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SECTION 52
Construction contracts, cancellation of contracts, disqualification to contract with mass transportation authority, statement of non-coll...
Transportation (TRA) CHAPTER 61-A, ARTICLE 2-D
§ 52. Construction contracts, cancellation of contracts,
disqualification to contract with mass transportation authority,
statement of non-collusion in bids on proposals. 1. Contracts of the
Utica transit authority for construction, alteration, renovation,
demolition, excavation or for purchase of materials or supplies shall be
in such form and contain provisions as may be deemed advisable by the
Utica transit authority. All such contracts in excess of ten thousand
dollars shall be made on sealed bids, in compliance with a public notice
advertised at least once, not less than twenty days before the date set
for the receipt of bids, in the official publication of the municipality
in which the main office of the Utica transit authority is located or if
no such official publication exists, in a newspaper circulating in the
municipality. If the Utica transit authority shall deem it to its best
interest or necessary or desirable to effectuate the purposes of this
article or the economy and efficiency in construction and operation of a
project, the Utica transit authority by majority vote of its members may
either reject all bids or readvertise for bids or by unanimous vote of
its members may accept a bid other than the lowest bid. In any such
contract there may be inserted in the discretion of the Utica transit
authority, a provision that additional work may be done or materials and
supplies furnished or that work or materials may be omitted for the
purpose of completing such contract in accordance with any changes,
omissions or additions in the specifications of any such contract. Each
contract shall provide that in the case of default by the contractor the
Utica transit authority may adopt on behalf of the authority all
subcontracts made by such contractor and all such subcontractors shall
be bound by such adoption if made, and the authority may relet, with or
without public advertisement, the work specified in the original
contract, exclusive of so much thereof as shall be provided in any
subcontracts so adopted. The Utica transit authority may make rules and
regulations governing the qualifications of bidders, the submission of
combined bids by two or more contractors, the award and execution of the
contract, security, if any, for execution and performance of the
contract, and any other matters relating to the contract. The bidding
may be restricted to those who shall have qualified prior to the receipt
of bids according to standards fixed by the Utica transit authority,
provided that notice or notices for the submission of qualifications
shall be published in the official publication of the municipality in
which the main office of the Utica transit authority is located, or if
no such official publication exists, in a newspaper circulating in the
municipality, at least once, not less than ten days prior to the date
fixed for the filing of qualifications. Nothing in this section shall be
construed to limit the power of the Utica transit authority to carry out
a project or any part thereof directly by the officers, agencies and
employees of the Utica transit authority, or by any government, or to
purchase or acquire materials or supplies through the purchasing
officer, department or agency of a government.

2. A clause shall be inserted in all specifications or contracts
hereafter made or awarded by the Utica transit authority or by any
official of the Utica transit authority, for work or services performed
or to be performed or goods sold or to be sold, to provide that upon the
refusal by a person who directly or indirectly derives a monetary
benefit which is traceable to such a specification or contract, when
called before a grand jury to testify concerning any transaction or
contract had with the state or of any political subdivision thereof, a
public authority, a mass transportation authority or with any public
department, agency or official of the state or of any political
subdivision thereof or of any public authority or of a mass
transportation authority or subcontract thereunder, to sign a waiver of
immunity against subsequent criminal prosecution or to answer any
relevant question concerning such transaction, contract or subcontract.

(a) Such person and any firm, partnership or corporation of which he
is a member, partner, director or officer, shall be disqualified from
thereafter selling to or submitting bids to or receiving awards from or
entering into any contracts with the Utica transit authority or official
thereof or any subcontract thereunder, or sub-contracting with any
person, firm, partnership or corporation who or which has entered into
any such contract or contracts, in relation to such contract or
contracts, for goods, work or services, for a period of five years after
such refusal. No person, firm, partnership or corporation who or which
has entered into any contract or contracts with the state, or any
political subdivision thereof, a public authority, a mass transportation
authority, or with any public department, agency or official of the
state or any political subdivision thereof or of any public authority,
or of a mass transportation authority, for goods, work or services,
shall enter into a subcontract thereon with any person, firm or
corporation which is disqualified to contract as provided herein. Such
clause shall also provide that

(b) Any and all contracts made with the Utica transit authority or
official thereof or any subcontract thereunder, since the effective date
of this law, by such person and by any firm, partnership or corporation
of which he is a member, partner, director or officer may be cancelled
or terminated by the Utica transit authority without incurring any
penalty or damages on account of such cancellation or termination, but
any moneys owing by the Utica transit authority or by a contractor or
subcontractor thereunder for goods delivered or work done prior to the
cancellation or termination shall be paid.

3. (a) Any person who, when called before a grand jury to testify
concerning any transaction or contract had with the state, any political
subdivision thereof, a public authority, a mass transportation authority
or with a public department, agency or official of the state or of any
political subdivision thereof or of a public authority or of a mass
transportation authority, refuses to sign a waiver of immunity against
subsequent criminal prosecution or to answer any relevant question
concerning such transaction or contract, and any firm, partnership or
corporation of which he is a member, partner, director or officer shall
be disqualified from thereafter selling to or submitting bids to or
receiving awards from or entering into any contracts with any mass
transportation authority or any official of any mass transportation
authority created by the state or any political subdivision, or
sub-contracting with any person, firm, partnership or corporation who or
which has entered into any such contract or contracts, in relation to
such contract or contracts, for goods, work or services, for a period of
five years after such refusal or until a disqualification shall be
removed pursuant to the applicable provisions of law. No person, firm,
partnership or corporation who or which has entered into any contract or
contracts with the state, or any political subdivision thereof, a public
authority, a mass transportation authority, or with any public
department, agency or official of the state or any political subdivision
thereof or of any public authority, or of a mass transportation
authority, for goods, work or services, shall enter into a subcontract
thereon with any person, firm or corporation which is disqualified to
contract as provided herein.

(b) It shall be the duty of the officer conducting the investigation
before the grand jury before which the refusal occurs to send notice of
such refusal, together with the names of any firm, partnership or
corporation of which the person so refusing is known to be a member,
partner, officer or director, to the commissioner of transportation of
the state of New York and the appropriate departments, agencies and
officials of the state, political subdivisions thereof or public
authorities with whom the person so refusing and any firm, partnership
or corporation of which he is a member, partner, director or officer, is
known to have a contract.

4. (a) Any firm, partnership or corporation which has become subject
to the cancellation or termination of a contract or subcontract or
disqualification to contract or subcontract on account of the refusal of
a member, partner, director or officer thereof to waive immunity when
called to testify, as provided in subdivisions two and three of this
section, may, upon ten days' notice to the attorney general and to the
officer who conducted the investigation before the grand jury in which
the refusal occurred, make an application at a special term of the
supreme court held within the judicial district in which the refusal
occurred for an order discontinuing the disqualification. Such
application shall be in the form of a petition setting forth grounds,
including that the cooperation by petitioner with the grand jury at the
time of the refusal was such, and the amount and degree of control and
financial interest, if any, in the petitioning firm, partnership or
corporation by the member, partner, officer or director who refused to
waive immunity is such that it will not be in the public interest to
cancel or terminate petitioner's contracts or subcontracts or to
continue the disqualification, as provided in subdivisions two and three
of this section.

A copy of the petition and accompanying papers shall be served with
the notices to be given pursuant to this subdivision.

(b) Upon the filing of such petition the court may stay as to
petitioner, pending a decision upon the petition, the cancellation or
termination of any contracts or subcontracts resulting from such refusal
upon such terms as to notice or otherwise as may be just.

(c) At least two days prior to the return day, the officer who
conducted the investigation before the grand jury and the attorney
general may file answers to the petition or apply for an order
dismissing the petition as a matter of law. On or before the return day
the petitioner may file a reply to the answer.

(d) Upon the return day the court may, upon the petition and answer
and other papers filed, forthwith render such final order as the case
requires, or if a triable issue of fact is duly raised, it shall
forthwith be tried before a court sitting without a jury or before a
referee. The provisions of statute or rule governing references in an
action shall apply to a reference under this subdivision.

(e) The court shall render a final order dismissing the petition on
the merits or discontinuing the disqualification upon the ground that
the public interest would be served by its discontinuance, and granting
such other relief as to the cancellation or termination of contracts or
subcontracts as may be appropriate, but without costs to petitioner.

5. (a) Every bid or proposal hereafter made to a mass transportation
authority where competitive bidding is required by statute, rule or
regulation, for work or services performed or to be performed or goods
sold or to be sold shall contain the following statement subscribed by
the bidder and affirmed by such bidder as true under the penalties of
perjury: Non-collusive bidding certification.

(1) By submission of this bid, each bidder and each person signing on
behalf of any bidder certifies, and in the case of a joint bid each
party thereto certifies as to its own organization, under penalty of
perjury, that to the best of his knowledge and belief:

(i) The prices in this bid have been arrived at independently without
collusion, consultation, communication, or agreement, for the purpose of
restricting competition, as to any matter relating to such prices with
any other bidder or with any competitor;

(ii) Unless otherwise required by law, the prices which have been
quoted in this bid have not been knowingly disclosed by the bidder and
will not knowingly be disclosed by the bidder prior to opening, directly
or indirectly, to any other bidder or to any competitor; and

(iii) No attempt has been made or will be made by the bidder to induce
any other person, partnership or corporation to submit or not to submit
a bid for the purpose of restricting competition.

(2) A bid shall not be considered for award nor shall any award be
made where (1) (i) (ii) and (iii) above have not been complied with;
provided however, that if in any case the bidder cannot make the
foregoing certification, the bidder shall so state and shall furnish
with the bid a signed statement which sets forth in detail the reasons
therefor. Where (1) (i) (ii) and (iii) above have not been complied
with, the bid shall not be considered for award nor shall any award be
made unless the Utica transit authority to which the bid is made
determines that such disclosure was not made for the purpose of
restricting competition.

The fact that a bidder (a) has published price lists, rates, or
tariffs covering items being procured, (b) has informed prospective
customers of proposed or pending publication of new or revised price
lists for such items, or (c) has sold the same items to other customers
at the same prices being bid, does not constitute, without more, a
disclosure within the meaning of paragraph (a) of this subdivision.

(b) Any bid hereafter made to the Utica transit authority by a
corporate bidder for work or services performed or to be performed or
goods sold or to be sold, where competitive bidding is required by
statute, rule, regulation, or local law, and where such bid contains the
certification referred to in paragraph (a) of this subdivision, shall be
deemed to have been authorized by the board of directors of the bidder,
and such authorization shall be deemed to include the signing and
submission of the bid and the inclusion therein of the certificate as to
non-collusion as the act and deed of the corporation.