HomeMy WebLinkAboutDiv Criminal Justice Serv ELIZABETH A. NEVILLE
TOWN CLERK
REGISTRAR OF VITAL STATISTICS
MARRIAGE OFFICER
RECORDS MANAGEMENT OFFICER
FREEDOM OF INFORMATION OFFICER
Town Hall, 53095 Main Road
P.O. Box 1179
Southold, New York 11971
Fax (631) 765-6145
Talephone (631) 765-1800
southoldtown.northfork.net
OFFICE OF THE TOWN CLERK
TOWN OF SOUTHOLD
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 25 OF 2005 WAS
ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON
JANUARY 18, 2005:
RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs
Supervisor Joshua Y. Horton to execute the proposed Grant award Agreement between the
Division of Criminal Justice Services and the Town of Southold~ DCJS #NC03874530, in the
initial period grant award funding amount of $30,565, all in accordance with the approval of the
Town Attorney.
Elizabeth A. Neville
Southold Town Clerk
PATRICIA A. FINNEGAN
TOWN ATTORNEY
patricia.finnegan@town.southold.ny,us
KIERAN M. CORCORAN
ASSISTANT TOWN ATTORNEY
kieran.corcoran@town,southold,ny.us
LORI HULSE MONTEFUSCO
ASSISTANT TOWN ATTORNEY
lori.montefusco@town.southold.ny.us
JOSHUA Y. HORTON
Supervisor
Town Hall Annex, 54375 Route 25
P.O. Box 1179
Southold, New York 11971-0959
Telephone (631) 765-1939
Facsimile (631) 765-6639
OFFICE OF THE TOWN ATTORNEY
TOWN OF SOUTHOLD
To:
From:
Date:
Subject:
MEMORANDUM
Ms. Joanne Liguori
Lynne Krauza
Secretary to the Town Attorney
January 19, 2005
Grant Award Between the Division of Criminal Justice
Services and the Town of Southold
DCJS No. NC03874530
Please be advised that Kieran has revie~ved and approved the attached
Grant Award Agreement between the Town of Southold and the Division of
Criminal Justice Services in connection with the referenced matter. Please be
advised that a resolution authorizing Josh to sign these documents was on
yesterday's Town Board meeting agenda.
In this regard, kindly have Josh sign and date the Agreement in all six
places where indicated and forward them to Chief Cochran for distribution.
Thank you for your attention. If you have any questions, please call me.
/Ik
Enclosures
cc: Chief Cochran (w/o encls.)
Ms. Elizabeth Neville, Town Clerk (w/encls.)
NC04-1092~D00
STATE AGENCY: NYS COMPTROLLER'S NUMBER: C874530
New York State Division of Criminal Justice Services (Contract Number)
4 Tower Place
AIban~ ~ NY 12203
ORIGINATING AGENCY CODE: 01490
GRANTEE/CONTILACTOR: (Name & Address) TYPE OF PROGRAlvI{S}: Narcotics Control
Southold, Town of
53095 Rt. 25 DCJS NUMBER{S}: NC03874530
P.O. Box 1179
Southold ,NY 11971
FEDEIL~L TAX IDENTIFICATION NO: 11-6001939 INITLtcL CONTRACT PERIOD:
MUNICIPALITY NO {if applicable}: 470379000 000 FROM: 10/01/2004 TO: 09/30/2005
FUNDING AMOUNT FOR INITIAL PERIOD: $ 30,565
STATUS: Contractor is not a sectarian entity. MULTI-YEARTERM(ifapplicable}:
Contractor is not a not-for-profit organization PROM: TO:
EHARITIES REGISTRATION NO: APPENDICES AI~ACHED AND PART OF THIS AGREEMENT
X
APPENDIX A Standard Clauses required by the Attorney General for all State contract
Contractor has / has not__ timely X
filed with the Ailorney General's Charities APPENDIX A-I Agency-Specific Clause,
Bureau all required periodic or annual written X
reports. APPENDIX B Budget
X
APPENDIX C Payment and Reporting Schedule
If'Exempt' is entered above, --
reason for exemption: -- X
APPENDIX D Program Workplan
APPENDIX F Guidelines for the control and Use of confidential Funds
APPENDIX G Procedural Guidelines for the Control of Surveillance Equipment
-- APPENDIX X Modificaion of Agreement Form (to accompany, modified appendicies
for charges in terms or considerations on an existing period or for
-- DCJS-55 Budget AmendmenUGrant Extension Request
X Other Certified Assurances & Certifications Re: Lobbying; Suspension,
Debarment, etc.
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates indicated below
NYS DIVISION OF CRIMINAL JUSTICE SERVICES
By: __ Date:
Richard E. Ely', Program Manager, Bureau of Justice Funding
State Agency Certification: "In.addition to the acceptane~e ~ ]~ll~l also certify that original copies of this signature page will be attached
] W ~,r other exact copies ~, I 1 [
BY: ~ II'Date:
orton, Town Supervisor
Couniy of
On
this
day
,20 ~'-be fore me personally came ~ to me known, who being duly sworn, did
depose ~nd say that (s)he r~sides in ~ that (s)be is the~ of the']I~e Grantee described in and
wh ch executed the foregoing instrument; that it was so executed by the author~t~s.~I~O~that (s)be signed his/her name hereto by' like
ATTORNEY GENERAL'S SIGNATURE APPRr~'~ED.
ALAN G. HEVESI, COMPTROLLER
NC04-1092-D00
gTATE AGENCY: NYS COMPTROLLER'S NUMBER: C874530
~lew York State Division of Criminal Justice Services (Contract Number)
1 :l'ower Place
~lbany, NY 12203
ORIGINATING AGENCY CODE: 01490
3RANTEE/CONTRACTOR: {Name & Address) TYPE OF PROGRAM(S): Narcotics Control
~outhold, Town of
33095 Rt. 25 DCJS NUMBER(S): NC03874530
P.O. Box 1179
Southold, NY 11971
FEDERAL TAX IDENTIFICATION NO: 11-6001939 INITIAL CONTRACT PERIOD:
IUNICIPALIT5 NO lifapplicable: 470379000 000 FROIvE 10/01/2004 TO: 09/30/2005
FUNDING AMOUNT FOR INITIAL PERIOD: $ 30,565
STATUS: Contractor is not a sectarian enfity. I~ULTI-YEAR TERM (if applicable):
Contractor is not a not-for-profit organization FROM: TO:
CHARITIES REGISTRATION NO: APPENDICES ATTACHED AND PART OF THIS AGREEMENT
X
APPENDIX A Standard Clauses required by the At~rney G~neral for all State contract
Contractor ha~ / has not timely X
fil~d with the At~rney General's Charities APPENDIX A-I Agency-Specific Clause~
Bureau ali required periodic or annual writtel X
reports. APPENDIX B Budget
X
-- APPENDIX C Payment and Reporting Schedule
If'Exempt' is entered above,
reason for exemption: X
-- APPENDIX D Program Workplan
-- APPENDIX F Guidelines for the control and Use of confidential Funds
-- APPENDIX G Procedural Guidelines for the Control of Surveillance Equipment
-- APPENDIX X Modifictaion of Agreement Form (to accompany modified appendi¢ies
for char.~es in terms or considerations on an existing period or for
renew d periods)
DCIS-55 Budg.~t Amendment/Grant Extension Request
X Other Certified Assurances & Certifications Re: Lobbying; Suspension,
Debarment, etc.
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates indicated below
NYS DIVISION OF CRIMINAL JUSTICE SERVICES
By: Date:
Richard E. El)', Program Manager, Bureau of gustice Funding ~.
State Agency Certification: "In addition to thc acceptano ~/l~l also certify that original copies of this signature page will be at~ach~d
/ to ~l~other exact copies ~ all
GRANTEE: · __ I1 ~ I · ~
BY:~ ~Date:
ST^T~ O~ N~W_X'O~X
County or
On this ~ day of ~'l~t~ .20~'-before me personally came ~ to me known, who being duly sworn, did
depose and say that (s)be resides in ~ that (s)he is the~j,~dgta],~l, of thc~c Grante~ described in and
(s)be
his/her
hereto
by
like
ALAN G. HEyESI, COMPTROLLER
Dtle:
NC04-1092-D00
STATE AGENCY: NYS COMPTROLLER'S NUMBER: C874530
New York State Division of Criminal Justice Services
4 Tower Place (Contract Number)
Albany~ NY 12203
OR[GINATING AGENCY CODE: 01490
GRANTEE/CONTRACTOR: ~Namc & Address} TYPE OF PROGRAM(S): Narcotics Control
Southold, Town of
$3095 RL 25 DCJS NUMBER(S): NC03074530
P.O. Box 1179
~outhold,NY 11971
FFDEP. akL TAX IDENTIFICATION NO: 11-6001939 INITIAL CONTRACT PER[OD:
VIUNICIPALITYNO(ifapplicablcI: 470379000000 FROM: 10/01/'2004 TO: 09/30/2005
FUNDING AMOUNT FOR INITIAL PERIOD: $ 30,565
STATUS: Contractor is not a sectarian entity. MULTI-YEAR TERM (if applicable):
Contractor is not a not-for-profit organization FROM: TO:
CHARITIES REGISTRATION NO: .APPENDICES ATYACHED AND PART OF THIS AGREEMENT
X
APPENDIX A Standard Clauses required by the Attorney General for all State contract
Contractor has / has not timely X
fil~l with the Attorney General's Charities -- APPENDIX A-I Agency-Specific Clause~
Bureau all required periodic or annual writte~ X
reports. -- APPENDIX B Budget
X
If'Exempt' is entered above, -- APPENDIX C Payment and Reporting Schedule
reason for exemption: -- X
-- APPENDIX D Program Workplan
APPENDIX F Guidelines for the cona'ol and Use of confidential Funds
APPENDIX G Procedural Guidelines for the Con,roi of Surveillance Equipment
APPENDIX X Modific/ifion of Agreement Form (to accompany modified appendicies
for changes in terms or considerations on an existing period or for
renew ,I periods)
DCJS-55 Budg:t Amendment/Geant Extension Request
X Other Certified Assurances & C~rtifications Re: Lobbying; Suspension,
Debarment, etc.
IN WITNESS THEREOF, the patties hereto have executed or approved this AGREEMENT on the dates indicated below
NYS DIVISION OF CRIMINAL JUSTICE SER¥1CES
By: Date:
Richard E. Ely, Program Manager, Bureau of Justice Funding
State Agency Certification: In addition to the acceptance ill~l also certify that original copies of this s gnature page will be at~aehed
] to.other cxact copies 9 ~ ~
GRANTEE:
County of
On
this
day
of
,20 ~'~be fore me personally came ~ to me known, who being duly sworn, did
depose and say that (s)he resides in ~ that (s)he is thc~ of thc~c Grantee described in and
which executed the foregoing instrument; that it was so executed by the author~t~ ~3malae-and_that
(s)he
his/her
hereto
order. (3iota~.C i_~' '~1,~ NOTARYPUBLIC,~teofNe~¥ork
by
like
~TTORNEY GENERAL'S SIGNATURE ~pRga~t~D.mm~. 6,
ALAN G. HEYESI, COMPTROLLER
Ti0e:
Date: Date:
NC04-1092-D00
STATE AGENCY: NYS COMPTROLLER'S NUMBER: C874530
New York State Division of Criminal Justice Service5
¢ Tower Place (Contract Number)
Albany~ NY 12203
ORIGINATrNG AGENCY CODE: 01490
GRANTEE/CONTRACTOR: (Name & Address) TYPE OF PROGRAM(S): Narcotics Control
$outhold, Town of
53095 Rt. 25 DCJS NUMBER(S): NC03874530
P.O. Box 1179
FEDERAL IAX IDENTIFICATION NO: 11-6001939 INITIAL CONTRACT PERIOD:
MUHICIP'~LITYNOlifapplicable): 470379000000 FROM: 10/01/2004 TO: 09/30/2005
FUNDING AMOUNT FOR INITIAL PERIOD; $ 30,565
STATUS: Contractor is notasectarlanentity. MULTI-YEARTERM(ifapplicable):
Contractor is not a not-for-profit organization FROM: TO:
gHARITIES REGISTRATION NO: APPENDICES AI~fACHED AND PART OF THIS AGREEMENT
X
APPENDIX A Standard Clauses required by the Atiomey General for all State contract
Contractor has / has not timely X
filed with the Attorney General's Charities APPENDIX A-I Agency-Specific Clause,
Bureau all r~quired periodic or annual vaittet X
reports. -- APPENDIX B Budget
X
If'Exempt' is entered above, -- APPENDIX C Payment and Reporting Schedule
reason for exemption: -- X
-- APPENDIX D Program Workplan
-- APPENDIX F Guidelines for the control and Use of confidential Funds
-- APPENDIX G Procedural Guidelines for the Control of Surveillance Equipment
APPENDIX X Modificplion of Agreement Form (to accompany modified appendi¢ies
for chac~es in terms or considerations on an existing period or for
renew il periods)
DCIS-55 Budget Amendment/Grant Extension Request
X Other Certified Assurances & Certifications Re: Lobbying; Suspension,
Debarment, etc.
IN WITNESS THEREOF, the patties hereto have executed or approved this AGREEMI~NT on the dates indicated below
NYS BIVlSION OF CRII~IINAL JUSTICE SERVICES
By: Date:
Richard E. Ely, Program Manager, Bm-eau ofSustice Funding~
State Agency Certification: "In addition to the acceptanc~ i~/l~i also certify that original copies of this signature page will be attached
J to t~otherexact copics~ I ·
GRANTEE:
I~o~a~le loshua~ Y HortoI' n, Town Supervisor '
STATE OF NEW_yORK
County of
Onthis ~ dayof ~"l~,~ ,20~-~"-bef°remepersonallyeame~tomektmwn, whot~:ingdalyswom, did
depose and say that (s)be resides in ~ that (s)he is the~.¥1~!:l~/~ o f the'llla~l~e Grantee described in end
~VrhdieCrh' executed the foregoing ilLstrument; that it wa~ so executed by the au ~Ol'~t] qfk~ll/s~ltat'-an d thata'~ I~ O~l'll~ (s)he signed hi~/her
name
hereto
by
like
(Nota~,
ALAN G. HEyESI, COMPTROLLER
Title:
Date: Date:
NC04-1092-D00
STATE AC?ENCY: NYS COMPTROLLER'S NUMBER: C874530
New York State Division of Criminal Justice Services
4 Tower Place (Contract Number)
Albany, NY 12203
ORIGINATING AGENCY CODE: 01490
GRANTEE/CONTRACTOR: (Name & Address} TYPE OF PROGRAM(S}: Narcotics Control
Southold, Town of
53095 Rt. 25 DCJS NUMBER(S): NC03874530
P.O. Box 1179
Southold,NY 11971
FEDERAL TAX IDENTIFICATION NO: 11-6001939 INITIAL CONTRACT PERIOD:
MUNICIP.~LITYNO(ifapplicable): 470379000000 FROM: 10101/2004 TO: 09/30/2005
FUNDING AMOUNT FOR. INITIAL PERIOD: $ 30,565
gTATUS: Contractor is not a sectarian entity. MULTI-YEAR TERM (if applicable):
Contractor is not a not-for-profit organization FROM: TO:
~HARITIES REGISTRATION NO. ~tPPENDICES ATI'ACHED AND PART OF THIS AGREEMENT
X
APPENDIX A Standard Clauses required by the Attorney General for all State contract
Contractor has / has not timely X
fil~d with the Attorney Gencral's Charities APPENDIX A-I Agency-Specific Clause~
Bureau all required periodic or annual wtittel X
reports, APPENDIX B Budget
X
__ APPENDIX C Payment and Reporting Schedule
If'Exempt' is entered above,
reason for exemption: -- X
-- APPENDIX D Program Workplan
-- APPENDIX F Guidelines for the control and Use of confidential Funds
APPENDIX G Procedural Guidelines for tbe Control of Surveillance Equipment
APPENDIX X Modifi¢ldi~on of Agreement Form (to ac. company modified appendicies
for ehar~'ges in terms or considerations on an existing period or for
renew ,I periods)
DCJS-55 Budg-~t Amendment/Grant Extension Request
X Other Certified Assurances & Certifications Re: Lobbying; Suspension,
l~barracnt, etc.
IN WITNESS THEREOF, thc parties hereto have executed or approved this AGREEMENT on the dates indicated below
NYS DIVISION OF CRIMINAL JUSTICE SERVICES
By: -- Date:
Richard E. Ely, Program Manager, Bureau of Susfi~ Funding ~
State Agency Certification: "In addition to tbe ac~ptan~ ~/l~i also certify that original copies of this signature page will be ateaehed
j to~otherexaetcopies~ I1~ ~
Moo~a'ol¢ Joshua Y Hereon, Town Supervisor
STATE OF NEW_YORK
Count}, of
Onthis ~s~ dayof ~t~ , 20~'-before me personally oame ~ to me known, whobeingdufysworn, did
depose and say that (s)he resides in ~ that (s)be is the ~l.a~l_~llll~ o f the 'Ilium. a~'l~s~c Grantee described n and
hereto
by
like
ATTORNEy GENEIL4~L'S SIGNATURE APPROVED,
ALAN G. HE~ESI, COMPTROLLER
Fiflc:
Date: Date:
NC04-1092-D00
STATE AGENCY: NYS COMPTROLLER'S NUMBER: C874530
New York State Division of Criminal Justice Services
4 Tower Place (Contract Number)
AIbany~ NY 12203
ORIGFNATING AGENCY CODE: 01490
OILa3qTEE/CONTRACTOR: (Name & Address) TYPE OF PROGRAM(S): Narcotics Control
Southold, Town of
$3095 RL 25 DCJS NUMBER(S): NC03874530
P.O, Box 1179
~outhold,NY 11971
?EDERAL TAX IDENTIFICATION NO: 11-6001939 INITIAL CONTRACT PERIOD:
IU]qICIPALITY NO (ifapp cab e): 470379000 000 FROM: 10101/2004 TO: 09130/2005
FUNDING AMOUN~ FOR INITIAL PERIOD: $ 30,565
;TATUS: Contractor is not a sectarian entity. MULTI-YEAR TERM (if appfieable):
Contractor is not a not-for-profit organization FROIvI: TO:
CHARITIES REGISTRATION NO: APPENDICES ATTACHED AND PART OF THIS AGREEI',~ ENT
X
APPENDIX A Standard Clauses required by the Attorney General for all State contract
Contractor has / has not timely X
filed with the Attorney General's Charities APPENDIX A-I Agency-Specific Clause~
Bureau a/I required periodic or annual wntte~ X
reports. ] APPENDIX B Budget
x
APPENDIX C Payment and Reporting Schedule
If'Exempt' is entered above, --
reason for exemption:__ X
APPENDIX D Program Workplan
__ APPENDIX F Guidelines for the control and Use of confidential Funds
__ APPENDIX G Procedural Guidelines for the Control of Surveillance Equipment
APPENDIX X Modific,~zion of Agreement Form (to accompany modified appendi¢ies
for cha~ges in terms or considerations on an existing period or for
renew ,I periods)
DC$S-55 Budg.~t Amendment/Grant Extension Request
X Other Certified Assurances & Certifications Re: Lobbying; Suspension,
Debarment, etc.
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates indicated below
NYS DIVISION OF CRIMI~tAL JUSTICE SERVICIgS
By: -- Date:
Richard E. Ely, Program Manager, Bureau of lustiee Funding ~
State Agency Certification: "In~.addition to the acceptan~ ~/l~l also ce~ify that original copies of this signature page will be attached
/ to ~/,rothcr exact copies ~ I ~
GRANTEE: ~
By: ~ IData:
Ho~/r~le Joshua Y Ho-rton, Town Supervisor
STATE OF NEW_YORK
Coanty of .Su,e~ ~
On this ~ day of $1~ ,20~-'10efore me personally carte ~ to me known, who being duly sworn, did
dweh~°c~ee xan2 uS~eYdth~eat f(°s~;°re~d:; ~~e~: ~hY;$c ~f~~~e: Yts/~:: en ~ec ;: eredt ~nbTl~ke
Counlv
&TYORNEY GENERAL'S SIGNATURE lllll ~tll~l~s'~l[ll l~ ~l /2
APPROVED, ' ~
ALAN G. H£VESL COMPTROLLE~
l'itle:
Date: Date:
STATE OF NEW YORK
AGREEMENT
This AGREEMENT is hereby made by and between the State of New York agency (STATE)
and the public or private agency (CONTRACTOR) identified on the face page hereof.
WITNESSETH:
WHEREAS, the STATE has the authority to regulate and provide funding for the
establishment and operation of program services and desires to contract with skilled parties
possessing the necessary resources to provide such services; and
WHEREAS, the CONTRACTOR is ready, willing and able to provide such program services
and possesses or can make available all necessary qualified personnel, licenses, facilities and
expertise to perform or have performed the services required pursuant to the terms of this
AGREEMENT;
NOW THEREFORE, in consideration of the promises, responsibilities and covenants herein,
the STATE and the CONTRACTOR agree as follows:
I. Conditions of _Agreement
This AGREEMENT may consist of successive periods (PERIOD), as specified within the
AGREEMENT or within a subsequent Modification Agreement(s) (Appendix X). Each
additional or superseding PERIOD shall be on the forms specified by the particular State
agency, and shall be incorporated into this AGREEMENT.
Funding for the first PERIOD shall not exceed the funding amount specified ov the face
page hereof. Funding for each subsequent PERIOD, if any, shall not exceed the amount
specified in the appropriate appendix for that PERIOD.
C. This AGREEMENT incorporates the face pages attached and all of the marked
appendices identified on the face page hereof.
For each succeeding PERIOD of this AGREEMENT, the parties shall prepare hew
appendices, to the extent that any require modification, and a Modification Agreement
(the attached Appendix X is the blank form to be used). Any terms of this
AGREEMENT not modified shall remain in effect for each PERIOD of the
AGREEMENT.
To modify the AGREEMENT within an existing PERIOD, the parties shall revise or
complete the appropriate appendix form(s). Any change in the amount of consideration to be
paid, or change in the term, is subject to the approval of the Office of the State Comptroller.
Any other modifications shall be processed in accordance with agency guidelines as stated in
Appendix A- 1.
E. The CONTRACTOR shall perform all services to the satisfaction of the STATE. The
CONTRACTOR shall provide services and meet the program objectives summarized in
the Program Workplan (Appendix D) in accordance with: provisions of the
AGREEMENT; relevant laws, rules and regulations, administrative and fiscal guidelines;
and where applicable, operating certificates for facilities or licenses for an activity oi'
program.
If the CONTRACTOR enters into subcontracts for the performance of work pursuant to
this AGREEMENT, the CONTRACTOR shall take full responsibility for the acts and
omissions of its subcontractors. Nothing in the subcontract shall impair the rights of the
STATE under this AGREEMENT. No contractual relationship shall be deemed to exist
between the subcontractor and the STATE.
G. Appendix A (Standard.Clauses as required by the Attorney General for all State
contracts) takes precedence over all other parts of the AGREEMENT.
II. Payment and Reporting
The CONTRACTOR, to be eligible for payment, shall submit to the STATE's designated
payment office (identified in Appendix C) any appropriate documentation as required by
the Payment and Reporting Schedule (Appendix C) and by agency fiscal guidelines, in a
manner acceptable to the STATE.
The STATE shall make payments and any reconciliations in accordance with the
Payment and Reporting Schedule (Appendix C). The STATE shall pay the
CONTRACTOR, in consideration of contract services for a given PERIOD, a sum not to
exceed the amount noted on the face page hereof or in the respective Appendix
designating the payment amount for that given PERIOD. This sum shall not duplicate
reimbursement from other sources for CONTRACTOR costs and services provided
pursuant to this AGREEMENT.
C. The CONTRACTOR shall meet the audit requirements specified by the STATE.
III. Terminations
A. This AGREEMENT may be terminated at any time upon mutual written consent of the
STATE and the CONTRACTOR.
The STATE may terminate the AGREEMENT immediately, upon written notice of
termination to the CONTRACTOR, if the CONTRACTOR fails to comply with the terms
and conditions of this AGREEMENT and/or with any laws, rules, regulations, policies or
procedures affecting this AGREEMENT.
C. The STATE may also terminate this AGREEMENT for any reason in accordance with
provisions set forth in Appendix A- 1.
Written notice of termination, where required, shall be sent by personal messenger
service or by certified mail, return receipt requested. The termination shall be effective
in accordance with the terms of the notice.
2
Upon receipt of notice of termination, the CONTRACTOR agrees to cancel, prior to the
effective date of any prospective termination, as many outstanding obligations as
possible, and agrees not to incur any new obligations after receipt of the notice without
approval by the STATE.
The STATE shall be responsible for payment on claims pursuant to services provided
and costs incurred pursuant to terms of the AGREEMENT. In no event shall the STATE
be liable for expenses and obligations arising from the program(s) in this AGREEMENT
after the termination date.
IV. Indemnification
The CONTRACTOR shall be solely responsible and answerable in damages for any and
all accidents and/or injuries to persons (including death) or property arising out of or
related to the services to be rendered by the CONTRACTOR or its subcontractors
pursuant to this AGREEMENT. The CONTRACTOR shall indemnify and hold harmless
the STATE and its officers and employees from claims, suits, actions, damages and costs
of every nature arising out of the provision of services pursuant to this AGREEMENT.
Bo
The CONTRACTOR is an independent contractor and may neither hold itself out nor
claim to be an officer, employee or subdivision of the STATE nor make any claim,
demand or application to or for any right based upon any different status.
V. Preoerty
Any equipment, furniture, supplies or other property purchased pursuant to this
AGREEMENT is deemed to be the property of the STATE except as may otherwise be
governed by.Federal or State laws, rules or regulations, or a stated in Appendix A-1.
VI Safeguards for Services and Confidentialit3,
Services performed pursuant to this AGREEMENT are secular in nature and shall be
performed in a manner that does not discriminate on the basis of religious belief, or
promote or discourage adherence to religion in general or particular religious beliefs.
Funds provided pursuant to this AGREEMENT shall not be used for any partisan
political activity, or for activities that may influence legislation or the election or defeat
of any candidate for public office.
Information relating to individuals who may receive services pursuant to this
AGREEMENT shall be maintained and used only for the purposes intended under the
contract an in conformity with applicable provisions of the laws and regulations, or
specified in Appendix A-I.
STANDARD CLAUSES FOR NYS CONTRACTS
The parties to the attached contract, license, lease, amendment or
other agreement of any kind (hereinafter, "the contract" or "this contract")
agree to be bound by the following clauses which are hereby made a part
of the contract (the word "Contractor" herein refers to any party other than
the State, whether a contractor, licenser, licensee, lessor, lessee or any
other party):
1. EXECUTORY LAUSE. In accordance with Section 4[ of thc State
Finance Law, thc State shall have no liability under this contract to the
Contractor or to anyone else beyond funds appropriated and available for
this contract.
2. I~ON-AS$1GNMENT CLAUSE. In accordance with Section 138 of
the State Finance Law, this contract may not be assigned by the Contractor
or its right, title or interest therein assigned, transferred, conveyed, sublet
or otherwise disposed of without the previous consent, in writing, of the
State and any attompts to assign the contract without the State's written
consent are null and void. The Contractor may, however, assign its right
to receive payment without the State's prior written consent unless this
contract concerns Certificates of Partlcipatinn pursuant ~ Article 5-A of
the State Finance Law.
3. COMPTROLLER'S APPROVAl. In accordenca wlth Sectiou 112
of the State Finance Law (or, if this contract is with the State University or
City University of New York, Section 355 or Section 6218 of thc
Education Law), if this contract excecds $15,000 (or thc minimum
thresholds agreed to by the Office of the State Comptroller for certain
S.U.N.Y. and C.U.N.Y. contracts), or if this is an amandment for any
amount to a contract which, as so amended, exceeds said statutury amount,
or if, by this contract, thc State agrees to give something other than money
when the value or reasonably estimated value of such consideration
exceeds $10,000, it shall not be valid, effective or binding upon the State
until it has been approved by the Stats Comptroller and filed in his office.
.Comptroller's approval of contcacts let by thc Office of Genaral Services
Is I~luired when such contracts exceed $30,000 (State Finance Law
Section 163.6.a).
4, WORKERS' COMPENSATION BENEFITS. In accordance with
Section 142 of the State Finance Law, this contract shall be void and of no
force and effect unless the Contractor shall provide and maintain coverage
during the life of this contract for the benefit of such employees as are
required to be covered by the provisions of the Workers' Compensation
Law.
S. NON-DISCRIMINATION REQUIREMENTS. To the extent
required by Article 15 of the Executive Law (also known as the Human
Rights Law} and all other State and Federal statutory and constitutional
non-discrimination provisions, the Contractor will not discriminate against
any employee or applicant for employment because of race, creed, color,
sex, antional origin, sexual orientation, age, disability, genetic
predisposition or carrier status, or marital status. Furthermore, in
accordance with Section 220-e of the Labor Law, if this is a contract for
the construction, alteration or repair of any public building or public work
or for the manufacture, sale or distribution of materials, equipment or
supplies, and to the extent that this contract shall be performed within thc
State of New York. Contractor agrees that neither it nor its subcontractors
shall, by reason of race, creed, color, disability, sex, or national origin: (a)
discriminate in hiring against any New York State citizen who is qualified
and available to perform the work; or (b) discriminate against or intimidate
any employee hired for the performance of work under this contract. If
this is a building service contract as defined in Section 230 of thc Labor
Law, then, in accordance with Section 239 thereof, Contractor agrees that
neither it nor its subcontractors shall by reason of race, creed, color,
nstinnai origin, age, sex or disability: (a) discriminate in hiring against any
New York State citizen who is quail fled and available to perform thc work;
APPENDIX A
or (b) discriminate against or intimidate any employee hired for the
performance of work under this contract. Contractor is subject to fines of
$50.00 per person per day for any violation of Section 220-e or Section
239 as well as possible termination of this contract and forfeiture of all
moneys due hereunder for a second or subsequent violation.
6. WAGE AND HOURS PROVISIONS. If this is a public work
contract covered by Article 8 of the Labor Law or a building service
contrset covered by Article 9 thereof, neither Contractor's employees nor
the employees of its subcontractors may bo requit~,'d or permitted to work
more than the number of hours or days stated in said statutes, except as
otherwise provided in the Labor Law and as set forth in prevailing wage
and supplement schedules issued by the State Labor Department.
Furthennore, Contractor and its subcontractors must pay at least the
prevailing wage rate and pay or provide the prevailing supplements.
including the premium rotes for overtime pay, as determined by the State
Labor Department in accordance with the Laboc Law.
7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance
with Section 139-d of the State Finance Law, if this contract was awarded
based upon the submission of bids, Contractor warrants, under penalty of
perjury, that its bid was alrived at independently and without collusion
aimed at restricting competition. Contractor further wan'ants that, at the
time Contractor subou~ted its bid, an anthodzed and responsible person
oxecuted and delivered to the State a non-collusive bidding certification on
Contractor's behalf.
8. INTERNATIONAL BOYCOTt PROHIBITION. In accordance with
Section 220-f of the Labor Law and Section 139-h of the State Finance
Law, if this contract exceeds $5,000, the Contractor ag~es, as a material
condition of the contract, that neither the Contractor nor any substantially
owned or affiliated person, finn, partnership or corporation has
participated, is participating, or shall participate in an international boycott
in violafion of the federal Export Administration Act of 1979 (50 USC
App. S ~ctinns 2401 et seq.) or regulations thereunder. I f such Contractor,
or an' of the aforesaid affiliates of Contntctor, is convicted or is otherwise
fom.d to have violated said laws or regulntinas upon the final
determination of the United States Commerce Department or any other
appropriate agency of the United States subsequent to the contract's
execution, such contract, amendment or modification thereto shall be
rendered forfeit and void. The Contractor shall so notify the State
Comptroller within five (5) business days of such con~,ictiou,
determination or disposition of appeal (2NYCRR 105.4).
9. SET-OFF RIGHTS. The State shall have all of its common law,
equitable and statutory rights ofset-off. These rights shall include, but not
be limited to, the State's option to withhold for the purposes ofset-offany
moneys due to thc Contractor under this contract up to any amounts due
and owing to thc State with regard to this contract, any other contract with
any State department or agency, including any contract for a term
commencing prior to the term of this contract, plus any amounts duc and
owing to thc State for any other reason including, without limitation, tax
delinquencies, fcc delinquencies or monetary penalties relative thereto.
The State shall exercise its set-offrights in accordance with normal State
practices including, in cases of set-offporsuant to an audit, the finalization
of such audit by thc State agency, its representatives, or the State
Comptroller.
10. RECORDS. The Contractor shall establish and maintain complete
and accurate books, records, documents, accounts and other evidence
directly pertinent to performance under this contract (hereinafter,
collectively, "the Records"). The Records must be kept for the balance
the calendar year in which they were made and for six (6) additional years
thereafter. The State Comptroller, the Attorney General and any other
person or entity authorized to conduct an examination, as well as the
agency or agencies involved in this contract, shall have access to the
Records during normal business hours at an office of the Contractor within
APPENDIX A
the State of New York or, if no such office is available, at a mutually
agreeable and reasonable venue within the State, for the term specified
above for the purposes of inspection, auditing and copying. The State shall
take reasonable steps to protect from public disclosure any of the Records
which are exempt from disclosure under Section 87 of the Public Officers
Law (the "Statute") provided that: (i) the Contractor shall timely inform
:an appropriate State official, in writing, that said records should not be
diselosed; and (ii) said records shall be sufficiently identified; and (iii)
designation of said records as exempt under the Statute is reasonable.
Nothing contained herein shall diminish, or in any way adversely affect,
the State's right to discovery in any pending or future litigation.
I1. IDENTIFYING INFORMATION AND PRIVACY
~. (a) FEDERAL EMPLOYER IDENTIFICATION
FEDERAL SOCIAL SECURITY NUMBER. All
invoices or New York State standard vouchers submitted for payment for
the sale of gnoda or services or the lease of real or personal property to a
New York State agency must include the payee's identification number,
i.e., the seller's or lessor's identification number. The number is either the
payee's Federal employer identification number or Federal social security
number, or both such numbers when the payee has both such numbers.
Failure to include this number or numbers may delay payment. Where the
payee does not have such number or numbers, the payee, on its invoice or
New York State standard voucher, must give the reason or reasons why the
payee does not have such number or numbers.
(b) PRIVACY NOTIFICATION. (I) The authority to request the above
per~x, lal infonnatinn from a seller of gcods or services or a lessor of real
or personal property, and the authority to maintain such information, is
found in Section $ of the State Tax Law. Disclosure of this information by
the seller or lessor to the State is mandatory. The principal purpose for
which the information is collected is to enable the State to identify
individuals, businesses and others who have been delinquent in filing tax
returns or may have understated their tax liabilities and to genersliy
identify persons affected by the taxes administered by the Commissioner
of Taxation and Finance. The information will be used for tax
administration purposes and for any other purpose anthodzed by law.
(2) The personal information is requasted by the purchasing unit of the
agency contracting to purchase the goods or services or lease the real or
personal propen'y covered by this contract or lease. The information is
maintained in New York State's Central Accounting System by the
Di~ctor of Accounting Operations, Office of the State Comptroller, 110
Slate Street, Albany, New York 12236.
12- EOUAL EMPLOYMENT OPPORTUNITIES FORMINORITIES
AND WOMEN. In accordance with Section 312 oftbe Executive Law,
if this contract is: (i) a written agreement or purchase order instrument,
providing for a total expenditure in excess of $25,000.00, whereby a
contracting agency is committed to expend or does expend funds in return
for labor, services, supplies, equipment, materials or any combination of
the foregoing to be performed for, or rendered or furnished to the
contracting agency; or (ii) a written agreement in excess of $100,000.00
whereby a contracting agency is committed to expend or does expend
IVunds for the acquisition, construction, demolition, replacement, major
repair or renovation of real property and improvements thereon; or (iii) a
written agreement in excess of $100,000.00 whereby the owner o f a State
assisted housing project is committed to expend or does expend funds for
the acquisition, construction, demolition, replacement, major repair or
renovation of real property and improvements thereon for such project,
then:
(a) The Contractor will not discriminate against employees or applicants
for employment because of race, creed, color, national origin, sex, age,
disability or marital status, and will undertake or continue existing
programs ofaffirmarive action to ensure that minority group members and
women are afforded equal employment opportunities without
discrimination. Affirmative action shall mean recruitment, employment,
job assignment, promotion, upgradings, demotion, transfer, layoff, or
termination and rates of pay or other forms of compensation;
(b) at the request of the contracting agency, the Contractor shall request
each employment agency, labor union, or authorized representative of
workers with which it has a collective bargaining or other agrneraent or
understanding, to furnish a written statement that such employment
agency, labor union or representative will not discriminate on the basis of
race, creed, color, national origin, sex, age, disability or marital stares and
that such union ct representative will affirmatively cooperate in
implementation of the contractor's obligations herein; and
(c) the Contractor shall state, in all solicitations or advertisements for
employees, that, in the performance of the State contract, all qualified
applicants will be afforded equal employment opportunities without
discrimination because of race, creed, color, national origin, sex, age,
disability or marital status.
Contractor will include the provisions of"a", "b", and "c" above, in every
subcontract over $25,000.00 for the construction, demolition, replacement,
major repair, renovation, planning or design of real property and
improvements thereon (the "Work") except where the Work is for the
beneficial use ofthe Contractor. Section 312 does not apply to: (i) work,
goods or services unrelated to this contract; or (ii) employment outside
New York State; or (iii) banking cervices, insurance policies or the sale of
securities. The State shall consider compliance by a contractor or
subcontractor with the requirements of any federal law concerning: equal
employment oppomndty which effestuates the propose ofthis suction. The
contracting agency shall determine whether the imposition of the
requirements of the provisions bereof duplicata or conflict with any such
federal law and if such duplication or conflict exists, the contracting
agency shall waive the applicability of Section 312 to the extent of such
duplication or conflict. Contractor will comply with all duly promulgated
and lawful rules and regulations of the Governor's Office of~;nodty and
Women's Business Development pertaining hereto.
13. CONFLICTING TERMS. In the event ofa confict between the
terms of the contract (including any and all attachments thereto nad
amendments therco0 and the terms of this Appendix A, the terms of this
Appendix A shall control.
14. GOVERNING I~,AW. This contract shall be governed by the laws of
the State of New York except where the Federal supremacy clansa requires
otherwise.
I5..LATE PAYMENT. Timeliness of payment and any interest to be paid
to Contractor for late payment shall be governed by Article I I-A oftbe
State Finance Law ~o the extent required by law.
16. NO ARBITRATION. Disputes involving this contract, including the
breach or alleged breach thereof, may not be submitted to binding
arbitration (except where statutorily authorized), but must, instead, be
heard in a court of competent jurisdictiun of the State of New York.
17. SERVICE OF PROCESS. In addition to the methods of service
allowed by the State Civil Practice Law & Rules CCPLR"), Contractor
hereby consents to service of process upon it by registered or certified
mail, return receipt requested. Service hereunder shall be complete upon
Contractor's actual receipt of process or upon the State's receipt of the
return thereof by the United States Postal Service as refused or
undeliverable. Contractor must promptly notify the State, in writing, of
each and every change of address to which service of process can be made.
Service by the State to the last known address shall be sufficient.
Contractor will have thirty (30) calendar days after service hereunder is
complete in which to respond.
18. PROHIBITION ON PURCHASE OF TROPICAl,
HARDWOODS. The Contractor certifies and wan'ants that all wood
APPENDIX A
products to be used under this contract award will be in accordance with,
but not limited to, the specifications and provisions of State Finance Law
§ 165. (Use of Tropical Hardwoods) which prohibits purchase and use of
tropical hardwoods, unless specifically exempted, by the State or any
governmental agency or political subdivision or public benefit co~oration.
Qualification for an exemption under this law will be the responsibility of
the contractor to establish to meet with the approval of the State.
In addition, when any portion of this contract involving the use of woods,
whether supply or installation, is to be performed by any subcontractor, the
prime Contractor will indicate and certify in the submitted bid proposal
that the subcontractor has been informed and is in compliance with
specifications and provisions regarding use of tropical hardwoods as
de,ailed in §165 State Finance Law. Any such use must meet with the
approval of the State; otherwise, the bid may not be considered responsive.
Under bidder certifications, proofofqualificatinn for exemptiun will be the
responsibility of the Contractor to meet with the approval of the State.
19. MACBRIDE FAIR EMPLOYMENT PRINCIPI.I~g In accordance
with the MacBride Fair Employment Principles (Chap:er 807 of the Laws
of 1992), the Coo~an tor hereby stipulates that the Conuantor either (a) has
no bnsines~ operations in Northern Imiznd, or Co) shall take lawful step~
in good faith to conduct any bnsiness operations in Northern Ireland in
· ocordanae with the ManBride Fair Employment Principles (ns described
in Section 165 of the New York Steta Finance Law), and ~hall permit
independent monitoring of complinoce with such principles.
20. OMNIBUS PROCUREMENT ACT OF 1997, It is the policy of
New York State to maximize opportunities for the participation of New
York State business enterprises, including minority and women-owned
business enterprises as bidders, subcontractors and suppliers on its
procurement contracts.
Information on the availability of New York State subcontractors and
suppliers is available from:
NYS Depar~mnnt of Economic Development
Division for Small Business
30 South Pearl St -- 7* Floor
Albany, New York 12245
Telephone: 518-292-5220
A directory of certified minority and women-owned business enterprises
is available from:
NYS Department of Economic Development
Division of Minority and Womun's Businass Development
30 South Pearl St -- 2nd Floor
Albany, New York 12245
http://www.empiro.statc.ny.na
The Omnibus Procurement Act of 1992 requires that by signing this bid
proposal or contract, as applicable, Contractors certify that wl~enever the
total bid amount is greater than $1 million:
(a) The Contractor has made reasonable efforts to encourage the
participation of New York State Business Enterprises as suppliers and
subcontractors, including certified minority and women-owned business
enterprises, on this project, and has retained the documentation of these
efforts to be provided upon request to the State;
(b) The Contractor has complied with the Federal Equal Oppoaunity Act
of 1972 (P.L. 92-26 I), as amended;
(c) The Contractor agrees to make reasonable efforts to provide
notification to New York State residents of employment opportunities on
this project through listing any such positions with the Job Service
Division of the New York State Department of Labor, or providing such
notification in such manner as is consistent with existing collective
bargaining contracts or agreements. The Contractor agrees to document
these efforts and to provide said documentation to the State upon request;
and
(d) The Contractor acknowledges notice that the State may seek to obtain
offset credits from foreign countfins as a result of this contract and agrees
to cooperate with the State in these efforts.
21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are
hereby notified that if their principal pl~ce of business is located in a
country, nation, province, state or political subdivision that penalizes New
York State vendors, and if the goods or services they offer will be
substantially produced or performed outside New York State, the Oran ibus
Procurement Act 1994 and 2000 nmnndmunts (Chapter 684 and Chapter
383, respectively) roquim that they be denied contracts which they would
otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory
jurisdictions subject to this provision includes the states of South Carolina,
Alaska, West Virginia, Wyoming, Louisiana and Hawaii. Contact NYS
Department of Economic Development for a current list of jurisdictiuns
subject to this provision.
22. PURCHASES OF APPAREL. In accordance with State Finance Law
162 (4-a), the State shall not purchase any apparel from any vendor unable
or unwilling to certify that: (i) such apparel was manufactured in
compliance with all applicable labor and occupational safety laws,
including, but not limited to, child labor law~, wage and hours laws and
workplace safety laws, and (ii) vendor will supply, with its bid (or, if not
a bid situation, prior to or at the time of signing a contract with the State).
if known, the names nad addresses of each subcontractor and a list of all
manufacturing plants to be utilized by the bidder.
Updated 5/2004
APPENDIX A1
AGENCY-SPECIFIC CLAUSES
1. If this Agreement exceeds $15,000, it shall not take effect until it is executed by the parties
hereto and approved by the Attorney General and the Comptroller of the State of New York. If
this Agreement is for $15,000 or less, it shall not take effect until it is executed by both parties.
2. This Agreement sets forth the entire understanding of the parties and may not be altered or
amended except in writing and signed by the parties hereto. The parties agree, however, that
DCJS may unilaterally amend only the following sections of the Budget Amendment/Grant
Extension form (DCJS-55) to insure accuracy and .completeness: identification of Federal Funds
or State Funds; # 1 Grantee Name, #2 County; #3 Contract No.; #4 Implementing Agency; #5
DCJS No.; #7 Project Title; #9 Date of Last Approved Request; # 10 Contract Duration; and A.
Approved Project Budget. DCJS shall initial such amendment(s) and shall provide Grantee with
a copy of the corrected DCJS-55 that was unilaterally amended by DCJS.
3. The failure ora party to enforce a contractual obligation shall not eliminate the other party's
obligation to perform such contractual obligation.
4. In the event that any provision of this Agreement is determined to be null and void, all
remaining provisions shall continue to be in full force and effect.
5. The Grantee must notify DCJS in writing of any change in the number, title, job duties or rate
of remuneration of project staff which changes the Personal Service Project Budget line by 10
percent or under.. ^ny change in the number, title, job duties or rate of remuneration of project
staffwhich changes the Project Budget line more than l0 percent must be approved in writing by
DCJS prior to :mplementation. The Grantee agrees to provide DCJS with resumes and
supporting documentation upon request.
6. The Grantee shall submit detailed itemization forms for personal service and fringe benefit
expenditures, in a format determined by DCJS, with any voucher and Fiscal Cost Reports
requesting payment for expenditures.
7. The Grantee must maintain specific documentation as support for project related persona[
service expenditures, depending upon whether this grant contract project is supported by State or
Federal funds:
A. For State funded grants:
For all Grantee's staff whose salaries are paid in whole or in part from grant funds provided
under this Agreement, the Grantee shall maintain a time recording system which shows the
time devoted to the grant project. The system shall consist of time sheets, computerized
~vorkload distribution reports, or equivalent systems. The time devoted to grant activities
must be determinable and verifiable by DCJS. If time sheets are used, each must be signed by
the individual and certified by the individual's supervisor in a higher level position at the end
of each time reporting period.
B. For Federally funded grants:
Depending upon the nature or extent of personal service provided under this Agreement, the
Grantee shall maintain semi-annual (or more frequent) personal service certifications and/or
an after-the-fact personnel activity reporting system (or equivalent) which complies with the
requirements of the Federal Office of Management and Budget (OMB) Circulars A-21, A-87
or A-122, as applicable:
OMB Circular A-21 [Item J, General provisions for selected items of cost]
identifies documentation required for educational institutions as support for
grant project personnel costs.
OMB Circular A-87 [Attachment B, Selected Items of Cost] identifies the
documentation required for local government agencies as support for grant
project personnel costs.
OMB Circular A-122 [Attachment B, Selected Items of Cost] identifies the
documentation required for non-profit organizations as support for grant
project personnel costs.
The most current version of these Federal OMB Circulars may be viewed on-line at:
www.whitehouse.gov/omb/circulars.
The Grantee is to ensure full compliance v'ith specific personal service documentation
requirements of these OMB Circulars as applicable directly to the Grant recipient and to
an), sub-recipient (or collaborative agency/organization). Failure to do so may result in
disallowance of costs upon audit.
8. Budget amendmen'[~ are governed as follows:
A. The Grantee is not permitted to reallocate funds between Personal Service and Non-
Personal Service budget categories without the prior written permission of DCJS.
A Grantee seeking to modify Non-Personal Service budget categories by more than 20
percent of the total funds budgeted in a category must secure the prior written permission
of DCJS. A DCJS-55 setting forth the proposed amendmertt must be submitted to and
approved by DCJS before the next voucher and/or fiscal cost report will be approved.
Prior approval by DCJS is not required for Non-Personal Service budget changes which
are less than 20 percent. A DCJS-55 and a letter signed by the Chief Executive Officer
or Fiscal Officer authorizing these changes must be submitted to DCJS with the next
voucher or fiscal cost report submission.
2
9. Space rental provided by this Agreement must be supported by a written lease, maintained on
file and made available by the Grantee upon request.
10. The Grantee's request for travel, meals or lodging reimbursement shall be in accordance
with Appendix B, Budget, and, unless prior xvritten authorization has been received from DCJS,
shall not exceed rates authorized by the NYS Office of the State Comptroller.
11. The Grantee's employment of a consultant must be supported by a written agreement
executed by the Grantee and the consultant. A consultant is defined as an individual or
organization hired by the Grantee for the stated purpose of accomplishing a specific task relative
to the funded project. A copy of the agreement must be submitted to DCJS with the appropriate
voucher for payment. All consultant services must be obtained in a manner that provides for fair
and open competition. The Grantee shall retain copies of all solicitations seeking a consultant,
written agreements and documentation justifying the cost and selection of the consultant. The
Grantee further agrees that it shall assume sole and complete responsibility for fulfilling all the
obligations set forth in the Agreement and the Grantee must guarantee the work of the consultant
as if it were its own.
The rate for a consultant should not exceed $450 for an eight-hour day (not including
travel and subsistence costs). A rate exceeding $450 per eight-hour day requires prior
written approval from DCJS and may be approved on a case-by-case basis where
adequate justification is provided and expenses are reasonable and allowable.
In addition to the above requirements, a Grantee that is a local govemment or a not-for-
profit must adhere to the following guidelines at a minimum when obtaining ,,onsultant
services:
Consultant services that cost up to $999 under this grant agreement can be obtained
at the Grantee's discretion.
Consultant services that cost between $1,000 and $4,999 under this grant
agreement, must be supported by at least three telephone quotes and a record
created of such quotes.
Consultant services that cost between $5,000 and $9,999 under this grant
agreement must be supported by at least three written quotes on a vendor's
stationery and a record created of competitive procurement process utilized.
A Grantee obtaining consultant sep,4ces that cost in excess of $10,000 must use a
competitive bidding process. Guidance may be obtained from DCJS. At a
minimum, the competitive bidding process must incorporate the following: open,
fair advertisement of the opportunity to provide services; equal provision of
information to all interested parties; reasonable deadlines; sealed bids opened at
one time before a committee who will certify the process; establishment of the
3
methodology for evaluating bids before the bids are opened; and maintenance of a
record of competitive procurement process.
A Grantee who proposes to obtain consultant services from a particular vendor without
competitive bidding, must obtain the prior written approval of DCJS. The request for
approval must be in writing and set forth, at a minimum, a detailed justification for
selection and basis upon which the price was determined to be reasonable. Further, such
consultant services must be in accordance with the guidelines, bulletins and regulations
of the NYS Office of the State Comptroller, State Procurement Council, and the U.S.
Department of Justice. A copy of DCJS' approval must also be submitted with the
voucher for payment.
Notwithstanding the provisions of this paragraph, the Parties agree that DCJS' prior
written approval is not required for the employment of a consultant when such
employment is secured in relationship to a criminal matter as an expert witness,
consultant or investigator. The Parties agree that the employment shall be supported by a
written agreement and that all requests for reimbursement shall be supported by
documentation identifying the criminal matter involved, services provided, time
commitment and schedule. Such agreement and documentation shall be submitted to
DCJS with the appropriate voucher for payment.
12. All procurements, other than consultant services, shall be conducted in the following
manner. Written justification and documentation for allprocurements must be maintained on
file and made available upon request. Detailed itemization forms for nonpersonal service
expenditures, in a format determined by DCJS, shall accompany each voucher and Fiscal Cost
Report requesting payment. All procurements must be made in a fair and open manner and in
accordance with the pre-determined methodology established for evaluating bids (e.g., lowest
responsive bidder or best value).
A. A Grantee that is a state entity must make all procurements in accordance with State
Finance Law Article 11, and any other applicable regulations.
B. A Grantee that is a local government must make procurements in accordance with
General Municipal Law Article 5-A and any other applicable regulations.
C. In addition, a Grantee that is a not-for-profit must also make all procurements as noted
below:
If the Grantee is eligible to purchase an item or service from a government contract
or is able to purchase such item or service elsewhere at a lower than or equal price,
then such purchase may be made immediately.
A Grantee may purchase any single piece of equipment, single service or multiples
of each that cost up to $999 at its discretion.
Before purchasing any piece of equipment, service or multiples of each that have
an aggregate cost between $1,000 and $4,999, a Grantee must secure at least three
telephone quotes and create a record for audit of such quotes.
Before purchasing any piece of equipment, service or multiples of each that have
an aggregate cost between $5,000 and $9,999, the Grantee must secure at least
three written quotes on a vendor's stationery and maintain a record of the
competitive procurement process for audit purposes.
A Grantee spending in aggregate of $10,000 and above must use a competitive
bidding process. Guidance may be ol~tained from DCJS. At a minimum, the
competitive bidding process must incorporate the following: open, fair
advertisement of the opportunity to provide services; equal provision of
information to all interested parties; reasonable deadlines; sealed bids opened at
one time before a committee who will certify the process; establishment of the
methodology for evaluating bids before the bids are opened; and maintenance of a
record ofcorapetitive procurement process.
A Grantee who proposes to purchase from a particular vendor without competitive
bidding must obtain the prior written approval of DCJS. The request for approval
must be in writing and set forth, at a minimum, a detailed justification for selection
and the basis upon which the price was determined to be reasonable. Further, such
procurement must be in accordance with the guidelines, bulletins and regulations of
the NYS Office of the State Comptroller, State Procurement Council, and the U.S.
Department of Justice. A copy of DCJS' approval must also be submitted with the
voucher for payment.
13. Applicable equipment purchased with funds provided by this Agreement as listed in
Appendix B, Budget, shall be assigned a unique inventory number. The Grantee shall list all
applicable equipment purchased with such funds on Equipment Inventory Reports prescribed by '
DCJS and submit the original of such reports to DCJS/OFPA program representatives with the
final program progress report or sooner. Items of equipment costing less than $500 do not need
to be reported on the Equipment Inventory Reports although the Grantee is encouraged to
maintain an internal inventory for audit purposes. Upon completion of all contractual
requirements by the Grantee, DCJS will consider a request for continued use and possession of
the equipment purchased with grant funds provided the equipment continues to be used in
conducting a criminal justice p~:ogram.
14. Grant funds may be expended only for purposes and activities set forth in this Agreement.
Accordingly, the most important single requirement of accounting for this grant is the complete
and accurate documentation of grant expenditures. If the Grantee receives funding from two or
more sources, all necessary steps must be taken to ensure that grant-related transactions are not
commingled. This includes, but is not limited to, the establishment of unique budget codes, a
separate cost center, or a separate chart of accounts. Expenditures must be cross-referenced to
supporting source documents (purchase orders, contracts, real estate leases, invoices, vouchers,
5
timesheets, mileage logs, etc.). Grantee agrees it shall maintain adequate internal controls and
adhere to Generally Accepted Accounting Principles for Government or Generally Accepted
Accounting Principles for Not-for-Profit Organizations.
This Agreement may be subject to a fiscal audit by DCJS to ascertain financial compliance
with Federal and/or State laws, regulations, and guidelines applicable to this Agreement. Such
audits may include review of the Grantee's accounting, financial, and reporting practices to
determine compliance with the Agreement and reporting requirements; maintenance of accurate
and reliable original accounting records in accordance with governmental accounting standards
as well as generally accepted accounting principles; and specific compliance with allowable cost
and expenditure documentation standards prescribed by applicable Federal, State, and DCJS
guidelines.
15. Where advance payments are approved by DCJS, the Grantee agrees to expend the advance
payments in accordance with the purposes set forth in Appendix D and consistent with Appendix
B.
16. DCJS reserves the right to suspend program funds if the Grantee is found to be in
noncompliance with the provisions of this Agreement or other grant agreements between the
Grantee and DCJS or, if the Grantee or principals of the Grantee are under investigation by a
New York State or local law enforcement agency for noncompliance with State or Federal laws
or regulatory provisions or, if in DCJS' judgment, the services provided by the Grantee under the
Agreement are unsatisfactory or untimely. DCJS shall provide the Grantee with written notice
of noncompliance. Upon the Grantee's failure to co,'::ect or comply with the written notice by
DCJS, DCJS reserves the right to terminate this Agreement, recoup funds and recover any assets
purchased with the proceeds of this Agreement. DCJS reserves the fight to use approved grant
related expenditures to offset disallowed expencfitures from any grant funded through its offices
upon issuance ora final audit report and appropriate notification to the Grantee, or upon
reasonable assurance that the Grantee is not in compliance with Agreement terms.
17. The Grantee agrees, as a material condition of the Agreement, to comply with all applicable
provisions of the Hatch Act (5 U.S.C. §§1501 et seq.) as amended.
18. Program income earned by the Grantee during the funding period as a direct result of the
grant award must be reported in writing to DCJS, in addition to any other statutory reporting
requirements. This includes income received from seized and forfeited assets and cash, as well
as: sale of grant purchased property; royalties; fees for services; and registration/tuition fees.
Interest earned on grant funds is not program income unless specified in Appendix D. The
Grantee agrees to report the receipt and expenditures of grant program income to DCJS. All
income, including interest, generated by the use of these grant funds will be used to enhance the
grant project.
19. If applicable, the Grantee agrees to obtain not-for-profit status, a federal identification
number, and a charitable registration number (or a declaration of exemption) and to furnish
DCJS with this information as soon as it is available.
20. Unless otherwise specified, in accordance with the State Finance Law, the availability of all
State funds for liabilities already incurred thereunder shall cease on September 15~h of the year
following the fiscal year in which the funds were appropriated, unless such funds are
reappropriated by the New York State Legislature. To ensure payment, vouchers must be
received by DCJS by August Is~ of the year fo[lowing the fiscal year in which the funds were
appropriated.
21. The Grantee will submit program progress reports and one final report to DCJS on a
prescribed form provided by DCJS and additional information or amended data as required.
Program progress reports will be due withifl 45 days of the last day of each calendar
quarter or on an alternate schedule as prescribed in Appendix D. The first program
progress report will be due within 45 days of the last day of the calendar quarter from the
start date of the program.
Program progress reports thereafter will continue to be made until such time as the funds
subject to this Agreement are no longer available, have been accounted for, and/or
throughout the Agreement period or project duration.
Calendar quarters, for the purposes of making program progress reports, shall be as
follows:
Calendar Quarter Report Due
January I - March 31 May 15
April I - June 30 August 15
July 1 - September 30 November 15
October I - December 31 February 15
B. The final report, or where applicable interim progress reports, will summarize the
project's achievements as well as describe activities for that quarter.
22. If for any reason the State of New York or the federal government terminates its
appropriation through DCJS or fails to pay the full amount of the allocation for the operation of
this program, this Agreement may be terminated or reduced at the discretion of DCJS, provided
that no such reduction or termination shall apply to allowable costs already incurred by the
Grantee where funds are available to DCJS for payment of such costs. Upon termination or
reduction of the Agreement, all remaining funds paid to the Grantee that are not subject to
allowable costs already incurred by the Grantee shall be returned to DCJS. In any event, no
liability shall be incurred by DCJS or by the State of New York beyond monies available for the
purposes of this Agreement. The Grantee acknowledges that any funds due to DCJS because of
disallowed expenditures after audit shall be its responsibility.
7
23. If Appendix B, Program Budget, makes provisions for overtime payment, the Grantee agrees
to submit vouchers for such payment of overtime charges within 45 days after the last day of the
quarter for the reporting period. The Grantee further agrees to limit overtime earnings to no
more than 25 percent (25%) of the employee's annual personnel cost (salary plus fringe benefits)
during the term of this Agreement. No reimbursements for overtime charges in excess of this 25
percent (25%) limit will be made unless prior written approval has been obtained from DCJS.
24. None of the goals, objectives or tasks set forth in Appendix D shall be subawarded to
another organization without specific prior written approval by DCJS. Where the intention to
make subawards is clearly indicated in the application, CJS approval is deemed given, if these
D ' '
activities are funded as proposed.
If this Agreement makes provisions for the Grantee to subgrant funds to other recipients, the
Grantee agrees that all subgrantees shall be held accountable by the Grantee for ail terms and
conditions set forth in this Agreement. The Grantee further agrees that it shall assume sole and
complete responsibility for fulfilling all the obligations set forth in the Agreement and the
Grantee must guarantee the work of any subgrantee as if it were its own.
The Grantee agrees that all subgrantee arrangements shall be formalized in writing between
the panics involved. The writing must, at a minimum, include the following information:
· Activities to be performed;
· Time schedule;
· Project policies;
· Other policies and procedures to be followed;
· Dollar limitation of the Agreement;
Appendix A, Appendix A-1, Appendix C, Certified Assurances for Federally Supported
Projects, Certification Regarding Lobbying~ Debarment and Suspension and any special
conditions set forth in the Agreement; and
· Applicable Federal and/or State cost principles to be used in determining allowable costs.
The Grantee will not be reimbursed for subgranted funds unless all expenditures by a
subgrantee are listed on certification forms. Backup documentation for such expenditures must
be made available upon request. All expenditures must be progammatically consistent with the
goals and objectives of this Agreement and with the financial plan set forth in Appendix B.
25. Federal Funds
A. In accordance with Federal requirements, a Grantee which receives during its fiscal year
$500,000 or more of Federal funds (including pass-through and direct) from all sources,
including this Agreement, must agree to have an independent audit of such Federal funds
conducted in accordance with the Federal Office of Management and Budget (OMB)
Circular A-133. OMB Circular A-133 further requires that the final report for such audit
be completed within nine months of the end of the Grantee's fiscal year. The Grantee
further agrees to provide one copy of such audit report(s) to DCJS within nine months of
the end of its fiscal year(s).
In accordance with Federal requirements, a Grantee receiving Federal pass-through funds
must also agree to comply with the terms and conditions of any and all applicable Federal
OMB Circulars. For the convenience of th~: Grantee, the following OMB circulars are
noted as the most common applicable to federal funds passed through DCJS:
· OMB Circular A-21, Cost Principles for Educational Institutions;
· OMB Circular A-87, Cost Principles for State, Local and Indian Tribal
Governments;
· OMB Circular A-102, Grants and Cooperative Agreements With State and Local
Governments;
· OMB Circular A- I 10, Uniform Administrative Requirements for Grants and Other
Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations; and
· OMB Circular A-122, Cost Principles for Non-Profit Organizations.
The Parties agree that, dependent upon the status of the Grantee, additional circulars may also be
applicable. The most current version of all Federal OMB Circulars may be viewed on-line at:
.www.whitekouse. gov/omb/circulars.
The Grantee is to ensure fidl compliance with all cost documentation requirements of
OMB Circulars as applicable directly to the Grant recipient and to any sub-recipient (or
collaborative agency/organization). Failure to do so may result in disallowance of costs
upon audit.
26. Any creative or literary work developed or commissioned by the Grantee with grant support
provided by DCJS shall become the property of DCJS, entitling DCJS to assert a copyright
therein, unless the parties have expressly agreed otherwise in a written instrument signed by
them.
If DCJS shares its right to copyright such work with the Grantee, DCJS reserves a
royalty-free, nonexclusive, and irrevocable license to reproduce, publish or otherwise
use, and to authorize others to use: (a) the copyright in any work developed under a
grant, subgrant, or contract under a grant or subgrant; and (b) any rights of copyright to
which a Grantee, Subgrantee, or a Contractor purchases ownership with grant support.
If the grant support provided by DCJS is federally sponsored, the federal awarding
agency also reserves a royalty-free, nonexclusive, and irrevocable license to reproduce,
publish or otherwise use, and to authorize others to use: (a) the copyright in any work
9
developed under a grant, subgrant or contract under a grant or subgrant; and (b) any
rights of copyright to which a Grantee, Subgrantee, or a Contractor purchases ownership
with such grant support.
The Grantee shall submit one copy of all reports and publications resulting from this
Agreement to DCJS. Any publications must contain the following statement, in visible
print, of any document generated pursuant to a grant administered by DCJS:
This project was supported by a grant administered by the New York State Division of
Criminal Justice Services. Points of view in this document are those of the author and do
not necessarily represent the official positibn or policies of the Division of Criminal
Justice Services.
27. Original records must be retained for six years following the submission of the final claim
against this Agreement. In the event ora fiscal audit, the project manager or a designated
responsible party must be prepared to produce soume documents that substantiate claimed
expenditures. DCJS requires that all documentation materials be organized, readily accessible,
and cross-referenced to the Fiscal Cost Reports previously submitted. If fiscal records, such as
pumhase orders, vouchers, payroll registers, payroll tax records, etc., are to be kept in a fiscal
office which is separate and apart from the program office, the project manager must have access
to these original records. Such fiscal records must readily identify the associated project. In
addition, a separate set of records must be retained for each project year.
28. Grant-related expenditures shall be reported on Fiscal Cost Reports and detailed itemization
forms provided by DCJS. These reports must be, prepared periodically as defined in Appendix C
of this Agreement. All reported expenditures must reconcile to the program accounting records.
Prior period adjustments shall be reported in t~e same accounting period that the correction was
made.
I0
Award Contract
Project No.
NC04-1092-D00
Grantee Name
Southold, Town of
Narcotics Control
10/0612004
Budget Summary. by ParUcipa~
Southold, Town of - Version 1
t Equipment
Livescan Unit
Mugshot Booking Cabinet and Analog Video
ICamera
Total
Numbet Unit Cost 1 /$15,253.00
1 / $5,700.00
Matching
Total Cos Srant Funds Funds
$15,253.00
$5,700.00
$20,953.00
$11,440.00
$4,275.00
$15,715.00
$3,813.00
$1,425.00
$5,238.00
All Other Expenses
Comnetix HTE RMS Import/Export Interface
RMS HTE Fingerprints Interface
RMS Interface To Local AFIS
Crime Mapping Extract Functionality - Sungard HTE
_ooking Glass Crimes Software and Training
Training (1 Day @ $1,200 Per Day)
Comnetix Program Management
Comnetix Equipment and Software Installation Fee
Total
NumbetUnit Cost
I /54,000.00
1 /58,000.00
1 ~ $500.00
/$3,000.00
~$1,200.00
~$1,500.00
R$1,6oo.oo
Grant Matching
Total Cost Funds Funds
$4,000.00 $3,014.00
$8,000.00
$6,028.00
$986.00
$1,972.00
$500.00 $333.00 $167.00
$3,000.00 $2,250.00 $750.00
$1,200.00 $900.00 $300.00
$1,500.00 $1,125.00 $375.00
$1,600.00 $1,200.00 $400.00
~H 9,800.00 $14,850.00 $4,950.00
Total Project Costs Tot¢.l Cost
$4rj,753.00_[
Grant Funds
$30,565.00
Matching Funds
$10,188.00
Southold Town Police Department
04/01/03
APPENDIX C
PAYMENT AND REPORTING SCHEDULE
NOTE: Additional payment provisions associated with the schedule(s) below' are detailed in Appendix A-l.
For All Grantees:
The Grantee agrees that this is a reimbursement-based contract; an advance may be provided
through Appendix D. All requests for reimbursement must reflect actual costs that have been
disbursed or items received by the Grantee. A purchase order issued without receipt of the items
or service is not eligible for reimbursement.
Grantees must submit all required fiscal reports, supporting documentation and program progress
reports. Failure to meet these requirements will result in the rejection of associated vouchers.
Failure to submit the final program report, or interim progress report designated as the final
report, may result in a disallowance of 25 percent (25%) of the grant amount. The Grantee must
also refund all unexpended advances. (See item three below.) Final vouchers, reimbursement
payment and reports must be submitted within 45 days of the end of the grant contract period.
Failure to voucher within this period may result in the loss of grant funds.
If at the end of this grant contract there remains any unexpended balance of the monies advanced
under this contract in the possession of the Grantee, the Grantee shall submit a certified check or
money order for the unexpended balance payable to the order of the State of New York and
return it to the Finance Office of DCJS with its final fiscal cost report within 45 days of
termination of this grant contract.
Vouchers shall be submitted in a format acceptable to DCJS and the Office orthe State
Comptroller. Vouchers submitted for payment shall be deemed to be a certification that the
payments requested are for project expenditures made in accordance wiOi the items as contained
in the Project Budget (Appendix B) and during the contract period. Wh.en submitting a voucher,
such voucher shall also be deemed to certify that: a) the payments requested do not duplicate
reimbursement from other sources of funding; and b) the funds provided herein do not replace
funds that, in the absence of this grant, would have been made available by the Grantee for this
program. Requirement b) does not apply to Legislative sponsored State grants.
For purposes of prompt payment provisions, the Designated Payment Office for the processing of
all vouchers is the Finance Office of DCJS. Payment of grant vouchers shall be made in
accordance with the provisions of Article XI-A of the State Finance Law. Payment shall be
preceded by an inspection period of 15 business days which shall be excluded from calculations
of the payment due date for purposes of determining eligibility for interest payments. The
Grantee must notify the Finance Office in writing of a change of address in order to benefit from
the prompt payment provision of the State Finance Law. When progress reports are overdue,
vouchers will not be eligible for prompt payment.
Timely and properly completed New York State vouchers, with supporting documentation when
required, shall be submitted to:
NYS Division ofCriminalJustice Se~'ices
Finance Office
4 Tower Place
Albany, NY 12203-3764
Payment schedules and payment method provisions are outlined on page 2 of this Appendix.
6. Payment Schedule
PA YMENT ] PA YMENT DUE DA TE
1 Pending appropriation, 30 days after commencement date of contract with proper
documentation or upon receipt of proper documentation, whichever is later.
2-4 ~uarterl),
A not-for-profit Grantee operating on a multi-year contract may voucher for an optional fifth
quarter advance against the succeeding year's appropriation, pursuant to NYS Finance Law, Section 179-u.
All submitted vouchers will reflect the Grantee's actual expenditures and will be accompanied by
supporting detailed itemizations of personal service and non-personal service expenditures and other
documentation as required, and by a fiscal cost report for the reporting period. DCJS reserves the right not
to release subsequent grant awards pending Grantee compliance with this Agreement. In the event that any
expenditure for which the Grantee has been reimbursed by grant funds is subsequently disallowed, DCJS in
its sole discretion, may reduce the voucher payment by the amount disallowed. If necessary, the Grantee
may be required to submit a final budget reallocation. Fiscal cost reports must be submitted showing grant
expenditures and/or obligations for each quarter of the grant within 45 days afl.er the last day of the quarter
for the reporting period.
Advance payments shall be permitted as specified in Appendix A-l, and in the amount specified in
Appendix D.
Payment requests need to include the following documents as required:
Detailed Itemization of Personal Service Expenditures
Detailed Itemization of Non-Personal Service Expenditures
Detailed Itemization of Consultant Expenditures
Expert witness agreement and supporting documentation
Voucher and Fiscal Cost Report signed
Written documentation of all required DCJS prior approvals as follows: · DCJS approval of non-competitive consultant.
· DCJS approval of non-competitive vendor for services.
· DCJS approval of consultant services reimbursement greater than $450 per eight hour
day.
· DCJS approval of change to Personal Services by more than 10 percent.
· DCJS approval to exceed NYS Office of the State Comptroller travel, meals and
lodging rates.
· DCJS approval to subaward to another organization.
· DCJS approval for overtime payments exceeding 25 percent of an employee's annual
personnel cost.
· DCJS approval to modify Non Personal Services budget categories by more than 20
percent.
· DCJS approval to reallocate funds between Personal Services and Non Personal
Services.
2
GOAL(S), OBJECTIVES AND TASKS BYRNE - NARCOTICS CONTROL
DCJS No. Grantee Name AWARD CONTRACT - APPENDIX D
NC03874530 Southold, Town of
This Pro~ram will be implemented by: Southold Town Police Department
GOAL:
Improve criminal history record information at the State, Federal and local levels through the
implementation of a fully integrated and functioning livescan and/or cardscan system for the
electronic capture and transmission of all arrest data, fingerprint images and mugshotslto the
New York State Division of Criminal Justice Services (DCJS), and integrate such technology
with local records management systems. Improve the timeliness of such submissions, reduce
redundancy and time required to process an arrestee through the booking process, and reduce the
total elapsed time from submission of the transaction to the receipt of the resulting rapsheet.
OBJECTIVE #1:
Automate the arrest fingerprint acquisition process, interfacing it xvith a local records
management system and a mugshot capture mechanism, and complying with all DCJS
requirements.
Task 1:
Procure and implement a system capable of producing electronic arrest fingerprint transactions
and which complies with all the following requirements:
5.
6.
7.
The transactions must adhere to the requirements stated in the DCJS "New York State
Criminal Justice Electronic Fingerprint Transmission Standard" (NYSCJEFTS).
The cardscan or livescan equipment must be FBI Certified to Level "F."
The cardscan/livescan must perform the following checks:
a. Slap to Roll
b. Image Quality
c. Roll to Roll [DCJS will accept as a substitute a full 10 finger slap to slap finger
check.]
All operator overrides of image quality and sequence checks must be indicated on the
transmission to DCJS per the NYSCJEFTS.
The FBI certified WSQ algorithm for fingerprint image compression used for transactions
sent to DCJS should provide an average 15:1 compression ratio.
The cardscan or livescan captured images may be compressed only once before
transmission to DCJS.
The cardscan/livescan equipment will provide full-sized rolled images to DCJS (1.5"h x
1.6%v with no cropping).
8. For any cardscan system being implemented, it must provide an Auto Card Position
Check or display of at least the 10 rolled fingers for operator review.
9. Mugshots should be sent to DCJS with arrest transactions.
10. All mugshots must meet the standards defined in the DCJS 'Policy for Acquisition and
Implementation of Livescan, Cardscan and Photo Imaging Systems.' [A legacy mugshot
system may need to be upgraded.]
11. The system must utilize a records management system (RMS). [DCJS will provide SJS
software free of charge if requested. Funding of new non-SJS RMS systems will not be
provided in this RFA.]
12. The system must permit single keying of arrest data to provide arrest information to both
cardscan/livescan and RMS.
13. There must be an electronic message link between the system and the RMS. [The RMS
can be a legacy system or SJS.]
14. Some portion of the system (e.g. RMS, Integration Module, etc.) must provide text
checking/editing to ensure adherence to the DCJS 'Statewide Criminal Justice Data
Dictionary' prior to transmission to DCJS. [The NYSCJEFTS requires adherence to
'Statewide Criminal Justice Data Dictim,ary' standards unless explicitly stated
otherwise.]
15. The system must provide for a method to ensure that the latest NYS Coded Laws Table is
utilized.
16. If the agency is a new Host Site, it must utilize the NYeNet for sending transactions to
DCJS. [A Host site is the one site within a group of individual agencies that will
interface to the DCJS S&F. The individual agencies will communicate with DCJS via the
host site.]
l 7. The agency must use DCJS' eJusticeNY for rapsheet delivery.
18. If a Heimann optical block ~s used in a livescan, it must have the new Heimann Slip
Detection Software.
l 9. Staff using the,system must be able to determine, either through vendor provided tools or
eJusticeNY, the status of transactions sent to DCJS.
20. The system must provide the capability to modify data and/or include new fingerprint
images for a rejected transaction, and then resubmit that transaction to DCJS per
NYSCJEFTS specifications.
21. For all arrest submissions, the system must provide a way to enter and send a Criminal
Justice Iracking Number (CJTN) if using a cardscan with a DCJS arrest card, or accept
back and make available the CJTN assigned and returned by DCJS for use by the
arresting agency and the applicable court.
22. The RMS must be able to generate Crime Mapping Extract files to be forwarded
separately to DCJS.
23. If the system sends Scars, Marks & Tattoos descriptions and/or images to DCJS, they
must follow the NYSCJEFTS requirements.
24. If the system ',,,'ill send digitally captured signatures to DCJS, they must follow the
signature requirements in the NYSCJEFTS.
25. If the system provides for local fingerprint card printing, the card print system must be
certified to FBI level "F".
Performance Measure:
The contracting agency needs to send a letter to DCJS stating that all equipment,
software, and interfaces meet the standards defined in the task above.
OBJECTIVE #2:
Ascertain that all components, hardware, software, interfaces, training, and network connections
operate as expected, are acceptable both to the implementing agency and to DCJS, and that the
system is able to generate NYSCSEFTS-compliant transactions that are able to be processed by
DCJS.
Task la:
For an agency connecting to a host site for subsequent transmission to DCJS: The ~onnection
method (secure dedicated line, interact with VPN, frame relay, NYeNet, etc.) between the agency
and host site must be communicated to DCJS networking staff and be approved as secure and
acceptable. Please contact the DCJS Infrastructure Support CNetworking) Group at 800-262-
3257 to establish such approval. DCJS also needs to know and approve the method(s) being
used for eJusticeNY access for all agencies.
Performance Measure:
DCJS networking staff are informed as to connectivity method', and have agreed that they
are acceptable.
Task lb:
For an agency connecting to a host site for subsequent transmission to DCJS: Submit five test
transactions to DCJS with fingerprints from different individuals prior to final implementation.
Please contact the DCJS Quality Assurance Unit at 800-262-3257 to arrange and conduct this
fingerprint image quality review. DCJS Identification Operations staffwill then review the
images for clarity and acceptability.
Performance Measure:
DCJS Identification Operations staff review the submitted fingerprint images, and agree
that the images are of acceptable quality.
Task lc:
For an agency fimctioning as a new host site implementing a centralized Store and Forward
server: Obtain, fill out, and return the DCJS "Checklist for Store and Forward
Livescan/Cardscan Test Readiness (For Criminal Submissions)," which provides DCJS with
needed technical and operational infon~nation. The checklist can be obtained by contacting thc
DCJS Biomctric Technology Bureau at 800-262-3257, extension 7-6120.
Performance Measure:
The checklist is obtained from DCJS, is submitted with pertinent information included,
and is found to bc acceptable after review by DCJS staff.
Task Id:
For an agenc), functioning as a new host site implementing a centralized Store and Forward
server: Conduct a certification test between DCJS and a workstation at either the host agency or
one of its contributors. Please contact the DCJS Quality Assurance Unit at 800-262-3257 to
arrange and conduct this test. (Note: Thc checklist described in the previous task needs to be
received and approved by DCJS before a test date can be established.)
Performance Measure:
A certification test is run and found to be acceptable to DCJS Quality Assurance staff
(concerned with data integrity and system performance functionality) and the
Identification Operations staff (concerned with image quality and acceptability).
Task le:
For an existing host site with a currently implemented Store and Forward server: Inform DCJS
as to any upgrades and/or modifications to your existing infrastructure, and obtain agreement
from DCJS that such contemplated changes will accomplish the desired goals and will continue
known compliance with current standards and specifications. Please contact the DCJS Biometric
Technology Bureau at 800-262-3257, extension 7-6120, to initiate and obtain such agreement.
Performance Measure:
The DCJS Biometric Technology Bureau, along with all interested DCJS bureaus and
departments, agrees that all upgrades and/or modifications made to an existing system are
acceptable.
OBJECTIX~ #3:
Determine that the Use and Dissemination Agreement between DCJS and the contributing
agency is current and valid for the electronic submission of fingerprint transactions to DCJS.
Task 1:
For all agencies: Contact the DCJS ISS Administration Unit 1-800-262-3257 ext. 5-7676 to
ascertain ifa new or updated Use and Dissemination Agreement is required. If required, execute
a new or updated Use and Dissemination Agreement.
Performance Measure:
The DCJS ISS Administration Unit has been contacted, and the Usc and Dissemination
Agreement in place is considered valid and acceptable for electronic fingerprint
submissions to DCJS.
OBJECTIVE #4:
Implement the fully integrated and functioning livescan/cardscan system for electronic
transmission of all arrest transactions to DCJS.
Task 1:
Ensure that all installation, customizing, training, and all other ancillary steps are completed, and
that the system is successfully sending electronic arrest transactions to DCJS within the period of
this contract.
Performance Measure:
DCJS is receiving all arrest transactions electronically within the period of this contract.
SPECIAL CONDITIONS
Upon approval of this grant by the Office of the State Comptroller, or DCJS for "T"
contract only, the Grantee is authorized to initially voucher for advance payment of
those prospected expenses previously approved by DCJS not to exceed $0.00 from the
total contracted amount. Consistent with Appendix A-1 of this grant contract, vouchers
for advance payments for the purchase of equipment and supplies must be supported
by a copy of the purchase order.
Grantee agrees that if the project is not operational within 60 days of the original
starting date of the grant period, it will report by letter to BJF the steps taken to initiate
the project, the reasons for delay, and the expected starting date. If the project is not
operational within 90 days of the original starting date of the grant period, the Grantee
will submit a second statement to BJF explaining the delay. The State may either
cancel the project and redistribute the funds or extend the implementation date of the
project beyond the 90-day period when warranted by extenuating cimumstances.
Grantee agrees that these funds will be used to supplement and not supplant existing
funds and services.
This contract may be extended, increased, decreased, terminated, renewed, amended
or renegotiated at the discretion of the Commissioner of the Division of Criminal Justice
Services.
Grantee agrees that if funding' is being provided for the implementation of any of the
crime reduction strategies ur,der Operation IMPACT (Violent Juvenile Crime Reduction,
Violent Street Crime Enforcement, Road to Recovery or Re-Entry) that the
implementing agency will develop a formal interactive relationship with those other
strategy initiatives in the county.
The following special conditions apply to contracts with county or municipal
governments as appropriate:
The following will apply to programs involving drug, firearms or vehicle theft or vehicle
related insurance fraud investigations: Grantee agrees that if project funds (including
matching funds where applicable) ara utilized to conduct the aforementioned
investigations, the Grantee shall acquire membership in the Unified Drug Enforcement
Coordinating System (UDECS) for its jurisdiction. Membership in UDECS obligates the
Grantee to submit information regarding persons or addresses under active
investigation in accordance with UDECS regulations and policies. In addition, the
Grantee agrees to participate in the Upstate New York Regional Intelligence Center
(UNYRIC) or the New York/New Jersey High Intensity Drug Trafficking Area Regional
Intelligence Center (NY/NJ HIDTA RIC) as appropriate.
Law enforcement Grantees are required on a monthly basis to submit a data extract file
for the target jurisdiction to DCJS for crime mapping. Grantees may request a
temporary waiver of the mapping requirement if this condition would prohibit the
immediate implementation of this project. Information regarding the New York State
Crime Mapping System can be made by calling the Customer Contact Center at 800-
262-3257.
All criminal justice information management software which Grantee may purchase or
develop with funds provided under the terms of this agreement must conform to
established New York State criminal justice data standards as documented in the most
current version of the New York Statewide Criminal Justice Data Dictionary. In addition,
all such information management software purchased or developed with funds provided
under the terms of this agreement must conform to statewide standards for the
collection, processing and reporting of criminal justice information as documented in the
New York State Standard Practices Manual for the Processing of Finqerprintable
Criminal Cases. The latest versions of both documents referenced above can be
accessed at the DCJS web site or obtained by calling the DCJS Customer Contact
Center at 800-262-3257.
Grantee shall enroll as a user of eJusticeNY and make use of the eJusticeNY suite of
services, as applicable. Under the terms of a Formal Use and Dissemination agreement
with DCJS, all authorized users of eJusticeNY have access to New York State criminal
history rapsheets, with mugshots; the New York State Sex Offender Registry
Subdirectory of most serious offenders; the DCJS Crime Mapping System; the DCJS
Missing Children's Clearinghouse; New York State Wanted Persons data; out-of-state
criminal history information; driver and vehicle information from the New York State
Department of Motor Vehicles; and other relevant data and data, sources. Information
regarding registration for access to eJusticeNY can be obtained by calling the DCJS
Customer Contact Center at 800-262-3257.
Grantee shall enroll as applicable in the ePagesNY Directory established and
administered by DCJS. ePagesNY is a statewide directory service provided free-of-
charge by the Division of Criminal Justice Services to the criminal justice community of
New York State. Information regarding enrollment in the ePagesNY Directory can be
obtained by calling the DCJS Customer Contact Center at 800-262-3257.
Law enfomement agencies must submit UCR Part 1 crime reports to DCJS by 30 days
following the end of the month. Additional data requirements are outlined in Appendix D
of this contract award. Failure to submit this information may result in grant funds being
withheld.
Grantee agrees that match provided is a cash, not in-kind match.
In addition to the submission of program progress reports as outlined in Appendix A-l,
the Grantee will also provide information for the Byrne State Annual Report (SAR). This
information will be provided on a form prescribed by DCJS to be supplied to the
Grantee prior to the due date of the report and the Grantee will provide the requested
information for the prior July 1st through June 30th period.
FFY 2003 expenditures must be made by September 30, 2006. Any extension beyond
this time is contingent upon BJA's approval of the State's request for an award
extension.
No monies from this award or the accompanying match may be obligated to support the
investigation, seizure, or closure of clandestine methamphetamine laboratories until
such a time as DCJS has a mitigation plan in place which meets all applicable Federal,
State and local laws and regulations and DCJS has the capability to ensure compliance
and monitor activities.
NEW YORK STATE DIVISION OF CRIMINAL JUSTICE SERVICES
OFFICE OF FUNDING AND PROGRAM ASSISTANCE
Certified Assurances for Federally-supported Projects
The applicant hereby assures and certifies compliance with all Federal and State statutes, regulations, policies,
guidelines, and requirements, including OMB Circulars No. A-21, A-110, A-122, A-133, A-87, E.O. 12372 and
Uniform Administrative Requirements for Grants and Cooperative Agreements - 28 CFR, Part 66, Common Rule.
that govern the application, acceptance, and use of Federal funds for this federally-assisted project. The applicant
also assures and certifies that:
It possesses legal authority to apply for the grant; that a resolution, motion, or similar action, has been duly
adopted or passed as an official act of the applicant's governing body, authorizing the filing of the
application, including all understandings and assurances contained therein and in directing and authorizing
the person identified as the official representative of the applicant to act in connection with the application
and to provide such additional information as may be required.
It will comply with the requirements of the provisions of the Uniform Relocation Assistance and Real
Property Acquisitions Act of 1970 (P.L. 91-646) which provides for fair and equitable treatment of persons
displaced as a result of Federal and federally-assisted programs.
It will comply with the provisions of Federal law known as the Hatch Act which limit certain political
activities of employees of a State or local unit of government whose principal employment is in connection
with an activity financed in whole or in part by Federal grants (5 USC, Section 1501, et seq, as amended).
It will comply with the minimum wage and minimum hours provisions of the Federal Fair Labor Standards
Act, if applicable.
It will establish safeguards to prohibit employees from using their positions for a purpose that is or gives
the appearance of being motivated by a desire for private gain for themselves or others, particularly those
with whom they have family, business, or other ties.
It will give the U.S. Departmen! of Justice, New York State Division of Criminal Justice Service (DCJS) or
the Ni~w York State Comptroller's Office, through any authorized representative, access to and the fight to
examine all records, hooks, papers, or documents related to the grant.
It will comply with all requirements imposed by the U.S. Department of Justice and New York State
concerning special requirements of law, program requirements, and other administrative requirements.
It will ensure that the facilities under its ownership, lease, or supervision which shall be utilized in the
accomplishment of the project are not listed in the Environmental Protection Agency's (EPA) list of
Violating Facilities and that it will notify DCJS of the receipt of any communication from the Director of
the EPA Office of Federal Activities indicating that a facility to be used in the project is under
consideration for listing by the EPA.
It will comply with the flood insurance requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973, Public Law 93-234, 87 Stat. 975, approved December 3 I, 1976, Section 102 (a) requires, on or
after March 2, 1975, the purchase of flood insurance in communities where such insurance is available as a
condition for the receipt of any Federal financial assistance for construction or acquisition purposes for use
in any area that has been identified by the Secretary of the Department of Housing and Urban Development
as an area having special flood hazards. The phrase, "Federal financial assistance" includes any form of
loan, grant, guaranty, insurance payment, rebate, subsidy, disaster assistance loan or grant, or other form of
direct or indirect Federal assistance.
10. It will assist DCJS in its compliance with Section 106 of the National Historic Preservation Act of 1966 as
amended (16 U.S.C. 470), Executive Order I 1593 and the Areheological and Historical Preservation Act of
11.
12.
13.
14.
15.
16.
17.
18.
1966 (16 U.S.C. 496a-1 et seq.) by (a) consulting with the State Historic Preservation Officer on the
conduct of investigations, as necessary, to identify properties listed in or eligible for inclusion in the
National Register of Historic Places that are subject to adverse effects (see 36 CFR Part 800.8) by the
activity, notifying DCJS of the existence of any such properties, and by (b) complying with all requirements
established by the Federal Government to avoid or mitigate adverse effects upon such properties.
It will comply with the appli_cable provisions of the Title I of the Omnibus Crime Control and Safe Streets
Act of 1968, as amended, the Juvenile Justice and Delinquency Prevention Act, or the Victim of Crime Act,
as appropriate; the provisions of the current edition of the Office of Justice Programs' Financial Guide; and
all other applicable Federal laws, orders, circulars, or regulations.
it will comply with the provisions of 28 CFR applicable to grants and cooperative agreements including
Part 18, Administrative Review Procedure, Part 20, Criminal Justice Information Systems; Part 22,
Confidentiality of Identifiable Research and Statistical Information; Part 23, Criminal Intelligence Systems
Operating Policies; Part 30, Intergovernmental Review of Department of Justice Programs and Activities;
Part 42, Nondiscrimination Equal Employment Opportunity Policies and Proeeduros; Pan 61, Procedures
for Implementing the National Environment Policy Act; Part 63, Floodplain Management and Wetland
Protection Procedures, and Federal laws or regulations applicable to Federal assistance programs.
It will comply, and all its contractors will comply, with the non-discrimination requirements ofthe
Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789(d), or Victims of Crime
Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the
Rehabilitation Act of 1973, as amended; Subtitle A, Title II of the Americans with Disabilities Act (ADA)
(1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975~ Departraent
of Justice Non-Discrimination Regulations, 28 CFR Pan 42, Subparts C,D,E, and 0; and Deparanent of
Justice regulations on disability discrimination. CFR Pan 35 and Pan 39.
It assures that in the event a Federal or State court or Federal or State administrative agency makes a
finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin,
sex, or disability against applicant, the applicant will forward a copy of the finding to DCJS for transmittal
to the U.S. Department of J'ustice, Office of Civil Rights.
It will comply with the provisions oftbe Coastal Barrier Resources Act (P.L. 97-348) dated October 19,
1982 (16 USC 3501 et seq.) which prohibits the expenditure of most new Federal funds within the units of
the Coastal Barrier Resources System.
It will be solely responsible and answerable in damages for any and all accidents and/or injuries to persons
(including death) or property arising out of or related to the services to be rendered pursuant to this
agreement. The applicant will indemnify and hold harmless New York State and its officers and employees
from claims, suits, actions, damages, and costs of every nature arising out oftbe provision of federally-
funded services.
The applicant is potentially an independent contractor and may neither hold itself out nor claim to be an
officer, employee or subdivision of New York State nor make any claim, demand or application to or for
any right based upon any different status.
It assures that Federal formula grant funds, or the required cash matching funds, will not be used to
supplant State or local funds but will be used to increase the amounts of such funds that would, in the
absence of Federal funds, be made available for law enforcement and criminal justice activities.
It assures that matching funds required to pay the non-Federal portion of the cost of each program and
project, for which federal funds are made available, shall be in addition to funds that would otherwise be
made available for law enforcement and criminal justice activities by recipients of grant funds.
19. It assures that it shall maintain such data and information and submit such reports in such form at such
times and containing such data and information as DCJS may reasonably require to administer the program.
20.
21.
22.
23.
24.
25.
It agrees that, in compliance with Section 623 of Public Law 102-141, no amount &this award shall be
used to finance the acquisition of goods or services (including construction services) that have an aggregate
value of $500,000 or more, unless the recipient:
(a)
specifies in any announcement of the awarding of the contract for the procurement of the goods
and services involved (including construction services) the amount of Federal funds that will be
used to finance the acquisition; and
(b)
expresses the amount announced pursuant to paragraph (a) as a percentage of the total cost of the
planned acquisition.
New York State agency applicants assure compliance with Title V of the Anti-Drag Abuse Act of 1988 and
regulations promulgated by the Federal Government to maintain a drug-free workplace.
When applicants having 50 or more employees which receive an amount of $500,000 or more, or $500,000
in the aggregate, in any fiscal year, are required to formulate and provide an Equal Employment
Opportunity Program (EEOP), in accordar-, with 28 CFR, subpart e. The applicant agrees to mail> ,!n a
current one on file and to certify to DCJS that it has a current EEOP on file which meets the applicable
requirements. The applicant agrees not to obligate or expend any funds under this grant award until it
submits to DCJS for txansmittal to the respective federal grantor agency for review and approval by the
U.S. Department of Justice, Office for Civil Rights, a copy of the prospective subgrantee's Equal
Employment Opportunity Plan (EEOP), or the Statistical Update from the previous year, whichever is
appropriate. When an Update only is appropriate, the following information should also be submitted:
(a)
The number of complaints of discrimination filed against the subgrant agency within the past year,
the final disposition or current status of each complaint, and the nature and issues involved in each
active complaint; and
(h)
A statement addressing whether or not the subgrant agency is carrently operating under an equal
employment conciliation agreement and, if so, a copy of thor agreement and the most recent
monitoring report.
It agrees that any publication (written, visual, or sound, but excluding press releases, newsletters, and issue
analyses) issued by the applicant describing programs or projects funded in whole or in part with Federal
funds, shall contain the following statement:
"This project was supported by Grant # , awarded by the Office of Justice
Programs, U.S. Depa,'~ment of Justice to the State of New York, Division of Criminal Justice
Services (DCJS). Points of view or opinions contained within this document are those of the
author and do not necessarily represent the official position or policies of the U.S. Department of
Justice or DCJS."
The applicant also agrees that one copy of any such publication will be submitted to DCJS to be placed on
file and distributed as appropriate to other potential grantees or interested parties. DCJS may waive the
requirement for submission of any specific publication upon submission of a request providing justification
from the applicant.
It will include in its application a signed Certification Regarding Debarment, Suspension, Ineligibility, and
Voluntary Exclusion.
If the grant applied for is awarded, it will be provided by the State of New York from funds appropriated
under one of the various titles of the Violent Crime Control and Law enforcement Act of 1994 (PL 103-
322). The applicant assures that all information contained in the application is correct and that it will abide
by all statutes, rules, and regulations of the United States and of New York State affecting the conduct of
grantees, as well as to conform to the terms and conditions stated in the contractual agreement.
GRANTEE ACCEPTANCE OF CERTIFIED ASSURANCES (Signature of Chief Executive of Unit of Local
Government or Community Organization, or State Agency Head)
{~/'i (Signature)
Title:
(Date)
06/01 edllion
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion
Lower Tier Covered Transactions (Sub-Recipient)
This certification is required by the regulations implementing Executive Order 12549, Debarment end Suspension, 28 CFR Part
67, Section 67.510, Participants' responsibilities. The regulations were published as Part VII of the May 26, 1988 Federal
Register (pages 19160-19211 ).
(Before Completing Certification, Rend Instructions Below)
(I) The prospective lower tier participent certifies, by submission of this proposal, that neither it nor its principals are presently
debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this
Uensaetion by eny Federal department or agency.
(2) Where the prospective lower tier participant is unable to certify to any of the statements in this cortification, such
prospective participant shall attach en explanation to this proposal.
Instructions for Certification
I. By signing and submitting chis proposal, the prospective lower tier participant is providing the certification set out below.
2. The certification in this clause is n material representation of fact upon winch reliance was placed when this transaction was
catered into. If it is later determined that the proepeetive lower tier participant knowingly renderod an erroneous certification, in
eddition to other remedies available to the Federal Government, the depamnent or agency with which this transaction originated
nmy pursue available remedies, including suspension end/cc debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to winch this proposal is
submitted if at eny time the prospective lower tier patticipent learns flint its certification was erroneous when submitted or has
become erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant,"
"person," "primary covered tnmsaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the
meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered u'ensaction be
entered into, it shall not knowingly enter into eny lower tier covered Uensaction with a person who is deban'ed, suspended,
declared ineligible, or voluntarily excluded fiom participation in this covered u'ensaction, unless authorized by the department or
agency with which this transaction originated.
6. The proepectlve lower tier l~rtlcipant fu~her agrees by submitting this proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension, Ineligibility and Voluntmy Exelnsion - Lower Tier Covered Trensactions,"
without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered
transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows
that the certification is erroneous A participant may decide the method and frequency by which it determines the eligibility of its
principals. Each participant may check the Nonprocurement List.
8. Nothing contained in the foregoing shall be constroed to require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge and information ora participent is not required to exceed that
which is normally possessed by a prudent person in the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntary
excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department
or agency with which this transaction originated may pursue available remedies, including suspension and/ns debarment.
CERTIFICATION REGARDING LOBBYING
Each person shall file the most current edition of this certification and disclosure form, if applicable, with
each submission that initiates agency consideration of such person for an award of a Federal contract,
grants, or cooperative agreement of $100,000 or more; or Federal loan of $150,000 or more.
This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for making or entering into
this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $I00,000 for
each such failure.
The undersigned certifies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any Federal agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in connection with the
awarding of any Federal contract, the making of any federal grant, the making of any Federal
loan, the entering into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan or cooperative agreement.
If any non-Federal funds have been paid or will be paid to any person for influence or tempting to
influence an officer or employee of any Federal agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with thi~ Federal
contract, grant, loan, or cooperative agreement, the undersigned shall initial here
and complete and submit Standard Form & LLL, "Disclosure of Lobbying Activities", in
accordance with its insta'uctions.
3. The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers and that all subrecipients shall certify and disclose
accordingly.
FOR STATE AGENCIES ONLY
DrugFree Workplace Certification
As required by the Drag Free Workplace Act of 1988, and implemented at 28 CFR PaR 67, Subpart F, for grantees, as defined at
28 CFR Part 67, Sections 67.615 and 67.620 -
A. The applicant certifies that it will or will continue to provide a dmgfree workplace by:
(a)
CO)
(¢)
(d)
Publishing a statement notifying employees that the unlawful manufacture, dislribution, dispensing,
possession or use ofa contsulled substance is pmhthited in the grantee's workplace and specifying the
actions that will be mkan against employees for violation of such prohibition;
Establishing an ongoing dmgfree awareness prolpom to inform employees about ~-
( I ) The dangers of drag abuse in the workplace;
(2) The grantee's policy of maintaining a dmgfrea workplace;
(3) Any available drag counseling, rehabilitation, and employee assistance programs; and
(4) The penalties that may be imposed upon employees for drug abuse violations occurring in the
workplace;
Making it a requirement that cech employee to be engaged in the performance of the grant be given a copy of
the statement required by paragraph (a);
Notifying the employee in the statement required by paragraph (a) that, as a condition of emphiyment under
the grant, the employee will --
(I) Abide by the tel,ns of the statement; and
(2) Notify the employer in vaiting of his or her conviction for a violation of a criminal drug statue
occurring in the workplace no later than five calendar days after such conviction;
(e)
Notifying the agency, in writing, within 10 calendar days after receiving notice under subpemgraph (dX2)
from an employee or otherwise receiving actual notice of such conviction. Employers of convicted
employees must provide notice, including position title, to: Depamncot of Snatice, Office of Jnatico
Programs, ATTN: Control Desk, 633 Indiana Avenue, N.W., Wnshingtun, D.C. 20531. Notice shall include
the identification number(s) of each affected grant;
(0
Taking one ,./f the following actions, within 30 calendar days of receiving notice under subparagraph (d)(2),
with respect to any employee who is so convicted --
( 1 ) Taking appropriate personnel action against such an employee, up to and including termination,
consistent with the requirements of the Rehabilitation Act of 1973, as emended; or
(2)
Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation
program approved for such ptugoses by a Federal, State, or local health, law enforcement, or other
appropriate agency;
Making a good faith effort to continue to maintain a drug-free wnskplace through implementation of
paragraphs (a), Co), (c), (d), (e), and (0.
The grantee may insert in the space provided below the site(s) for the performance of work done in connection with the
specific grant:
Place of Performance (Street address, city, county, state, zip code)
Check [] if there are workplaces on file that are not identified here.
As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the above certification.