator's hourly pay rate.

This report shall include all employees working under the agreement during the report month, except for work claimed on Form SIR-14 for materials handling.

Personal Service expenditures shall be reported using columns 1, 2, and 5-9. Columns 1 and 2 are self-explanatory. Codes for Column 5, Operation Code, are described in Section 6.641, i.e., Code 67, Standard Snow & Ice Activities; Code 68, Special Snow & Ice Activities; Code 69, Materials and Code 99, Miscellaneous Charges. Identifying claims by these categories is necessary in order to report the data on Form SIR-15, Snow & Ice Voucher.

Column 6 Number of Hours Worked on State Highways Only (by Date). Requires calculation of the total hours worked each day by each employee, as reported on Form SI-7, Snow & Ice Equipment Operator's Report or on the payroll, with separate totals for each Operation Code and each hourly pay rate made by each employee, e.g., regular time; overtime; shift differential. Where these hours reflect work on both State and local roads, it will be necessary to calculate the hours worked on State roads by applying a proportionate factor to daily total of hours worked by Operation Code in an off-line calculation not shown on the form. Enter only the "State road hours" in Column 6. See Section 3.22 for a discussion of the proportionate factors.

Column 7 Total Hours Worked. This is the sum of the hours reported in Column 6, grouped by Operation Code and further subdivided by hourly rate of pay. Each separate hourly pay rate is listed in Column 8, Rate per hour.

Column 8 Rate per hour. The pay rate for privately-employed subcontractor operators, including fringe benefits, is that established by the State Department of Labor for equipment operator. Do not include this amount when calculating reimbursement for fringe benefits or Workman's Compensation, but do use it for administrative/clerical overhead.

Column 9 Total Claimed. This is the product of columns 7 and 8. See Form SIR-11 illustration.

Employee Benefits and Worker's Compensation. Rate of pay does not include employee benefits or Worker's Compensation costs. Claims for these benefits shall be calculated separately at the bottom of Form SIR-11 by multiplying Personal Service payroll totals for each operation code by the corresponding percentage factor. See discussion in Section 6.31 of Pay Rate per Hour (Column 8) and Section 3.2327. Also see Section 6.7 for instructions on calculating the employee benefit factors. If the Worker's Compensation rate is in excess of $3.25

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per hundred dollars (3.25%), proof of rate is required. Also see Form SIR-11 illustration. Administrative and Clerical Overhead. Calculate this overhead by adding all Personal Service dollars reported on Form SIR-11, including amounts due for employee benefits, Worker's Compensation, shift differentials and subcontractor pay, with separate totals for each Operation Code, i.e. codes 67, 68, 69 and 99. Next, multiply each Operation Code total by 15 percent to determine the overhead by Operation Code. Note that overhead does not include any clerical salaries in the base amount against which the 15 percent factor is applied. No personal service or equipment charges for materials stockpiling will be permitted on Form SIR-11. Instead, such charges for both mixed and unmixed materials stockpiling shall be made on Form SIR-14, Stockpiling Costs for Mixed and Unmixed Materials.

6.32 When Form SIR-11 is Used to Claim Reimbursement for Equipment (Time & Materials Agreements Only)

Note: The Equipment claim may be stated on its own Form SIR-11 or may be integrated with the SIR-11 claim for Personal Service. NYSDOT prefers the claims to be integrated. See example on Form SIR-11 illustration. Equipment rental information shall be shown in Columns 3 through 9. It shall include all self-propelled equipment and rented attachments used in the agreement during the month reported, regardless of ownership. Note: NYSDOT no longer uses "composite rates" for equipment rental, i.e., rates which include equipment operators' hourly pay rates.

Column 3. Equipment Unit Number, shall be taken from Form SI-7, Snow & Ice Equipment Operator's Report. Column 4. Equipment Code, shall be taken from Form SI-3, Equipment List, item 3, for the vehicle with same License Plate Number as reported on Form SI-7. Codes for Column 5 are those described in "Description of Operations Columns," Section 6.641, i.e., Codes 67, 68, 69 and 99. When equipment is used for activities involving more than one operation code, report on separate lines the Hours Worked, Column 6, for each operation code. See Form SIR- 11 illustration. In Column 6, show the total hours that each piece of equipment worked on State highways for each day of the month worked. These hours must be consistent with Form SI-7. Note: Form SIR-11 does not provide for showing "proportional reimbursement" percentage or calculation. Instead, the municipality must apply this percentage in an "off-line" calculation, then show in Column 6 the calculated hours worked on State highways.

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In Column 7, show the total number of hours the equipment was engaged in the control of snow and ice on State highways during the monthly reporting period, i.e., the total reported for the month in Column 6. Column 8 shall be taken from the current Form SI-3, Equipment List and Rental Rates, item 8. Column 9 is the product of Columns 7 and 8.

6.33 Rental of Privately-Owned Equipment

Rental of privately-owned equipment must be approved by the managing Resident Engineer on a case-by-case basis, before start of work.

Rental of equipment from municipal employees is prohibited because of the restrictive provisions relating thereto in General Municipal Law, Section 800 et seq. Privately-owned equipment shall be reported on Form SIR-11 in the same manner as municipally-owned equipment. No subvoucher will be required with the claim, but must be available for audit.

6.34 Insurance

No reimbursement will be made for public liability or property damage on equipment or for any part of the Worker's Compensation Insurance on garage employees, since the established equipment rental rates were computed to include such costs.

6.4 Form SIR-12 - Statement of Monthly Expenditures: Materials and Miscellaneous

Charges (Time & Materials Agreements Only)

Costs of materials used or miscellaneous charges incurred by the municipality or subcontractors to progress the work of snow and ice control on State highways shall be included on the Form SIR-15 for reimbursement and must be supported by Form SIR-12. This claim shall be for materials actually used on State highways only. See Section 6.8 for discussion of possible computer generation of this form. Form SIR-12 column headings and sources for entries are as follows: Column 1 - Item Description. Description is pre-printed on form. For each mix, report composition ratio, e.g., salt (in tons) to other. Column 2- Item Code. Pre-printed. Column 3 - Operation Code. Pre-printed.

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Column 4 - Quantity. Conversion of Cubic Yards to Tons (See Section 3.2347): Tons= (No. of CY's x Pounds/CY)+ 2000 pounds

a. Unmixed Materials From Stockpiles Used for Both State and Local Roads: Take "Quantity" from that reported as "used" on the "beats" on Form SI-7, Snow & Ice Equipment Operator’s Report, Column 24. Convert CY's to tons using the formula above.

b. Unmixed Materials from Stockpiles Used Exclusively on State Roads:

Same as "a" above. c. Shared Mixed Materials, i.e., from Stockpile Used for both State and

Local Roads: Take "Quantity" from that reported as "used" on Form SI-7. Convert CY's to tons, using the conversion formula, above.

d. Mixed Materials Used Exclusively on State Road: Same as "c," above.

Column 5 -Unit. Bulk material usage is typically reported by the cubic yard or pound. Liquid material is by the gallon. Typically, reimbursement claims for bulk material are submitted on a "per ton" basis. This requires that usage information (e.g., from Form S1-7) reported in cubic yards (CY) must be converted to tons, using conversion formula presented above under Quantity.

Column 6 - Unit Price. Calculate unit price for both mixed and unmixed materials, using Form SIR- I4, Stockpiling Costs. Modify the details on Form SIR-14 as necessary. This method will apply to both State-local "shared" stockpiles and those for "exclusive use" on State highways. For purchased material, take purchase price from appropriate purchase order on "Last In - First Out" (LIFO) basis. Add any hauling or reloading charges to determine full cost per ton. For material produced by the municipality, see Section 3.2344, Reference Prices, for pricing methods. Include hauling and reloading costs on Form SIR-14. Note: For Mixed Materials, note that when the percentage of salt or other materials in the mix changes, a new Form SIR- 14 must be prepared, since the unit price changes. Column 7 - Total Cost. Multiply Column 4, Quantity. by Column 6, Unit Price Column 8 - Proportional Rate (%). See Terms, Section 3.22. Note: Materials used exclusively on 'State roads shall have a reimbursement rate of I00 percent. Column 9 - Total Claimed. Multiply Column 7, Total Cost, by Column 8, Proportional Rate.

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Before any claims are submitted for material used, the vendor's claim must have been paid by the municipal treasurer's office or by the office of the appropriate fiscal officer of the municipality. Duly executed municipal vouchers must be retained and available for audit. This Department and the Department of Audit and Control do not require subvouchers with the claim. Claims for reimbursement for materials used exclusively for application to State highways shall be shown in the appropriate place as either "Mixed" or "Unmixed Materials." For all materials taken from stockpiles, mixed or unmixed, either used for State highways only or for State highways and other highways not on the State system, Form SIR 14 must be submitted. The price to be claimed for such material will be the price of material per ton in the distributor as shown on Form SIR 14 and should reflect all related costs, except storage and covering, i.e., materials, hauling, mixing and reloading. Storage and covering costs shall be reported under Miscellaneous Charges. The total cost for mixed materials shall be allocated by a proportional rate agreed upon by the State and the municipality. Material from stockpiles used exclusively on State highways shall be claimed at a reimbursement rate of 100 percent. Miscellaneous Charges include the reimbursable costs of the following: (1) snow fence materials; (2) storing and covering of salts, salt/abrasive mixtures or untreated abrasives; (3) State-required "single audits" (Check with the managing Resident Engineer to determine current policy on reimbursement of State "single audits"); (4) municipal weather information system purchase or rental; (5) authorized meals and (6) other costs incurred in the control and removal of snow and ice from State highways that are not charged to other codes and have been approved by the Regional Maintenance Manager or the Office of Transportation Maintenance in advance. Specify each. Distribution of the original and four copies of this form is shown on the form and is discussed in Section 6.6. Note: The contractor should prepare photocopies of Form SIR-12 for subcontractors, as appropriate.

6.5 Form SIR 14 - Stockpiling Costs for Mixed and Unmixed Materials

This form shall be used to supply a recapitulation of the cost of all stockpiled materials, both mixed and unmixed, regardless of whether they are used exclusively on State highways or jointly for State highway and other highways not on the State highway system. The municipal superintendent will be required to execute a certificate affirming the correctness of the information on the form and stating that proper records have been maintained and are open for future audit by the State of New York. That person will also be required to certify that none of the

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costs used in arriving at the unit price per ton appear in any other way or in any other place on this claim or any previous claim. When using Form SIR-14, it will be necessary Noto select the appropriate lines on the form, depending on whether calculating the price of mixed or unmixed salt and sand (with or without wetting agent). Select lines as follows: Material Type

Use Lines Without Wetting With Wetting

Salt and Sand Mixes 1-5, 8, 9 1-9 Sand, unmixed 1, 2, 8, 9 1, 2, 6-9 Salt, unmixed 3, 4, 8, 9 3, 4, 6-9 Wetting Agent Only (anti-icing) N/A 6-9

Where a line is not used, enter "Does Not Apply" on that line. For purchased material, take price at source from appropriate purchase order on "Last In - First Out" (LIFO) basis. For materials produced by the municipality, refer to Section 3.2344 for pricing method. Note that, in connection with abrasive mixes, it is necessary to prepare a separate SIR-14 for each significant variation in the ratio of sodium chloride or other salt to sand. The distribution of this form is shown on the form and is discussed in Section 6.6, below. See Section 6.8 for a discussion of possible computer generation of this form.

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6.6 Form SIR-15 Snow and Ice Voucher (Time and Materials Agreements Only) This form is used in three ways: (1) as a Detailed Monthly Progress Report Transmittal; (2) as a Request for Interim Payment; and (3) as a Final Payment Voucher. See Section 6.8 for a discussion of possible computer generation of this form.

6.61 When used as Detailed Monthly Progress Report Transmittal (Time and Materials Agreements Only)

Municipalities with Time and Materials agreements are required to submit data on contract performance to the managing Resident Engineer with Form SIR 15 on the 10th of each month beginning December 10 of each contract year. This reporting should continue through the month following the last month in which work is performed under the agreement. Copies to other parties are not required. Where the municipality subcontracts, submission of data may be delayed until the 20th of the month to provide time to collect information from the subcontractors. The December 10 submission should cover work accomplished during the summer and early fall up to the end of November. Subsequent monthly submissions should cover work accomplished during the month preceding the month in which the progress report is submitted. These progress reports will include interim copies of Forms SIR-11, SIR-12, SIR-14 and associated receipts. Certifications on Monthly Progress Report Transmittals are not required.

6.62 Request for Interim Payment (Time and Materials Agreements).

No documentation is needed for the Interim Payment. This Voucher will be automatically submitted by the Office of Transportation Maintenance on behalf of the municipality. Interim Payment will be 67 percent of the estimated expenditure of the current year’s approved agreement.

6.63 When used as Final Payment Voucher (Time and Materials Agreements Only).

Between May 15 and June 30 (the end of the contract year), municipalities with Time and Materials Agreements shall transmit to the managing Resident Engineer a final State snow and ice voucher, accounting for all seasonal expenditures actually made for the purpose of their agreement with the State. This voucher shall show the total interim payments received for these expenditures and the balance due and owing. Final submission of Forms SIR-11, SIR-12 and SIR-14 must be included as required supporting documents. Such vouchers must be verified and

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signed by the municipality's payee, usually the Chief Fiscal Officer. Certifications on the final Form SIR-15 voucher must be executed by the municipal Superintendent of Highways (or comparable official), by the Payee, by NYSDOT's managing Resident Engineer and by NYSDOT's Regional Maintenance Manager. The responsibility for the certifications called for in these instructions is fixed upon the municipal officer and is unchanged when he or she delegates the particular function to a representative. In the interest of accountability any municipal officer who deems it appropriate or necessary to delegate the execution of certificates and related papers in connection with the submittal of claims should send written notice of such delegation to the managing Resident Engineer of the Department. NYSDOT and the Department of Audit and Control will not require that subvouchers be submitted with the claim, nor that the details for each item of cost be supplied at the time of submitting the claim. In addition to reserving the right of future audit of the detailed records supporting this recapitulation, if any State official requests the detailed information for audit purposes at any time, the information shall be supplied forthwith by the municipality. The managing Resident Engineer shall review proposed charges and shall approve them as appropriate. The Resident Engineer shall sign the certificates described above and shall then forward the voucher with supporting material to the Regional Maintenance Manager for final approval. The Region shall forward an original and two copies of the approved final voucher to the Office of Transportation Maintenance for processing and distribution as follows:

(1) State Comptroller copies. The original White copies of the Final Payment Voucher, and all Detailed Monthly Support Vouchers for the contract season. Note: No other back-up material is needed with Comptroller copies, except see notes 1 & 2 below;

(2) NYSDOT Accounting Bureau Copies. Blue copies of the Final

Payment Voucher and the Detailed Monthly Support Vouchers, plus all SIR-11 's, SIR-12's and SIR-14's, and all other backup materials, including Form SI-3, Equipment List and Rental Rates, except Form SI-7, Snow & Ice Equipment Operator's Report;

(3) NYSDOT Office of Transportation Maintenance Copies. Green copies

of the Final Payment Voucher and all Detailed Monthly Support Vouchers. Note: No other backup material is necessary with TMD copies, except see notes 1 & 2, below.

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Note 1: Cost Overrun. If total claims exceed the estimated expenditure by 15 percent or more, comply with Section 3.28.c. A copy of the required justification must be attached to Comptroller, Accounting and TMD final vouchers. Note 2: Audit and Other Adjustments. Copies of reports documenting any adjustments taken must be attached to Comptroller, Accounting and TMD final vouchers.

6.64 Distribution of Expenses - Form SIR-15 Voucher This form provides spaces for a distribution of costs by operations and also by various classes of direct charges. The information shown is used by the NYSDOT Office of Transportation Maintenance in analyzing and comparing costs, and in estimating costs for future years. A common understanding as to what goes in each space will provide a uniform record and no municipality will suffer an unfair comparison through lack of information. All totals appearing on Form SIR-15 are brought forward from Forms SIR-11,12 and 14. Below is a brief description of costs to be included in each column and space. 6.641 Description of "Operations" Columns Code 67- Standard S & I Activities. To this account will be charged the cost of all "Standard Activities" listed in Section 2.1, including snow plowing or spreading of materials on State highways, except for the cost of materials, which is reported under Code 69-Materials, and the cost of storing and covering materials, reported as a Miscellaneous Charge. Included are actual costs of equipment, personal service, including all supervision and patrolling costs, employee benefits and Worker's Compensation insurance and other charges incurred for snow plowing and/or spreading, including control of icy spots on the highway and hard pack. This account also includes the cost of "Preparedness" activities, e.g., furnishing and erecting markers on culverts, guiderail and other similar structures. In terms of the work codes used on Form SI-7, Snow & Ice Equipment Operator's Report, Code 67 includes the following: All; A12; B99; J01; J02; J03; J06; J25; J35; J36; J40 and J51. Note: Codes J01; J02, J03, J35 and J36 include loading of materials by the driver. Code 68 - Snow and Ice Special Activities. To this account will be charged the cost of all "Special Activities" listed in Section 2.1, e.g., the cleaning and the clearing of ditches and culverts, removal of snow and ice from bridge sidewalks, removal of snow from in front of highway signs, clearing intersections for sight distance, and any allied operations not directly charged to Codes 67 and 69, except Snow Fencing, which is charged to Miscellaneous Charges. Also included in Special Activities are the costs of opening ditches through snowbanks at strategic locations to prevent flooding of pavement area, snow and ice cleanup activities, and the sweeping of abrasives from highways.

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In terms of the work codes on Form SI-7, Code 68 includes the following: C61, C62, G01, H38, and J41. Code 69 - Materials. The cost of materials will be charged to this account, except for the cost of storing and covering material, charged to Miscellaneous Charges. This account includes the actual costs of abrasives, salt and other materials. It also includes the cost of hauling, mixing and loading material, except when loading is performed by the driver and is not included on Form SIR-14. These costs, exclusive of the costs of application to B00 and J27. Code 99 - Miscellaneous Operations. To this account will be charged all Miscellaneous Charges, Code 20, reported on Form SIR-12, including the cost of furnishing, erecting, maintaining, dismantling and storing snow fence at the rate found in the NYSDOT Equipment Rental Rate Schedule. In terms of the work codes used on Form SI-7, Code 99 includes code J71, Snow Fence Install & Remove. 6.642 Description of "Item" Lines Code 50 - Personal Service. Under this item will appear the total of all labor costs incurred in any operation item by the municipality or any third party acting as a subcontractor for the municipality, including "administrative & clerical overhead." Distribute Personal Service costs to Columns 67, 68, 69, and 99, as calculated on Form SIR-11. Code 33 - Administrative and Clerical Overhead. Distribute the total amount claimed to columns 67, Sections 3.2327 and 6.7. Code 29 - Worker's Compensation Insurance. This item is for Worker's Compensation Insurance only, as calculated on Form SIR-11. Distribute amounts calculated on SIR-11 to appropriate operations column, Code 67, 68, 69, and 99. Code 26 - Equipment Rental. Under this item will appear the total cost of rental of all equipment used for any of the operations, summarizing the details reported on Form SIR-11. Distribute these costs to Columns 67, 68, 69, and 99, as calculated on Form SIR-11. Code 10 - Sodium Chloride. Appropriate costs associated with providing sodium chloride to the point where it will be loaded onto trucks for spreading on State highways shall be charged to this account. The cost of any sodium chloride used in connection with "Mixed Materials," Code 07, shall be charged to Mixed Materials, not to this account. Code 13 - Magnesium Chloride. Appropriate costs associated with providing magnesium chloride to the point where it is placed on trucks for spreading on State highways shall be charged to this account.

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Code 11 - Calcium Chloride. Appropriate costs associated with providing calcium chloride to the point where it will be loaded onto trucks for spreading on State highways shall be charged to this account. Code 16 – Chemical with Agricultural Additive. Appropriate costs associated with providing unmixed chemical deicers with agricultural additive (e.g. MAGic) not specifically listed to the point where those chemicals are loaded on trucks for spreading on State highways shall be charged to this account. The cost of such materials used in connection with "Mixed Materials," Code 07, shall be charged to Mixed Materials, not to this account. Code 04 - Abrasives. Appropriate costs associated with providing unmixed abrasives to the point where these abrasives are loaded on trucks for spreading on State highways shall be charged to this account. The cost of any abrasives used in connection with "Mixed Materials," Code 07, shall be charged to Mixed Materials, not to this account. Code 07 - Mixed Materials. To this account will be charged the total tonnage for abrasives for which reimbursement has been claimed at the unit price per ton arrived at on Form SIR 14 (The "unit price per ton" is the last line on Form SIR-14 which reads "Total material cost per ton (or per gallon) in distributor at stockpile"). Code 17 - Sodium Chloride (NaCl with Liquid Additive). To this account will be charged the total tonnage for sodium chloride which has been mixed with agricultural or other liquid additive and for which reimbursement is claimed at the price per ton calculated, based on an appropriately modified Form SIR-14. Code 20 - Miscellaneous Charges. See Miscellaneous Charges, under Section 6.4. These charges shall include Snow Fence, brought forward from Form SIR-12.

6.7 Computation of the Employee Fringe Benefit And Leave Additive Rate The attached Employee Fringe Benefits and Leave Additives form follows the same procedures established in prior years by reimbursing actual costs for benefits, based on previous year's experience. The information necessary to compute the retirement portion of the fringe benefit and leave additive rate may be obtained by reviewing the current "Preliminary Annual Contribution Summary". This document is mailed out annually each year by the New York State and Local Employees' Retirement System. Once completed, the Employee Fringe Benefits and Leave Additives form is to be included with the annual updating of the Operational Plan for Snow & Ice Operations, prior to the beginning of each snow and ice season.

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The NYSDOT Executive Audit Review Panel has ruled (Hearing Number 89-14) that counties which are self-insured for health insurance may adjust fringe benefit rates prior to submission of their final voucher for the actual cost of health insurance. If you are affected by this decision, please indicate this on the fringe benefit document. Although the Employee Fringe Benefits and Leave Additives form is no longer submitted directly to the Contract Audit Bureau for review, it will continue to be subject to audit.

If you have any questions with respect to development of the fringe benefit and leave additive rate, you may contact the Contract Audit Bureau at (518) 457-3180 or the Office of Transportation Maintenance, Snow and Ice Control Unit, at (518) 457-6916.

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6.8 Computer - Generated Forms With prior approval, most of the forms listed below may be computer-generated for purposes of submission to the NYS Department of Transportation. Such forms need not be color-coded like the standard forms, but copies must be distributed in the same manner as the originals. These forms include: SI-3 Equipment List and Rental Rates; SIR-11 Statement of Monthly Expenditures: Personal Service and/or

Equipment Rental; SIR-12 Statement of Monthly Expenditures: Materials & Miscellaneous Charges; SIR-14 Stockpiling Costs for Mixed and Unmixed Materials. Note: Form SIR-14 must include the standard certificate and signature by the municipal superintendent. Two exceptions include:

1. Sl-7, Snow & Ice Equipment Operator's Report: This form must be submitted to NYSDOT in the original, not computer- generated, because it must be signed by the operator and by the operator's supervisor.

2. SIR-15, Snow & Ice Voucher

This form may be computer-generated for monthly progress reporting to the managing NYSDOT resident engineer, but only the multi-part version shall be use for Interim Payment requests or Final Payment claims. Use of the multi-part version is required in order to:

a. provide all the detail required by the Office of the State

Comptroller, i.e., detail within the boxes at the top and bottom of the form; and

b. provide the appropriate certifications and signatures.

If the actual Form SIR-15 can be scanned into a digital database locally, computer-generated SIR-15's might be acceptable if they presented all the SIR- 15 data in the exact format as the original form. Proposals for use of computer-generated forms in place of standard numbered NYSDOT forms must be submitted to NYSDOT at the address below for approval prior to use:

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NYSDOT, Office of Transportation Maintenance, Attention: Snow & Ice Program Manager, 50 Wolf Road, Albany, New York 12232.

At a minimum, such submissions must include:

Documentation of the computer program used to generate the planned

output, including the software name and version number used; Copies of the output, with description of all column headings or other

elements.

Also, please include the name and telephone number of a representative with whom we may discuss your request.

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6.A Weather Information Systems Reimbursement Calculations

Some municipalities might utilize technologies such as road weather information systems or satellite weather services to enhance their snow and ice control operations. If such technology is utilized in support of the snow and ice municipal agreement, proportional reimbursement may be approved by the Resident Engineer as follows:

A.

B. Annual Cost of Municipal Weather System* $______________

C. Proportional Annual Cost: A. X B. $______________

D. Annual Payment: Lesser of C., or $300.00 $______________

* Attach Supporting Cost Documentation

Note: Weather Information Systems are claimed as a Miscellaneous Charge on Form SIR-12. See Section 6.4.

Number of State Lane Miles Benefitting from the Activity PF =

Number of State Lane Miles, County Lane Miles and other Local Lane Miles Benefitting from the Activity

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6.B Cost Analysis – Mixing, Stockpiling and Loading Salt and Abrasives

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COST ANALYSIS FORM Municipality: ________________________________________

Mixing Salt with Abrasives and Stockpiling

Loading Salt

Loading Abrasives

A. EQUIPMENT (DESCRIPTION) COST PER HOUR, $

EQUIPMENT TOTAL

$

B. PERSONNEL (TITLE)

PERSONNEL TOTAL

$

TOTAL (A+ B) $

C. PRODUCTION RATE (TONS PER HOUR) $

UNIT COST ($ PER TON) (A + B) (C)

$

Resident Engineer

Municipal Superintendent

Date

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6.C Cost Analysis – Salt Abrasives Storage Structure

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COST ANALYSIS: SALT/ABRASIVES STORAGE STRUCTURE

Municipality: ________________________________________

DESCRIPTION OF STORAGE STRUCTURE

Location

Size

Year Built

LIFE CYCLE COSTS (30 YEARS)

A. Cost of Initial Construction $

B. Cost of Capital Improvements Description______________________ Year _________ Description______________________ Year _________

$ $

C. Total Cost of Financing (Interest) $

D. Annual Operating Cost __________ x 30 = $

E. Total 30 Year Cost (A + B + C + D) $

F. ANNUAL COST (E / 30) $

PROPORTION OF ANNUAL COST FOR USE OF STATE HIGHWAYS

METHOD I METHOD II

1. Total Lane Miles Served by Facility (State + Municipal)

1. Average Annual Total Tons Stored In Facility

2. State Lane Miles Served by Facility

2. Average Tons Used on State Roads

3. % State Use (2./1.) 3. % State Use (2./1.)

4. Annual Payment (Annual Cost * 3.)

$

4. Annual Payment (Annual Cost * 3.)

$

CERTIFICATION

We each hereby certify that the above cost analysis for a salt/abrasives storage structure is true and

reasonable to the best of our knowledge and that the subject structure will perform its intended

purpose satisfactorily for the foreseeable future.

Resident Engineer

Municipal Superintendent

Date

Attach supporting documentation and/or certified (signed and dated by the Resident Engineer and

Municipal Superintendent) estimates.

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APPENDICIES

Appendix 1 Highway Law

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APPENDIX 1 EXCERPT FROM SECTlON 12 OF THE NYS HIGHWAY LAW

New York Consolidated Laws, Highway Law - HAY § 12. Commissioner to provide for maintenance, repair, and for control of snow and ice; roads and driveways on state lands 1. The maintenance and repair of improved state highways in towns and incorporated villages, exclusive, however, of the cost of maintaining and repairing bridges having a span in excess of twenty feet shall be under the direct supervision and control of the commissioner and he or she shall be responsible therefor. The cost of such maintenance and repair shall be borne wholly by the state and be paid from moneys appropriated therefor by the legislature. Such maintenance and repair may be done in the discretion of the commissioner either directly by the department or by contract awarded to the lowest responsible bidder at a public letting after due advertisement, and under such rules and regulations as the commissioner may prescribe. The commissioner shall also have the power to adopt such system as may seem expedient so that each section of such highways shall be effectively and economically preserved, maintained and repaired. 2. The maintenance of state highways shall include the control of snow and ice on such highways or any parts thereof, as the commissioner may deem to be necessary to provide reasonable passage and movement of vehicles over such highways. The commissioner is authorized also to erect snow fences at suitable locations. The work of such control of snow and ice may be done by any municipality which for the purposes of this section shall include only a county, city, town or village. The governing board or body of any such municipality and the commissioner are hereby authorized to enter into an agreement for the performance of the work of such control of snow and ice upon such terms, rules and regulations as may be deemed by the commissioner to be for the best interest of the public. Such agreement may provide for periodic payments based upon a percentage of the estimated total cost. Any agreement authorized by this subdivision shall be for a term of up to five years and at the expiration of the year preceding the last year of the term specified in the agreement, as such term may be extended as herein provided, the municipality shall notify the commissioner either (a) that it requests, with the approval of the commissioner, that the term of the agreement be extended for a specified term of up to five years or (b) it intends not to extend the agreement and such agreement shall expire at the end of the term. If the municipality fails to notify the commissioner as herein provided, it shall be deemed that the municipality intends not to extend the agreement. Such agreement may be terminated during the specified term provided the municipality shall notify the commissioner eighteen months prior to such termination. If any such agreement expires, a new agreement between the commissioner and a municipality may be entered into for a term of up to five years, with extended term or terms upon notification as above provided. Whenever the commissioner shall deem the work of control of snow and ice by any municipality to be inadequate or unsatisfactory according to the terms of any such agreement, he or she may, by official order to be filed in the department, and by filing a certified copy thereof in the office of the department of state, cancel said agreement, and the payments thereunder provided by the state shall cease; whereupon the commissioner may carry out the work of control of snow and ice.

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The official order provided in this subdivision shall become effective at the expiration of five days after the commissioner shall mail a certified copy thereof to the clerk or other official who performs related duties in such municipality. The governing board or body of any such municipality is authorized to appropriate such sum as it deems necessary to enable such municipality to perform the terms of such agreement. The work of such control of snow and ice may be done by any of the methods provided in subdivision one of this section for the work of maintenance and repair, or by a combination of such methods. Any county is hereby authorized to enter into a contract with another municipality located within the same county for the performance of the work of such control of snow and ice as a subcontractor under any agreement with the commissioner as such agreement is hereinbefore provided. Moneys received by a county under the terms of any agreement authorized by this subdivision shall be credited to the fund from which moneys were appropriated to enable the county to perform the terms of such agreement. Moneys so received by a town shall be credited to the highway fund. Moneys so received by a city or village shall be credited to the general fund. 2-a. (a) Except as provided hereafter the state shall indemnify and hold harmless such municipalities for any and all liability for damages for personal injury, injury to property or wrongful death for losses arising from or occasioned by the manner of performance of the functions under any agreement with a municipality for the control of snow and ice pursuant to this section. (b) In no event shall the state be obligated to defend or indemnify such municipality, in any action, proceeding, claim or demand arising out of the actual operation of an insured vehicle or vehicle subject to self-insurance while engaged in the operation of snow and ice control functions under such agreement. (c) The municipality shall be entitled to representation by the attorney general in any claim described in paragraph (a) of this subdivision, provided, however, that the municipality shall be entitled to itself defend any such action, proceeding, claim or demand whenever the attorney general determines, based upon his investigation and review of the facts and circumstances of the case that representation by the attorney general would be inappropriate, or whenever a court of competent jurisdiction determines that a conflict of interest exists and that the municipality is entitled to be separately represented. Whenever the municipality is entitled to defend the action itself, the state shall reimburse the municipality for any and all costs and expenses, including, but not limited to, counsel fees and disbursements. (d) The state shall indemnify and save harmless such municipality in the amount of any judgment obtained against such municipality in any state or federal court on any claim described in paragraph (a) of this subdivision, or in the amount of any settlement of such claim, or shall pay such judgment or settlement; provided, however, that the act or omission from which such judgment or settlement arose occurred while the municipality was acting within the scope of its functions for control of snow and ice; provided, further, that no stipulation of settlement of any such action, proceeding, claim or demand shall be made or executed without approval of the attorney general and of the commissioner or his designee. Payment of any claim made pursuant to settlement shall not exceed the sum of fifty thousand dollars. Nothing herein shall authorize the state to indemnify or save harmless with respect to punitive or exemplary damages.

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(e) The duty to defend or indemnify and save harmless prescribed by this subdivision shall be conditioned upon (i) delivery to the attorney general or an assistant attorney general at the office of the department of law located in Albany or New York city and by delivery to the commissioner or his designee a copy of any claim, summons, complaint, process, notice, demand or other pleading within ten days after such municipality is served with such document and (ii) the full cooperation of the municipality in the defense of such action, proceeding, claim or demand and in the defense of any action, proceeding, claim or demand against the state based upon the same act or omission, and in the prosecution of any appeal. (f) The benefits of this subdivision shall inure only to such municipalities and shall not enlarge or diminish the rights of any other party nor shall any provision of this subdivision be construed to effect, alter or repeal any provision of the workers' compensation law. (g) This subdivision shall not in any way affect the obligation of any claimant to give notice to the state under section ten of the court of claims act or any other provision of law. (h) The provisions of this subdivision shall not be construed to impair, alter, limit or modify the rights and obligations of any insurer under any insurance agreement. (i) Except as otherwise specifically provided in this subdivision, the provisions of this subdivision shall not be construed in any way to impair, alter, limit, modify, abrogate or restrict any immunity available to or conferred upon any unit, entity, officer or employee of the state or municipality or any other level of government, or any right to defense and indemnification provided for any governmental officer or employee by, in accordance with, or by reason of, any other provision of state or federal statutory or common law. 3. The commissioner shall have the power to purchase (a) materials for such maintenance and repair, except where such work is done by contract, and to contract for the delivery thereof at convenient intervals along such highways, and (b) equipment and appliances that he may deem necessary to carry out the provisions of this section. Any municipality, acting by and through its authorized official, is hereby empowered to rent its machinery, tools, equipment, and storage space, to the state, acting by and through the commissioner, for the purpose of such control of snow and ice upon such terms and at such rate as may be agreed between the municipality and the commissioner. Notwithstanding the provisions of any general, special or local law or of any charter, the governing board or body of any such municipality is hereby authorized to sell such machinery, tools and equipment to the state, acting by and through the commissioner, for the purposes of this section and without competitive bidding or other limitation or restriction provided in any general, special or local law or of any charter, and the commissioner, may, upon approval by the state comptroller and the state commissioner of general services, purchase such machinery, tools and equipment from any such municipality as herein provided. 4. Whenever funds therefor are made available, the commissioner shall have power to acquire for the state, by purchase, or by appropriation through the procedure described in section thirty of this chapter, property for the purpose of storing, maintaining or processing construction and maintenance supplies, material or equipment and for the purpose of

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providing, erecting and maintaining offices for department personnel and structures for storing, maintaining or processing construction and maintenance materials or equipment. 5. Whenever a state highway has been constructed at a greater width than that provided in the original plans, upon petition of a village, as provided in sections forty-six and forty-seven of this chapter, or upon petition of a town or county, as provided in sections forty-eight , forty-nine , or fifty-nine of this chapter, or whenever such highway has been widened by a town or county under a permit granted as provided in, or under conditions and regulations prescribed pursuant to section fifty-two of this chapter, the additional width of pavement shall be deemed to be a part of the highway and shall be maintained by the commissioner as provided herein, but in no case where any such highway has been widened as provided above, shall the state be responsible for the maintenance of any curb or of any paved gutter or paved shoulder, provided, however, that on any highway maintained by the state the commissioner shall have authority to clean any pavement or paved gutter or repair any unpaved shoulder or unpaved gutter outside of the pavement maintained by the state, where necessary for the protection of such pavement. 6. Whenever the head of any state department having jurisdiction or control over lands owned and occupied by the state, requests the commissioner to maintain and to repair any road and driveway which is located on, over and across such lands, the commissioner is, notwithstanding the provisions of any general, special or local law, authorized to grant such request by his official order therefor. Such official order shall contain a general description of any such road and driveway. A certified copy of such official order shall be filed by the commissioner in the office of (a) the state department having jurisdiction or control over such lands, and (b) the department of audit and control. Thereupon any such road and driveway shall be maintained and repaired under the direct supervision and control of the commissioner in the same manner as is provided in this section for the maintenance and repair of improved state highways in towns and in incorporated villages. 7. Whenever the head of any state department, agency, institution or public benefit corporation having jurisdiction or control over the lands owned and occupied by the state or such department, agency, institution or public benefit corporation requests the commissioner to construct, reconstruct, and/or maintain any loop or peripheral roadway which is or is to be located on, around, over, or across such lands, notwithstanding the provisions of any general, special or local law, the commissioner is authorized to grant such request and undertake such construction, reconstruction and/or maintenance. Before undertaking the work of construction, reconstruction and/or maintenance of such roadways, the commissioner and the head of the state department, agency, institution or public benefit corporation shall enter into a written agreement, subject to the approval of the director of the budget, providing the funds therefor, or reimbursement by such state department, agency, institution or public benefit corporation of the funds therefor, including all costs incurred by the department in connection with such construction, reconstruction and/or maintenance. Where such loop or peripheral roadway is to be constructed, reconstructed and/or maintained on lands occupied by either the state university of New York or the state university construction fund, both the state university of New York and the state university construction fund shall be parties to such agreement. Such roadway shall be constructed, or reconstructed, to mutually agreeable standards, in the same manner as state highways are constructed or reconstructed pursuant to this chapter. The maintenance of such roadway shall be in the same manner as provided for state highways in this chapter. If such a maintenance agreement extends for a period

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greater than one year, the funds shall be made available for, or reimbursed, on an annual basis. The head of such state department, agency, institution or public benefit corporation may terminate such maintenance agreement upon six months written notice to the commissioner making provision for the department to be reimbursed for all costs incurred by such department up to such termination date. In connection with the maintenance of such a roadway the commissioner shall cause an official order to be issued therefor. Such official order shall contain a general description of such roadway. A certified copy of such official order shall be filed by the commissioner in the office of the head of the state department, agency, institution or public benefit corporation making such request for maintenance and with the department of audit and control. To the end that the employees of the department of transportation engaged in the work of constructing, improving or maintaining highways under the provisions of this chapter may be practical highway builders, the commissioner is authorized to indicate to the civil service commission the relative value which should be given to experience and scientific attainments.

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APPENDIX 2

Forms and Documentation

Employee Fringe Benefit and Leave Additives

For Rate Effective January 1, _________ (current year)*

Percentage 1. Social Security Rate (including Medicare Supplement) = ___________%

2. Retirement (Attach “Preliminary Annual Contribution Summary”)

a. (Current Year) GTLI Payment Due $__________ b. (Current Year) Non‐GTLI Payment $__________ c. (Current Year) Minimum Amortization Payment $__________ d. Net (Current Year) Misc. Adjustments/Credits $__________ e. Total (Current Year) Expenses $__________ (A) f. Total (Current Year) Salaries $__________ (B) g. Retirement Rate = (A) / (B) = ___________%

3. (Prior year) Cost of:

a. Hospitalization Insurance $__________ (C) b. Payroll Base $__________ (D) c. Health Insurance Rate = (C) / (D) = ___________% Indicate if (C) and (D) are based on [ ] Countywide or [ ] Highway Department only. Note: Health Insurance costs incurred by the municipality for its highway department retirees should be included in (C) above.

4. Number of Days Provided by Leave Rules for Prior Year:

a. Personal Leave __________ (E) b. Holidays __________ (F) c. Sick Leave __________ (G) d. Vacation __________ (H) **

Vacation Computation: Number of vacation days earned in Prior Year:

_________ Employees Earn ______Days = ______ _________ Employees Earn ______Days = ______ _________ Employees Earn ______Days = ______

Totals _________ ______ ** Average Vacation Days (H) = Total Days / Total Employees [(E) + (F) + (G) + (H)] / 260 = ___________%

5. Total Rate = ___________% * The rate developed will be effective January 1 of the current year for use during the current calendar year. The rates are to be updated at the beginning of each subsequent year.

APPENDIX 3

Initial Agreement

Contract #

Municipality

Region #

/

MUNICIPAL SNOW AND ICE AGREEMENT ☐ Time and Materials (Conventional)

☐ Fixed Lump Sum

☐ Indexed Lump Sum

This Agreement made by and between THE PEOPLE OF THE STATE OF NEW YORK (hereinafter

referred to as "STATE"), acting by and through the Commissioner of Transportation of the State of New York (hereinafter referred to as "COMMISSIONER") , and the ____________________________ of

Title

the __________________ of _____________________ (hereinafter referred to as "MUNICIPALITY") as follows: Town, Village, City or County Municipality

WHEREAS, Pursuant to Section 12 of the Highway Law, the maintenance of State highways includes the control of snow and ice thereon as the COMMISSIONER may deem to be necessary to provide reasonable passage and movement of vehicles over such highways, and

WHEREAS, The work of such control of snow and ice may be done by any municipality, which for the purposes of said Section 12 shall include only a county, city, town or village, pursuant to an agreement entered into between the governing board or body of any such municipality and the COMMISSIONER; and

WHEREAS, The MUNICIPALITY is willing to perform the work of such control of snow and ice upon STATE highways according to the terms, rules and regulations and associated guidelines, policies and procedures deemed by the COMMISSIONER to be for the best interest of the public:

NOW, THEREFORE, In consideration of the mutual covenants and benefits between the parties hereto.

WITNESSETH:

1. The term of this Agreement shall be for five years commencing July 1, _____ and ending June 30, _____. At least one year prior to the expiration each five-year term the MUNICIPALITY shall notify the COMMISSIONER either (a) that it requests with the approval of the COMMISSIONER that the term of the Agreement be extended five years, or (b) that it intends not to extend the Agreement, in which case the Agreement shall expire at the end of the five-year term. The maximum contract life for this Agreement shall not exceed twenty years from the original contract date at which point a new contract will need to be executed. If the MUNICIPALITY fails to notify the COMMISSIONER as herein provided, it shall be deemed that the municipality intends not to extend the term of this Agreement.

2. The MUNICIPALITY and the STATE agree to the method of reimbursement selected above.

Detailed descriptions of the reimbursement methods are outlined in the 2018 version of the Municipal-State Agreements for Control of Snow and Ice on State Highways: Terms, Reimbursement Procedures and Documentation, as published on the NYSDOT website at the time of contract execution and are incorporated herein by reference. This document is located at: https://www.dot.ny.gov/divisions/operating/oom/transportation-maintenance/snow-ice .

3. In the event that the COMMISSIONER shall deem the work of control of snow and ice performed

by the MUNICIPALITY inadequate or unsatisfactory according to the terms of this Agreement and not being performed in the best interest of the public, the COMMISSIONER may, by official order to be filed in the COMMISSIONER'S office and the Department of State, cancel the Agreement, and any payments herein provided by the STATE shall cease. Any such official order shall become effective at the expiration of five (5) days after the COMMISSIONER shall have mailed a certified copy thereof to the clerk or other official who performs duties of a clerk in such MUNICIPALITY. The COMMISSIONER shall thereupon perform the work in such manner as, in the COMMISSIONER'S judgment, shall be for the best interest of the public.

4. The MUNICIPALITY may enter into a contract with another municipality for the performance of the

work of said control of snow and ice as a subcontractor of the MUNICIPALITY, provided that such MUNICIPALITY shall first obtain the consent therefor from the COMMISSIONER. The MUNICIPALITY, as an agent of the State in performing the function herein delegated to it by the State, shall clear such State highways of snow and ice as designated by the COMMISSIONER, to the extent that the COMMISSIONER may deem necessary to provide reasonable passage and movement of vehicles over such highways all in accordance with terms, rules and regulations as may be deemed by the COMMISSIONER to be in the best interest of the public, such terms, guidelines, policies and procedures (a) having been submitted to and examined by the governing body of said MUNICIPALITY, prior to or simultaneously with the execution and delivery of this Agreement are hereby made part hereof, and (b) being subject to change or modification from time to time by the COMMISSIONER after consultation and negotiation with the municipality as the COMMISSIONER deems it necessary for the best interest of the public, it being understood by the parties hereto that notice of any such change or modification shall be mailed by the COMMISSIONER to the MUNICIPALITY and shall, according to the provisions hereof, be deemed to be thereupon accepted by the MUNICIPALITY and made a part hereof, except that in the event the MUNICIPALITY does not concur with the modification, the MUNICIPALITY may submit a letter of dispute to the COMMISSIONER within 10 business days after receipt of the notice, setting forth the reason for the non-concurrence. The COMMISSIONER shall then, within 10 business days, arrange for a meeting between representatives of the COMMISSIONER and the MUNICIPALITY to be held as soon as practicable to resolve the matter. In the event the matter cannot be resolved, the COMMISSIONER may unilaterally impose the modification, and the MUNICIPALITY shall comply. In that event, the MUNICIPALITY may, if it so elects, notify the COMMISSIONER that this Agreement is terminated, effective not less than one year after the date of receipt of the notice by the COMMISSIONER. The COMMISSIONER may, however, shorten this period to not less than 30 days, if the COMMISSIONER deems it in the public interest.

5. In the event that snow fence installation and removal is part of the agreement, the MUNICIPALITY

shall obtain necessary permission from the landowners affected and shall erect snow fences at suitable locations on such highways where designated by the COMMISSIONER and shall also remove such snow fences pursuant to said guidelines, policies and procedures.

6. The MUNICIPALITY shall (a) designate and hereby does designate the Superintendent of

Highways of the MUNICIPALITY as the representative of the MUNICIPALITY who shall be in responsible charge and shall have supervision of the performance of the work under this Agreement, (b) provide the necessary machinery, tools, materials and equipment to perform the terms of this Agreement, (c) provide the necessary personnel and supplies to operate such machinery, tools and equipment, and (d) furnish abrasives, chemicals or other similar materials at such locations as may be designated by the COMMISSIONER and in such quantities as may be necessary for the performance of this Agreement, to be applied in the manner and in such quantity as may be directed by the COMMISSIONER, provided, however, the COMMISSIONER with the concurrence of the municipality may furnish for use under this Agreement such snow fence, materials, chemicals and abrasives as he may deem desirable and in the best public interest, and he shall notify the MUNICIPALITY on or before August 1 of each year as to the kind and amount of such items as are to be furnished for the following winter season.

7. The COMMISSIONER shall furnish the MUNICIPALITY with a suitable map which shall delineate the State Highways within and in the vicinity of the boundaries of the MUNICIPALITY and shall show distinctively, the State Highways or parts thereof that are affected by this Agreement. For each year of the term of the Agreement, or for any extended term thereof, the maps shall be modified to show the changes, if any, to the State Highways affected by this Agreement. Any such modification to such map shall be agreed upon in writing by the COMMISSIONER and the MUNICIPALITY.

8. Whenever directed by the COMMISSIONER, the MUNICIPALITY shall include in the work

delegated to be performed under this Agreement any bridges or highways that cross into an adjacent municipality or municipalities after consultation with the effected municipalities.

9. In consideration of the performance of the MUNICIPALITY, the STATE agrees to pay the MUNICIPALITY each year during the term of this agreement $____________ for ___________lane miles for each average season. This figure shall be known as the estimated expenditure. This estimated expenditure may be adjusted annually by the COMMISIONER under this Agreement based upon demonstrated increases or decreases in the cost of performing the work or due to increases or decreases in lane miles on which work is performed. Such adjustments will require an Amendment to this Agreement. The total contract value for the term of this agreement is $_____________. The COMMISSIONER, however, reserves the right to reduce the amount of the estimated expenditure set forth herein if the monies available to the Department for control of snow and ice are not sufficient to meet the anticipated expenditures for this program. In the event of such an occurrence, the COMMISSIONER shall notify the MUNICIPALITY, on or before November 1st of any year during the term of this Agreement for which such changed estimated expenditure is to apply. Upon receipt of such notice, the MUNICIPALITY shall, in cooperation with the STATE, review and reorganize its operations to the fullest extent practicable to prevent over commitment of allocated funds. The COMMISSIONER may in his or her discretion restore in part or in whole the amount of the estimated expenditure taking into consideration the weather conditions experienced in the MUNICIPALITY and the amount of monies available for control of snow and ice.

10. This section applies only to Fixed Lump Sum and Indexed Lump Sum Contracts: The estimated expenditure may be updated under this contract based upon demonstrated increases or decreases in the cost of performing the work. The cost of the work is comprised of the following portions that have been agreed to by the STATE and MUNICIPALITY: Labor ______%, Materials ______% and Equipment _____%. The approved modified increase or decrease in the estimated expenditure shall become effective upon written notification by the COMMISSIONER to the MUNICIPALITY and shall thereby be substituted in place of the above estimated expenditure and made part of this Agreement without further action. If the mileage of which work is performed by the MUNICIPALITY increases or decreases or the MUNCIPALITY or the state incurs other changes that impact the cost of performing the work, the amount of the estimated expenditure set forth herein may be adjusted by the COMMSIONER after consultation/negotiation with the MUNICIPALTY in writing, on or before November 1st of any year during the term of this Agreement for which such changed estimated expenditure is to apply. Upon receipt of such notice, the MUNICIPALIITY shall, in cooperation with the STATE, review and reorganize its operations to the fullest extent practicable to accommodate the change.

11. The STATE shall indemnify and hold harmless the MUNICIPALITY for work performed hereunder

to the extent permitted under Highway Law Section 12 (2-a).

12. The MUNICIPALITY specifically agrees that this Agreement shall be deemed executory only to the extent of the monies available, and no liability shall be incurred by the STATE beyond the monies available for the purpose.

13. This Agreement and the attached Appendix A, Standard Terms for all New York State Contracts, and

Appendix A-1, Supplemental Title VI Provisions (Civil Rights Act) shall bind the parties, their successors and assigns.

14. Below is a listing of all documents forming this agreement:

a. Agreement Form – this document titled “Municipal Snow and Ice Agreement” b. Contract Adjustment Worksheet – shows the breakdown of the Estimated Expenditure c. Appendix “A” – Standard Clauses for New York State Contracts d. Appendix “A-1” – Supplemental Title VI Provisions (Civil Rights Act) e. Municipal Resolution – duly adopted Municipal resolution authorizing the appropriate

Municipal official to execute this Agreement on behalf of the Municipality and appropriating the funding required therefore

f. Attachment Map – defining the municipality’s work limits that satisfies the requirements in Section 8 of this Agreement

Agency Certification Contract No. ___________

IN WITNESS WHEREOF, This Agreement has been executed by the STATE, acting by and

through the duly authorized representative of the COMMISSIONER, and the MUNICIPALITY, which has caused this Agreement to be executed by its duly authorized officer on the date and year first above written. "In addition to the acceptance of this contract, I also certify that original copies of this signature page will be attached to all other exact copies of this contract." THE PEOPLE OF THE STATE OF NEW YORK

BY__________________________________________ for Commissioner of Transportation

Dated_____________________________________________ MUNICIPALITY

BY_______________________________________________

Dated_______________________________________ ATTORNEY GENERAL'S SIGNATURE

BY_______________________________________________

Dated_______________________________________ COMPTROLLER’S SIGNATURE

BY_______________________________________________

Dated_______________________________________

STATE OF NEW YORK )

) SS: COUNTY OF ) On the ____________day of _______________________________ in the year _____ before me

personally came _________________________________________________ to me known who, being

by me duly sworn, did depose and say that he resides in

______________________________________________, New York; that he is the

_______________________ of __________________________ the municipality described in and which

executed the above instrument; that he executed said instrument by order of the Governing Body of said

municipality pursuant to a resolution which was duly adopted on ______________________ ________; a

certified copy of such resolution attached hereto and made a part hereof.

___________________________________________ Notary Public

APPENDIX 4A Inflationary Adjustment: Indexed and Fixed Sum Agreements County “X” enters into its initial lump sum contract with NYSDOT in 2017‐18 for $572,842. The agreed cost components were: Cost component % Cost Labor 50 $286,421 Equipment 28 160,396.76 Materials 22 126,025.24 TOTAL 100 $572,842 In 2018‐19 there was a new labor contract that provided for a wage increase of 5%. Other cost components did not change. The inflationary adjustment for 1997‐98 is: $286,421 (labor component) x 0.05 (5% wage increase) = $14,321.05 The adjusted contract amount is: $572,842 + $14,321.05 = $587,163.05 The percent distribution of costs changes as follows: Cost Component Cost % Labor $300,742.05 51.22 Equipment 160,396.76 27.32 Materials 126,025.24 22.46 TOTAL $587,163.05 100

APPENDIX 4B Winter Severity Adjustment Indexed Lump Sum Agreement The inflation adjustment Indexed Lump Sum "Estimated Expenditures" for County “X” for 1997‐98 is $587,163. The County first signed a lump sum agreement with the State in 1996‐97. The three years of municipal time and materials billing used as base years to calculate the initial "Annual Estimated Expenditure" were: 1993‐94, 1994‐95, 1995‐96. The average lane miles of snow and ice activity (J01/J02 miles) per lane mile of responsibility for the NYSDOT residency serving County “X” during the three base years were: "J" Miles Activity Per Lane Mile of Responsibility 93‐94 104.5 94‐95 148.6 95‐96 80.4 TOTAL 333.5 AVERAGE 111.2 During the 1997‐98 snow and ice season, the J01/J02 miles of activity per lane mile of responsibility in the NYSDOT Residency serving County “X” were 117.9. The percentage change from the base year’s average is: (117.9‐111.2) + 111.2 X 100 = 6.0% The Winter Severity adjustment for 1997‐98 is: $587,163 x 0.06 = +$35,230 The lump sum amount paid to County “X” for 1997‐98 is: $587,163 + 35,230 = $622,393.

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