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TABLE OF CONTENTS

I. INTRODUCTION

II. SPECIAL REQUIREMENTS FOR EXTREME WINTER RECOVERY REAPPROPRIATIONS PROJECTS

A. Project Eligibility

B. Stockpiled Materials

C. Eligible Equipment

D. Eligible Project Costs and Payment Reimbursements

E. Reimbursement Certification

F. Quarterly Extreme Winter Recovery Reappropriations Payments

G. Limits on Work Performed By Municipal Forces/Competitive Bid Requirements

H. Compliance with Applicable Laws

I. Use of Extreme Winter Recovery Reappropriations Funds for Local Match

J. Timely Expenditure of Extreme Winter Recovery Reappropriations Funds

III. PROGRAM CONTROLS

A. Financial Audits

B. Program Reviews

IV. QUALITY ASSURANCE (QA) PROCESS

A. Reimbursement Request Processing

B. Records Retention

NYS Department of Transportation

Policy and Planning Division

Local Programs Bureau

Email: chips@dot.

I. INTRODUCTION

The enacted SFY 2016-17 State Budget included a reappropriation for Extreme Winter Recovery (EWR) funds from both the $40 million and $50 million EWR appropriations to repair highway and bridge damage resulting from the recent severe winters.

II. SPECIAL REQUIREMENTS FOR EWR REAPPROPRIATIONS PROJECTS

In order to be eligible for reimbursement from the EWR reappropriation(s), the capital project must: (1) be undertaken by a municipality; (2) be for highway-related purposes; (3) have a service life of 10 years or more with normal maintenance or comply with the exceptions below; and (4) follow the EWR Reappropriations Guidelines as outlined in this document.

A. PROJECT ELIGIBILITY

The municipality is responsible for selecting eligible project activities and must certify the project is expected to have a useful service life of at least 10 years, except for the following resurfacing project sub types where the service lives are less than 10 years: (1) microsurfacing; (2) paver placed surface treatment; (3) single course surface treatment involving chip seals or oil and stone; or (4) double course surface treatment involving chip seals or oil and stone. Traffic types (for example, heavy truck traffic vs. light truck traffic), traffic volumes, climate, base conditions (for roadway projects), the type of treatment applied, and materials used are all factors which can substantially extend or shorten the expected service life of a particular project.

Items which are not eligible for reimbursement from these reappropriations include:

o Operation and maintenance activities such as pavement patching, pothole repairs, crack sealing, slurry seal, snow removal, brush and weed control, street cleaning, highway planning studies, administrative disbursements (including administering EWR) not associated with a specific EWR Capital project, and purchase of materials not associated with a specific EWR Capital project.

o State highways, including locally maintained State arterials in cities.

o All parking facilities not owned by a municipality and those municipally-owned parking facilities which do not primarily serve a mass transportation commuter parking purpose. Examples of ineligible municipally-owned parking facilities which do not primarily serve a mass transportation commuter parking purpose include, but are not limited to, a parking lot serving a municipal building, school, ball field, park, or retail shopping.

o Sanitary sewers, water lines, and other utilities which are not impacted by a highway/bridge reconstruction project.

o Bicycle access features outside the highway right-of-way.

o Amounts paid by a municipality for interest or indirect costs (e.g., costs of issuance) on local bonds or notes issued to finance eligible project costs.

B. STOCKPILED MATERIALS

Municipalities may realize cost savings by purchasing materials (crushed stone, pipes, etc.) in bulk and stockpiling those materials for future use. In order to avoid the possibility of stockpiled materials being paid for twice (first as a stockpile and a second time when actually placed as part of a specific project), NYSDOT will only provide an EWR reimbursement for stockpiled materials when those materials have actually been placed as part of a specific EWR-funded project.

Consistent with Section J of these Guidelines, reimbursement eligibility is limited to only those unreimbursed local stockpiled expenditures made within an 18 month period prior to the scheduled quarterly payment date specified in the current NYSDOT payment notification letter. The specific 18 month time period for each quarterly EWR payment will be identified in the instructions enclosed with the quarterly payment notification letter.

C. ELIGIBLE EQUIPMENT

In order to be eligible for reimbursement from the reappropriation(s), the equipment must have a service life of 10 years or more with normal maintenance. In order for equipment “attachments” to be eligible for reimbursement from the reappropriation(s), the municipality must purchase the equipment attachment(s) at the same time that they purchase the corresponding equipment.

If you have any questions concerning equipment’s eligibility for reimbursement from the reappropriations, please contact your NYSDOT Regional CHIPS Representative.

D. ELIGIBLE PROJECT COSTS AND PAYMENT REIMBURSEMENTS

1. Eligible project costs consist of disbursements for all phases of an eligible reappropriation(s) project. These costs may include:

• the construction cost for projects done by contract

• the cost of labor, equipment usage (purchase or rental), and materials for work done by local forces.

• administrative costs (surveys, etc.)

• purchase of necessary right-of-way

• design (whether in-house or by consultant)

• construction inspection

2. Payment requests for a particular reimbursement may only be for disbursements made during the expenditure eligibility period specified for that reimbursement.

Municipalities must include all supporting documentation with their reappropriation(s) reimbursement submissions to NYSDOT for all payment requests.

Documentation shall include, but is not limited to, the following:

• Photos of ADA-Required Curb Ramp Installations

• Invoices for Materials (with project description) or a summary record of material

• Usage Statements for Equipment or a summary record of force account equipment and/or rented equipment

• Proof of Payment – Examples of Acceptable forms of Proof of Payment include:

o EFT Statements (or EFT e-mail confirmations) or

o Bank Statements (including electronic documentation) or

o Credit Card Statements - If bank or credit card statements are used, sensitive information must not be compromised. Account numbers should be removed or redacted prior to submission. While invoices marked paid and vouchers are proof of receiving materials and services they are not considered sufficient proof of payment verified by a financial institution or

o a Cancelled Check to Contractors, Subcontractors, and Vendors

• Payroll Records or summary reports for labor involved in a Project (including labor rates) (In-House Work)

Equipment rental rates can be accessed via the NYSDOT Equipment Rental Rate Schedule. Labor, materials, and equipment costs may be documented using the forms on the CHIPS website (Supporting Documentation Forms for CHIPS & EWR Reappropriations). Please keep in mind that these forms are not required to be submitted, but may be useful for organizing the information required or as a reference for what is required. Municipalities are responsible for providing quality documentation. Project disbursements must be documented and maintained in project records, which are subject to future audit.

E. REIMBURSEMENT CERTIFICATION

The State relies on the signature of the responsible municipal official (most commonly

the highway superintendent) to certify the request for reimbursement is consistent with

the requirements of the EWR reappropriations. The signatory must understand that he/she undertakes a legal obligation by signing the CP74 form. The signed certification means:

• project has a 10 year minimum service life or where the project is either: (1) microsurfacing; (2) paver placed surface treatment; (3) single course surface treatment involving chip seals or oil and stone; or (4) double course surface treatment involving chip seals or oil and stone;

• project disbursements were made during the reimbursement period;

• reimbursement has not been previously requested;

o the project is for public purposes, not for the benefit of private parties; and

o for any street alteration project where street level pedestrian walkways cross curbs, ADA-compliant curb ramps with detectable warnings were installed before or were/are being installed during the alteration project.

F. QUARTERLY EWR REAPPROPRIATIONS PAYMENTS

The reappropriations payments are issued by the Office of the State Comptroller (OSC) on the dates referenced on the CHIPS website (dot.programs/chips/payment-schedule). If your municipality is not currently receiving any OSC payments via EFT, submittal of an EFT Authorization Form to OSC is now the strongly recommended method to receive reappropriation(s) payments. The form may be obtained on OSC’s website at or on the CHIPS website. The EFT Authorization Form will require the entry of your municipality’s 10 digits OSC Vendor Number.

G. LIMITS ON WORK COMPLETED/PERFORMED BY MUNICIPAL

FORCES/COMPETITIVE BID REQUIREMENTS

Funds allocated for local street or highway projects under Highway Law Section 10-c, subdivision 4, paragraph (e) shall be used to undertake work on a project either with the municipality’s own forces (force account work) or by contract. If performed by force account, any procured labor, materials and/or equipment shall be in accordance with all applicable procurement laws or requirements. For calculation purposes, construction cost includes all labor, equipment, and materials required to construct the project. It does not include the cost of design, right-of-way purchase, or construction inspection.

1. When the estimate for the construction work is $100,000 or less, the work can be performed with the municipality’s own forces or by contract. If performed by contract, all contracts must be in accordance with the provisions of General Municipal Law Section 103.

2. When the estimate for the construction work exceeds $100,000 but does not exceed $250,000, the work can be performed with the municipality’s own forces or by contract let by competitive bid in accordance with the provisions of General Municipal Law Section 103.

3. When the estimate for the construction work exceeds $250,000, the work must be performed by contract let by competitive bid in accordance with the provisions of General Municipal Law Section 103.

H. COMPLIANCE WITH APPLICABLE LAWS

Municipalities must comply with all applicable federal, state, and local laws, rules and regulations, including but not limited to the following:

● Americans with Disabilities Act (ADA) Accessibility Compliance

The Americans with Disabilities Act (1990) is a law enacted by Congress that requires municipalities to review their CHIPS projects for ADA compliance per Title VI of the Civil Rights Act of 1987. The ADA also requires that states and municipalities develop an ADA Transition Plan to address all ADA deficiencies. For guidance on developing this plan, refer to .

The U.S. Department of Justice (DOJ) and the Federal Highway Administration (FHWA) issued updated guidance in 2013 that, whenever streets, roadways, or highways are “altered,” curb ramps (28 CFR 35.151) must be provided at locations where there are curbs or other barriers restricting access to sidewalks or other pedestrian walkways. Examples of “alterations” (changes that affect the usability of all or part of a facility) include additions of new asphalt layers, in-place recycling, microsurfacing, mill and fill overlays, new construction, rehabilitation, and reconstruction. Curb ramps and detectable warnings are required to be installed before or during the paving project. The detectable warnings are intended to alert vision-impaired individuals. For more guidance, refer to the following websites:

1) fhwa.civilrights/programs/doj_fhwa_ta.cfm

2)

3) access-.

“Maintenance” applications such as chip seals, slurry seals, joint crack seals, joint repairs, and pothole repairs do not require curb ramps. Even if they are not recipients of Federal funding, local governments must comply with these Federal requirements.

When curb ramps are installed or upgraded to compliance as part of an “alteration” project, photos of the ramps must be submitted to your NYSDOT Regional CHIPS Representative.

I. USE OF REAPPROPRIATIONS FUNDS FOR LOCAL MATCH

The reappropriations funds can be used as the local match on other State or Federally funded highway capital projects having a 10-year minimum service life. If reappropriations funds are used as the local match on Federal-aid projects, a municipality must comply with NYSDOT'S Procedures for Locally Administered Federal Aid Projects (PLAFAP) Manual. In addition, for civil rights reporting requirements, please refer to NYSDOT’s web-based civil rights reporting system.

J. TIMELY EXPENDITURE OF EWR REAPPROPRIATIONS FUNDS

While preferable, it is not mandatory that municipalities submit reimbursement requests for their reappropriation(s) capital projects before submitting reimbursement requests from their SFY 2016-17 CHIPS and rollover apportionments.

Unreimbursed EWR funds from one or more previous SFYs are considered rollover funds that must be reappropriated by the Legislature. If the Legislature were to ever restrict or eliminate the availability of rollover funds from one or more previous SFYs, those municipalities with rollover fund balances would lose some or all of these funds. Consequently, municipalities are encouraged to minimize their accumulation of rollover funds.

For unreimbursed expenditures eligible for reimbursement from SFY 2014-15 and/or SFY 2015-16 EWR “rollover” balances, reimbursement eligibility is limited to only those unreimbursed local expenditures made within an 18 month period prior to the scheduled quarterly payment date specified in the current NYSDOT payment notification letter. The specific 18 month look back date for each quarterly EWR payment will be identified in the EWR instructions enclosed with the quarterly payment notification letter.

III. PROGRAM CONTROLS

A. FINANCIAL AUDITS

The municipality shall permit the authorized representative of NYSDOT and/or the State Comptroller to inspect and audit all books, records and accounts of the municipality pertaining to a project. It is important to keep consistent and accurate records on the projects funded from the EWR reappropriations. It is the responsibility of the municipality to maintain consistent and accurate records of quality construction and accounting practices.

Project costs claimed or previously reimbursed which cannot be supported are subject to audit disallowance by NYSDOT, the State Comptroller, or Office of the Inspector General. Amounts paid to the municipality by NYSDOT which are subsequently dis-allowed are subject to recovery by NYSDOT from the municipality or, at the option of the State, will be offset or reduced against current or future reimbursement claims on the same or other projects.

B. PROGRAM REVIEWS

NYSDOT may periodically review a sampling of reappropriations projects for which reimbursement has been requested. This review effort could include site visits to completed projects. The municipality shall at all times make available its employees, records, and facilities to authorized NYSDOT representatives in connection with any such review.

IV. QUALITY ASSURANCE (QA) PROCESS

A. Reimbursement Request Processing (from municipalities to the NYSDOT Regional Office): NYSDOT requires that supporting documentation (as noted in Section II.D) be submitted to the Regional CHIPS Representative for verification before the municipally- certified reappropriation(s) Reimbursement Request Form can be submitted for payment.

B. Records Retention: All supporting documentation must be retained by the Regional Office for six (6) years beyond the date of final payment on a project for audit purposes. In order to comply with Federal Tax Law, the municipality will retain the records described above for not less-than thirty-six (36) years, in a manner that ensures complete access for the applicable above described period either in hard copy or electronic format.

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