HomeMy WebLinkAboutNYS Department of State Implementation
. PATRICIA A. FINNEGAN
TOWN ATTORNEY
patricia.finnegan@town.southold.ny.us
KIERAN M. CORCORAN
ASSISTANT TOWN ATTORNEY
kieran.corcoran@town.southold.ny.us
JOSHUA Y. HORTON
Supervisor
Town Hall Annex, 54375 Route 25
P.O. Box 1179
Southold, New York 11971-0959
LORI HULSE MONTEFUSCO
ASSISTANT TOWN ATTORNEY
lori.montefusco@town,southold.ny.us
Telephone (631) 765-1939
Facsimile (631) 765-6639
OFFICE OF THE TOWN ATTORNEY
TOWN OF SOUTHOLD
MEMORANDUM
To:
Ms. Joanne Liguori
From:
Lynne Krauza
Secretary to the Town Attorney
Date:
September 29, 2005
Subject:
Agreement w/NYS Department of State
Implementation of LWRP by Cornell Cooperative
Please be advised that Lori has reviewed and approved the attached
Agreement between the Town of Southold and the New York State Department
of State in connection with the referenced matter. A copy of the Resolution
authorizing Josh to sign this Agreement is also enclosed.
In this regard, kindly have Josh sign all three counterparts where indicated
before a Notary Public and return them to Jim McMahon. By copy of this
Memorandum to Jim McMahon, I ask that he forward same to the Department of
State for countersignature ana-make certain th~a_r1_ original, full)' exec;uted
Agreement is given to the .:r~wn c;lerk. - - - --
Thank you for your attention. If you have any questions, please call me.
Ilk
Enclosures ~
cc: Ms. Elizabeth Neville, Town Clerk (w/encl.) ~
Mr. Jim McMahon (w/o encl.)
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates
below their signatures.
Contract No. C006355
CONTRACTOR
STATE AGENCY:
Town of Southold
By:
New York State Department of State
By:
Joshua Y. Horton
Title:
Date:
(Print NanlC)
Supervisor
September 8, 2005
(Print Nanle)
Title:
Date:
State A~encv Certification
"In addition to the acceptance of this contract, I
also certify that original copies of this signature
page will be attached to alJ other exact copies of
this contract."
ACKNOWLEDGMENT
State of New York
County of Suffolk
)
)ss:
On this day of
Joshua Y. Horton
,20_, before me personalJy came
to me known, who, being by me duly sworn, did depose and sa)' that
he/she/they reside(s) in 53095 Main Road, PO Box 1179. Southold. NY 11971 (if the place
of resident is in a city, include the street and street number, if any, thereof); that he/she/they is( are) the
Supervisor
(title of officer or employee) of the Town of Southold
(name
of municipal corporation), described in and which executed the above instrument; and that he/she/they signed
hislher/their name(s) thereto by authority of the governing body of said municipal corporation.
NOTARY PUBLIC
ATTORNEY GENERAL'S SIGNATURE:
Approved:
Title:
Date:
Alan G. Hevesi
Comptroller
By:
Date:
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FACE PAGE
STATE AGENCY (Name and Address):
NYS Department of State
41 State Street
Albany, NY 12231-0001
NYS COMPTROLLER'S #:
ORlG. AGENCY CODE:
C006355
19000
CONTRACTOR (Name and Address):
TYPE OF PROGRAM: Environmental Protection
Fund Act
Town of Southold
53095 Main Road
Southold, NY 11971
,TE SHARE FUNDING AMOUNT FOR
rIAL PERIOD $75,000.00
:::AL SHARE FUNDING AMOUNT FOR
rIAL PERIOD $75,000.00
FEDERAL TAX IDl
11"6001939 <f~
MUNICIPALITY #
treCk fCClTQX
. ' IDn~
~'(D~~
e~~~\~ ~
CT PERIOD:
5 TO: March31,2006
TI-YEAR TERM (If applicable):
To: March 31, 2007
. APPENDICES ATTACHED TO AND PART OF TillS AGREEMENT
APPENDIX A: Standard clauses as required by the Attorney General for all state contracts
APPENDIX Al Including
Attachments 1,2, & 3 thereto: Agency-specific clauses
APPENDIXB: Budget
APPENDIX C: Payment and Reporting Schedule
APPENDIX D: Program Workplan
APPENDIX X: Modification Agreement Form (to accompany modified appendices for
changes in term or consideration on an existing period or for renewal
periods)
. ,I
STATE OF NEW YORK
AGREEMENT
The 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
A. 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.
B. Funding for the first PERIOD shall not exceed the funding amount specified on 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.
D. For each succeeding PERIOD of the AGREEMENT, the parties shall prepare new 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 forms(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~ppendix AI.
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 or
program.
F. 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
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2
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 ST ATE.
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 Reoorting
A. 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.
B. 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 ST ATE.
m. Terminations
A. This AGREEMENT may be terminated at any time upon mutual written consent of the STATE and the
CONTRACTOR.
B. 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 I.
D. 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 terms of the notice.
E. Upon receipt of notice of termination, the CONTRACTOR shall cancel, prior to the effective date of any
prospective termination, all outstanding obligations, and agrees not to incur any new obligations after receipt
of the notice without approval by the STATE.
F. 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
A. The CONTRACTOR shall be solely responsible and answerable in damages for any and all accident
and/or injuries to person (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.
3
B. The CONTRACTOR is an independent contractor and may neither hold itself out nor claim tobe an
officer, employee or subdivision ofthe STATE nor make any claim, demand or application to or for any right
based upon any different status.
V. Prooertv
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 as sta.ted in Appendix AI.
VI. Safeguards for Services and Confidentiality
A. 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.
B. 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.
C. fuformation relating to individuals who may receive services pursuant to this AGREEMENT shall be
maintained and used only for the purposes intended under the Agreement and in conformity with applicable
provisions of laws and regulations, or specified in Appendix A I.
.'
APPENDIX A
Standard Clauses for All New York State Contracts
The parties to the attached contract, license, lease, amendment or other
agreement of any kind (hereinafter, "the contract" or "this contractll) agree
to be bound by the following clauses which are hereby made a part of the
contract (the word I1Contractortl herein refers to any party other than the
State, whether a contractor, licenser, licensee, lessor, lessee or any other
party):
I. EXECUTORY CLAUSE. In accordance with Section 41 ofthe State
Finance Law, the State shall have no liability under this contract to the
Contractor or to anyone else beyond funds appropriated and available for
this contract.
2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of
the State Finance Law, this contract may not be assigned by the Contractor
or its right, title or interest therein assigned, transferred conveyed, suhlet
or otherwise dlsposed of without the previous consent, in writing, of the
State and any attempts to assign the contract without the State's written
consent are null and void The Contractor may, however, assign its right to
receive payment without the State's prior written consent unless this
contract concerns Certificates of Participation pursuant to Article 5-A of
the State Finance Law.
3. COMPTROLLER'S APPROVAL In accordance with Section 112
of the State Finance Law (or, if this contract is with the State University
or City University of New York, Section 355" or Section 6218 of the
Education Law), if this contract exceeds $15,000 (or the minimum
thresholds agreed to by the Office of the State Comptroller for certain
S.U.N.Y. and C.UN.Y. contracts), or if this is an amendment for any
amount to a contract which, as so amended, exceeds said statutory amount,
or if, by this contract, the State agrees to give something other than money
when the value or reasonably estimated value of such consideration
exeeeds $10,000, it shaH not be valid, effective or binding upon the State
until it has been approved by the State Comptroller and filed in his office.
Comptroller's approval of contracts let by the Office of General Services
is required when such contracts exceed $30,000 (State Finance Law
Section 163.6a).
4. WORKERS' COMPENSATION BENEFITS. In accordance with
Section 142 ofthe State Finance Law, this contract shaH be void and of no
force and effect unless the Contractor shall provide and maintain coverage
during the life of this contract for the benefit of such employees as are
required to be covered by the provisions of the Workers' Compensation
Law.
5. NON-DISCRIMINATION REOUIREMENTS. To the extend
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 ofrace, creed, color,
$eX, national origin, sexual orientation, age, disability or marital statu's.
Furthetmore, in accordance with Section 220-e of the Labor Law, if this
isacontract 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 shaU be
perfonned within the State of New York, Contractor agrees that neither it
nor its subcontractors shall, by reason of race, creed, color, disability, sex,
or national origin: (a) discriminate in hiring against any New York State
citizen who is qualified and available to perfonn the work; or (b)
discriminate against or intimidate any employee hired for the performance
May 2003
of work under this contract. If this is a building service contract as defined
in Section 230 of the Labor Law, then, in accordance with Section 239
thereof, Contractor agrees that neither it nor its subcontractors shall by
reason of race, creed, color, national origin, age, sex, or disability: (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.
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 teimination
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
contract covered by Article 9 thereof, neither Contractors employees nor
the employees of its subcontractors may be required or permitted to work
more than the number of hours or days stated in said 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.
Furthermore, Contractor and its subcontractors must pay at least the
prevailing wage rate and payor provide the prevailing supplements,
including the premium rates for overtime pay. as detennined by the State
Labor Department in accordance with the Labor Law.
7. NON-COLLUSIVE BIDDING REOUIREMENT. In accordance
with Section 139-d ofthe State Finance Law, ifthis contract was awarded
based upon the submission of bids, Contractor warrants, under penalty of
perjury, that its bid was arrived at independently and without collusion
aimed at restricting competition. Contractor further warrants that. at the
time Contractor- submitted its bid, an authorized and responsible person
executed and delivered to the State a non-collusive bidding certification
on Contractor's behalf.
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 agrees, as a
material condition of the contract, that neither the Contractor nor any
substantially owned or affiliated person, firm. partnership or corporation
has participated, is participating, or shall participate in an international
boycott in violation of the federal Export Administration Act of 1979 (50
USC App. Sections 2401 et seq.) or regulations thereunder. If such
Contractor, or any of the aforesaid affiliates of Contractor, is convicted or
is othelWise found to have violated said laws or regulations upon the fmal
detennination of the United States Commerce Department or any other
appropriate agency of the United States subsequent to the contractors
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 conviction,
determination or disposition of appeal (2NYCRR 105.4).
9. SET-OFF RIGHTS. The State shall have all of its conunon law,
equitable and statutory rights of set-off. These rights shallinclude, but not
be limited to, the State's option to withhold for the purposes of set- off any
moneys due to the Contractor under this contract up to any amounts due
and owing to the State with regard to this contract, any other contract with
any State department or agency, including any contract for a tenn
conunenci~g prior to the tenn of this contract, plus any amounts due and
owing to the State for any other reason including, without limitation, tax
delinquencies. fee delinquencies or monetary penalties relative thereto.
. .'
The State shall exercise its set-off rights in accordance with normal State
practices including, in cases of set-off pursuant to an audit, the finalization
of such audit by the 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 Recordsll). The Records must be kept for the balance of
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 nonnal business hours at an office ofthe Contractor within
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 ofthe 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
disclosed; and (ii) said records shall be sufficiently identified; and (Hi)
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 t~ discovery in any pending or future litigation.
11. IDENTIFYING INFORMATION AND PRIVACY
NOTIFICATION. (a) FEDERAL EMPLOYER. IDENTIFICATION
NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER. All
invoices or New York State standard vouchers submitted for payment for
the sale of goods or services or the lease of real or personal property to a
.New York State agency must include the payee's identificatiQn number,
Le., the seller's or lessor's identifi1?ation number. The number is either the
payee's Federal employer identification number or Federal.sociaI 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 Yark State standard voucher, must give the reason or reasons why the
payee does not have such number or numbers.
(b) PRIVACY NOTIFICATION. (1) The authority to request the above
personal infonnation from a seller of goods or services or a lessor of real
or ,personal property, and the authority to maintain such infonnation. is
found in Section 5 of the State Tax Law. Disclosure of this information by
the seller or lessor to the State is mandatory. The princ:ipal purpose for
which the infonnation 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 generally
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 authorized by law.
(2) The personal information is requested by the purchasing unit of the
agency contracting to purchase the goods or services or lease the real or
personal property covered by this contract or lease. The information is
maintained in New Yark State's Central Accounting System by the
Director of Accounting Operations, Office of the State Comptroller,
AESOB, Albany, New York 12236.
12. EOUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES
AND WOMEN. In accordance with Section 312 of the Executive Law,
if this contract is: (i) a written agreement or purchase order instJ:ument,
providing for a total expenditure in excess of $25.000.00. whereby a
Contracting agency is committed to expend or does expend funds in return
for labor. services) supplies, equipment. materials or any combination of
May 2003
A-2
the foregoing, to be performed for, or rendered or furnished to the
contracting agency; or (ii) a written agreement in excess of$ I 00,000.00
whereby a contracting agency is conunitted to expend or does expend
funds for the acquisition. construction, demolition) replacement, major
repair or renovation of.real property and improvements thereon; or (iii) a
written agreement in excess of$100,OOO.00 whereby the ownerofa State
assisted housing project is conunitted 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 witt undertake or continue existing
programs of affirmative action to ensure that minority group members and
women are afforded equal employment opportunities without
discrimination. Affirmative action shalt 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 agreement or
understanding, to furnish a written statement that such employlnent
agency. labor union or representative will not discriminate on the basis of
race, creed. color. national origin. sex, age. disability or marital status and
that such union or representative will affirmatively cooperate in the
implementation of the contractor's obligations herein; and
(c) the Contractor shall state, in all solicitations or advertisements for
employees, that, in the perfonmanee of the State cootract, all qualified
applicants will be afforded equal employment opportunities without
discrilnination 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 UWoriC") except where the Work is for the
beneficial use of the Contractor. Section 312 does not apply to: (i) work,
goods or services unrelated to this contract; or (ii) employment outside
New York State; or (Hi) banking services. insurance policies or the sale of
securities. The State shall consider compliance by a contractor or
subcontractor with the requirements of any feder,allaw concerning equal
employment opportunity which effectuates the purpose of this section. The
contracting agency shaU determine whether the imposition of the
requirements ofthe provisions. hereof duplicate 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 conllict. Contractor will comply with all duly promulgated
and lawful rules and regulations ofthe Governor's Office of Minority and
Women's Business Development pertaining hereto.
13. CONFLICTING TERMS. In the event of a conllict between the
terms of the contract (including any and all anachments thereto and
amendments thereof) and the terms of this Appendix A. the tenus of this
Appendix A shall control.
14. GOVERNING LAW. This contract shall be governed by the laws
of the State of New York except where the Federal supremaoy clause
requires otherwise.
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IS. LATE PAYMENT. Timeliness of payment and any interest to be
paid to Contractor for late payment shall be governed by Article II-A of
the State Finance Law to the extent required by law.
16. NO ARBITRATION. Disputes involving this contract, including the
breach or alleged breach thereof, may not be submitted to binding
arbitration (except where statutorily authorized), but must, instead,. be
heard in a court of competent jurisdiction of the State of New York.
17. SERVICE OF PROCESS. In addition to the methods of service
allowed by the State Civil Practice Law & Rules ("CPLR"), 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 warrants that all wood
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 corporation.
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
detailed in ~ 165 State Finance Law. Any such use must meet with the
approval ofthe State, otherwise, the bid may not be considered responsive.
Under bidder certifications, proof of qualification far exemption will be
the responsibility ofthe Contractor to meet with the approval of the State.
19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In accordance
with the MacBride Fair Employment Principles (Chapter 807 of the Laws
of! 992), the Contractor hereby stipulates that the Contractor either (a) has
no business operations in Northern Ireland, or (b) shall take lawful steps
in good faith to conduct any business operations in Northern Ireland in
8ccordance with the MacBride Fair Employment Principles (as described
in Section 165 of the New York State Finance Law), and shall pennit
independent monitoring of compliance with such principles.
20. OMNIBUS PROCUREMENT ACT OF 1992. 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.
Infonnatian on the availability of New York State subcontractors and
suppliers is available from:
NYS Department of Economic Development
Division for Srnall Business
30 South ~earl Street, 7~ floor
Albany, New York 12245
518-292-5220
May 2003
A-3
A directory of certified minority and women~owned business enterprises
is available from:
NYS Department of Economic Development
Minority and Women's Business Development Division
30 South Pearl Street, 2" floor
Albany, New York 12245
http://www.empire.state.ny.us
The Omnibus Procurement Act of 1992 requires that by signing this bid
proposal or contract, as applicable, Contractors certify that whenever 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 Opportunity Act
of 1972 (p.L. 92-261), 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 afLabor, 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 countries 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 place of business is located in a
country, nation, province, state or political subdivision that penalizes New
Yark State vendors" and if the goods or services they offer will be
substantially produced orperformed outside New York State, the Onmibus
Procurement Act 1994 amendments and 2000 amendments (Chapter 684
and Chapter 383 respectively) require that they be denied contracts which
they would otherwise obtain. NOTE: As of May IS, 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
jurisdictions subject to this provision.
22. PURCHASES OF APPAREL. In accordance with State Finance
Law 162 (4-a), the State shall not purchase any apparel ftomany vendor
unable or unwilling to certify that: (1) such apparel was manufactured in
compliance with all applicable labor and occupational safety laws,
including, but not limited to, child labor laws, wage and hours laws and
workplace safety laws, and (ii) vendor will supply, with its bid (or, ifnot
a bid situation, prior to or at the time of signing a contract with the State),
if known, the names and addresses of each subcontraclor and a list of all
manufacturing plants to be utilized by the bidder.
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APPENDIX Al
Agency-Specific Clauses
I.
This Agreement has been entered into pursuant to the following understandings:
A. Title 11 of the Environmental Protection Fund Act providesfor State assistance to municipalities for the
State share of the cost of approved local waterfront revitalization projects as defined in the Act.
B. The Department is authorized by such Act to evaluate and determine eligibility of applications for
funding of projects.
C. Based upon information, representations and certifications contained in Contractor's application for
funding, including the Work Program as set forth in Appendix D, the Department has made a
determination of eligibility of funding for Contractor's project under such Act.
D. State funds (Funding Amount set forth on the Face Page) for this Project (Appendix D Program
W orkplan) are provided pursuant to a reappropriation of funds originally made by Title 11 of the
Environmental Protection Fund Act.
E. The Contractor has demonstrated its ability to finance its share of the Project and has agreed to fund its
portion of the cost of the Project.
II. General
A. For the purposes ofthis Agreement, the terms "State" and "Department" are interchangeable, unless the
context requires otherwise.
B. The contract period as set forth on the Face Page is the inclusive period within which the provisions of
this Agreement shall be performed.
C. No liabilities are to be incurred beyond the termination date and no costs will be reimbursed for such
liabilities unless: 1) funds have been reappropriated for the Project in the subsequent State fiscal year,
2) the Department determines that it is in the best interest of the Department and the State to provide
additional time to complete the Project and 3) an extension agreement is approved in accordance with
Section IA. of the Agreement.
D. Subject to the availability offunds, determination by the Department that it is in the best interest ofthe
State, and upon mutual written consent of the parties, the Multi-Year Term of this Agreement may be
extended by up to two Contract Periods not to exceed twelve months each.
E. The Department shall not be liable (or expenses of any kind incurred in excess ofthe State Funds as set
forth on the Face Page, and shall not be responsible for seeking additional appropriations or other
sources of funds for the Project.
F. The Contractor shall perform all services to the satisfaction of the Department. The Contractor shall
provide all services and meet the program objectives described in Appendix D in accordance with:
provisions ofthis Agreement; relevant State, federal and local laws, rules and regulations, administrative
and fiscal guidelines; where applicable, operating certificates for facilities or licenses for an activity or
program, and conditions of applicable permits, administrative orders and judicial orders.
G. The Contractor shall submit with its request for final payment a Final Project Summary Report in the
format described in Appendix AI, Attachment 1 and Measurable Results Forms, such forms to be
provided Contractor by the Department.
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H. The Contractor agrees to proceed expeditiously with the Project and to complete the Project in
accordance with the timetable set forth in the Workplan (Appendix D) as well as with the conditions of
any applicable permits, administrative orders, or judicial orders and this Agreement.
I. The Department ~ill provide Contractor with a Ouarterlv Contractor Reoort (Appendix AI, Attachment
2) pursuant to the Department's Minority and W omen-owned Business Enterprises Program. In the event
Contractor utilizes Minority and Women-owned Business Enterprises as discussed in Section XN in
Appendix AI, such report shall be provided to the Department at the address on the Quarterly Contractor
Report.
J. The Contractor shall submit two copies ofa "Project Status Report" (Appendix AI, Attachment 3) on
a six month basis for the periods ending June 30 December 31. Reports are due no later than 30 days
following the end of each reporting period.
III. Additional Reauirements for Construction Proiects
A. Project design, including preparation of final plans and specifications, and supervision of construction
shall be undertaken by a qualified architect and/or engineer licensed to practice in the State of New York.
The Contractor shall submit final plans and specifications to the Department for its acceptance before
initiating construction work or, ifthe Contractor intends to subcontract for construction work, before the
work is advertised for bidding. No change to project plans may be made without the prior written
approval of the Department. The Contractor shall also be responsible for erecting a project sign
satisfactory to the Department identifying the Project. The project sign shall remain in place for the
useful life ofthe improvements undertaken pursuant to this Agreement. Upon completion of the Project,
the Contractor shall submit to the Department a proper certification from a licensed architect or engineer.
B. Agreements for construction in excess of twenty thousand dollars ($20,000) shall be awarded after and
in accordance with competitive bidding requirements of the General Municipal Law. A certified copy
of a sununary of all bids shall be submitted to the Department prior to awarding the Agreement, and an
executed copy of the construction contract will thereafter be submitted to the Department.
C. All purchase contracts involving an expenditure of more than ten thousand dollars ($10,000) shall be
awarded to the lowest bidder furnishing the required security after advertisement for sealed bids in the
manner provided for in section Hl3 ofthe General Municipal Law.
D. The State shall make periodic inspections of the project both during its implementation and after its
completion to assure compliance with this Agreement. The Contractor shall allow the State unrestricted
access to work during the preparation and progress of the work, and provide for such access and
inspection by the State in all construction contracts'relating to the project.
E. The Contractor shall be responsible for assuring that the project is designed and constructed in
conformance with the Uniform Federal Accessibility Standards (UFAS - Appendix A to 41 CRF part
101-19.6), the Americans with Disabilities Act Accessibility Guidelines (ADAAG - Appendix A of Title
9 NYCRR). Where there are discrepancies among the sets of standards with regard to a particular
design./construction requirement, the one providing for the greatest degree of accommodation for the
disabled shall apply.
F. It is the Contractor's responsibility, pursuant to Section 57 of the Workers' Compensation Law, to
maintain for State audit and review either proof that they have Workers' Compensation coverage for any
employees, or a wavier statement from the New York State Department of Labor. The Contractor must
also obtain from any contractor or sub-contractor hired to provide a service pursuant to this Agreement,
similar proof or waiver from the contractor or subcontractor, and must maintain such documentation on
file for audit.
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IV. Reports. Documents and Maps
The Contractor shall, where appropriate, identify documents, reports, and maps produced in whole or in part
under this Agreement by endorsing on said documents, reports, and maps the following:
"This (document, report, map, etc.) was prepared for the New York State Department of State
with funds provided under Title II of the Environmental Protection Fund Act."
V. License to use and reproduce documents and other works:
By acceptance of this Agreement, Contractor transfers to the Department a nonexclusive license to use,
reproduce in any medium, and distribute any work prepared for or in connection with the Project, including
but not limited to reports, maps, designs, plans, analysis, and documents regardless of the medium in which
they are originally produced. Contractor warrants to the Department that it has sufficient title or interest in
such works to license pursuant to this Agreement. Such warranty shall survive the termination of this
agreement. Contractor agrees to provide the original of each such work, or a copy thereof which is
acceptable to the Department, to the Department before payments shall be made under this Agreement.
VI. Contractors Insurance Reauirements
A. Prior to the commencement of the Work, the Contractor shall file with the Department of State, Division
of Coastal Resources, Certificates of Insurance evidencing compliance with all requirements contained
in this Agreement. Such Certificate shall be of form and substance acceptable to the Department.
B. Acceptance and/or approval by the Department does not and shall not be construed to relieve Contractor
of any obligations, responsibilities or liabilities under the Agreement.
C. All insurance required by the Agreement shall be obtained at the sole cost and expense of the Contractor;
shall be maintained with insurance carriers licensed to do business in New York State; shall be primary
and non-contributing to any insurance or self insurance maintained by the Department; shall be endorsed
to provide written notice be given to the Department, at least thirty (30) days prior to the cancellation,
non-renewal, or material alteration of such policies, which notice, evidenced by return receipt of United
States Certified Mail which shall be sent to New York State Department of State, 41 State Street,
Albany, New York 12231-000 I; and shall name the People of the State of New York and their directors
officers, agents, and employees as additional insured thereunder.
D. The Contractor shall be solely responsible for the payment of all deductibles to which such policies are
subject.
E. Each insurance carrier must be rated at least "A" Class "Vll" in the most recently published Best's
Insurance Report. If, during the term of the policy, a carrier's rating falls below "A Class "Vll", the
insurance must be replaced no later than the renewal date of the policy with an insurer acceptable to the
Department and rated at least "A" Class "Vll" in the most recently published Best's Insurance Report.
F. The Contractor shall cause all insurance to be in full force and effect as of the date of this Agreement
and to remain in full force and effect throughout the term of this Agreement and as further required by
this Agreement. The Contractor shall not take any action, or omit to take any action that would suspend
or invalidate any of the required coverages during the period of time such coverages are required to be
in effect.
G. Not less than thirty (30) days prior to the expiration date orrenewal date, the Contractor shall supply the
Department updated replacement Certificates of Insurance, and amendatory endorsements.
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H. Unless the Contractor self-insured, Contractor shall, throughout the term of the Agreement or as
otherwise required by this Agreement, obtain and maintain in full force and effect the following
insurance with limits not less than those described below and as required by the terms of this Agreement,
or as required by law, whichever is greater (limits may be provided through a combination of primary
and umbrella/excess policies). Where Contractor is self-insured, Contractor shall provide suitable
evidence of such to the Department relating to the risks and coverage amounts as provided hereunder.
I. Comprehensive Liability Insurance with a limit of not less than $1,000,000 each occurrence. Such
liability shall be written on the Insurance Service Office's (ISO) occurrence form CO 00 01, or a
substitute form providing equivalent coverages and shall cover liability arising from premises
operations, independent contractors, products-completed operations, broad form property damage,
personal & advertising injury, owners & contractors protective, cross liability coverage, liability
assumed in a contract (including the tort liability of another assumed in a contract) and explosion,
collapse & underground coverage.
a. If such insurance contains an aggregate limit, it shall apply separately to this location.
b. Products and Completed Operations coverage shall include a provision that coverage will extend
for a period of at least twelve (12) months from the date of final completion and acceptance by.
the owner of all of Contractors Work.
2. Where the Project described in Appendix D includes the construction of any structure or building,
a Builder's Risk Policy until the Project is completed and accepted in theamountofthe total project
cost.
3. Workers Compensation, Employers Liability, and Disability Benefits as required by New Y orkState.
Workers Compensation Policy shall include the U.S. Longshore & Harbor Workers' Compensation
Act endorsement.
4. Comprehensive Automobile Liability Insurance with a limit of not less than $1,000,000 each
accident. Such insurance shall cover liability arising out of any automobile including owned, leased,
hired and non owned automobiles.
5. Commercial Property Insurance covering at a minimum, the perils insured under the ISO Special
Clauses of Loss Form (CP 1030), or a substitute form providing equivalent coverages, for loss or
damage to any owned, borrowed, leased or rented capital equipment, tools, including tools of their
agents and employees, staging towers and forms, and property of DOS held in their care, custody
and/or control.
6. An Owner's Protective Liability Policy with limits no less than $1,000,000 in the name of the
Contractor.
I. The Contractor shall require that any subcontractors hired, carry insurance with the same limits and
provisions provided herein.
J. Professional consultants retained by the Contractor in connection with the Project shall show evidence
of professional liability insurance with limits no less than $1 million.
VII. ProDertv
A. Pursuant to the provisions set forth in Section V, page 3 of this Agreement, the ownership of all property
described therein shall reside with the Contractor unless otherwise specified in writing by the
Department at any time during the term of this Agreement and up to thirty (30) days following the
issuance of the final payment.
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B. Contractor warrants that it has fee simple or such other estate or interest in the site of the Project, where
the Project is undertaken at a site, including easements and lor rights -of-way sufficient to assure
undisturbed use and possession for the purposes of construction and operation for the estimated life of
the Project. Contractor further acknowledges that where such Project is undertaken on or involves the
use ofIands for active or passive recreational use, it is a material term ofthis Agreement that such lands
shall be available for such recreational use by the People of the State of New York. Additionally,
Contractor shall not limit access or discriminate on the operation of the facilities against any person on
the basis of place of residence, race, creed, color, national origin, sex, age, disability or marital status.
vm. Dateffime Warranty
A. Contractor warrants that Product(s) furnished pursuant to this Contract shall, when used in accordance
with the Product documentation, be able to accurately process date/time data (including, but not limited
to, calculating, comparing, and sequencing) transitions, including leap year calculations. Where a
Contractor proposes or an acquisition requires that specific Products must perform as a package or
system, this warranty shall apply to the Products as a system.
B. Where Contractor is providing ongoing services, including but not limited to: i) consulting, integration,
code or data conversion, ii) maintenance or support services, iii) data entry or processing, or iv) contract
administration services (e.g. bilIing, invoicing, claim processing), Contractor warrants that services shall
be provided in an accurate and timely manner without interruption, failure or error due to the inaccuracy
of Contractor's business operations in processing date/time data (including, but not limited to,
calculating, comparing, and sequencing) various date/time transitions, including leap year calculations.
Contractor shall be responsible for damages resulting from any delays, errors or untimely performance
resulting there from, including but not limited to the failure or untimely performance of such services.
C. This Dateffime Warranty shall survive beyond termination or expiration of this Contract through: a)
ninety (90) days or b) the Contractor's or Product manufacturer/developer's stated date/time warranty
term, whichever is longer. Nothing in this warranty statement shall be construed to limit any rights or
remedies otherwise available under this Contract for breach of warranty.
IX. Fees
The Contractor may charge a reasonable fee for the use of any facility which is part of the project.
A. Except for the imposition of a differential fee schedule for non-residents of the municipality in which
the project is located, the establishment of any preferential user fee for any person or entity is prohibited.
Fees charged to non-residents shall not exceed twice those charged to residents.
B. Where there is no charge for residents but a fee is charged to non-residents, non-resident fees cannot
exceed fees charged for residents at comparable State or local public facilities.
C. Reservation, membership or annual permit systems available to residents must also be available to non-
residents and the period of availability must be the same for both residents and non-residents.
D. This provision does not apply to non-residents fishing and hunting license fees.
X. Alienation
Where the Project is undertaken on or involves parIdands, the following additional provisions apply:
A. The Contractor shall not at any time sell or convey any facility or any portion of the Project acquired or
developed pursuant to this Agreement or convert such facility or any portion of the Project to other than
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XL
Terminations
A. In addition to any other actions authorized by this Agreement, the Department may terminate the
Agreement in the best interests of the State of New York by providing written notice to the Contractor
as provided in this Agreement.
B. The Contractor shall complete the proj ect as set forth in this Agreement, and failure to render satisfactory
progress or to complete the project to the satisfaction of the State may be deemed an abandonment of
the project and may cause the suspension or termination of any obligation of the State. In the event the
Contractor should be deemed to have abandoned the project for any reason or cause other than a national
emergency or an Act of God, all monies paid to the Contractor by the State and hot expended in
accordance with this Agreement shall be repaid to the State upon demand. If such monies are not repaid
within one year after such demand, the State Comptroller of the State of New York may cause to be
withheld from any State assistance to which the Contractor would otherwise be entitled an amount equal
to the monies demanded.
C. In the event that the Department has provided written notice to !he Contractor directing that the
Contractor correct any failure to comply with this Agreement, the Department reserves the right to direct
that the Contractor suspend all work during a period of time to be determined by the Department. If the.
Contractor does not correct such failures during the period provided for in the notice, this Agreement
shall be deemed to be terminated after expiration of such time period. During any such suspension, the
Contractor agrees not to incur any new obligations after receipt of the notice without approval by the
Department.
XII. Subcontracting Reauirements
A. The Contractor may subcontract for all or any portion of the activities covered by this Agreement as
provided for in Appendix D, subject to prior written approval by the Department of any subcontractor
and the terms cif any subcontract.
XIII. Comoliance with Procurement Requirements
A. All contracts by municipalities for professional services, all contracts for construction involving not more
than $20,000 and all purchase contracts involving not more than $10,000 are subject to the requirements
of General Municipal Law fil04-b, which requires such contracts to comply with the procurement policies
and procedures of the municipality involved. All such contracts shall be awarded after and in
accordance with such municipal procedures, subject to any additional requirements imposed by the
STATE as set forth in Appendix D hereof.
B. The municipal attorney, chieflegal officer or financial administrator ofthe CONTRACTOR shall certify
to the Department of State that applicable public bidding procedures of General Municipal Law ~ 103
were followed for all construction contracts involving more than $20,000 and more than $10,000 for
purchase contracts. In the case of construction contracts involving not more than $20,000, purchase
contracts involving not more than $10,000, and contracts for professional services, the municipal
attorney, chieflegal officer or financial administrator shall certifY that the procedures of the municipality
established pursuant to General Municipal Law ~ 104-b were fully complied with.
XN. Requirements for Contract GIS Products (2/04)
\
A. GENERAL MAP PRODUCT REQUIREMENTS - The following general cartographic requirements
must be adhered to by the Contractor:
1. Map Products - The Division requires delivery of digital map products, unless otherwise specified
in the Request for Proposal (RFP), that meet the specifications outlined in this GENERAL MAP
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attorney, chieflegal officer or financial administrator shall certify that the procedures ofthe municipality
established pursuant to General Municipal Law ~ 104-b were fully complied with.
XIV. Requirements for Contract GIS Products (2/04)
A. GENERAL MAP PRODUCT REQUIREMENTS - The following general cartographic requirements
must be adhered to by the Contractor:
I. Map Products -- The Division requires delivery of digital map products, unless otherwise specified
in the Request for Proposal (RFP), that meet the specifications outlined in this GENERAL MAP
PRODUCT REQUIREMENTS section and the ADDmONAL DIGITAL CARTOGRAPHIC FILE
REQUIREMENTS section. If analog map products are required by theRFP, they must meet
specifications outlined in this GENERAL MAP PRODUCT REQUIREMENTS section and the
ADDITIONAL DIGITAL-READY MAP PRODUCT REQUIREMENTS section.
2. Deliverable Format -- All digital map and attribute table files must be provided in MapInfo Tab file
format on Recordable CD or DVD, 3.5" floppy diskette media, external hard drive, via e-mail
attachment (preferably in a WinZIP file) or downloadable from an ftp site on the Internet.
Alternatively, the digital products may be provided in ArcInfo/GIS export format (.eOO) or ArcView.
shape file format on the same media types upon approval of the Division. All other digital formats
require prior approval ofthe Division. Coordination with the Division prior to submission of digital
media is required to ensure compatibility of the delivered materials.
3. Documentation -- A data dictionary must be included along with the map files describing file
contents and file names, as well as metadata for each file including map projection, horizontal and
vertical datums used, coordinate system, RMS accuracy and log sheet, information sources and
dates, the map maker and date of preparation, and creation methodology. Data provided under
federal funds must be provided in a manner which meets Digital Geospatial Federal Geographic Data
Committee Metadata Standard as executed by Executive Order 12906, April 11 , 1994, "Coordinating
Geographic Data Acquisition and Access: the National Spatial Data Infrastructure".
4. Map Accuracy -- Unless otherwise stated in the RFP, all deliverable map products must conform to
National Map Accuracy Standards for horizontal and vertical accuracy as established by the United
StatesBureau of the Budget, June 10, 1941, revised June 17, 1947. For example, for maps at
1:20,000 or smaller, not more than 10% of the well-defined map points tested must be more than
1/50 inch (0.508 mm) out of correct position. At I :24,000, this tolerance translates to a required
horizontal accuracy of 40 feet. If by prior agreement with the Division the map product does not
conform to National Map Accuracy Standards, then a statement of actual map accuracy should be
included in the Documentation above. Furthermore, hydrographic surveys and maps should conform
to recommended accuracy standard proposed in the joint USGS, NOS, Coastal Manpine: Handbook,
1978, Melvin Ellis editor, U.S. Government Printing Office, Appendix 6.
5. Datums -. Unless otherwise specified in the RFP, all map products should be referenced to the North
American Horizontal Datum of 1983 (NAD83) and the National Geodetic Vertical Datum of 1988
(NGVD88).
B. ADDITIONAL DIGIT AL CARTOGRAPHIC FILE REQUIREMENTS- The following cartographic
construction requirements must be adhered to by the Contractor:
1. Edge-matching -- All map sheets must be both visually and coordinate edge-matched with adjacent
map sheets. No edge-match tolerance will be allowed. Attributes for splitable features must also
be identical.
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2. Conunon Boundaries -- All features that share a conunon boundary, regardless of map layer, must
have exactly the same coordinate position of that feature in all common layers.
3. Point Duplication n No duplication of points that occur within a data string is permitted.
4. Connectivity n Where graphic elements visually meet, they must also digitally meet. All
confluences of line and polygon data must be exact; "overshoots", "undershoots", "slivers", or
"offshoots" are NOT permitted.
5. Line Quality -- A high quality cartographic appearance must be achieved. Transitions from straight
lines to curvilinear elements must be smooth, with angular inflections at the point of intersection.
The digital representation must not contain extraneous data at a non visible level. There should be
. no jags, hooks, or zero length segments. Any lines that are straight, or should be straight, should be
digitized using only two points that represent the beginning and ending points of the line.
6. Polygon Closure -- For area features being digitized, the last coordinate pair must be exactly
(mathematically) equal to the first coordinate pair. No Iil\e or polygon must cross itself except to
join at an actual oonfluence. All digitized features across map boundaries must be edited to effect
smooth and continuous lines.
7. Graphic Precision -- Positional coordinates for all digital graphic elements should not be reported
to a level of precision greater than one thousandth (.001) ofa foot.
8. Digitizer Accuracy n The required RMS error for digitizer accuracy must be 0.003 or better for
digital map registration.
C. ADDITIONAL DIGITAL-READY MAP PRODUCT REQUIREMENTS - The following requirements
for large scale, non-digital map products must be followed to facilitate the future conversion of the maps
to digital map products. All large format, non-digital map products must be provided on stable base
material at a scale stipulated in the RFP. The map products must include an index map to all map sheets
and thorough descriptions of all the cartographic elements portrayed on the maps.
I. Base Map Media -- All maps must be created on mylar or other .stable base material.
2. Map Scale -- All maps of a similar series should be created using the. same base scale. Unless
otherwise stated by the Division, all maps should be compiled at 1:24,000. If other map scales are
approved by the Division, where possible they will conform to standard map scales such as 1:9600;
1:50,000; 1:75,000; or 1:100,000.
3. Map Registration -- The maps must provide a minimum of four (4) corner and four (4) interior ticks
tied to USGSINYSDOT quadrangle Lat/Long or NYTM coordinates. The maps must be
geometrically correct and should register when overlaid on the appropriate USGSINYSDOT
quadrangle control ticks.
4. Map Title and Legend -- The maps must provide a title and legend block describing the information
contained on the maps, and including the Documentation and Datums information requested in the
GENERAL MAP PRODUCT REQUIREMENTS above and the map scale.
5. Cartographic Quality -- The quality of all map line work and symbolization must conform to items
I - 6 in the map criteria set forth in the ADDITIONAL DIGITAL CARTOGRAPffiC FILE
REQUIREMENTS section outlined above.
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D. CONTRACT DATABASE STANDARDS
I. Delivery Media - All database and tabular files must be provided on digital media as specified
above in Deliverable Format.
2. Software Format - Database and tabular files can be provided in Corel Quattro, Microsoft Excel or
Microsoft Access format. Other formats that are convertible to one of the aforementioned formats
may be used with prior approval of the Division.
3. Geographic Attributes -. Database and tabular files that contain elements with a geographic reference
must provide a corresponding data field and a geographic coordinate pair for each feature location.
XV. PaYment and Records Retention
A. Payments shall be made as set forth in Appendix C.
B. The Contractor shall maintain, at its principal place of business, detailed books and accounting records.
supported by original documentation relating to the incurring of all expenditures, as well as payments
made pursuant to this Agreement. The Contractor shall make such records available for review by the
Department upon request at any time. The Department shall have the right to conduct progress
assessments and review books and records as necessary. The Department shall have the right to conduct
an on-site review of the Project and/or books and records of the Contractor prior to, and for a reasonable
time following, issuance of the FINAL payment. The Department shall be entitled to disallow any cost
or expense, and/or terminate or suspend this Agreement, if the Contractor has misrepresented any
expenditures or Project activities in its application to the Department, or in this Agreement, or in any
progress reports or payment requests made pursuant hereto. The Contractor shall maintain such books
and accounting records in a manner so that reports can be produced therefrom in accordance with
generally accepted accounting principles. The Contractor shall maintain separate fiscal books and
records for all funds received through the Department pursuant to this Agreement.
C. During the term of this Agreement ahd for a period of six years after its tennination, the Contractor shall
make all such books and records available to the Department and the Office of the State Comptroller,
or their designated representatives, for inspection and audit.
XVI. Eaual EmploYment Opportunity
The Contractor hereby assures that it is, and shall be for the duration of this Agreement, in compliance with
the Federal Equal Employment Opportunity Act of 1972 (public Law 92-261), as amended.
XVII. Article 15-A of The New York State Executive Law
The Department of State administers a Minority and W omen-owned Business Enterprises (MWBE) Program
as mandated by Article 15-A of the New York State Executive Law. This law supersedes any other provision
in state law authorizing or requiring an equal employment opportunity program or a program for securing
participation by minority and women-owned business enterprises. Under this law, all state agencies must,
subject to certain exceptions, establish goals for minority and women-owned business participation in certain
state contracts and grants. Where MWBE goals are required, even in circumstances where this goal is zero,
a Ouarterlv Contractor Report is required to be submitted to the Minority and Women-owned Business
Program of the Department on forms provided by the Department.
Article 15-A requires that rules and regulations be established for contracts entered into by the Department.
In accordance with Article 15-A, goals must be set for contracts entered into by the Department in excess
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of$25,000 for labor, services, supplies, equipment, and materials, or any combination of the foregoing, and
for contracts entered into by the Department in excess of$100,000 for acquisition, construction, demolition,
replacement, major repair, renovation or improvement of real property. ill applying these rules and
regulations, the Department must consider the availability of certified minority and women-owned businesses
in the region in which the state contract will be performed, the total dollar value of the contract, the scope
of work to be performed, and the project size and term.
The contractor will, when required as a part of the bid or proposal, submit a Staffing Plan on the form
provided by the Department. This Plan will detail the work force anticipated in the performance of the state
contract, reported by ethnic background, gender, and Federal Occupational Categories.
After a bid opening and prior to the award of a state contract, the contractor will submit an Equal
Emolovment Opportunitv (EEO) Policv Statement to the Department within the time frame established by
the Department. The law requires that, as a precondition to entering into a valid and binding state contract,
the contractor will agree to the following stipulations and will include them in the EEO Policv Statement:
. The contractor will not discriminate against any employee or applicant for employment because
ofrace, creed, color, national origin, sex, age, disability or marital status.
. The contractor will undertake or continue existing programs of affirmative action to ensure that
minority group members and women are afforded equal employment opportunities without
discrimination because ofrace, creed, color, national origin, sex, age, disability or marital status.
For these purposes, affirmative action applies in areas of recruitment, employment, job assigrunent,
promotion, upgrading, demotion, transfer, layoff, or termination and rates of payor other forms of
compensation.
. The contractor will make active and conscientious efforts to employ and to utilize minority group
members and women at all levels and in all segments of its work force on state contracts, and the
contractor will document these efforts.
· The contractor will state in all solicitations and 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.
· The contractor will, at the request of the Department, request each employment agency, labor
union, or authorized representative of workers with which it has a collective bargaining or other
agreement or understanding, to furnish a written statement that such employment agency, labor
union, or representative will not discriminate because of race, creed, color, national origin, sex, age,
disability or marital status, and that such union orrepresentative will affirmatively cooperate in the
implementation of the contractor's obligations herein.
· The contractor will include the provisions regarding the EEO Policv Statement and the Staffing
Plan enumerated above in each and every subcontract of a state contract in such a manner that the
subcontractor is bound by these requirements.
· Failure to provide an EEO Policv Statement and a Staff me: Plan without reasonable written
justification or commitment to provide these requirements by a specified date will result in rejection
of the contractor's bid or proposal.
· After the award of a state contrad,"'the contractor will submit to the Department a Workforce
. Emolovment Utilization Reoort, on the form supplied by the Department, detailing the work force
actually utilized on the state contract, by ethnic background, gender and Federal Occupational
AI-II
'. '
Categories, as specified on the form. This Report will be submitted to the Department on a quarterly
basis throughout the life of the contract.
. The contractor, and any of its subcontractors, may be required to submit compliance reports
relating to their operations and implementation of their affirmative action or equal employment
opportunity program in effect as of the date the state contract is executed.
Questions regarding this program should be directed to the Department's Minority and Women-owned
Business Program by calling (518) 474-5741. Potential contractors can access the NYS Directory of
Certified Minority and Women-owned Business Enterprises on-line through the Empire State Development
website at: htto:llwww.empire.state.nv.us, double click (left column) on: NY'Y BIZ (Doing Business in New
York); put the curser over: Small and Growing Business and, from that menu, click on: Minority and
Women-Owned Business. From the center column, highlighted in blue, click on the bullet: "Search the
Directory of Certified Minority- and Women-Owned Business Enterprises."
The Department makes no representation with respect to the availability or capability of any business
listed in the Directorv. .
XVID. Notice of Public Proceedings
The Contractor agrees to provide the Dep'artment with prompt and timely written notice at least two
weeks in advance of all public proceedings, including, but not limited to; public meetings or hearings,
relating to the Project.
XIX. Submission of all correspondence and documentation
A. The Contractor agrees to provide the Department with original and two copies of all documentation
relating to this Project, including, but not limited to: notices of public meetings, products described
in Appendix D, and payment request documentation as described in Appendix C.
B. All information as described in A. above shall include the NYS Comptroller's # as indicated on the
Face Page ofthis Agreement.
XX. Environmental Review
A. Contractor agrees to provide the Department, in a timely manner, with all documentation, including
but not limited to, permit applications, environmental assessments, designs, plans, studies,
environmental impact statements, findings, and determinations, relating to the Project.
B. Contractor acknowledges that compliance with the State Environmental Quality Review Act is a
material term and condition of this Agreement. In no event shall any payments be made under this
Agreement until Contractor has provided Department with appropriate documentation that contractor
has met any requirements imposed on Contractor by the State Environmental Quality Review Act.
XXI. Fullv-Executed Agreement or Amendment Thereto
A. If this Agreement or amendments thereto, allocates funds totaling $15,000 or less, it shall be deemed
to be fully executed when approved and signed by the Contractor and the Department.
B. If this Agreement, or amendments thereto, allocates funds totaling more than $15,000, it shall be
deemed to be full executed when approved by the Office ofthe State Comptroller.
FINAL PROJECT SUMMARY REpORT
A I, Attachment I.
Pinal payment of the grant is depend~nt upon the satisfactory completion and acceptance by the Department of State,
Division oreoastai Resources of thIs FrNALPROJECT SUMMARY REPORT along With the reqUisite docUlllentation. In
addition to the other requirements of the contract, the grant recipient is responsible to relav the imoortance. the sil!Ilificance
and the value of the completed oroiect to the community. the region and the state through the completion of the report.
The following outline should be used to complete the FrNAL PROJECT SUMMARY REpORT:
1. Project Title:
2. Name of Municipality:
3. Actual Project Costs:
a. State funds expended (identify source, ego EPF, Clean Waterl Clean Air
Bond Act, etc.):
b. Local funds expended:
C. Other funds expended:
4. Project Manager: Name:
Title:
Mailing address:
Tel. number:
Fax number:
E-mail address:
(
(
)
)
5. Federal Tax Identification Number:
6. Project Background (briefly explain in a short paragraph why this project was necessary, what its value is and/or its
importance to the commnnity):
7. Project Work (briefly describe the work that was done to complete the project):
8. Project Descriptions (use the following guidelines to describe the project and please be concise in the description):
a. For a Planning Project describe the findings or recommended strategies.
b. For a Design Project describe what is to be built.
C. For a Construction Project describe what was built.
9. Project Measurable Results: To be completed on fonns attached.
10. Project Documentation: The Deparlment of State, Division of Coastal Resources requires a visual documentation of
the Environmental Protection Fund projects. Project products should be visually documented using a 35rnm camera
or a digital camera. The 35mm color slides and/or digital camera disc should be labeled and dated when submitted
along with the completed FINAL PROJECT SUMMARY REpORT.
Visuals should illustrate the final project product and, as appropriate, activities undertaken to complete the project. Flor
example, some projects would call for visuals that include photographs of volunteers participating in a wetland
restoration project (planting Sparlina); photographs of historical signs markers, kiosks, etc. being placed; or photographs
of an artist's rendering of a waterfront design.
Design, planiIing, and construction projects call for different visual documentation. Therefore, the following guidelines
are suggested:
iii For design projects, visuals of renderings and/or graphics that depict the final product.
iii For planiIing projects, visuals of any graphics, where appropriate, that illustrate the final product.
Ii!J For construction projects, visuals of work in progress and the finished project.
In addition to the 35mm color slidesldigital camera disc, a video (vhs format) of the project with a verbal description is
desirable but not mandatory. The video may be used in a future documentary.
AI, Attachment 2
NYS Department of State . Minority and Women-owned Business Enterprises Program
41 State Street Albany NY 12231-0001 . (518) 474 - 5741
Minority and Women-owned Business Enterprises (MWBE) Program
Quarterly Contractor Report
INSTRUCTIONS: I
1. Please prepare reports based on calendar quarters, or prepare one annual report.
2. Use a separate Report sheet for each contract or program area
3. Record the amount paid for each service/product for the time period identified below.
4. Send completed reports to the Minority and Women-owned Business Enterprises Program at the above address.
REPORT PERIOD
Report should cover a calendar quarter OR the program year. FROM: TO:
Enter the inclusive dates of the quarter or for the program year. /' /' /'
CONTRACTOR NAME PROGRAM DOS CONTRACT NUMBER
CONTRACTOR ADDRESS SaNies Area of Contract Work -
-
~
( ) i
NAME and TInE of CONTACT PERSON (Please Print) TELEPHONE NUMBER .
-
-
TYPE of DESCRIPTION of AMOUNT PAID -
VENDOR NAME and ADDRESS VENDOR SERVICE/PRODUCT THIS PERIOD COMMENTS
o MBE $
o WBE
o MBE
o WBE
o MBE
o WBE
o MBE
o WBE
o MBE
o WBE
o MBE
oWBE
o MBE
oWBE
o MBE
oWBE
o MBE
o WBE
PAGE 1 of
A I - Attachment 3
CONTRACTOR:
Agreement #
PROJECT STATUS
As of
(Submit senli-annually and with each payment reques!.)
Task
#
Aff
Date of
Completion
Percent of
Completion
Products! Accomplishments
Please note problems encountered, proposed adjustment(s) to work program/schedule, and reason(s) for
proposed adjustment(s):
Please provide the following information:
Name of contact Person:
Email Address:
Phone Number:
Fax Number:
Appendix B
BUDGET SUMMARY
A. Salaries & Wages (including Fringe Benefits)
B. Travel
C. Supplies/Materials
D. Equipment
E. Contractual Services
F. Other
TOTAL PROJECf COST
Total State Funds (50 % of Total)
Total Local Share (50% of Total)
$
$
$
$
$
$
$10,000.00
$1;500.00
$0.00
$0.00
$138,500.00
$0.00
$
$150,000.00
$
$.
$75,000.00
$75,000.00
B-2
Appendix B (Budget Detail Sheet)
A. SALARlES & WAGES
TITLE ANNUAL AMOUNT CHARGED
SALARY TO THIS PROJECT
Senior Environmental Planner $45,900.00 $7,500.00
.
Town GIS Coordinator $60,227.00 $2,500.00
SUBTOTAL $ 10,000.00
B. TRAVEL
Travel to Project Meetings (meals, tolls & mileage) - $618
Travel to DOS LI Conference (registration, lodging, meals & mileage) - $882
SUBTOTAL $1,500.00
! c. =PLW~IMA~RlALS I
SUBTOTAL $0.00
i D EQUWMENT I
SUBTOTAL $ 0.00
E. CONTRACTUAL SERVICES
GIS Natural Resources Inventory Database - $37,000
Creation ofa Bay Scallop Spawner Sanctuary - $101,500
SUBTOTAL $138,500.00
I F anrnR I
SUBTOTAL $ 0.00
APPENDIX C
Payment and Reporting Schedule
XXII. Payment Schedule
A. The Department shall make interim payments for eligible costs incurred up to an amount not to exceed
90% of the State Funds Requested. The final payment will be made upon satisfactory completion of the
Project.
B. Not more frequently than once every 30 days, a properly executed payment request, on forms as
prescribed by the Department, and required work products documenting completion of one or more of the
tasks set forth in Appendix D, Program Workplan, and total project costs incurred to date, may be
submitted.
I. Payment provided above shall be made to the Contractor upon the submission by the Contractor of
properly executed payment request. Such request shall contain the following: (1) "Summary Sheet
Documentation Forms" as provided by the Department, for reimbursement of actual and eligible
expenditures, (2) the required Detail Study, and (3) a properly executed Stilte Voucher.
2. Payment requests will be reviewed in accordance with the terms and conditions of this Agreement to
determine total allowable project costs incurred and the number and percentage of allowable project
tasks completed to date. For the purpose of detennining the level of reimbursement, otherwise
allowable project costs may be reduced if the percentage of task completion is deemed insufficient.
3. Total allowable project costs, adjusted pursuant to 2. above, will be prorated between State Funds
and Local Share costs in the same proportions as Total State Funds is to Total Local Share as set
forth on the Face Page.
4. Interim payments will be issued in amounts equal to the State Funds calculated in 3. above, less all
previous payments to date.
5. The final payment will be issued upon receipt and approval of a payment request marked "FINAL"
documenting all project costs incurred and tasks completed and submission of the Final Project
Summary Report and Measurable Results Forms. Such [mal payment request shall be submitted
within 60 days following the ending date of this Agreement.
II. Reuorting
A. Payment requests as described in LB. above shall be certified by a duly authorized representative of the
Contractor as accurately representing such accomplishments and expenses as recorded in the Contractor's
accounting records, including, where goods or services are provided by third parties not party to this
Agreement, a certification that any payment obligations arising from the provision of such goods or
services have been paid by the Contractor and do not duplicate reimbursement or costs and services
received from other sources.
B. Notwithstanding the above requirements, upon written notification by the Department, the Contractor
may be required to submit source documentation and additional verification of allowable expenditures.
Ce2
C. Payment requests shall be submitted to:
New York State Department of State
Contract Administration Unit - L WRP
41 State Street - 10th Floor
Albany, New York, 12231-0001
D. Claimed expenditures per cost category may not exceed the amounts indicated in the Budget, Appendix
B, by ten percent (10%) without approval of the Department, provided that the Total Project Cost as set
forth in Appendix B, Budget Summary is not exceeded. Any expenditure in excess of such 10% or that
changes the State Share or Local Share funding amount shall require an amendment to the Project Budget
submitted in writing by the Contractor and approved by the Department. No expenditures shall be
allowed for items not set forth in the Project Budget without written approval of the Department.
m. Other
A. Notwithstanding the submission of timely and properly executed payment requests, the Department shall
be under no obligation to make payment for expenditures incurred without the prior Department
approvals and/or amendments required under this Agreement and, further, shall have the right to
withhold any such payment pending the execution of such approval and/or amendment.
B. Interest income earned on funds received pursuant to this Agreement shall be used to further the purpose
of this Project or shall be deducted from total eligible cost to determine the net eligible costs to be
reimbursed by the Department.
C. The Department shall have the right to conduct on-site progress assessments and reviews of the Project
and Contractor's books and records during the life ~f this Agreement and for a reasonable time following
issuance of the FINAL payment. The Contractor shall furnish proper facilities, where necessary or _
useful, for such access and inspection.
D. The Department shall be entitled to disallow any cost or expense, or terminate or suspend this
Agreement, if found that the Contractor has misrepresented any expenditures or project activities in this
Agreement, or in any progress reports or payment requests made pursuant hereto. \
E. The Contractor shall maintain separate fiscal books and records for all funds received through the
Department and project activities conducted pursuant to this Agreement, and shall make all such books
and records available to the Department, the Office of the State Comptroller, or their designated
representatives for inspection and audit for a period of six years following termination of this Agreement.
, '
APPENDIX D
PROGRAM WORK PLAN
Contractor:
Program Contact Person:
Phone: (Office)
(Fax)
Town of Southold
Mark Teny, L WRP Coordinator
(631) 765-1938
(631) 765-3136
Implementation of the Town of Southold LWRP
1. Project Description
The Town of Southold has adopted a Local Waterfront Revitalization Program (L WRP) which has been
approved by the Secretary of State. As part of the L WRP, the Town recommended several key
information and action needs to improve the Town's ability to inventory and analyze shoreline impacts
and increase shellfish reproductive success. The Town proposes to undertake planning, inventory,
mapping and implementation components toward the development of a Geographic illformation System
(GIS) - based Natural Resource illventory Database (NRID), and to establish a bay scallop spawner
sanctuary. Each of these components implements recommendations of both the Long Island Sound
Coastal Management Program and the Peconic Estuary's Comprehensive Conservation and Management
Plan as well as the Town's LWRP. The completion of these tasks will improve the Town's ability to
plan, permit, and prioritize actions necessary to protect natural resources along the shoreline and
implement the policies of the Town's LWRP.
The Town has developed a partnership with the Cornell Cooperative Extension of Suffolk County to
complete work related to the implementation of the Town's L WRP under previous Environmental
Protection Fund (EPF) awards. This partnership will be extended to cover the tasks associated with this
work plan.
2. Project Attribution and Number of Copies
The Contractor must ensure that all materials printed, constructed, and/or produced acknowledge the
contributions of the Division of Coastal Resources to the project. The materials must include the following
acknowledgment:
"This (document, report, map, etc.) was prepared for the New York State Department of State,
Divi#on of Coastal Resources, with funds provided under Title 11 of the Environmental Protection
Fund."
The contributions of the Division of Coastal Resources must also be acknowledged in community press releases
issued for the project. Project press releases shall be submitted to the Department of State for review and
approval prior to release to ensure appropriate attribution.
The Contractor must submit to the Department of State three copies of all written reports and supporting
graphics, final design documents, and other printed materials.
3. Compliance with Procurement Requirements
The municipal attorney, chieflegal officer, or fmancial administrator for the Town of Southold shall certifY to
the Department of State that applicable public bidding procedures of General Municipal Law ~ 103 were followed
for all constrnction contracts involving more than $20,000 and more than $10,000 for purchase contracts. ill the
D-2
case of construction contracts involving not more than $20,000, purchase contracts involving not more than
$10,000, and contracts for professional services, the municipal attorney, chieflegal officer, or financial
administrator shall certify that the procedures of the municipality established pursuant to General Municipal Law
~ 104-b were fully complied with.
4. Component Tasks
Task 1. Project scoping meeting
The Town of Southold, the Department of State (DOS), and Cornell Cooperative Extension of Suffolk
County shall hold an initial meeting to review goals and targets, project requirements, work schedule,
existing information and data, and the details of the DOS contract. Areas ofthe project where additional
consultant services may be required will be identified. Points in the project timeline where approval by
Department of State is required prior to commencement of additional tasks will be identified. The
meeting will also address local responsibility for project oversight, including compliance with the State
Environmental Quality Review Act (SEQRA); whether a steering committee will be formed with local
stakeholders and government agencies; and the proposed project schedule. If a Steering Committee is
formed, its composition will be determined at this meeting. A brief meeting summary will be prepared
by the Town or its consultant indicating the agreements/understandings reached at the meeting.
Product:
Summary ofscoping meeting including responsibilities agreed to and proposed project
schedule.
Task 2: Consultant Procuremeut Record
The Town will provide DOS with a record of the actions taken to procure the preferred consultant,
Cornell Cooperative Extension of Suffolk County. The municipal attorney, chieflegal officer or
[mancial administrator of the municipality shall certify in writing to the DOS that applicable provisions
of General Municipal Law were fully complied with.
Product:
Written certification of consultant procurement procedures.
Task 3: Subcontract preparation and execution
The Town of Southold shall prepare a draft subcontract with Cornell Cooperative Extension (the
consultant) to address tasks of this contract. The subcontract shall contain a detailed work plan with
adequate opportunity to review stages in completion of the products, a payment schedule (payments
should be tied to the receipt of products identified in the work plan), and a project cost. The draft
subcontract will be submitted to the Department of State for review and approval prior to final execution
by the Town and Cornell Cooperative Extension. A copy of the final subcontract, incorporating the
Department of State's comments on the draft, will be provided to the Department of State.
Product:
Draft consultant contract for review prior to execution, and executed consultant contract
incorporating DOS comments.
Task 4:
Community and Waterfront Revitalization Conference Attendance
The Town of Southold will attend the Department of State's Community and Waterfront Revitalization
Conference on October 19,2005.
Product:
Attendance at Community and Waterfront Revitalization Conference.
D-3
Task 5:
Natural Resource Inventory aud Database data collection
The consultant will complete digital inventories and use the data to populate the Natural Resource
Inventory and Database (NRID) established by the Town. The inventory will build on and supplement
previously collected data including the Southold Creeks scenic inventory; the Town's existing GIS
database; previous mooring and shoreline data; and existing information from relevant sources. All GIS
data collected as part of this project shall be presented and stored in MapInfo format. Inventory work
will build on the GIS assessment completed for the Town creeks under a previous EPF award, and focus
on the remaining Town shoreline.
The digital inventory to populate the NRID will include:
. Inventory of shoreline structures - digital photos of docks, bulkheads and other shoreline
structures extracted from digital videos and linked to the corresponding tax map lot;
Inventory of all shoreline defense structures - all shoreline- hardening structures such as
revetments, groins and bulkheads (including geotextile devices) will be mapped and linked to
the corresponding parcel and descriptive metadata including the length, size, construction
material (i.e., metal, rock, wood, plastic, etc.), and apparent visual condition;
. Inventory of existing moorings - all moorings will be mapped and linked to digital and aerial
photos;
Navigational channels - all previously and currently maintained navigational channels, and any
channel markers, buoys or beacons, will be mapped and linked to aerial photos;
. Eelgrass locations - all known eelgrass locations will be mapped and incorporated; and
Shellfish restoration areas - all past and current shellfish seeding locations will be mapped and
linked to aerial photos and descriptive metadata including the shellfish species, quantity and year
of last known seeding effort.
The Town will provide DOS with an electronic copy of all inventory data.
Product:
Digital inventory data collected for all areas of the Town shoreline outside of the
previously mapped creeks.
Task 6: NRID presentation to Peconic Estuary Program and Long Island Sound Study
The Town will prepare a PowerPoint presentation detailing the process, results, and utility of the
inventory and mapping of all Town coastal structures and features undertaken as part of the NRID
process. The Town will provide a draft of the presentation to DOS for comment and review. The Town
will present the final presentation at a general meeting of the Peconic Estuary Program and of the Long
Island Sound Study. The presentation will emphasize how the data is being used for coastal zone
management and consistency determinations as part of the Town's LWRP.
The Town will also prepare a summary of the NRID process, including costs, funding mechanisms,
details of the equipment used, and lessons learned.
Products:
Draft PowerPoint for DOS review, and final PowerPoint presentation incorporating DOS
comments, presented at one meeting of the Peconic Estuary Program and at one meeting
of the Long Island Sound Study. Submission ofa draft swrunary of the Town shoreline
mapping projects to DOS for review, and submission oftbree (3) copies of the final
summary incorporating DOS comments.
D-4
Task 7: Scallop spawner sanctuary identification
Usiug information acquired as part of the NRID database and previously collected data, the Town will
identif'y at least two (2) locations appropriate for the establishment of bay scallop spawner sanctuaries.
The Town will prepare a summary of the conditions, available biological and physical data for each of
the two (2) identified locations for review by DOS. The summary will include, at a minimum, a location
map, coordinates and aerial photograph of the identified sites; existing data supporting the
recommendation of each site including the presence, density and dimensions of eelgrass beds, previous
shellfish harvest or seeding information, presence of predators; and physical characteristics including pH,
depth of water, average water temperature (if known), distance to nearby eelgrass and known bay scallop
harvest areas or eelgrass beds and spat collectors.
The sununary document will also recommend the most appropriate spawner sanctuary location, provide
justification for the final site selection, and provide recommendations for the management or designation
of spawner sanctuaries to discourage recreational or commercial harvesting of spawninglbroodstock
animals. The Town will include completed copies of any necessary permit applications for the
establishment of the recommended spawner sanctuary with the summary report.
Products:
Identification of two (2) potential locations for bay scallop spawner sanctuaries, and
summary document providing physical and biological information for all sites,
applications for permits, recommendation of sites, justification for final site selection,
and recommendations for spawner sanctuary management. Submission of a draft
summary to DOS forreview, and submission of three (3) copies of the final summary
incorporating DOS comments.
Task 8: Scallop spawner sanctuary planting and field notes
The Town will designate the recommended spawner sanctuary site as a "no-harvest zone" and plant a
minimum of 75,000 adult scallops at the site. The Town's consultant will prepare field notes from each
of the planting events including approximate number and size of the scallops planted, water temperature,
pH, salinity, and time and date, and fully document the planting events with photographs of the scallops
and actual planting efforts.
The Town's consultant will submit copies of the field notes and documentation photographs at the
conclusion of each planting event.
Products:
Designation of the recommended scallop spawner sanctuary prohibiting harvest, planting
of 75,000 scallops at the recommended scallop spawner sanctuary site, and submission
of all field notes and photographs to DOS.
Task 9: Scallop spawner sanctuary monitoring
The Town will undertake routine monitoring of the scallop spawner sanctuary to determine the level of
success. The Town will place spat collectors in the anticipated path oflarval drift, document the survival
and reproductive success of the spawner sanctuaries, and observed larval settling on adjacent eelgrass
beds.
The Town and its consultant will prepare and submit a summary of the monitoring process and results to
DOS for review.
Products:
Submission of a draft summary of the scallop spawner sanctuaries monitoring to DOS
for review, and submission of three (3) copies of the final summary incorporating DOS
comments.
, I
0-5
Task 10: Scallop spawner sanctuary final report
The Town will prepare a final report that documents the process of the identification, selection, data
collection, planting and monitoring of the spawner sanctuary. ;The Town will draw information from the
site selection summary report, field notes, and monitoring summary.
Products:
Submission of a draft report of the scallop spawner sanctuaries project to DOS for
review, and submission of three (3) copies of the final report incorporating DOS
comments.
Task 11: SemI-annual reporting
The Town or its consultant shall submit to the DOS semi-annual reports every six months on the form
provided, including a description of the work accomplished, any problems encountered, and any
assistance needed. The report may be submitted as part of a payment request.
Produets:
Semi-annual reports during the life of the contract.
Task 12: Project completion and Measurable Results
Upon completion of the project, the consultant shall submit a statement to the Town that the work has
been completed in accordance with the contract and all permit requirements, where applicable. The
consultant shall provide the municipality with all reports, analysis, data, GIS layers, and products as
specified in this work program. The Department of State shall concur that the work is complete prior to
the municipality paying the consultant and/or submitting to the Department of State for [mal payment of
grant ftmds. The municipality shall complete the Measurable Results form attached to this work program
and provide a copy to the Department of State.
Product:
Completed Measurable Results form.
.
oJ
APPENDIX X
Agency Code: 19000
Contract Period:
Contract No.: C006355
Funding for Period: $75,000.00
This is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Department of
State, having its principal office at 41 State Street, Albany, New York, 12231 (hereinafter referred to as the STATE), and
Town of Southold (hereinafter referred to as the CONTRACTOR), for modification of Contract Number C006355, as
amended above and in attached Appendice( s) .
All other provisions of said AGREEMENT shall remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as of the dates appearing under their
signatures.
By:
By:
(print name)
Title:
Title:
Date:
Date:
acceptance of this contract, I also certify that original copies of this signature page will be
18 contract."
State of New York
Connty of
)
)ss:
On this
day of
, 20--, before me personally came
to me known, who, being by me duly sworn, did depose and say that helshelthey
reside(s) in (if the place of resident is in a city,
include the street and street number, if any, thereof); that helshe/they is(are) the (title of officer
or employee) of the (name of municipal corporation), described in and which
executed the above instrument; and that helshe/they signed hislher/their name(s) thereto by authority of the governing body of
said municipal corporation.
NOTARY PUBLIC
Approved:
Alan G. Hevesi
Comptroller
By:
Date:
.
ELIZABETH NEVILLE
TOWN CLERK
--
nM
Town Hall, 53095 Main Road
PO Box 1179
Southold, NY 11971
Fax (631) 765-6145
Telephone: (631) 765-1800
southoldtown.northfork.net
REGISTRAR OF VITAL STATISTICS
MARRIAGE OFFICER
RECORDS MANAGEMENT OFFICER
FREEDOM OF INFORMATION OFFICER
RESOLUTION # 2005-505
Resolution ID: 1072
Meeting:
Department:
Category:
08/16/05 04:30 PM
Community Development
Contracts, Lease & Agreements
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 2005-505 OF 2005 WAS
ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON August 16,
2005:
RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs Supervisor Joshua
Y. Horton to execnte an Al!reement between the Town of South old and the NYS Department of State in
connection with the Implementation ofthe Town of Southold's Local Water Revitalization Program in the
amount of$150,000.00 all in accordance with the approval of the Town Attorney.
a,~Q?(+TV'tJ...
Elizabeth A. Neville
South old Town Clerk
*
STATE OF NEW YORK
DEPARTMENT OF STATE
4 I STATE STREET
ALBANY, NY 12231-000 I
GEORGE E. PATAKI
GoVERNOR
December 20, 2005
Honorable Joshua Horton
Supervisor
Town of South old
53095 Main Road
PO Box 1179
Southold, NY 11971
.
Re: Agreement #C006355
Implementation of the Town of Southold's Local Waterfront Revitalization
Dear Supervisor Horton:
Enclosed is a fully-executed copy of an Agreement between the Town of Southold and the Department of
State for the above cited project.
The following forms are also enclosed:
V ouchering Procedure Guidelines
. Summary Sheet Documentation Forms - To be submitted with each payment request
Standard Vouchers - To be submitted with each payment request
. Status Report forms - To be submitted every 6 months
If you would like to receive electronic copies of the above forms, or if you have any questions, please
contact me at (518) 473-2466 or lparent@dos.state.ny.us.
Truly yours,
Lt~ /tUU<xr
Enclosure
Laurissa Parent, Secre I
Division of Coastal R For~ l~ ~ W ~l In'!
lJ1) DEe 2 7 200S I :~
cc: V. DeBraccio
Jim McMahon
John Cushman
SUPERVISORS OfFICE
~WN Of SOUTHOLD
'WWW.OOS.STATE.NY.U5
E-MAIL: INFo@OOS.STATE.NY.US
~-
~ .'
FACE PAGE
STATE AGENCY (Name and Address):
NYS Department of State
41 State Street
Albany, NY 12231-0001
NYS COMPTROLLER'S #:
ORIG. AGENCY CODE:
C006355
19000
TYPE OF PROGRAM: Environmental Protection
Fund Act
CONTRACTOR (Name and Address):
Town of South old
53095 Main Road
Southold, NY 11971
STATE SHARE FUNDING AMOUNT FOR
INITIAL PERIOD $75,000.00
LOCAL SHARE FUNDING AMOUNT FOR
INITIAL PERIOD $75,000.00
FEDERAL TAX IDENTIFICATION NUMBER:
11-6001939
MUNICIPALITY #
INITIAL CONTRACT PERIOD:
FROM: October 15,2005 TO: March 31, 2007
MULTI-YEAR TERM (If applicable):
From: October 15, 2005 To: March 31, 2008
APPENDICES ATTACHED TO AND PART OF TillS AGREEMENT
APPENDIX A: Standard clauses as required by the Attorney General for all state contracts
APPENDIX AI1ncluding
Attachments 1, 2, & 3 thereto: Agency-specific clauses
APPENDIX B: Budget
APPENDIX C: Payment and Reporting Schedule
APPENDIX D: Program Workplan
APPENDIX X: Modification Agreement Form (to accompany modified appendices for
changes in term or consideration on an existing period or for renewal
periods)
. "
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates
below their signatures.
Contract No. C006355
CONTRACTOR
STATE AGENCY:
Y. Horton
New York State Department of State
By ff~F.~
;L ld-tl f. I< f' f1'1it
DOS Di~~t6'f' of Amini ration
and Management
"/ 7-/0)'
( I
State Agencv Certification
"In addition to the acceptance of this contract, I
also certifY that original copies of this signature
page will be attached to all other exact copies of
this contract. "
By:
Title:
Date:
(Print Name)
Supervisor
Title:
September 8, 2005
Date:
ACKNOWLEDGMENT
State of New York )
County of Suffolk )ss:
On this ~e. day of Oc.-\-t>~(
, 20~ before me personally came
Joshua Y. Horton
to me known, who, being by me duly sworn, did depose and say that
he/she/theyreside(s)in 53095 Main Road, PO Box 1179, Southold, NY 11971
(if the place
of resident is in a city, include the street and street number, if any, thereof); that he/she/they is(are) the
Supervisor
(title of officer or employee) of the Town of Southold
(name
of municipal corporation), described in and which executed the above instrument; and that he/she/they signed
his/her/their narne(s) thereto by authority of the governing body of said municipal corporation.
~
BONNIE J. DOROSKI
Notary Public. State Of New 'tbrt
. , Suffor~ ~unty
Term Expires July 7, 20 0
ATTORNEY GENERAL'S SIGNATURE:
Approved:
PPROVED
:PT. Of "uorr &. c()t{tl\O\.
DEe 0 5 1335
ts ~ Jit
-:;:-,,;E' cQMl'll\OLL ~
fORi "
Title:- "
" ": ' -'~ i G '
ate~,,\i~ \t\--r\~B'f~'~
Alan G. Hevesi
Comptroller
;', :
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,/",;7
r;::,//"<
~\/;\f-N:\J
:~:~.'.,;C,\; ,,','
I_ '
By:
Date:
,"
. ,
.
.
STATE OF NEW YORK
AGREEMENT
The 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
WHEREASythe 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 AGREEMENr;
NOW,THEREFdRE, in consideration of the promises, responsibilities and covenants herein, the STATE
and the CONTRACTOR agree as follows:
I. Conditions of Al!1"eement
A 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.
B. Funding.for the first PERIOD shall not exceed the funding amount specified on the face page hereof.
Funding for each subsequent PERIOD, if my, 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.
D. For each succeeding PERIOD of the AGREEMENT, the parties shall prepare new appendices, to the
extent that any require modification, and a Modification Agreement (the attached Appendix X is the bIarik
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 forms(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 sta~ in Appendix AI.
E. The CONTRACTOR shall perform all services to the satisfaction of the STATE. The CONTRACTOR
. shall provide services and meet the program objectives sumlnarized 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 or
program.
F. If the CONTRACTOR enters into subcontracts for the performance of work pursuant t6 this
.AGREEMENT, the CONTRACTOR shall take full responsibility for the acts and omissions of its
.
,
2
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.
n. Pavment and Reoortinl!
A. 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. '
B. 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.
ill Terminations
A. This AGREEMENT may be terminated at any time upon mutual written consent of the STATE and the
CONTRACTOR
B. The STATE may terminate the AGREEMENT inunediately, upon written notice of termination to the
CONTRACTOR, if the CONTRACTOR fails to comply with the terms and conditions or'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 AI.
D. 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 terms of the notice.
E. Upon receipt of notice of termination, the CONTRACTOR shall cancel, prior to the effective date of any
prospective termination, ,all outstanding obligations, and agrees not to incur any new obligations after receipt
of the notice without approVliI by the STATE.
F. The STATE shall be responsible for payment on claims pursuant to Services provided andc<ists iIlcurred
pursuant to terms of the AGREEMENT. In no evetit shall the. STATE be liable for expenses and obligations
arising from the program(s)in this AGREEMENT after the termination date.
Iv. Indemnification
A The CONTRACTOR shall be solely responsible and answerable in damages for any and all accident
and/or injuries to person (including death) or property arising out of or related to the services to be rendered
by the CONTRACTOR or its subcontractors pursuant to this AGRBBMENT. The CONTRACTOR shall
indemiufy 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.
,.
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3
B. The CONTRACTOR is an independent contractor and may neither hold itself out nor claim tobe an
officer, employee or subdivision of the STATE nor make any claim, demand or application to or for any right
based upon any diff~rent status. .
V. ProDerty
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 as stated in Appendix AI.
VI. Safe!!Uards for Services and Confidentiality
A. 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.
B. 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.
C. Information relating to individuals who may receive services pursuant to this AGREEMENT shall be
maintained and used only for the purposes intended under the Agreement and in conformity with applicable
provisions oflaws and regulations, or specified in Appendix At.
"
"
APPENDIX A
Standard Clauses for All New York State Contracts
The parties to the attached contract, license. lease, amendment or other
agreement of any kind (hereinafter, "the contractll or "this contract") agree
,to be bound by the following clauses which are hereby mnde 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):
I. EXECUTORY CLAUSE, In accordance with Section 4] of the State
Finance Law, the State shall have no liability under this contract to the
CoQtractor or to anyone else beyond funds appropriated and available for
this contract.
2, NON-ASSIGNMENT CLAUSE, [n accordance with Section 138 of
lhe 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 ofwithout the previous consent, in Writing, of the
Sl3te and any attempts to assign the contract without the State's Written
consent are null and void The Contractor may. however, assign its right to
receive payment without the Statcls prior written consent unl~ this
contract concerns Certificates of Participation pursuant to Artic[e S-A of
the State Finance Law.
3. COMPTROLLER'S AFPROV AL In accordance with Section 1[2
of the State Finance Law (or, if this contract is with the State U,;;vOnlity
or City University of New York, Section 3SS or Section 6218 of the
Education Law), if lhis contract exceeds $[S,OOO (or lh. minhnum
thresholds agreed to by lhe Office of lhe State Comptroller for certain
S.U.N.Y. and C.UN.Y. contracts), or iflhis is an amendment for any
amauntto acontractwhich, as so amended, exceeds said statutory amount, ,
or it; bylhis contract, lhe State agrees to give something other than money
1ihen the value or reasonably estimated value of such consideration
e.oeeds $10,000, it shall not be valid, effective or binding upon the State
until it bas been approved by the State Comptroller and filed in hisomce,
'Comptroller's approval of contracts let by lhe Office of General Services
is ""luired when such contracts exceed $30,000 '(State Finance Law
Section 163.6a), '
, 4. WORKER-C;' COMPENSATION BENEFITS. In accordance with
Section 142 of the State Finance Law, this contract shall be ""idand ofno
force and effect unless the Contractor shall provide and maintain coverage
during the life of thia contract for the benelit of such employees as are
required to be coVered by the provisions of the Workers' Compengation
Law.
. 5. NON-DISCRlMINATION REOUlREMENTS, To the extend
reqIiired by Article IS of the Executive Law (also known as the Human
RJPts Law) and all other S_ and Federal statutory and constitutional
non-discrirninationprovisions,theConlractorwill not discriminate against
any employee or applicant for employment beceuse of race. aeed, color,
fOX, national origin, sexual orientation, age, disability or marital status.
Furtb.errnooo, in accordance with Section 22O-e of the Labor Law, if this
Isacontract for the construction, alteration or repairofanypubllcbuilding
or public work or ror lhe manufilcture, sale or distribution of materials,
equipment or supplies, and to the extent that this contract shall be
performed withln the State of New York. Contractor agrees that neither it
..... illI...beontracI<<...haI~ byreason ofrace. aeed, color, disability, sex,
or national origin: (a) discriminate in hiring against any New York State
ciIizen who is qualified and avalIable to perfonn the work; or (b)
discriminate against or intimidate anyemployee hired forlhe performance
May 2003
of work under this contract. If this is a building service contract as defmed
in Section 230 of the Labor Law, then, in acoordance with Section 239
lhereof, Contr'actor agrees lhat neither it nor its subcontractors shall by
reason of race, creed, color, national origin, age, sex, 'or disability: (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.
Contractor is subject to fines of $SO.OO per person per day for any
violation of Section 220... or Section 239 as well as possible teirnination
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
contract covered by Article 9 thereof, neither Contractor's employees nor
the employees of its subeontractors may be required or permitted to work
more lhan the number of hours or days stated in said statutes, except as
otherwise provided in lhe Labor law and as set forth in prevailing wage
and supplement schedules issued by the State Labor Department.
Furthermore, Contractor and its subcontractors must pay at least the
prevailing wage rate and payor provide the prevailing supplements,
including lhe premium rates for overtime pay, as determined by the State
Labor Department in accordance wilh the Labor Law.
7. NON-COLLUSIVE BIDDING REQUIREMENT. In accordance
wilh Section 139-d of the S_ Finance Law, ffthis contract was awarded
based upon lhe submission of bids, Contractorwarranls, under penalty of
perjury, lhat its bid was arrived at independently and wilhout collusion
aimed at restricting competition. Contractor further _IS that, at the
time Contraclor.submitted its bid, an aulhorized and responsible person
executed and delivered to the S_ a non-collusive bidding certification
on Contractor's behalf. '
8. INTERNATIONAL BOYCOTf PRORTRlTJON. In accordance
wilh Section 22O-f of the Labor Law and Section 139-b of the State
Finance Law, if this contract exceeds $S,OOO, the Contractor agrees, as a
material condition of the contract, that neither the Contractor nor any
substantially owned or affiliated person, firm, partnership or colJlOration
bas participated, is participating. or shall' participate in an international
boycott in violation of the federal Export Administration Act ofl979 (50
USC App.Sections 2401 et scq.) or regulations lhereunder. If such
Contractor, or any of the aforesaid affill."", of Contractor, is convicted or
is otherwise found to have violated said laws or regulations upon the final
determination of the United States Coounerce Department or any other
appropriate agency of the United States subsequent to the contraclors
execution, such contract, amendment or modification thereto shall be
rendered forfeit and void. The Contractor shall so notify the State
Comptroller withln five (5) business days of 'such conviction,
determination or disposition of appeal (2NYCRR t 05.4).
9. SET-OFF RIGHTS. The State shall have all of its common law,
equitable and statutory rights ofset-oft: These rights shall include, but not'
be limited to, the State's option to withhold for the PUlJlOsos of set-off any
moneys due to the Contractor under this contract up to any amounts due
and owing 10 the S_ with regard to this contnct, any other contract with
any S_ department or agency, lncluditlg any con_ fur a Iem1
commetlclpg prior to the term of this contnct, plus any amounts due and
owing to the State fOr any other reason including, without Ihnltation, tax
delinquencies, fee delinquencies or monetary penalties relative thereto.
"
The State shallexereise its set-off rights in accordance with normal Stste
practices including, in cases of set-offpursuant to an audit, the finalization
of such audit by the Stale agency, its representatives, or the Stste
Comptroller.
10. RECORDS. The Contractor shall establish and maintsin complete
and accurate books, records, documents. accounts and other evidence
directly pertinent to performance under this contract (hereitlafter,
collectively, "the Records"). The Records must be kept for the balance of
the calendar year in which Ihey 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
Recordsduring nannal business hours at an office of the Contractorwithin
the State of New York or, ifno such office is available, at a mutually
agreeable and reasonable venue within the State, for the tenn specified
above for the purposes ofinspection, auditing and copying. The State shall
toke 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 infonnan
appropriate State official, in writing, that said records should not be
disclosed; and (ii) said records shall be sufficiently identified; and (iii)
designation of said records as exempt under the Statute is reasonable.
Nothing contained herein shatl diminish, <lr in any way adversely affect,
the State's right t~ discovery in any pending or future litigation.
11. IDENTIFYING INFORMATION AND PRIVACY
NOTIFICATION. (a) 'FBDBRAL BMPLOYBR. IDBNTIFlCAnON
NUMBBR BOd/or FBDBRAL SOCIAL SBCURTIY NUMBBR.A11
lnwices or New York State standard vouchers submitted for payment for
the sale of goods or services or the lease of real or personal property to a
.New York Stale agency must include the payee's identification number,
i.e.. the seller's or lessor's ldentifi~on number. The number is either the .
payee's Federal employer identification number or Federal.socialsecurity
number, or both such numbers when the 'payee has both such numbers.
Failure to include this nUl\lb... or numbers may delay payment Where the
payee does not have such number or nwnbers. the payee. on its invoice or
New Yode Stale standard voucher, must give the reason or reasons why the
payee does not have such number or numbers.
(b) PRIVACY NOTIF[CA nON. (I) The authority to request the above
penona! infonnation from a seller of goods or services or a lessor ofreal
{If personal'property, and the authority to maintain such infonnation, is
fuund in Section 5 of the Stale Tax Law. Disclosure of this infonnation by
the seUer or lessor to the Stale is mandatory. The prin~ipal purpose for
which the informalion is collected is to enable the Stale to Identify
individuals, businesses BOd others who have been delinquent in filing lox
returns or may have understated their lox liabilities and to generally
IdentifY persons affected by the loxes administered by the Conunissioner
of Taxation and Finarice. The information will be used for lox
admlnisfnltion purposes and for any other purpose authorized by law.
(2) The personal infonnation is requested by the purehasing unit of the
ag_y contracting to purchase the goods or services or lease the real or
penona! property covered by this contract or lease. The infonnation is
maintained in New Yode Stale's Central Accounting System by the
Director of Accounting Openitions, Office of the Stale Comptroller,
AESOB, Albany, New York [2236.
[2.llOlJALEMPI.oYMF.NTOPPORTUNITIESFORMlNORlTIF.~
AND WOMEN, In accordance with Section 3 [2 of the Bxecutive Law,
Iftld. contract is: (i) a written. agreement or purchase order instJ:ument,
. providiug Cor a total expenditure in excess of $25,000.00, whereby a
coatracIlng agency is COlDIIIitted to expend or d_ expead funds in return
for labor, services, supplies, equipment, materials or any combination of
May 2003
A-2
the foregoing, to be perfonned for, or rendered or furnished to the
contracting agency; or (ii) a written agreement in excess of$loo,ooo.oo
whereby a contracting. agency is committed to expend or does expend
funds for the acquisition, construction, demolition, replacement, Inl\ior
repair or renovation ofreal property and improvements thereon; or (ni) a
written agreement in excess of$1 00,000.00 whereby the owner of 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 cmplo)1llCllt because. of race. creed. color, national origin, s.ex., age,
disability or marital ststus, and will undertske or continue existing
programs of affirmative action to. ensure that minority group members and
women are afforded equal employment opportunities without
discrimination. Affinnative action shall mean recruitment, employment,
job assignment, promotion, upgradings, demotion, transfer, layoff, or
tennlnation and rates of payor other fonus of COmpensation;
(b) at the request of the contracting agency, the Contractor shall request
each employment agency, labor union, or authorized representative of
wodeers with which it has a collective bargaining or other agreement or
understanding, to furnish a written statement that sucb employinent
agency, labor union or representative will not discriminate on the basis of
race, creed, color. national origin, sel<, age, disability or marital status and
that such union or representative will aflirrnatively cooperate In the
implementation of the contracto~s obligations herein; and
(c) the Contractor shall state, in a1i solicitations o~ advertisements for
employees, that, in the performance of the Stale conlract, all qualified
applicants will be afforded equal employment opportunities without
discrimination because of race, ~, color, Dational origin, sex. age.
disability or'marital status.
Contractor will include the provisions of '"a, "b". and "e" abo~ in.every
subcontract over $25,000.00 fortheconstruction, demolition, replacement,
Inl\ior repair, renovation, planning or design of real property BOd
improvements thereon (the "Work") except where the Wode is for the
beneficial use of the Contractor. Section 312 does not apply to: (I) Wade,
goods or services unrelated to this contract; or (iI) employment outside
New Yode Stale; or (iii) banking services, insw'ance policies or the sale of
securities. The Stale ahatl consider compliance by a contraclor or
. subcontractor with the requirements of BOy federal law concerning equal
employmentopportunitywhich efl'ectuateS the purpose of this sectiolL The
contracting agency ahatl determine wbether the imposition of the.
requirements of the provisions hereof duplicate orcontlict with any such
federal law BOd if such duplication or contlict exists, the contracting
agency shall waive the applicability of Section 312 to the exleDt of such
duplication or conflict Contractor will comply with all duly promulgated
and [awful rules and regolations of the Oovernor's Office ofMinority and
Women's Business Development pertaining hereto. '
13. CONFLICI'ING TERM'S. In the event of a contlict between the
terms of the contract (including any and all attachments thereto 'and
amendments thereof) BOd the terms of this Appendix A, the teons of this
Appendix A shall control.
14. GOVERNING LAW. This contract ahaII be governed by the laws
of the State of New York except where the Federal supremacy clause
requires otheiwise.
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15. LATE PAYMENT. Timeliness of payment and any interest to be
paid to Contractor for late payment shall be govenied by Article I I-A of
the State Finance Law to the extent required by law.
16. NO ARBlTRA TION. Disputes involving this contract, including the
breach or alleged breach thereot; may not be submitted to binding
arbitration (except where statutorily authorized), but must, instead, be
heard in a court of competent jurisdiction ofthe State of New York.
17. SERVICE OF PROCESS. In addition to the methods of service
aUowed by the State Civil Fractice Law & Rules ("CPLR"), Contractor
hereby consents to service of process upon it by registered or certified
mail, return receipt requested. Service hereunder shall be complete upon
Contractors 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 aner service hereunder is
complete in which to respond.
18., PROHIBITION ON PURCHASE OF TROPICAL
HARDWOODS. The Contractor certifies and warrants that all wood
products to be nsed under this contract award will be in accordance with,
but not limited to, the specifications and provisions of State Finance Law
1165. (Use of Tropical Hardwoods) which prohibits purchase and use of
tropical hartlwoods, unless specifically exempted, by the Stale or any
governmental agencyorpoliticalsubdivision or public benefit corporation.
Qualification for an exemption under this law will be the responsibility of
. the contractor to establish to meet with the approval oflbe Slate.
In addition, when any portion of Ibis contract involving Ibe use of woods,
whether supply or installation, is to be performed by any subenntractor, '
the prime Contractor will indicate and certify in thesubmilled bid proposal
that the snbenntraclor has been informed and is in compliance with
opec;ifications and provisions regarding use of tropical hardwoods as
'detailed in 1165 State Finance Law. Any such use must meet wilb the
approval of the State, otherwise, the bid maynot beconsiderodresponslve.
Under bidder certifications, proof of qualification for exemption will be
the responsibility oflbe Contractor to meet with Ibe approval of the State.
19. MACBRIDE FAffiEMPLOYMENTPRINCIPLES. In accordance
with 1I1e MacBride Fair Bmployment Principles (Cbspter li07 of the Laws '
oflm), the Colitractorherebystipulatesthat Ibe Contractor el1her(a) has
no business operations in Northern Ireland, or (b) shall take lawful steps
in good faith to conduct any'business operations in Northern Ireland in
ticcordance with 1I1e MacBride Fair Bmployment Principles (Is described
in Section 165 of the New York State Finance Law), and shall permit '
independent monitoring of compliance with such principles.
20. OMNIBUS PROCUREMENT ACT OF 1992. It is ~ policy of
New York St8te to maximize opportunities for the participation of New
York State business enterprises, including minority and womeo.-owned
business enterprises as bidders, subcontractors and suppliers on its
proclIIanent contracts.
Information on 1I1e availability of New York State subcontractors and
suppliers is available from:
NYS ~t ofBconomic Development
Division fqr Small Business
30 Sou1h Pearl Street, .,.. floor
Albany, New York 12245
5 18-292-5220
May 2003
A-3
A directory of certified minority and women.owned business enterprises
is available from:
NYS Department of Economic Development
Minority and Women's Business Development Division
30 South Pe...1 Street, 2"' floor
Albany, New York 12245
http://www.empire.state.ny.us
The Omnibus Procurement Act of 1992 requires that by signing this bid
proposal or contract, as applicable,Contractors certify that whenever the
total bid amount Is greater than $i million:
(a} The Contractor has made reasonable efforts to ...courage the
participation of New York State Business Enterprises as suppliers and
su~contractors, 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 Opportunity Act
of 1972 (p.L. 92-261), as amended;
( c) The Contractor agrees to make reasonable efforts to provide
notification to New York State residents of employment opportllqitie. on
this project throngh listing any such positions with the lob 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 countries as a result oflbis conlractand agrees
to cooperate with the Slate in Ibese efforts.
21. RECIPROCITY AND SANCITONS PROVISIONS. Bidders are
hereby notified that if their principal place of business is located in a
country, nation, province, state or political subdivision 1hatpenslizes New
York State vendors" and if the goods or IClVices 1I1cy offer will be
substantially produced orperformed outside NewYorlc State, lhe Omnibus
Procurement Act 1994 amendments and 2000 amendments (Chapter 684
and Chapter 383 respectively) require that they be denied conIrlIcls which
they would otherwise obtain. N01E: As of May 15, 2002, the list of
discriminatory jurisdictions subject to Ibis provision includeSlhe states of
South Caro1ina,AJaslca, West Vuginla, Wyoming, Loulslanaand Hayva1i.
Contact NYS Department ofEconomlc Development for a current list of
jurisdictions subject to this provision.
22. Pl!Jl.CHASES OF APPAREL. In accordance with State Finance,
Law 162 (4-&), the Slate shaIIllOt purchase any apparel from any vendor
unable or unwilling to certify that: (I) such apparel wasmanufilctured in
compUance wllb ,all applicable labor and occupational saf~ laws,
including, but notllmited to, child labor laws, wage and hours laws and
workplace safety laws, and (il) vendor wlIJ supply, with its bid (or, ifnot
a bid situation, prior to or at the time of aigoing a contract wilb the State),
Ifknown, the names and addresses of eadt subcontractor and a Ust of 811
manufacturing plants to be utilized by the bidder.
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APPENDIX Al
Agency-Specific Clauses
I
This Agreement has been entered into pursuant to the following understandings:
A. Title II of the Environmental Protection FundAct providesfor State assistance to municipalities forJ:he
State share of the cost of approved local waterfront revitalization projects as defmed in the Act.
B. The Department is authorized by such Act to evaluate and determine eligibility of applications for
fimding of projects, .
C. Based upon information, representations and certifications contained in Contractor's application for
fimding, including the Work Program as set forth in Appendix D, the Department haS made a
determination of eligibility of fimding for Contractor's project under such Act.
D, State fimds (Funding Amount set forth on the Face Page) for this Project (Appendix. D Program
Workplan) are provided pursuant to a reappropriation of fimds originally made by Title 11 of the
Environmental Protection Fund Act.
E. The Contractor haS demonstrated its ability to finance its share of the Project and has agreed to fund its
portion of the cost of the Project.
II. General
A. For the purposes of this Agreement, the terms "State" and "Department" are interchangeable, unless the
context requires otherwise.
B. The contract period as set forth on the Face Page is the inclusive period within which the provisions of
this Agreement shall be performed.
C. No liabilities are to be incurred beyond the termination date and no costs will be reimbursed for such
liabilities unless: 1) fimds have been reappropriated for the Project in the subsequent State fiscal year,
2) the Department deterinines that it is in the best interest of the Department and the State to provide
additional time to complete the Project and 3) an extension agreement is approved in accordance with
Section IA. of the Agreement.
D. Subject to the availability offimds, determination by the Department that it is in the best interest of the
State, and upon mutual written consent of the parties, the Multi-Year Term of this Agreement may be
extended by up to two Contract Periods not to exceed twelve months each.
E. The Department shall not be liable (or expenses of any kind incurred in excess of the State Funds as set
forth on the Face Page, and shall not be responsible for seeking additional appropriations or other
sources of funds for the Project. .
.. F. The Contractor shall perform all services to the satisfaction of the Department. The Contractor shall
provide all services and meet the prograni objectives described in APPendix. D in accordance with:
provisions of this Agreement; relevant State, federal and local laws, rules and regulations, administrative
and fiscal guidelines;. where applicable, operating certificates for facilities or licenses for an activity or
program, and conditions of applicable permits, administrative orders and judicial orders.
G. The Contractor shall submit with its request for final payment a Finall'roject SIIIlI1IIlIIy Report in the
format described in Appendix. AI, Attachment I and Measurable Results Forms, such forms to be
provided Contractor by the Department.
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H. The Contractor agrees to proceed expeditiously with the Project and to complete the Project in
accordance with the timetable set forth in the W orkplan (Appendix D) as well as with the conditions of
any applicable permits, administrative orders, or judicial orders and this Agreement.
I. The Department iill provide Contractor with a OuarterlvContractor ReDort (Appendix AI, Attachment
2) pursuant to the Department's Minority and Women-owned Business Enterprises Program. ht the event
Contractor utilizes Minority and W omen-ownedBusiness Enterprises as discussed in Section XIV in
Appendix AI, such report shall be provided to the Department at the address on the Quarterly Contractor
Report.
J. The Contractor shall submit two copies ofa "Project Status Report" (Appendix AI, Attachment 3) on
a six month basis for the periods ending June 30 December 31. Reports are due no later than 30 days
following the end of each reporting period.
m. Additional Reouirements for Construction Ptoiects
A. Project design, including preparation of final plans and specifications, and supervision of construction
shall be undertaken by a qualified architect and/or engineer licensed to practice in the State ofNew York
The Contractor shall submit final plans and specifications to the Department for its acceptance before
initiating construction work or, if the Contractor intends to subcontract for construction work, before the
work is advertised for bidding. No change to project plans may be made without the prior written
approval of the Department. The Contractor shall also be responsible for erecting a project sign
satisfactory to the Department identifying the Project. The project sign shall remain in place for the
useful life of the improvements undertaken pursuant to this Agreement. Upon completion of the Project,
the Contractor shall submit to the Department a proper certification from a licensed architect or engineer.
B. Agreements for construction in excess of twenty thousand dollars ($20,000) shall be awarded after and
in accordance with competitive bidding requirements of the Qeneral Municipal Law. A certified copy
of a sununary of all bids shall be submitted to the Department prior to awarding the Agreement, and IIi1
executed copy of the construction contract will thereafter be submitted to the Department.
C. All purchase contracts involving an expenditure of more than ten thousand dollars ($10,000) shall be
awarded to the lowest bidder furnishing the required security after advertisement for sealed bids in the
manner provided for in section 103 of the General Municipal Law. .
D. The State shall make periodic inspections of the project both durmg its implementation and after its .
completion to assure compliance with this Agreement: The Contractor shall allow the State unrestricted
access to work during the preparation and progress of the work, and provide for such access and
inspection by the State in all constructioncontracts'relating to the project.
E. The Contractor shall be responsible for assuring that the project is designed and constructed in
conformance with the Uniform Federal Accessibility Standards (UP AS - Appendix A to 41 CRF part
101-19.6); the Americans with Disabilities Act Accessibility Guidelines (ADAAG- Appendix A ofTitle
9 NYCRR). Where there are discrepancies among the sets of standat;ds with regard' to a particular
designJconstruction requirement, the one providing for the greatest degree of accommodation for the
disabled shall apply.
F. It is the Contractor's responsibility, pursuant to Section 57 of the Workel'll' Compensation Law, to
maintain for State audit and review eitherproofthattheyhave Worlrers' Compensation coverage for any
employees, or a wavier statement from the New York State Department of Labor. The Contractor must
also obtain from any contractor or sub-oontractor hired to provide a service JiUrs1,Jant to this Agreement,
similar proof or waiver from the contractor or 811bcontractor, and must maintain such documentation on
file for audit.
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IV. Reoorts. Docwnents and Maps
The Contractor shall, where appropriate, identify documents, reports, and maps produced in whole or in part .
under this Agreement by endorsing on said documents, reports, and maps the following:
"This (document, report, map, etc.) was prepared for the New York State Department of State
with funds provided under Title 11 of the Environmental Protection Fund Act."
V. License to use and reproduce documents and other works:
By acceptance of this Agreement, Contractor transfers to the Department a nonexclusive license to use,
reproduce in any medium, and distribute any work prepared for or in connection with the Project, including
but not limited to reports, maps, designs, plans, analysis, and docwnents regardless of the mediwn in which
they are originally produced. Contractor warrants to the Department that it has sufficient title or interest in
such works to license pursuant to this Agreement. Such warranty shall survive the termination of this
agreement. Contractor agrees to provide the original of each such work, or a copy thereof which is
acceptable to the Department, to the Department before payments shall be made .under this Agreement.
VI. Contractors Insurance Requirements
A. Prior to the commencement of the Work, the Contractor shall file with the Department of State, Division
of Coastal Resources, Certificates of Insurance evidencing compliance with all requirements contained
in this Agreement. Such Certificate shall be ofform and substance acceptable to the Department.
B. Acceptance and/or approval by the Department does not and shall not be construed to relieve Contractor
of any obligations, responsibilities or liabilities under the Agreement.
C. All insurance required by the Agreement shall be obtained at the sole cost and expense of the Contractor,
shall be maintained with insurance carriers licensed to do business in New York State; shall be primary
. and non-contributing to any insurance or selfinsurance maintained by the Department; shall be endorsed
to provide written notice be given to the Department, at least thirty (30) days prior to the cancellation,
non-renewaI, or material alteration of such policies, which notice, evidenCed. by return receipt of United
States Certified Mail which shall be sent. to New York State Department of State, 41 State Street,
Albany, New York 12231-0001; and shallllllme the People of the State of New York and their directors
officers, agents, and employees as additional insured thereunder.
D. The Contractor shall be solely responsible for the payment of all deductibles to which such policies are
subject.
E. Each insurance carrier must be rated at least "A" Class "VII" in the most recently published Best's
Insurance Report. If, during the term of the policy, a carrier's rating falls be!ow iA Class "VII", the
insurance must be replaced no later than the renewal date of the policy with an insurfr acceptable to the
Department and rated alleast "A" Class lOW" in the most recently published Best's Insurance Report.
F. The Contractor shall cause all insurance to be in full force and effect as of the date of this Agreement
and to remain in full force and effect thrOnghout the term of this Agreement and as further required by
this Agreement. The Contractor shall not take any action, or omit to take any action that would suspend
or invalidate anyofthe required coverages during the period of time such cOversges are required to be
in effect. .
G. Not less than thirty (30). days prior to the expiration date or renewal date, the Contral;tor shall supply the
Department updated replacement Certificates of Insurance , and amendatory endorsemeitts.
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H. Unless the Contractor self-insured, Contractor shall, throughout the tenn of the Agreement or as
'otherwise required by this Agreement, obtain and maintain in full force and effect the following
insurance with limits not less than those described below and as required by the terms of this Agreement,
or as required by law, whichever is greater (limits may be provided through a combination of primary
and umbrella/excess policies). Where Contractor is self-insured, Contractor shall provide suitable
evidence of such to the Department relating to the risks and coverage amounts as provided hereunder.
I. Comprehensive Liability Insurance with a limit of not less than $1,000,000 each occurrence. Such
liability shall be written on the Insurance Service Office's (ISO) occurrence fonn CG 00 01, or a
substitute fonn providing equivalent coverages and shalI cover liability arising from premises
operations, independent contractors, products-colllpleted operations, broad fonn property damage,
personal & advertising injury, owners & contractors protective; cross liability coverage, liability
assumed in a contract (including the tort liability of another assumed in a contract) and explosion,
colIapse & underground coverage.
a. If such insurance contains an aggregate limit, it shalI apply separately to this location.
b, Products and Completed Operations coverage shall include a provision that coverage will extend
for a period of at least twelve (12) months from the date of final completion and acceptance by.
the owner of all of Contractors Work.
2. Where the Project described in Appendix D includes the construction of any structure or building,
a Builder's Risk Policy until the Project is completed and accepted in the amount of the total project
cost.
3. Workers Compensation, Employers Liability, and Disability Benents asrequiredby New Y orkState.
Workers Compensation Policy shalI include the U.S. Longshore & Harbor Workers' Compensation
Act endorsement.
'4. Colllprehensive Automobile Liability Insurance with a limit of not less than $1,000,000 each
. accident. Such insurance shall cover liability arising out of any automobile including owned, leased,
hired and non owned automobiles.
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S. Commercial Property insuranCe covering at a minimum, the perils insured under the ISO Special
Qauses of Loss Fonn (CP 10 30), or a substitute fonn providing equivalent coverages, for loss or
damage to any owned, borrowed, leased or rented capital equipment, tools, including tools of their
agents and employees, staging towers and forms, aild property of DOS held in their care, custody
and/or control.
6. An Owner's Protective Liability Policy with limits no less than $1,000,000 in the name of the
Contractor.
. I. The Contractor shalI require that any subcontractors hired, carry insurance with the same limits and
provisions provided herein.
1. ProfeSsional consultants retained by the Contractor in connection with the Project shalI show evidence
of professional liability insurance with limits no less than $1 million.
vn. ProDe!:tV
A. Pursuant to the provisions set forth in Section V, page 3 ofthisAgreenient, the ownership of all property
descn'bed therein shalI reside with the Contractor unless otherwise specified in writing by the
Department at any time during the tenn of this Agreement and up to thirty (30) days folIowing the
issuance of the final payment.
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B. Contractor warrants that it has fee simple or such other estate or interest in the site of the Project, where
the Project is undertaken at a site, including easements and lor rights -of-way sufficient to assure
undisturbed use and possession for the purposes of construction and operation for the estimated life of
the Project. Contractor further acknowledges that where such Project is undertaken on or involves the
use oflands for active or passive recreational use, it is a material term of this Agreement that such lands
shall be available for such recreational use by the People of the State of New York. Additionally,
Contractor shall not limit access or discriminate on the operation of the facilities against any person on
the basis of place of residence, race, creed, color, national origin, sex, age, disability or marital status.
VIII. Datelfime Warranty
A. Contractor warrants that Product(s) furnished pursuant to this Contract shall, when used in accordance
with the Product documentation, be able to accurately process date/time data (including, but not limited
to, calculating, comparing, and sequencing) transitions, including leap year calculations. Where a
Contractor proposes or an acquisition requires that specific Products must perform as a package or
system, this warranty shall apply to the Products as a system.
B. Where Contractor is providing ongoing services, including but not limited to: i) consulting, integration,
code or data conversion, ii) maintenance or support services, iii) data entry or prOcessing, or iv) contract
administration services (e.g. billing, invoicing, claim processing), Contractor warrants that services shall
be provided in an accurate and timely manner without interruption, failure or error due to the inaccuracy
of Contractor's business operations in processing date/time data (including, hut not limited to,
calculating, comparing, and sequencing) various date/time transitions, including leap year calculations.
Contractor shall be responsible for damages resulting from any delays, errors or untimely performance
resulting there from, including but not limited to the failure or untimely performance of such services.
C. This Date/Time Warranty shall survive beyond termination or ex,piration of this Contract through: a)
ninety (90) days or b) the Contractor's or Product manufacturer/developer's stated date/time warranty
term, whichever is longer. Nothing in this warranty statement shall be construed to limit any rights or
remedies otherwise available under this Contract for breach of warranty.
IX. ~
The Contractor may charge a reasonable fee for the use of any facility which.is part of the project.
A. Except for the imposition of a differential fee schedule for non-residents of the municipality in which
the project is located, the establishment of anypreferential user fee for any person or entity is prohibited.
Fees charged to non-residents shalll).ot exceed twice those charged to residents.
B. Where there is no charge for residents but a fee is charged to non-residents, non-resident fees cannot
exceed fees charged for residents at comparable State or local public facilities~
C. Reservation, membership or annual permit systems available to residents must also be available to non-
residents and the period of availability must be the same for both residents and non-residents.
D. This provision does not apply to non-residents fishing and hunting license fees.
X AliP.l1.tion
Where the Project is undertaken on or involves parkIands, the following additional provisions apply:
A. The Contractor shall not at any time sell or convey any facility Ilr any portion of the Project acquired or
. developed pursuant to this Agreement or convert such facility or any portion of the Project to other than .
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XI. Terminations
A. In addition to any other 'jlctions authorized by this Agreement, the Department may terminate the
Agreement in the best interests of the State of New York by providing written notice to the Contractor
as provided in this Agreement.
B. The Contractor shall complete the project as set forth in this Agreement, and failure to render satisfactory
progress or to complete the project to the satisfaction of the State may be deemed an abandonment of
the project and may cause the suspension or termination of any obligation of the State. In the event the
Contractor should be deemed to have abandoned the project for any reason or cause other than a national
emergency or an Act of God, all monies paid to the Contractor by the State and not expended in
accordance with this Agreement shall be repaid to the State upon demand. If such monies are not repaid
within one year after such demand, the State Comptroller of the State of New York may cause to .be
withheld from any State assistance to which the Contractor would otherwise be entitled an amount equal
to the monies demanded.
C. In the event that the Department has provided written notice to !he Contractor directing that the
Contractor correct any failure to comply with this Agreement, the Department reserves the right to direct
that the Contractor suspend all work during a period of time to be determined by the Department. If the,
Contractor does not correct such failures during the period provided for in the notice, this Agreement
shall be deemed to be terminated after expiration of such time period. During any such suspension, the
Contractor agrees not to incur any new obligations after receipt of the notice without approval by the
Department.
xn. Subcontractinl! Requirements
A. The Contractor may subcontract for all or any portion of the activities covered by this 'Agreement as
provided for in Appendix 0, subject to prior written approval by the Department of any subcontractor
and the terms of any subcontract.
XllI. Comnliance with ProcWement Reauirements
A. All contracts by municipalities for professional services, all contracts for construction involving not more
than $20,000 and all purchase contracts involving not more than $10,000 are subject to the requirements
of General Municipal Law '104-1>, wbichrequires such contracts to comply with the procurementpolicies
and procedures of the municipality involved. All such contracts shall be awarded after and in
accord8nce with such municipal procedures, subject to any additional requirements imposed by the
STATE as set forth in Appendix D hereof.
B. The municipal attomey, chieflegal officer or financial administrator of the CONTRAcroRshall certilY
to the Department of State that applicable public bidding procedures of General Municipal Law ~ 103
, were followed for all construction contracts involving more than $20,000 and more than $10,000 for
purchase contracts. In the case of construction contracts involving not IDOre than $20,000, purchase
contracts involving not more than $10,000, and contracts for professional services, the municipal
attorney, chieflegal officer or financial administrator shall certify that the procedures of the municipality
established pursuant to General Municipal Law ~ 104-b were fully complied with.
XIV. Reauirements for Contract GIS Products (2/04)
\;
. A. GENERAL MAP PRODUCT REQUIREMENTS - The following general cartographic requirements
must be adhered to by the ContractOr:
I. Map Products - The Division requires delivery of digital Ii1ap products, unless otherwise specified
in the Request for Proposal (RFP), that meet the specifications outlined in this GENERAL MAP
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attorney, chieflegal officer or financial administrator shall certify that the procedures of the municipality
established pursuant to General Municipal Law ~ 104-b were fully complied with.
XIV.
Reouirements for Contract GIS Products (2/04)
A.. GENERAL MAP PRODUCT REQUIREMENTS - The following general cartographic requirements
must be adhered to by the Contractor: .
I. Map Products -- The Division requires delivery of digital map products, unless otherwise specified
in the Request for Proposal (RFP), that meet the specifications outlined in this GENERAL MAP
PRODUCT REQUIREMENTS section and the ADDmONAL DIGITAL CARTOGRAPffiC FlLE
REQUIREMENTS section. If analog map products are required by .theRFP, they must meet
specifications outlined in this GENERAL MAP PRODUCT REQUIREMENTS section and the
ADDITIONAL DIGITAL-READY MAP PRODUCT REQUIREMENTS section.
2. Deliverable Format ~ All digital map and attribute table fileS must be provided in MapInfo Tab file
format on Recordable CD or DVD, 3.5" floppy diskette media, external hard drive, via e-mail
attachment (preferably in a WinZIP file) or downlol\dable from an ftp site on the Internet.
Alternatively, the digital products may be provided in ArcInfa/GIS export format (.eOO) or ArcView.
shape file form~t on the same media types upon approval of the Division. All other digital formats
require prior approval of the Divipion. Coordination with the Division prior to submission of digital
media is required to ensure compatibility of the delivered materials.
3. Documentation - A data dictionary must be included along with the map files describing file
contents arid file names, as well as metadata for each file including map projection, horizontal and
vertical datums used, coordinate system, RMS accuracy and log sheet, information sources and
dates, the map maker ~d date of preparation, and creation methodology. Data provided under
federal fund$ must be provided ina manner which meets Digital Geospatial Federal Geographic Data
. Committee Metadata Standard as executed by Executive Order 12906,April II, 1994, "Coordinating
Geographic Data Acquisition and Access: the National Spatial Data Infrastructure".
4. Map Accuracy - Unless oth!:lWise stated in the RFP, all delivCl'l\ble map products must conform to
National Map Accuracy Standards for horizontal and vertical accuracy as established by the United
States. Bureau of the Budget, June 10, 1941, revised June 17, 1947. For example, for maps at,
1:20,000 or smaller;not more thaI! 10% of the well-defined map points tested must be more than
1/50 inch (0.508 mm) out of correct position. At I :24,000, this tolerance translates to a required
horizontal accuracy of 40 feet. Ifby prior agreement with the Division the map product does not
conform to National Map Accuracy Standards, then a statement of actual map accuracy should be
included in the Documentation above. ~ermore, hydrographic surveys and maps should conform
to recommended accuracy stanaard proposed in the joint USGS, NOS, Coastal Manninl!:Handbook,
1918, Melvin Ellis editor, U.S.. Government Printing Office, Appendix 6.
5. Datums -- Unless otherwise specified in the RFP, all map products should be referenced to the North
American Horizontal Datum of 1983 (NAD83) and the National Geodetic Vertieal Datum of 1988
(NGVD88). .
B. ADDmONAL DIGITAL CARTOGRAPffiC FILEREQUlREMENTS.- The following cartographic
construction requirements must be adhered to by the Contractor:
1. Edge-matching -. All map sheets must be both visually and coordinate edge-matched with adjacent
map sheets. Nq edge-match tolerance will be allowed. Attributes for splitable features must also
be identical.
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2. Common Boundaries -- All features that share a common boundary, regardless of map layer, must.
have exactly the same coordinate position of that feature in all common layers.
3. Point Duplication -- No duplication of points that occur within a data string is permitted.
4. Connectivity -- Where graphic elements visually meet, they must also digitally meet. All
confluences of line and polygon data must be exact; "overshoots", "undershoots", "slivers", or
"offshoots" are NOT permitted.
. 5. Line Quality -- A high quality cartographic appearance must be achieved. Transitions from straight
lines to curvilinear elements must be smooth, with aniular inflections at the point of intersection.'
The digital representation must not c;ontain extraneous data at a non visible level. There should be
. no jags, hooks, or zero length segments. Any lines that are straight, or should be straight, should be
digitized using only two points that represent the beginning and ending points ofthe line.
6. Polygon Closure -. For area features being digitized, the last coordinate pair must be exactly
(mathematically) equal to the fIrst coordinate pair. No liI)e or polygon must cross itself except to
join at an actual oonfluence. All digitized features across map boundaries must be edited to effect
smooth and continuous lines.
7. . Graphic Precision - Positional coordinates for all digital graphic elements should not be reportCjl
to a level of precision greater than one thousandth (.091) of a foot.
8. Digitizer Accuracy - The required RMS error for digitizer accuracy must be 0.003 or better for
digital map registration.
c. ADDIDONALDIGITAL-READYMAPPRODUCTREQUlREMENTS_ Thefollowingrequirements
for large scale, non-digital map products must be followed to facilitate the future conversion of the maps
to digital map products. All large format, non-digital map products must be provided on stable base
material at a scale stipulated in the RFP. The map products must include an index map to all map sheets
and thorough descriptions of all the.cartographic elements portrayed on the maps.
1. Base Map Media - All maps'must be created on mylar or othei' .stable base material.
2. Map Scale - All maps of a similar sel'ies should be created using the. same base scale. Unless
otherWise stated by the Division, all maps should be compiled at 1 :24,000. If other map scales are
approved by the Division, where possible they will conform to standard map scales such as 1 :9600;
1:50,000; 1:75,000; or 1:100,000.
3. Map Registration - The maps must provide a minimum offoUT (4) comer and fOUT (4) intc;rior ticks
tied to USGSINYSDOT quadrangle LatlLong or NYTM coordinates. The mapS' must be
geometrically correct and should register when overlaid on the appropriate USGSINYSDOT
quadrangle control ticks.
4. Map Title and Legend - The maps must provide a title and legend block descn'bing the information
contained on the maps, and including the Docuinentation and Datums information requested in the
GENERAL MAP PRODUCT REQUIREMENTS above and the map scale.
5. Cartographic Quality - The quality of all map line work and symbolization lt1ust conform to items
1 - 6 in the map criteria set forth in the ADDIDONAL DIGITAL CARTOGRAPIDC FILE
REQUlREMENTS section outlined above.
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D. CONTRAcr DATABASE STANDARDS
I. Delivery Media - All database and tabular files must be provided on digital media as specified
above in Deliverable Format.
2. Software Format - Database and tabular files can be provided in Corel Quattro, Microsoft Excel or
Microsoft Access format. Other formats that are convertible to one of the aforementioned formats
may be used with prior approval oftheDivision.
3. Geographic Attributes -- Database and tabular files that contain elements with a geographic reference
must provide a corresponding data field and a geographic coordinate pair for each feature location.
XV. PaYment and Records Retention
A. Payments shall be made as set forth in Appendix C.
B. The Contractor shall maintain, at its principal place of business, detailed books and accounting recorda
supported by original documentation relating to the incurring of all expenditures, as well as payments
made pursuant to this Agreement. The Contractor shall make such records available for review by the
Department upon request at any time. The Department shall have the right to conduct progress
assessments and review books and records as necessary. The Department shall have the right to conduct
an on-site review of the Project and/or books and records of the Contractor prior to, and for a reasonable
time following; issuance <if the FINAL payment. The Department shallbe entitled to disallow any cost
or expense, and/or terminate or suspend this Agreement, if the Contractor has misrepresented any
expenditures or Project activities in its application to the Department, or in this Agreement, Or ill any
progress reports or payment requests made pursuant hereto. The Contractor shai! maintain such books
and accounting records in a mann~ so that reports can be produced therefrom in accordance with
generally accepted acCounting principles. The Contractor shall maintain separate fiscal books and
records for all funds received through the Department pursuant to this Agreement.
C. During the term of this Agreement ahd for a period of six years after its tennination, the Contractor shall
make all such books and records available to the Department and the Office of the State Comptroller,
or their designated representatives, for inspection and audit.
XVI. Eaual Emoloyment Oooortunitv
I
The Contractor hereby assures that it is, and shall be for the duration of this Agreement, in compliance with
the Federal Equal Employment Opportunity Act of 1972 (public Law 92-261), as amended.
XVII. Article IS-A of The New York State Executive Law
The Department of State administers a Minority and Women-ownedBusiness Enterprises (MWBE)Progn:un
, asrnandatedby Article IS-A of the New York State Executive Law. This law supersedes any other provision
in state law authorizing or requiring an equal employment opportunity program or a progn:un for securing
participation.by minority and women-owned business enterprises. Under this law, all state agencies JJRlst,
.subjectto certain exceptions, establish goals for minority and women-owned business participation in certain
state contracts and grants. Where MWBE goals are required, even in circumstances where this goal is zero,
a Ouarterlv Contractor Reoort is required (0 be submitted to the: Minority and Wornen-owned BUsiness
Program of the Department on forms provided by the Department.
Article IS-A requires that rules and regulations be established for COJ:1trsctsentered into by the Department.
In accordance with Article IS-A, goals must be set for contracts entered into by the Department in excess
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of$25,OOO for labor, services, supplies, equipment, and materials, or any combination of the foregoing, and
for contracts entered into by the Department in excess of$100,OOO for acquisition, construction, demolition,
replacement, major repair, renovation pr improvement of real property. In applying these rules and
regulations, the Department must consider the availability of certified minority and women-owned businesses
in the region in which the state contract will be performed, the total dollar value of the contract, the scope
of work to be performed, and the project size and term.
The contractor will, when required as a part of the bid or proposal, submit a Staffimr Plan on the form
provided by the Department. This Plan will detail the work force anticipated in the performance of the state
contract, reported by ethnic background, gender, and Federal Occupational Categories.
After a bid opening and prior to the award of a state contract, the contractor will submit an Equal
Emolovment Opportunity mEO) Policv Statement to the Department within the time frame established by
the Department. The law requires that, as a precondition to entering into a valid and binding state contract,
the contractor ':fill agree to the following stipulations and will include them in the EEO Policv Statement:
· The contractor will not discriminate against any employee or applicant for employment because
of race, creed, color, national origin, sex, age, disability or marital statUs.
· The contractor will undertake or continue existing programs of affirmative action to ensure that
minority group members and women are afforded equal employment opportunities without
discrimination because of race, creed, color, national origin, sex, age, disability or marital status.
For these purposes, affirmative action applies in areas of recruitment, employment,job assignment,
promotion, upgrading, demotion, transfer, layoff, or termination and rates of payor other forms of
compensation.
· The contractor will make active and conscientious efforts to employ and to utilize minority groiJp
members and women at all levels and in all segments. of its work force on state contracts, and the
contractor will document these efforts.
· The contractor will state in all solicitations and advertisements for employees that, in the
performance of the state contract, all qualified applicants Will be afforded equal employment
opportunities without discrimination becaus.e of race, creed, color, national origin, sex, age,
disability or marital status.
· The contractor will, at the request of the Department, request each employment agency, labor
union, or authorized representative of workers with which it has a collective bargaining or other
agreement or understanding, to furnish a written statement that such employment agency, labor
union, or representative will not discriminate because of race, creed, color, national origin, sex, age,
disability or marital status, and that such union or representative will affirmatively cooperate in the
implementation of the contractor's obligations herein.
· The contractor will inclUde the provisions regarding the Eoo Policy Statement and the Staffimr
flm enumerated above in each and every subcontract of a state contract in such a manner that the
subcontractods bound by these requirements. .
y
· Failure to llrovide an BOO Policv Statement and a Staffinl! Plan without reasonable written
juStification or commitment to provide these requirements bya specified date will result in rejection .
of the contractor's bid or proposal.
· After the award of a state contraaCthe contractor will submit to the Department a Workf~e
. Enwloyment UtilizatiOn Re,porl on the form supplied by the Department, detailing the worle foree
actually utilized on the state contract, by ethnic backgrowd, gender and Federal Occupational
Al-ll
Categories, as specified on the fonn. This Reoort will be submitted to the Department on a quarterly
basis throughout the life of the contract.
· The contractor, and any of its subcontractors, may be required to submit compliance reports
relating to their operations and implementation of their affirmative action or equal employment
opportunity program in effect as of the date the state contract is executed.
Questions regarding this program should be directed to the Department's Minority andWomen-owned
Business Program by calling (518) 474-5741. Potential contractors can access the NYS DirectOry of
Certified Minoritv and Women-owned Business Enterorises on-line through the Empire State Development
~bsite at: htto:/Iwww.emoire.state.nv.us. double click (left column) on: NY 9 BIZ (Doing Business in New
York); put the curser over: Small and Growing Business and, from that menu, click on: Minority and
Women-Owned Business. From the center column, highlighted in blue, click on the bullet: "Search the
Directory of Certified Minority- and Women-Owned Business Enterprises."
The Department makes no representation with respect to the availability or capability of any business
listed in the Directorv. .
XVill. Notice of Public Proceedings
The Contractor agrees to provide the Dep,artment with prompt and timely written notice at least two
. weeks in advance of all public proceedings, including, but not limited to; public meetings or hearings,
relating to the Project.
XIX. Submission of all corresoondence and documentation
A. The Contractor agrees to provide ihe Department with Original and two copies of all documentation
relating to this Project, including, but not limited to: notices of public meetings, products described
in Appendix D, and payment request documentation as described in Appendix C.
B. All information as described in A. above shall include the NYS Comptroller's # as indicated on the
Face Page of this Agreement.
xx. . Environmental Review
A. Contractor agrees to provide the Department, in a timely manner, with all documentation, including
but not limited to, pennit applications, environmental assessments, designs, plans, studies,
environmental impact statements, fmdings, and determinations, relating to the Project.
B. Contractor acknowledges that compliance with the State Environmental Quality Review Act is a
material term and condition of this Agreement. In no event shall any payments be made under this
Agreement until Contractor has provided Department with appropriate documentation that contractor
has met any requirements imposed on Contractor by the State EnviI:onmental QiJality Review Act
XXI. Fullv-Executed Agreement or Amendment Thereto
A. If this Agreement or amendments thereto, allocates funds totaling $15,000 or less, it shall be deemed
to be fully executed when approved and signed by the Contractor and the Department.
B. If this Agreement, or amendments thereto; allocates funds totaling more than $15,000, it shall be
deemed to be full executed when approved by the Office of the State Comptroller.
'.
FINAL PROJECT SUMMARY REpORT
AI, Attachment I
Pinal payment of the grant is dependent upon the satisfactory completion and acceptance by the Department of State,
Division of Coastal Resources of this FINAL PROJECT SUMMARY REPORT along with the requisite docwnentation. In
addition to the other requirements of the contract, the grant recipient is resDOnsible. to relav the inmormnce. the sil!llificance
and the value of the cOll1lJleted Droiect to the community. the re2ion and the state through the completion of the report.
The following outline should be used to complete the FINAL PROJECT SUMMARY REPORT:
1. Project Title:
2. Name of Municipality:
3. Actual Project Costs:
a. State funds expended (identify source, ego EPF, Clean Water! Clean Air
Bond Act, etc.):
b. Loca1 funds expended:
e. Other funds expended:
4. Project Manager: Name:
Title:
Mailing address:
Tel. number:
Fax number:
E-mail address:
)
)
(
(
5. Federal Tax Identification Number:
6. Project Background (briefly explain in a short paragraph .why this project was necessary, what its value is and/or its
importance to the community):
7. Project W orlc: (briefly descnbe the.worlc: that was done to complete the project):
8. Project Descriptions (use the following guidelines to'des'?l1be the project and please be concise in the description):
a. For a Planning Project describe the findings or reconnnended strategies.
b. For a Design Project describe what is to be built.
c. For a Construction Project descnbe what was built.
9. Project Measurable Results: To be completed on fonns attached.
10. Project Docwnentation: The Department of State, Division of Coastal Resources requires a visua1 documentation of
the Environmental Protection Fund projects. Project products should be visually documented using a 3Smm camera
or a digital camera. The 3Smm color slides and/or dilrital CII"""" disc should be labeled and dated when submitted
along with the completed FINAL PROJECT SUMMARY REPoRT.
Visuals should illustrate the fInal project product and, as appropriate, activities undertaken to complete the project. !\or
example, some projects would call for visuals that include photographs ofvolnnteers participating in a weiland
restoration project (planting spartiria); photographs ofhistoricsl signs marlc:ers, kiosks, etc. being placed; or photographs
of an artist's rendering of a waterfront design.
Design, plamiing, and construction projects call for different visua1 documentation. Therefore, the folIowing guidelines
are suggested:
· For design projects, visuals of renderings and/or graphics !bat depict the final product.
· For planning projects, visuals of any graphics, ~ appropriate, that illustrate the final product.
· For constrnction projects, visuals ofworlc: in progress and the finished project. .
In addition to the 3Smm color slides/digital camera disc, a video (vhs fonnat) of the project with a vetbal description is
desirable but not mandatorY. The video may be used in a fu~ documentary.
.
AI, Attachment 2
NYS Department of State .. Minority and Women-owned Business Enterprises Program
41 State Street Albany NY 12231-0001 . (518) 474 - 5741
Minority and Women-owned. Business Eilterprises (MWBE) Program
Quarterly Contractor Report
INSTRUCTIONS:
1. Please prepare reports based on calendar quarters, or prepare one annual report.
2. Use a separate Report sheet for each contract or program area
3. Record the amount paid for each service/product for the time period identified below.
4. Send completed reports to the Minority and Women-owned Business Enterprises Program at the above address. .
REPORT PERIOD
Report should cover a calendar quarter OR the program year. FROM: TO:
Enter the Induslve dates of the quarter or for the program year. *,,' .;r .x
CONTRACTOR NAME PROGRAM DOS CONTRACT NUMBER
COfoITRACTOR ADDRESS Service Aroa of Contract Worlc
( )
NAME and T/7LE of CONTACT PERSON (Please Print) TELEPHONE NUMBER
TYPE of DESCRIPTION of AMOUNT PAID
VENDOR NAME and ADDRESS VENDOR SERVICElPRODUCT THIS PERIOD COMMENTS
o MBE $
o WBE
- o MBE
o WBE
o MBE
o WBE -
o MBE
o WBE
o MBE
o WBE
o MBE .
oWBE
.
o MBE
OWBE
o MBE
.. OWBE
o MBE
o WBE
PAGE 1 of
(
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"
Al - Attachment 3
. .:
CONTRACI'OR:
Agreement #
PROJECT STATUS
As of
(Submit semi-annually and with each payment request.)
Task
#
Aff
Date of
Completion
Percent of
Comoletion
Products! Accomolishments
Please note problems encountered, proposed adJustment(s) to work program/schedule, and reason(s) for
proposed adJustment(s):
Please provide the folloWing information:
Name of contact Person:
EmaiI Address:
Phone Number: ,
Fax Number;'
Appendix B
BUDGET SUMMARY
A. Salaries & Wages (including Fringe Benefits)
B. Travel
C. SupplieslMaterials
D. Equipment
E. Contractual Services
F. Other
TOTAL PROJECT COST
Total State Funds (50 % of Total)
Total Local Share (50% of Total)
$
$
$
$
$
$
$10,000.00
$1;500.00
$0.00
$0.00
$138,500.00
$0.00
$
$150,000.00
$
$
$75,000.00
$75,000.00
B-2
Appendix B (Budget Detail Sheet)
A. SALARIES & WAGES
TITLE ANNUAL AMOUNT CHARGED
SALARY TO THIS PROJECT
Public Works Director $82,446.00 $7,500.00
Town GIS Coordinator $60,227.00 $2,500.00
SUBTOTAL $ 10,000.00
B. TRAVEL
Travel to Project Meetings (meals, tolls & mileage) - $618
Travel to DOS LI Conference (registration, lodging, meals & mileage) - $882
SUBTOTAL $ 1,500.00
i C. SUPPLIESIMATIlRIALS I
SUBTOTAL $ 0.00
I D EQUWMb~ i
SUBTOTAL $ 0.00
E. CONTRACTUAL SERVICES
GIS Natural Resources Inventory Database - $37,000
Creation of a Bay Scallop Spawner Sanctuary - $101,500
SUBTOTAL $138,500.00
I F DTIffiR !
SUBTOTAL $ 0.00
APPENDIX C
Payment and Reporting Schedule
XXII. PaYment Schedule
A. The Department shall make interim payments for eligible costs incurred up to an amount not to exceed
90% of the State Funds Requested. The final payment will be made upon satisfactory completion of the
~~ "
B. Not more frequently than once every 30 days, a properly executed payment request, on fonus as
prescribed by the Department, and required work products documenting completion of one or more of the
tasks set forth in Appendix D, Program Workplan, and total project costs incurred to date, may be
submitted.
I. Payment provided above shall be made to the Contractor upon the submission by the Contractor of
properly ~xecuted payment request. Such request shall contain the following: (1) "S1IIll111lIiy Sheet
Documentation Forms" as provided by the Department, for reimbursement of actual and eligible
expenditures, (2) the required Detail Study, and (3) a properly executed State Voucher.
2. Payment requests will be reviewed in accordance with the tenus and conditions of this Agreement to
detennine total allowable project costs incurred and the number and perCentage of allowable project
tasks completed to date. For the purpose of detennining the level of reimbursement, otherwise
allowable project costs may be reduced if the percentage of task completion is deemed insufficient.
,
3. . Total allowable project costs, adjusted pursuant to 2. above, will be prorated between State Funds'
and Local Share costs in the same proportions as Total State Funds is to Total Local Share as set
forth on the Face Page.
4. Interim payments will be issued in amOunts equal to the State Funds calculated in 3. above, less all
previous payments to date.
5. The final payment will be issued upon receipt and approval .of a paYlllent request marked "FINAL"
documenting all project costs incurred and tasks completed and submission of the Final Project
Summary Report and Measurable Results Forms. Such final payment request shall be submitted
within 60 days following the ending date of this Agreement.
II. Reoortine:
A. Payment requests liS described in LB. above: Shall be certified by a duly authorized representative of the
Contractor as accurately representing such accomplishments and expenses as recorded in the Contractor's
accOlmting records, including, where goods or services are provided by.third parties not party to this
Agreement, a certification that any payment obligations arising from the provision of such goods or
services Iiave been paid by the Contractor and do not duplicate reimbursement or costs and services
received. from. other sources. .
B. Notwithstanding the above requirements, upon written notification by the Department, the Contractor
may be required to submit source documentation and additional verification of allowable expenditures.
~
.
Ce2.
C. Payment requests shall be submitted to:
New York State Pepartment of State
Contract Administration Unit ~ L WRP
. 41 State Street - lOth Floor
Albany, New York, 12231-0001
D. Claimed expenditures per cost category may not exceed the amounts indicated in the Budget, Appendix
B, by ten percent (10%) without approval of the Department, provided that the Total Project Cost as set
forth in Appendix B, Budget Summary is not exceeded. Any expenditure in excess of such 10% or that
changes the State Share or Local Share funding amount shall require an amendment to the Project Budget
submitted in writing by the Contractor and approved by the Department. No expenditures shall be
allowed for items not set forth in the Project Budget without written approval of the Department.
ffi. Other
A. Notwithstanding the submission of timely and properly executed payment requests, the Department shall
be under no obligation to make payment for eJqlenditures incurred without the prior Department
approvals and/or amendments required under this Agreement and, further, shall have the right to
withhold any such payment pending the execution of such approval and/or amendment.
B. Interest income earned on funds received pursuant to this Agreement shall be used to further the purpose
of this Project or shall be deducted from total eligible cost to determine the net eligible costs to be
reimbUrsed by the Department.
C. The Department shall have the right to conduct on-site progress assessmenta and reviewS of the Project
and Contractor's books and records during the life of this Agreement and for a reasonable time following
issuance of the FINAL payment. The Contractor shall furnish proper facilities, where necessary or _
useful, for such access and inspection.
D. The Department shall be entitled to disallow any cost or eJqJense, or terminate or suspend this
Agreement, if found that the Contractor has misrepresented any expenditures or project activities in this
Agreement, or in any progress reports or payment requests made pursuant hereto. \
E. The Contractor shall maintain separate fiscal books and records for all funds received through the
Department and project activities cOnducted pursuant to this Agreement, and shall make all such books
and records available to the Department, the Office of the State Comptroller,. or their designated
representatives for inspection and audit for a petjod of six years following termination of this Agreement.
,
APPENDIX D
PROGRAM WORK PLAN
Contractor:
Program Contact Person:
Phone: (Office)
(Fax)
Town of Southold
James McMahon
(631) 765-1283
(631) 765-9015
Implementation of the Town of Southold L WRP
1. Project Description
The Town of Southold has adopted a Local Waterfront Revitalization Program (L WRP) which has been
approved by the Secretary of State. As part of the L WRP, the Town recommended several key
information and action needs to improve the Town's ability to inventory and analyze shoreline impacts
and increase shellfish reproductive success. The Town proposes to undertake planning, inventory,
mapping and implementation components toward the development of a Geographic Information System
(GIS) - based Natural Resource Inventory Database (NRID), and to establish a bay scallop spawner
sanctuary. Each of these components implements recommendations of both the Long Island Sound
Coastal Management Program and the Peconic Estuary's Comprehensive Conservation and Management
Plan as well as the Town's LWRP. The completion of these tasks will improve the Town's ability to
plan, permit, and prioritize actions necessary to protect natural resources along the shoreline and
implement the policies of the Town's LWRP.
The Town has developed a partnership with the Cornell Cooperative Extension of Suffolk County to
complete work related to the implementation of the Town's L WRP under previous Environmental
Protection Fund (EPF) awards. This partnership will be extended to cover the tasks associated with this
work plan.
2. Proiect Attribution and Number of CODies
The Contractor must ensure that all materials printed, constructed, and/or produced acknowledge the
contributions of the Division of Coastal Resources to the project. The materials must include the following
acknowledgment:
"This (document, report, map, etc.) was preparedfor the New York State Department ofState,
Division of Coastal Resources, with funds provided under Title 11 of the Environmental Protection
Fund."
The contributions of the Division of Coastal Resources must also be acknowledged in community press releases
issued for the project. Project press releases shall be submitted to the Department of State for review and
approval prior to release to ensure appropriate attribution.
The Contractor must submit to the Department of State three cODies of all written reports and supporting
graphics, final design documents, and other printed materials.
3. ComDliance with Procurement Reouirements
The municipal attorney, chief legal officer, or fmancial administrator for the Town of Southold shall certify to
the Department of State that applicable public bidding procedures of General Municipal Law ~ I 03 were followed
for all construction contracts involving more than $20,000 and more than $10,000 for purchase contracts. In the
D-2
case of construction contracts involving not more than $20,000, purchase contracts involving not more than
$10,000, and contracts for professional services, the municipal attomey, chieflegal officer, or financial
administrator shall certify that the procedures of the municipality established pursuant to General MuniCipal Law
~ 104-b were fully complied with.
4. Component Tasks
Task 1. Project scoplng meeting
The Town of Southold, the Department of State (DOS), and Cornell Cooperative Extension of Suffolk
County shall hold an initial meeting to review goals and targets, project requirements, work schedule,
. existing information and data, and the details of the DOS contract. Areas of the project where additional
consultant services may be required will be identified. Points in the project timeline where approval by
Department of State is required prior to commencement of additiorial tasks will be identified. The
meeting will also addres,s local responsibility for project oversight, including compliance with the State
Enviromnental Quality Review Act (SEQRA); whether a steering committee will be formed with local
stakeholders and government agencies; and the proposed project schedule. If a Steering Committee is
formed, its composition will be determined at this meeting. A brief meeting summary will be prepared
by the Town or its consultant indicating the agreements/understandings reached at the meeting.
Product:
Summary .of scoping meeting including responsibilities agreed to and proposed project
schedule.
Task 2: Consultant Procurement Record
The Town will provide DOS with a record of the actions taken to procure the preferred consultant,
.Cornell Cooperative Extension of Suffolk County. The municipal attorney, chieflegaI officer or
financial administrator of the municipality shall certify in writing to the DOS that applicable provisions
ofGeneraI Municipal Law were fully complied with.
Product:
Written certification of consultant procurement procedures.
Task 3: Subcontract preparation and execution
The Town of Southold shall prepare a draft $llbcontract with Cornell Cooperative Extension (the
consultant) to address tasks of this contract.. The $llbcontract shall contain a detailed work plan with
adequate opportunity to review stages in completion of the products, a payment schedule (payments
should be tied to the receipt of products identified in the work plan), snd a project cost. The draft
Subcontract will be submitted to the Department of State for review and approval prior to flna1 execution
by the Town and Cornell Cooperative Extension. A copy Qfthe firial Subcontract, inCOIpOrating the
Department ofStste's comments on the draft, will be provided to the Department of State.
Product:
Draft consultant contract for review prior to execution, and executed consultant contract
incorporating DOS comments.
Task 4:
Community and Waterfront Revitalization Conference Attendance
The Town of Southold will attend the Department of State's Community and Waterfront Revitalization
Conference on October 19, 2005.
Prodllct:
Attendance at Community and Waterfront Revitalization Conference.
, "
D-3
Task 5:
Natural Resource Inventory and Database data collection
The consultant will complete digital inventories and use the data to populate the Natural Resource
Inventory and Database (NRID) established by the Town. The inventory will build on and supplement
previously collected data including the Southold Creeks scenic inventory; the Town's existing GIS
database; previous mooring and shoreline data; and existing information from relevant sources. All GIS
data collected as part of this project shall be presented and stored in MapInfo format Inventory work
. will build on the GIS assessment completed for the Town creeks under a previous EPF award, and focus
on the remaining Town shoreline. .
The digital inventory to populate the NRID will include:
. Inventory of shoreline structures - digital photos of docks, bulkheads and other shoreline
structures extracted from digital videos and linked to the corresponding tax map lot;
. Inventory of all shoreline defense structures - all shoreline- hardening structures such as
revetments, groins and bulkheads (including geotextile devices) will be mapped and linked to
the corresponding parcel and descriptive metadata including .the length, size, construction
material (i.e., metal, rock, wood, plastic, etc.), and apparent visual condition;
. Inventory of existing moorings - all moorings will be mapped and linked to digital and aerial
photos;
. Navigational channels - all previously and currently maintained navigational channels, and any
channel markers, buoys or beacons, will be mapped and linked to aerial photos;
. Eelgrass locations - all known eelilrass locations will be mapped and itlcorporated; and
. Shellfish restoration areas - all past and current shellfish seeding locations will be mapped and
linked to aerial photos and descriptive metadata including the shellfish species, quantity and year
of last known seeding effort
The Town will provide DOS with an electronic copy of all inventory data.
Product:
Digital inventory data collected for all areas of the Town shoreline outside of the
previously mapped creeks.
Task 6: NRID presentation to Peconlc Estuary Program and Long Island Sound Study
. The Town will prepare a Power Point presentation detailing the process, results, and utility of the
inventory and mapping of all Town coastal structures and features undertaken as part of the NRID
pr~ess. The Town will provide a draft of the presentation to DOS for comment and review. The Town
will present the fina1 presentation at a general meeting of the Peconic Estoary Program and of the Long
Island Sound Study. The presentation will emphasize how the data is being used for coastal zone
management and consistency determinations as part of the Town's LWRP.
The Town will also prepare a summary of the NRID process, including costs, funding mechanisms,
details of the equipment used, and lessons learned.
Products:
Draft PowerPoint for DOS review, and final PowerPoint presentation incOrporating DOS
comments, presented.at one meeting of the Peconic Estoary Program and atone meeting
of the long Island Sound Study. Submission ofa draft summary of the Town shoreline
mapping projects to DOS for review, and submission of three (3) copies of the fina1
summary incorporating DOS comments.
'/ {4 )
D-4
Task 7: Scallop spawner sanctuary identification
Using information acquired as part of the NRID database and previously collected data, the Town will
identifY at least two (2) locations appropriate for the establishment of bay scallop spawner sanctuaries.
The Town will prepare a summary of the conditions, available biological and physical data for each of
the two (2) identified locations for review by DOS. The summary will include, at a minimum, a location
map, coordinates and aerial photograph of the identified sites; existing data supporting the
recommendation of each site including the presence, density and dimensions of eelgrass beds, previous
shellfish harvest or seeding information, presence of predators; and physical characteristics including pH,
depth of water, average water temperature (if known), distance to nearby eelgrass and known bay scallop
harvest areas or eelgrass beds and spat collectors.
The summary document will also recommend the most appropriate spawner sanctuary location, provide
justification for the final site selection, and provide recommendatioris for the management or designation
of spawner sanctuaries to disc60urage recreational or commercial harvesting ofspawninglbroodstock
animals. The Town will include completed copies of any necessary pennit applications for the
establishment of the recommended spawner sanctuary with the summary report.
Products:
Identification of two (2) potential locations for bay scallop spawner sanctuaries, and
summary document providing physical and biological information for all sites,
applications for permits, recommendation of sites, justification for fmal site selection,
and recommendations for spawner sanctuary management Submission of a draft
summary to DOS for review, and submission of three (3) copies of the final summary
incorporating DOS comments.
Task 8: Scallop spawner sanctuary planting and field notes
The Town will designate the recommended spawner sanctuary site as a ''no-harvest zone" and plant a
minimum of 75,000 adult scallops at the site. The Town's consultant will prepare field notes from each
of the planting events. including approximate number and size of the scallops planted, watet temperature,
pH, salinity, and time wid date, and fully document the planting events with photographs of the scallops
and actual planting efforts. .
The Town's consultant will submit copies of the field notes and documentation ,photographs at the
. conclusion of each planting event.
Products:
Designation of the recommended scallop spaWner sanctuary prolu"biting harvest, planting
of75,000 scallops at the recommended scallop spaWner sanctuary site, and submission
of all field notes and photographs to DOS.
Task 9: Scallop spawner sanctuary monitoring .
The Town will undertake routine monitoring of the scallop spawner sanctuary to determine the level of
success. The Town will place spat collectors in the witicipated path oflarvaI drift, document the survival
and reproductive success of the spawner sanctuaries, and observed larval settling on adjacent eelgrass
beds. '
The Town and its consultant will prepare and submit a summary of the monitoring process and results to
DOS for review. .
Products:
Submission of a dmft summary of the scallop spawner sanctuaries monitoring to DOS
for review, and submission of three (3) copies of the final summary incorporating DOS
comments.
t (" .
D-5
TllIIk 10: Scallop spawner sanctuary final report
The Town will prepare a fmal report that documents the process of the identification, selection, data
collection, planting and monitoring of the Spawner sanctuary. The Town will draw information from the
site selection sUllUI1aJ:y report, field notes, and monitoring summary.
Products:
Submission of a draft report of the scallop spawner sanctuaries project to DOS for
revi<;:w, and submission of three (3) copies of the fmal report incorporating DOS
comments.
Task 11: Semi-annual reporting
The Town or its consultant shall submit to the DOS semi-annual reports every six months on the form
provided, including a description of the work accomplished, any problems encountered, and any
assistance needed. The report may be submitted as part of a payment request.
Products:
Semi-annual reports during the life of the contract.
. Task 12: Project completion and Mellllurable Results
Upon completion of the project, the consultant shall submit a statement to the Town that the work has
been completed in accor~e with the contract and all pennit requir!ll1lents, where applicable. The
consultant shall provide the municipality with all reports, analysis, data, GIS layers, and products as
specified in this work program. The Department of State shall concur that the work is colnplete prior to
the municipality paying the consultant and/or submitting to the Department of State for final payment of
grant funds. The municipality shall complete the Measurable Results form attached to this worlc program
and provide a copy to the Department of State. .
Product:
Completed Measurable Results form,
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, ..' A.
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APPENDIX X
i .gency Code: 19000
Contract Period:
Contract No.: C006355
Fnoding for Period: $75,000.00
l'bis is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Department of
State, having its principal office at 41 State Stree~ Albany, New York, 12231 (hereinafterreferred to as the STATE), and
1 own of South old (hereinafter referred to as the CONTRACTOR), for modification of Contract Number C006355, as
a nended above and in attached Appendice( s)
A II other provisions of said AGREEMENT shall remain in full force and effect.
n, WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as of the dates appearing noder their
signatures.
CONTRACTOR SIGNATURE
By:
By:
(print name)
(print name)
Tltle:
Title:
Date:
Date:
State A2encv Certification: "In addition to the acceptance of this contract, I also certify that original copies of this signature page will be
attached to all other exact copies of this contract."
State of New York
Conoty of
)
)ss:
On this ~ day of
, 20_, before me personalIy came
to me known, who, being by me duIy sworn, did depose and say that he/she/they
reside(s)in (if the place of resident is in a city,
indude the street and street number, if any, thereof); that he/she/they is(are) the (title of officer
or ,mployee) of the (name of municipal corporation), described in and which
executed the above instrument; and that he/she/they signed his/her/their name(s) thereto by authority of the governing body of
said municipal corporation.
NOTARY PUBLIC
Approved:
Alan G. Hevesi
ComptrolIer
By:
Date:
~~
*
STATE OF NEW YORK
DEPARTMENT OF STATE
4 I STATE STREET
ALBANY, NY 12231-000 I
GEORGE E. PATAK'
GovERNOR
December I, 2005
Honorable Joshua Horton
Supervisor
Town of Southold
53095 Main Road
PO Box 1179
Southold, NY 11971
mf!iL'-'Ll,F,i
L~ - 62005 1!Jj
SUPfRvISO-- I
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Re: Agreement #C006471
Planning for Stormwater Management in Town of Southold Creeks
Dear Supervisor Horton:
Enclosed is a fully-executed copy of an Agreement between the Town of Southold and the Department of
State for the above cited project.
The following forms are also enclosed:
. V ouchering ProcedUre Guidelines
. Summary Sheet Documentation Forms - To be submitted with each payment request
. Standard Vouchers - To be submitted with each payment request
. Status Report forms - To be submitted every 6 months
If you would like to receive electronic copies of the above forms, or if you have any questions, please
contact me at (518) 473-2466 or Iparent@dos.state.ny.us.
Truly yours,
UUUUrtt ~
Laurissa Parent, Secretary I
Division of Coastal Resources
Enclosure
cc: V. DeBraccio
James McMahon
WWW.DOS.STATE.NY.US . E-MAlL.:INFO@oos.STATE.NY.US
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FACE PAGE
STATE AGENCY (Name and Address):
NYS Department of State
41 State Street
Albany, NY 12231-0001
NYS COMPTROLLER'S #:
ORIG. AGENCY CODE:
C006471
19000
CONTRACTOR (Name and Address):
TYPE OF PROGRAM: Environmental Protection
Fund Act
Town of Southold
53095 Main Road
Southold, NY 11971
STATE SHARE FUNDING AMOUNT FOR
INITIAL PERIOD $50,000.00
LOCAL SHARE FUNDING AMOUNT FOR
INITIAL PERIOD $50,000.00
FEDERAL TAX IDENTIFICATION NUMBER:
11-6001939
MUNICIPALITY #
INITIAL CONTRACT PERIOD:
FROM: September 13,2005 TO: March 31, 2007
MULTI-YEAR TERM (If applicable):
From: September 13, 2005 To: March 31, 2008
APPENDICES ATTACHED TO AND PART OF TillS AGREEMENT
APPENDIX A: Standard clauses as required by the Attorney General for all state contracts
APPENDIX Al Including
Attachments I, 2, & 3 thereto: Agency-specific clauses
APPENDIX B: Budget
APPENDIX C: Payment and Reporting Schedule
APPENDIX D: Program Workplan
APPENDIX X: Modification Agreement Form (to accompany modified appendices for
changes in term or consideration on an existing period or for renewal
periods)
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IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates
below their signatures.
Contract No. C006471
CONTRACTOR
STATE AGENCY:
By:
(PrinIName)
5"pL""U'I~r
q\ut\bS
New York State Department of State
By: .~P(-i' f k1 ~
J,J/+-h E. /({ hlll./J
DOS Dil!'ee~ of AclminIstration
Title: and Management
.-/
Date: /0/2/0\
S C 'fi/.
tate Agencv ertl !CatIOn
"In addition to the acceptance of this contract, I
also certify that original copies ofthis signature
page will be attached to all other exact copies of
this contract. "
Title:
Date:
ACKNOWLEDGMENT
State of New York :tt- )
County of H - '~'L 5.J ~~" \1jss:
On this \~ day of Se.p+__ be y" ' 200S before me personally came
JOOhU"," 'I. -\-\"...~ to me known, who, being by me duly sworn, did depose and say that
he/oRo/tRoy reside(s) in ~ \D ~1H' 5\-...c....+- ('''I''e.""" ferl, N'I (if the place
of resIdent IS in a CIty, include the street and street number, if any, thereof); that he/ske:tl,ey is~) the
~f' \I" u; ~\)'- (title of officer or employee) ofthe\ou..1'v\. o~ s".rH..., lcO (name
of municipal corporation), described in and which executed the above Instrument; and that he/s~ signed
hisl1>8o.4heir name(;> thereto by authority of the governing body of said municipal corporation.
~ ~ Q LYNDA M. BOHN
. NOTARY PUBLIC, State of New York
I I^J ~ VV\ -== L- _. . No. 01 B06020932 n
-1" NOTARY PUBLIC Qualified In Suffolk Cou IV
Term Expires March 8, 20 a:J
ATT
APPROVED AS TO FORM
Approved:
Title
Date
Alan G. Hevesi
APPROVED
DEPT. OF AUDIT & CONTROL
NOV 1 6 2005
Comptroller
J.L- ~J?
STEPHEN J HENSEL
ASSOCIATE ATTOIlNEY
By:
Date:
FOR THE STATE COMPTROlLER
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STATE OF NEW YORK
AGREEMENT
The 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:
1. Conditions of Agreement
A. 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.
B. Funding for the first PERIOD shall not exceed the funding amount specified on 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.
D. For each succeeding PERIOD of the AGREEMENT, the parties shall prepare new 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 forms(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 AI.
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 or
program.
F. 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
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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.
n. Pavrnent and Reporting
A. 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.
B. 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.
m. Terminations
A. This AGREEMENT may be terminated at any time upon mutual written consent of the STATE and the
CONTRACTOR.
B. 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 ST ATE may also terminate this AGREEMENT for any reason in accordance with provisions set
forth in Appendix A I.
D. 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 terms of the notice.
E. Upon receipt of notice of termination, the CONTRACTOR shall cancel, prior to the effective date of any
prospective termination, all outstanding obligations, and agrees not to incur any new obligations after receipt
of the notice without approval by the STATE.
F. 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.
N. Indemnification
A. The CONTRACTOR shall be solely responsible and answerable in damages for any and all accident
and/or injuries to person (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 hannless the ST ATE 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.
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B. 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. ProoerlY
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 as stated in Appendix AI.
VI. Safel!Uards for Services and Confidentiality
A. 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.
B. 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.
C. Information relating to individuals who may receive services pursuant to this AGREEMENT shall be
maintained and used only for the purposes intended under the Agreement and in conformity with applicable
provisions oflaws and regulations, or specified in Appendix AI.
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APPENDIX A
Standard Clauses for All New York State Contracts
The parties to the attached contract, license, lease, amendment or other
agreement of any kind (hereinafter, "the contract" or "this contract") agree
to be bound by the following clauses which are hereby made 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):
I. EXECUTORY CLAUSE. In accordance with Section 41 ofthe State
Finance Law. the State shall have no liability under this contract to the
Contractor or to anyone else beyond funds appropriated and available for
this contract.
2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of
the State Finance Law, this contract may not be assigned by the Contractor
or its right, title or interest therein assigned, transferred conveyed, sublet
or otherwise disposed of without the previous consent. in writing, of the
State and any attempts to assign the contract without the State's written
consent are null and void The Contractor may, however, assign its right to
receive payment without the State's prior written consent unless this
contract concerns Certificates of Participation pursuant to Article 5-A of
the State Finance Law.
3. COMPTROLLER'S APPROVAL In accordance with Section 112
of the State Finance Law (or, if this contract is with the State University
or City University of New York, Section 355 or Section 6218 of the
Education Law), if this contract exceeds $15,000 (or the 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 amendment for any
amount to a contract which, as so amended, exceeds said statutory amount,.
or if, by this contract, the 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 State Comptroller and filed in his office.
Comptroller's approval of contracts let by the Office of General Services
is required when such contracts exceed $30,000 (State Finance Law
Section 163.6a).
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.
5. NON-DISCRIMINATION REOUIREMENTS. To the extend
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, national origin, sexual orientation, age, disability 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 the State of New York, Contractor agrees that neither it
nor its subcontractors shall, by reason of race, creed, color, disability, sex,
or national origin: (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
May 2003
of work under this contract If this is a building service-contract as defined
in Section 230 of the Labor Law, then, in accordance with Section 239
thereof, Contractor agrees that neither it nor its subcontractors shall by
reason of race, creed, color, national origin, age, sex, or disability: (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.
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 tennination
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
contract covered by Article 9 thereof, neither Contractor's employees nor
the employees of its subcontractors may be required or permitted. to work
more than the number of hours or days stated in said 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.
Furthermore, Contractor and its subcontractors must pay at least the
prevailing wage rate and payor provide the prevailing supplements,
including the premium rates for overtime pay, as determined by the State
Labor Department in accordance with the Labor Law.
7. NON-COLLUSIVE BIDDING REOUIREMENT. In accordance
with Section 139-<1 of the State Finance Law, if this contract was awarded
based upon the submission of bids, Contractor warrants, under penalty of
perjury, that its bid was arrived at independently and without collusion
aimed at restricting competition. Contractor further warrants that, at the
time Contractor submitted its bid, an authorized and responsible person
executed and delivered to the State a non-collusive bidding certification
on Contractor's behalf.
8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance
with Section 220-f of the Labor Law and Section I39-h of the State
Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a
material condition of the contract, that neither the Contractor nor any
substantially owned or affiliated person, firm. partnership or corporation
has participated, is participating, or shall participate in an international
boycott in violation of the federal Export Administration Act of1979 (50
USC App. Sections 2401 et seq.) or regulations thereunder. If such
Contractor, or any of the aforesaid affiliates of Contractor, is convicted or
is otherwise found to have violated said laws or regulations upon the final
determination of the United States Conunerce Department or any other
appropriate agency of the United States subsequent to the contractors
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 conviction,
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 of set-off. These rights shall include. but not
be limited to, the State's option to withhold for the purposes ofset-otfany
moneys due to the Contractor under this contract up to any amounts due
and owing to the State with regard to this contract, any other contract with
any State department or agency. including any contract for a term
conunencing prior to the term of this contract, plus any amounts due and
owing to the State for any other reason including, without limitation, tax
delinquencies, fee delinquencies or monetary penalties relative thereto.
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The State shall exercise its set~otfrights in accordance with normal State
practices including, in cases of set-offpursuant to an audit, the finalization
of such audit by the 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 of
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 Donnal business hours at an office of the Contractorwithin
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
disclosed; 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.
II. IDENTIFYING INFORMATION AND PRIVACY
NOTIFICATION. (a) FEDERAL EMPLOYER IDENTIFICATION
NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER. All
invoices or New York State standard vouchers submitted for payment for
the sale of goods or services or the lease ofreal or personal property to a
Ne\,\' 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) PRIV ACY NOTIFICATION. (1) The authority to request the above
personal information from a seller of goods or services or a lessor of real
or personal property, and the authority to maintain such information, is
found in Section 5 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 infonnation 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 generally
identify persons affected by the taxes administered by the Conunissioner
of Taxation and Finance. The information will be used for tax
administration purposes and for any other purpose authorized by law.
(2) The personal information is requested by the purchasing unit of the
agency contracting to purchase the goods or services or lease the real or
personal property covered by this contract or lease. The information is
maintained in New Yark State's Central Accounting System by the
Director of Accounting Operations, Office of the State Comptroller,
AESOB, Albany, New York 12236.
12. EOUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES
AND WOMEN. [n accordance with Section 312 of the Executive Law,
if this contract is: (i) a written agreement or purchase order instrument,
providing for a total expenditure in excess of $25,000.00, whereby a
contracting agency is committed to expend or does expend funds in return
for labor, services, supplies, equipment, materials or any combination of
May 2003
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the foregoing, to be performed for, or rendered or furnished to the
contracting agency; or (ii) a written agreement in excess of$loo,ooo.OO
whereby a contracting agency is conunitted to expend or does expend
funds for the acquisition, construction, demolition, replacement, major
repair or renovation of real property and improvements thereon; or (Hi) a
written agreement in excess ofSt 00,000.00 whereby the owner of a State
assisted housing project is conunitted 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 of affirmative 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
tennination and rates of payor 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 agreement or
understanding, to furnish a written statement that such employinent
agency. labor union or representative will not discriminate on the basis of
race, creed, color. national origin, sex, age, disability or marital status and
that such union or representative will affirmatively cooperate in the
implementation of the contractor's obligations herein; and
(c) the Contractor shall state, in all solicitations or advertisements for
employees, that, in the performance of the State contract, 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 "3, "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 of the Contractor. Section 312 does not apply to: (i) work,
goods or services unrelated to this contract; or (ii) emplo'yment outside
New York State; or (Hi) banking services, 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 opportunity which effectuates the purpose of this section. The
contracting agency shall detennine whether the imposition of the
requirements of the provisions hereof duplicate 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 Minority and
Women's Business Development pertaining hereto.
13. CONFLICTING TERMS. In the event of a conflict between the
terms of the contract (including any and all attachments thereto and
amendments thereof) and the terms of this Appendix A, the tenns of this
Appendix A shall control.
14. GOVERNING LAW. This contract shall be governed by the laws
of the State of New York except where the Federal supremacy clause
requires otherwise.
15. LATE PAYMENT. Timeliness of payment and any interest to be
paid to Contractor for late payment shall be governed by Article ll-A of
the State Finance Law to the extent required by law.
16. NO ARBITRATION. Disputes involving this contract. including the
breach or alleged breach thereof, may not be submitted to binding
arbitration (except where statutorily authorized), but must, instead, be
heard in a court of competent jurisdiction of the State of New York.
17. SERVICE OF PROCESS. In addition to the methods of service
allowed by the State Civil Practice Law & Rules ("CPLR"), 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 warrants that all wood
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 corporation.
Qualification for an exemption under this law will be the responsibility of
the contractor to establish to meet with the approval of the State.
[n addition, when any portion ofthis 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
detailed in ~ 165 State Finance Law. Any such use must meet with the
approval ofthe State, otherwise, the bid may not be considered responsive.
Under bidder certifications, proof of qualification for exemption will be
the responsibility of the Contractor to meet with the approval of the State.
19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In accordance
with the MacBride Fair Employment Principles (Chapter 807 of the Laws
of I 992),the Contractor hereby stipulates that the Contractor either (a) has
no business operations in Northern Ireland, or (b) shall take lawful steps
in good faith to conduct any business operations in Northern Ireland in
accordance with the MacBride Fair Employment Principles (as described
in Section 165 of the New York State Finance Law), and shall pennit
independent monitoring of compliance with such principles.
20. OMNIBUS PROCUREMENT ACT OF 1992. 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 Department of Economic Development
Division for Small Business
30 South Pearl Street, 711J floor
Albany, New York 12245
518-292-5220
May 2003
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A directory of certified minority and women-owned business enterprises
is available from:
NYS Department of Economic Development
Minority and Women's Business Development Division
30 South Pearl Street, 2"" floor
Albany, New York 12245
http://www.empire.state.ny.us
The Omnibus Procurement Act of 1992 requires that by signing this bid
proposal or contract, as applicable, Contractors certify that whenever the
tolal 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 Opportunity Act
of 1972 (P.L. 92-261), as amended;
(c) The Contractor agrees to make reasonable efforts to provide
notification to New Yark 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 Slate may seek to obtain
offset credits from foreign countries 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 place 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
substantiallyprnduced or performed outside New York Slate, the Omnibus
Procurement Act 1994 amendments and 2000 amendments (Chapter 684
and Chapter 3 83 respectively) require 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
jurisdictions subject to this provision.
22. PURCHASES OF APPAREL. In accordance with Slate Finance
Law 162 (4-a), the Slate shall not purchase any apparel from any vendor
unable or unwilling to certil)> that: (1) such apparel was manufactured in
compliance with all applicable labor and occupational safety laws,
including, but not limited to, child labor laws, wage and hours laws and
workplace safety laws, and (ii) vendor will supply, with its bid (or, ifnot
a bid situation, prior to or at the time of signing a contract with the State),
if known, the names and addresses of each subcontractor and a list of all
manufacturing plants to be utilized by the bidder.
~
APPENDIX Al
Agency-Specific Clauses
I. This Agreement has been entered into pursuant to the following understandings:
A. Title II of the Environmental Protection Fund Act provides for State assistance to municipalities for the
State share of the cost of approved local waterfront revitalization projects as defmed in the Act.
B. The Department is authorized by such Act to evaluate and determine eligibility of applications for
funding of projects.
C. Based upon information, representations and certifications contained in Contractor's application for
funding, including the Work Program as set forth in Appendix D, the Department has made a
determination of eligibility of funding for Contractor's project under such Act.
D. State funds (Funding Amount set forth on the Face Page) for this Project (Appendix D Program
Workplan) are provided pursuant to a reappropriation of funds originally made by Title II of the
Environmental Protection Fund Act.
E. The Contractor has demonstrated its ability to finance its share of the Project and has agreed to fund its
portion of the cost of the Project.
II. General
A. For the purposes ofthis Agreement, the terms "State" and "Department" are interchangeable, unless the
context requires otherwise.
B. The contract period as set forth on the Face Page is the inclusive period within which the provisions of
this Agreement shall be performed.
C. No liabilities are to be incurred beyond the termination date and no costs will be reimbursed for such
liabilities unless: I) funds have been reappropriated for the Project in the subsequent State fiscal year,
2) the Department determines that it is in the best interest of the Department and the State to provide
additional time to complete the Project and 3) an extension agreement is approved in accordance with
Section 1A. of the Agreement.
D. Subject to the availability of funds, determination by the Department that it is in the best interest of the
State, and upon mutual written consent of the parties, the Multi-Year Term of this Agreement may be
extended by up to two Contract Periods not to exceed twelve months each.
E. The Department shall not be liable for expenses of any kind incurred in excess of the State Funds as set
forth on the Face Page, and shall not be responsible for seeking additional appropriations or other
sources of funds for the Project.
F. The Contractor shall perform all services to the satisfaction of the Department. The Contractor shall
provide all services and meet the program objectives described in Appendix D in accordance with:
provisions of this Agreement; relevant State, federal and local laws, rules and regulations, administrative
and fiscal guidelines; where applicable, operating certificates for facilities or licenses for an activity or
program, and conditions of applicable permits, administrative orders and judicial orders.
G. The Contractor shall submit with its request for final payment a Final Project Summary Report in the
format described in Appendix AI, Attachment I and Measurable Results Forms, such forms to be
provided Contractor by the Department.
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H. The Contractor agrees to proceed expeditiously with the Project and to complete the Project in
accordance with the timetable set forth in the Workplan (Appendix D) as well as with the conditions of
any applicable permits, administrative orders, or judicial orders and this Agreement.
I. The Department will provide Contractor with a OuarterlvContractor Reoort (Appendix AI, Attachment
2) pursuant to the Department's Minority and W omen-owned Business Enterprises Program. In the event
Contractor utilizes Minority and Women-owned Business Enterprises as discussed in Section XN in
Appendix AI, such report shall be provided to the Department atthe address on the Quarterly Contractor
Report.
J. The Contractor shall submit two copies of a "Project Status Report" (Appendix AI, Attachment 3) on
a six month basis for the periods ending June 30 December 31. Reports are due no later than 30 days
following the end of each reporting period.
m. Additional Requirements for Construction Proiects
A. Project design, including preparation of final plans and specifications, and supervision of construction
shall be undertaken by a qualified architect and/or engineer licensed to practice in the State ofNew York.
The Contractor shall submit final plans and specifications to the Department for its acceptance before
initiating construction work or, ifthe Contractor intends to subcontract for construction work, before the
work is advertised for bidding. No change to project plans may be made without the prior written
approval of the Department. The Contractor shall also be responsible for erecting a project sign
satisfactory to the Department identifying the Project. The project sign shall remain in place for the
useful life ofthe improvements undertaken pursuantto this Agreement. Upon completion of the Project,
the Contractor shall submit to the Department a proper certification from a licensed architect or engineer.
B. Agreements for construction in excess of twenty thousand dollars ($20,000) shall be awarded after and
in accordance with competitive bidding requirements of the General Municipal Law. A certified copy
of a summary of all bids shall be submitted to the Department prior to awarding the Agreement, and an
executed copy of the construction contract will thereafter be submitted to the Department.
C. All purchase contracts involving an expenditure of more than ten thousand dollars ($10,000) shall be
awarded to the lowest bidder furnishing the required security after advertisement for sealed bIds in the
manner provided for in section 103 of the General Municipal Law.
D. The State shall make periodic inspections of the project both during its implementation and after its
completion to assure compliance with this Agreement. The Contractor shall allow the State unrestricted
access to work during the preparation and progress of the work, and provide for such access and
inspection by the State in all construction contracts relating to the project.
E. The Contractor shall be responsible for assuring that the project is designed and constructed in
conformance with the Uniform Federal Accessibility Standards (UF AS - Appendix A to 41 CRF part
101-19.6), the Americans with Disabilities Act Accessibility Guidelines (ADAAG - Appendix A ofTitIe
9 NYCRR). Where there are discrepancies among the sets of standards with regard to a particular
design.!construction requirement, the one providing for the greatest degree of accommodation for the
disabled shall apply.
F. It is the Contractor's responsibility, pursuant to Section 57 of the Workers' Compensation Law, to
maintain for State audit and review either proof that they'have Workers' Compensation coverage for any
employees, or a wavier statement from the New York State Department of Labor. The Contractor must
also obtain from any contractor or sub-contractor hired to provide a service pursuant to this Agreement,
similar proof or waiver from the contractor or subcontractor, and must maintain such documentation on
file for audit.
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N. ReDorts. Documents and MaDs
The Contractor shall, where appropriate, identify documents, reports, and maps produced in whole or in part
under this Agreement by endorsing on said documents, reports, and maps the following:
"This (document, report, map, etc.) was prepared for the New York State Department of State
with funds provided under Title II of the Environmental Protection Fund Act."
V. License to use and reproduce documents and other works:
By acceptance of this Agreement, Contractor transfers to the Department a nonexclusive license to use,
reproduce in any medium, and distribute any work prepared for or in connection with the Project, including
but not limited to reports, maps, designs, plans, analysis, and documents regardless of the medium in which
they are originally produced. Contractor warrants to the Department that it has sufficient title or interest in
such works to license pursuant to this Agreement. Such warranty shall survive the termination of this
agreement. Contractor agrees to provide the original of each such work, or a copy thereof which is
acceptable to the Department, to the Department before payments shall be made .under this Agreement.
VI. Contractors Insurance Requirements
A. Prior to the commencement of the Work, the Contractor shall file with the Department of State, Division
of Coastal Resources, Certificates of Insurance evidencing compliance with all requirements contained
in this Agreement. Such Certificate shall be of form and substance acceptable to the Department.
B. Acceptance and/or approval by the Department does not and shall not be construed to relieve Contractor
of any obligations, responsibilities or liabilities under the Agreement.
C. All insurance required by the Agreement shall be obtained at the sole cost and expense of the Contractor;
shall be maintained with insurance carriers licensed to do business in New York State; shall be primary
and non-contributing to any insurance or self insurance maintained by the Department; shall be endorsed
to provide written notice be given to the Department, at least thirty (30) days prior to the cancellation,
non-renewal, or material alteration of such policies, which notice, evidenced by return receipt of United
States Certified Mail which shall be sent to New York State Department of State, 41 State Street,
Albany, New York 12231-000 I; and shall name the People of the State of New York and their directors
officers, agents, and employees as additional insured thereunder.
D. The Contractor shall be solely responsible for the payment of all deductibles to which such policies are
subj ect.
E. Each insurance carrier must be rated at least "A" Class "VII" in the most recently published Best's
Insurance Report. If, during the term of the policy, a carrier's rating falls below "A Class "VII", the
insurance must be replaced no later than the renewal date of the policy with an insurer acceptable to the
Department and rated at least "A" Class "VII" in the most recently published Best's Insurance Report.
F. The Contractor shall cause all insurance to be in full force and effect as of the date of this Agreement
and to remain in full force and effect throughout the term of this Agreement and as further required by
this Agreement. The Contractor shall not take any action, or omit to take any action that would suspend
or invalidate any of the required coverages during the period of time such coverages are required to be
in effect.
G. Not less than thirty (30) days prior to the expiration date or renewal date, the Contractor shall supply the
Department updated replacement Certificates of Insurance, and amendatory endorsements.
"
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H. Unless the Contractor self-insured, Contractor shall, throughout the term of the Agreement or as
otherwise required by this Agreement, obtain and maintain in full force and effect the following
insurance with limits not less than those described below and as required by the terms of this Agreement,
or as required by law, whichever is greater (limits may be provided through a combination of primary
and umbrella/excess policies). Where Contractor is self-insured, Contractor shall provide suitable
evidence of such to the Department relating to the risks and coverage amounts as provided hereunder.
I. Comprehensive Liability Insurance with a limit of not less than $1,000,000 each occurrence. Such
liability shall be written on the Insurance Service Office's (ISO) occurrence form CO 00 0 I, or a
substitute form providing equivalent coverages and shall cover liability arising from premises
operations, independent contractors, products-completed operations, broad form property damage,
personal & advertisip.g injury, owners & contractors protective, cross liability coverage, liability
assumed in a contract (including the tort liability of another assumed in a contract) and explosion,
collapse & underground coverage.
a. If such insurance contains an aggregate limit, it shall apply separately to this location.
b. Products and Completed Operations coverage shall include a provision that coverage will extend
for a period of at least twelve (12) months from the date of final completion and acceptance by
the owner of aU of Contractors Work.
2. Where the Project described in Appendix D includes the construction of any structure or building,
a Builder's Risk Policy until the Project is completed and accepted in the amount of the total project
cost.
3. Workers Compensation, Employers Liability, and Disability Benefits as required by New York State.
Workers Compensation Policy shaU include the U.S. Longshore & Harbor Workers' Compensation
Act endorsement.
4. Comprehensive Automobile Liability Insurance with a limit of not less than $1,000,000 each
accident. Such insurance shall cover liability arising out of any automobile including owned, leased,
hired and non owned automobiles.
5. Commercial Property Insurance covering at a minimum, the perils insured under the ISO Special
Clauses of Loss Form (CP 1030), or a substitute form providing equivalent coverages, for loss or
damage to any owned, borrowed, leased or rented capital equipment, tools, including tools of their
agents and employees, staging towers and forms, and property of DOS held in their care, custody
and/or control.
6. An Owner's Protective Liability Policy with limits no less than $1,000,000 in the name of the
Contractor.
I. The Contractor shall require that any subcontractors hired, carry insurance with the same limits and
provisions provided herein.
J. Professional consultants retained by the Contractor in connection with the Project shall show evidence
of professional liability insurance with limits no less than $1 million.
VII. PrODertv
A. Pursuant to the provisions set forth in Section V, page 3 ofthis Agreement, the ownership of all property
described therein shall reside with the Contractor unless otherwise specified in writing by the
Department at any time during the term of this Agreement and up to thirty (30) days following the
issuance of the final payment.
AI-5
B. Contractor warrants that it has fee simple or such other estate or interest in the site of the Project, where
the Project is undertaken at a site, including easements and lor rights -of-way sufficient to assure
undisturbed use and possession for the purposes of construction and operation for the estimated life of
the Project. Contractor further acknowledges that where such Project is undertaken on or involves the
use oflands for active or passive recreational use, it is a material term of this Agreement that such lands
shall be available for such recreational use by the People of the State of New York. Additionally,
Contractor shall not limit access or discriminate on the operation of the facilities against any person on
the basis of place of residence, race, creed, color, national origin, sex, age, disability or marital status.
vrn. Date/fime Warranty
A. Contractor warrants that Product(s) furnished pursuant to this Contract shall, when used in accordance
with the Product documentation, be able to accurately process date/time data (including, but not limited
to, calculating, comparing, and sequencing) transitions, including leap year calculations. Where a
Contractor proposes or an acquisition requires that specific Products must perform as a package or
system, this warranty shall apply to the Products as a system.
B. Where Contractor is providing ongoing services, including but not limited to: i) consulting, integration,
code or data conversion, ii) maintenance or support services, iii) data entry or processing, or iv) contract
administration services (e.g. billing, invoicing, claim processing), Contractor warrants that services shall
be provided in an accurate and timely manner without interruption, failure or error due to the inaccuracy
of Contractor's business operations in processing date/time data (including, but not limited to,
calculating, comparing, and sequencing) various date/time transitions, including leap year calculations.
Contractor shall be responsible for damages resulting from any delays, errors or untimely performance
resulting there from, including but not limited to the failure or untimely performance of such services.
C. This Date!fime Warranty shall survive beyond tennination or expiration of this Contract through: a)
ninety (90) days or b) the Contractor's or Product manufacturer/developer's stated date/time warranty
term, whichever is longer. Nothing in this warranty statement shall be construed to limit any rights or
remedies otherwise available under this Contract for breach of warranty.
IX. Fees
The Contractor may charge a reasonable fee for the use of any facility which is part of the project.
A. Except for the imposition of a differential fee schedule for non-residents of the municipality in which
the project is located, the establishment of any preferential user fee for any person or entity is prohibited.
Fees charged to non-residents shall not exceed twice those charged to residents.
B. Where there is no charge for residents but a fee is charged to non-residents, non-resident fees cannot
exceed fees charged for residents at comparable State or local public facilities.
C. Reservation, membership or annual permit systems available to residents must also be available to non-
residents and the period of availability must be the same for both residents and non-residents.
D. This provision does not apply to non-residents fishing and hunting license fees.
X. Alienation
Where the Project is undertaken on or involves parklands, the following additional provisions apply:
A. The Contractor shall not at any time sell or convey any facility or any portion of the Project acquired or
developed pursuant to this Agreement or convert such facility or any portion of the Project to other than
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XL Terminations
A. In addition to any other actions authorized by this Agreement, the Department may terminate the
Agreement in the best interests of the State of New York by providing written notice to the Contractor
as provided in this Agreement.
B. The Contractor shall complete the project as set forth in this Agreement, and failure to render satisfactory
progress or to complete the project to the satisfaction of the State may be deemed an abandonment of
the project and may cause the suspension or termination of any obligation ofthe State. In the event the
Contractor should be deemed to have abandoned the project for any reason or cause other than a national
emergency or an Act of God, all monies paid to the Contractor by the State and not expended in
accordance with this Agreement shall be repaid to the State upon demand. If such monies are not repaid
within one year after such demand, the State Comptroller of the State of New York may cause to be
withheld from any State assistance to which the Contractor would otherwise be entitled an amount equal
to the monies demanded.
C. In the event that the Department has provided written notice to the Contractor directing that the
Contractor correct any failure to comply with this Agreement, the Department reserves the right to direct
that the Contractor suspend all work during a period of time to be determined by the Department. If the.
Contractor does not correct such failures during the period provided for in the notice, this Agreement
shall be deemed to be terminated after expiration of such time period. During any such suspension, the
Contractor agrees not to incur any new obligations after receipt of the notice without approval by the
Department.
XII. Subcontractinl! Reauirements
A. The Contractor may subcontract for all or any portion of the activities covered by this Agreement as
provided for in Appendix D, subject to prior written approval by the Department of any subcontractor
and the terms of any subcontract.
Xli. Comoliance with Procurement Reauirements
A. All contracts by municipalities for professional services, all contracts for construction involving not more
than $20,000 and all purchase contracts involving not more than $10,000 are subject to the requirements
of Genera I Municipal Law ~ l04-b, which requires such contracts to comply with the procurement policies
and procedures of the municipality involved. All such contracts shall be awarded after and in
accordance with such municipal procedures, subject to any additional requirements imposed by the
ST ATE as set forth in Appendix D hereof.
B. The municipal attorney, chieflegal officer or financial administrator ofthe CONTRACTOR shall certify
to the Department of State that applicable public bidding procedures of General Municipal Law 9 1 03
were followed for all construction contracts involving more than $20,000 and more than $10,000 for
purchase contracts. In the case of construction contracts involving not more than $20,000, purchase
contracts involving not more than $10,000, and contracts for professional services, the municipal
attorney, chieflegal officer or financial administrator shall certify that the procedures ofthe municipality
established pursuant to General Municipal Law g104-b were fully complied with.
XN. Reauirements for Contract GIS Products (2104)
A. GENERAL MAP PRODUCT REQUIREMENTS - The following general cartographic requirements
must be adhered to by the Contractor:
1. Map Products -- The Division requires delivery of digital map products, unless otherwise specified
in the Request for Proposal (RFP), that meet the specifications outlined in this GENERAL MAP
AI-7
attorney, chieflegal officer or financial administrator shaU certify that the procedures ofthe municipality
established pursuant to General Municipal Law ~ 104-b were fuUy complied with.
XIV. Reauirements for Contract GIS Products (2/04)
A. GENERAL MAP PRODUCT REQUIREMENTS - The foUowing general cartographic requirements
must be adhered to by the Contractor:
I. Map Products -- The Division requires delivery of digital map products, unless otherwise specified
in the Request for Proposal (RFP), that meet the specifications outlined in this GENERAL MAP
PRODUCT REQUIREMENTS section and the ADDITIONAL DIGITAL CARTOGRAPIDC FILE
REQUIREMENTS section. If analog map products are required by the RFP, they must meet
specifications outlined in this GENERAL MAP PRODUCT REQUIREMENTS section and the
ADDITIONAL DIGITAL-READY MAP PRODUCT REQUIREMENTS section.
2. Deliverable Format -- AU digital map and attribute table files must be provided in MapInfo Tab file
format on Recordable CD or DVD, 3.5" floppy diskette media, external hard drive, via e-mail
attachment (preferably in a WinZIP file) or downloadable from an ftp site on the Internet.
Alternatively, the digital products may be provided in ArcInfo/GIS export format (.eOO) or Arc View.
shape file format on the same media types upon approval of the Division. AU other digital formats
require prior approval ofthe Division. Coordination with the Division prior to submission of digital
media is required to ensure compatibility of the delivered materials.
3. Documentation -- A data dictionary must be included along with the map files describing file
contents and file names, as weU as metadata for each file including map projection, horizontal and
vertical datums used, coordinate system, RMS accuracy and log sheet, information sources and
dates, the map maker and date of preparation, and creation methodology. Data provided under
federal funds must be provided in a manner which meets Digital Geospatial Federal Geographic Data
Committee Metadata Standard as executed by Executive Order 12906, April II, 1994, "Coordinating
Geographic Data Acquisition and Access: the National Spatial Data Infrastructure".
4. Map Accuracy -- Unless otherwise stated in the RFP, aU deliverable map products must conform to
National Map Accuracy Standards for horizontal and vertical accuracy as established by the United
States Bureau of the Budget, June 10, 1941, revised June 17, 1947. For example, for maps at
I :20,000 or smaUer, not more than 10% of the weU-defined map points tested must be more than
1/50 inch (0.508 mm) out of correct position. At 1:24,000, this tolerance translates to a required
horizontal accuracy of 40 feet. If by prior agreement with the Division the map product does not
conform to National Map Accuracy Standards, then a statement of actual map accuracy should be
included in the Documentation above. Furthermore, hydrographic surveys and maps should conform
to recommended accuracy standard proposed in the joint USGS, NOS, Coastal Mapping Handbook.
1978, Melvin EUis editor, U.S. Government Printing Office, Appendix 6.
5. Datums -- Unless otherwise specified in the RFP, all map products should be referenced to the North
American Horizontal Datum of 1983 (NAD83) and the National Geodetic Vertical Datum of 1988
(NGVD88).
B. ADDITIONAL DIGITAL CARTOGRAPIDC FILE REQUIREMENTS- The foUowing cartographic
construction requirements must be adhered to by the Contractor:
1. Edge-matching -- AU map sheets must be both visuaUy and coordinate edge-matched with adjacent
map sheets. No edge-match tolerance will be aUowed. Attributes for splitable features must also
be identical.
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2. Cornmon Boundaries -- All features that share a cornmon boundary, regardless of map layer, must
have exactly the same coordinate position of that feature in all cornmon layers.
3. Point Duplication -- No duplication of points that occur within a data string is permitted.
4. Cormectivity -- Where graphic elements visually meet, they must also digitally meet. All
confluences of line and polygon data must be exact; "overshoots", "undershoots", "slivers", or
"offshoots" are NOT permitted.
5. Line Quality -- A high quality cartographic appearance must be achieved. Transitions from straight
lines to curvilinear elements must be smooth, with angular inflections at the point of intersection.
The digital representation must not contain extraneous data at a non visible level. There should be
no jags, hooks, or zero length segments. Any lines that are straight, or should be straight, should be
digitized using only two points that represent the beginning and ending points of the line.
6. Polygon Closure -- For area features being digitized, the last coordinate pair must be exactly
(mathematically) equal to the first coordinate pair. No line or polygon must cross itself except to
join at an actual confluence. All digitized features across map boundaries must be edited to effect
smooth and continuous lines.
7. Graphic Precision .- Positional coordinates for all digital graphic elements should not be reported
to a level of precision greater than one thousandth (.001) ofa foot.
8. Digitizer Accuracy -- The required RMS error for digitizer accuracy must be 0.003 or better for
digital map registration.
C. ADDITIONAL DIGIT AL-READYMAP PRODUCT REQUIREMENTS - The following requirements
for large scale, non-digital map products must be followed to facilitate the future conversion ofthe maps
to digital map products. All large format, non-digital map products must be provided on stable base
material at a scale stipulated in the RFP. The map products must include an index map to all map sheets
and thorough descriptions of all the cartographic elements portrayed on the maps.
I. Base Map Media -- All maps must be created on mylar or other stable base material.
2. Map Scale -- All maps of a similar series should be created using the same base scale. Unless
otherwise stated by the Division, all maps should be compiled at I :24,000. If other map scales are
approved by the Division, where possible they will conform to standard map scales such as 1:9600;
I :50,000; I :75,000; or I: 100,000.
3. Map Registration -. The maps must provide a minimum offour (4) comer and four (4) interior ticks
tied to USGSINYSDOT quadrangle LatlLong or NYTM coordinates. The maps must be
geometrically correct and should register when overlaid on the appropriate USGSINYSDOT
quadrangle control ticks.
4. Map Title and Legend -- The maps must provide a title and legend block describing the information
contained on the maps, and including the Documentation and Datums information requested in the
GENERAL MAP PRODUCT REQUIREMENTS above and the map scale.
5. Cartographic Quality -- The quality of all map line work and symbolization must conform to items
I .6 in the map criteria set forth in the ADDITIONAL DIGITAL CARTOGRAPHIC FILE
REQUIREMENTS section outlined above.
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D. CONTRACT DATABASE STANDARDS
1. Delivery Media - All database and tabular files must be provided on digital media as specified
above in Deliverable Format.
2. Software Format - Database and tabular files can be provided in Corel Quattro, Microsoft Excel or
Microsoft Access format. Other formats that are convertible to one of the aforementioned formats
may be used with prior approval of the Division.
3. Geographic Attributes -- Database and tabular files that contain elements with a geographic reference
must provide a corresponding data field and a geographic coordinate pair for each feature location.
XV. Payment and Records Retention
A. Payments shall be made as set forth in Appendix C.
B. The Contractor shall maintain, at its principal place of business, detailed books and accounting records.
supported by original documentation relating to the incurring of all expenditures, as well as payments
made pursuant to this Agreement. The Contractor shall make such records available for review by the
Department upon request at any time. The Department shall have the right to conduct progress
assessments and review books and records as necessary. The Department shall have the right to conduct
an on-site review ofthe Project and/or books and records of the Contractor prior to, and for a reasonable
time following, issuance of the FINAL payment. The Department shall be entitled to disallow any cost
or expense, and/or terminate or suspend this Agreement, if the Contractor has misrepresented any
expenditures or Project activities in its application to the Department, or in this Agreement, or in any
progress reports or payment requests made pursuant hereto. The Contractor shall maintain such books
and accounting records in a manner so that reports can be produced therefrom in accordance with
generally accepted accounting principles. The Contractor shall maintain separate fiscal books and
records for all funds received through the Department pursuant to this Agreement.
C. During the term of this Agreement and for a period of six years after its termination, the Contractor shall
make all such books and records available to the Department and the Office of the State Comptroller,
or their designated representatives, for inspection and audit.
XVI. Baual Emolovment Oooortunitv
The Contractor hereby assures that it is, and shall be for the duration of this Agreement, in compliance with
the Federal Equal Employment Opportunity Act of 1972 (public Law 92-261), as amended.
XVll. Article 15-A of The New York State Executive Law
The Department of State administers a Minority and W omen-ownedBusiness Enterprises (MWBE) Program
as mandated by Article 15-A ofthe New York State Executive Law. This law supersedes any other provision
in state law authorizing or requiring an equal employment opportunity program or a program for securing
participation by minority and women-owned business enterprises. Under this law, all state agencies must,
subjectto certain exceptions, establish goals for minority and women-owned business participation in certain
state contracts and grants. Where MWBE goals are required, even in circumstances where this goal is zero,
a Ouarterlv Contractor Reoort is required to be submitted to the Minority and W omen-owned Business
Program of the Department on forms provided by the Department.
Article 15-A requires that rules and regulations be established for contracts entered into by the Department.
In accordance with Article 15-A, goals must be set for contracts entered into by the Department in excess
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of$25,000 for labor, services, supplies, equipment, and materials, or any combination of the foregoing, and
for contracts entered into by the Department in excess of$l 00,000 for acquisition, construction, demolition,
replacement, major repair, renovation or improvement of real property. In applying these rules and
regulations, the Department must consider the availability of certified minority and women-owned businesses
in the region in which the state contract will be performed, the total dollar value of the contract, the scope
of work to be performed, and the project size and term.
The contractor will, when required as a part of the bid or proposal, submit a Staffinl! Plan on the form
provided by the Department. This Plan will detail the work force anticipated in the performance of the state
contract, reported by ethnic background, gender, and Federal Occupational Categories.
After a bid opening and prior to the award of a state contract, the contractor will submit an Enual
Emolovrnent Oooortunitv mEO) Policv Statement to the Department within the time frame established by
the Department. The law requires that, as a precondition to entering into a valid and binding state contract,
the contractor will agree to the following stipulations and will include them in the EEO Policv Statement:
. The contractor will not discriminate against any employee or applicant for employment because
of race, creed, color, national origin, sex, age, disability or marital status.
· The contractor will undertake or continue existing programs of affirmative action to ensure that
minority group members and women are afforded equal employment opportunities without
discrimination because of race, creed, color, national origin, sex, age, disability or marital status.
For these purposes, affirmative action applies in areas ofrecruitrnent, employment,job assignment,
promotion, upgrading, demotion, transfer, layoff, or termination and rates of payor other forms of
compensation.
. The contractor will make active and conscientious efforts to employ and to utilize minority group
members and women at all levels and in all segments of its work force on state contracts, and the
contractor will document these efforts.
· The contractor will state in all solicitations and 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.
· The contractor will, at the request of the Department, request each employment agency, labor
union, or authorized representative of workers with which it has a collective bargaining or other
agreement or understanding, to furnish a written statement that such employment agency, labor
union, or representative will not discriminate because of race, creed, color, national origin, sex, age,
disability or marital status, and that such union or representative will affirmatively cooperate in the
implementation of the contractor's obligations herein.
· The contractor will include the provisions regarding the EEO Policv Statement and the Staffinl!
Plan enumerated above in each and every subcontract of a state contract in such a manner that the
subcontractor is bound by these requirements.
· Failure to provide an EEO Policv Statement and a Staffinl! Plan without reasonable written
justification or commitment to provide these requirements by a specified date will result in rejection
of the contractor's bid or proposal.
· After the award of a state contract, the contractor will submit to the Department a Workforce
Emolovrnent Utilization Reoort, on the form supplied by the Department, detailing the work force
actually utilized on the state contract, by ethnic background, gender and Federal Occupational
AI-ll
Categories, as specified on the form. This Reoort will be submitted to the Department on a quarterly
basis throughout the life of the contract.
. The contractor, and any of its subcontractors, may be required to submit compliance reports
relating to their operations and implementation of their affirmative action or equal employment
opportunity program in effect as of the date the state contract is executed.
Questions regarding this program should be directed to the Department's Minority and Women-owned
Business Program by calling (518) 474-5741. Potential contractors can access the NYS Directorv of
Certified Minority and Women-owned Business Enterorises on-line through the Empire State Development
website at: htto://www.emoire.state.nv.us, double click (left column) on: NY \) BIZ (Doing Business in New
York); put the curser over: Small and Growing Business and, from that menu, click on: Minority and
Women-Owned Business. From the center column, highlighted in blue, click on the bullet: "Search the
Directory ofCe11ified Minorily- and Women-Owned Business Enterprises."
The Department makes no representation with respect to the availability or capability of any business
listed in the Directorv.
XVill. Notice of Public Proceedings
The Contractor agrees to provide the Department with prompt and timely written notice at least two
weeks in advance of all public proceedings, including, but not limited to; public meetings or hearings,
relating to the Project.
XIX. Submission of all correspondence and documentation
A. The Contractor agrees to provide the Department with original and two copies of all documentation
relating to this Project, including, but not limited to: notices of public meetings, products described
in Appendix D, and payment request documentation as described in Appendix C.
B. All information as described in A. above shall include the NYS Comptroller's # as indicated on the
Face Page of this Agreement.
XX. Environmental Review
A. Contractor agrees to provide the Department, in a timely manner, with all documentation, including
but not limited to, permit applications, environmental assessments, designs, plans, studies,
environmental impact statements, findings, and determinations, relating to the Project.
B. Contractor acknowledges that compliance with the State Environmental Quality Review Act is a
material term and condition of this Agreement. In no event shall any payments be made under this
Agreement until Contractor has provided Department with appropriate documentation that contractor
has met any requirements imposed on Contractor by the State Environmental Quality Review Act.
XXI. Fullv-Executed Agreement or Amendment Thereto
A. If this Agreement or amendments thereto, allocates funds totaling $15,000 or less, it shall be deemed
to be fully executed when approved and signed by the Contractor and the Department.
B. If this Agreement, or amendments thereto, allocates funds totaling more than $15,000, it shall be
deemed to be full executed when approved by the Office of the State Comptroller.
AI, Attachment I
FINAL PROJECT SUMMARY REpORT
Final payment of the grant is dependent upon the satisfactory completion and acceptance by the Department ofState,
Division of Coastal Resources of this FlNAL PROJECT SUMMARY RE!'ORT along with the requisite docwnentation. In
addition to the other requirements of the contract, the grant recipient is responsible to relav the irnnortance. the sil!l1ificance
and the value of the comoleted project to the community. the ree:ion and the state through the completion of the report.
The following outline should be used to complete the FINAL PROJECT SUMMARY REpORT:
1. Project Title:
2. Name of Municipality:
3. Actual Project Costs:
a. State funds expended (identify source, ego EPF, Clean Water/ Clean Air
Bond Act, etc.):
b. Local funds expended:
c. Other funds expended:
4. Project Manager: Name:
Title:
Mailing address:
Tel. nwnber:
Fax number:
E-mail address:
(
(
)
)
5. Federal Tax Identification Nwnber:
6. Project Background (briefly explain in a short paragraph why this project was necessary, what its value is and/or its
importance to the community):
7. Project Work (briefly describe the work that was done to complete the project):
8. Project Descriptions (use the following guidelines to describe the project and please be concise in the description):
a. For a Planning Project describe the findings or recommended strategies.
b. For a Design Project describe what is to be built.
c. For a Construction Project describe what was built.
9. Project Measurable Results: To be completed on fonns attached.
10. Project Docwnentation: The Department of State, Division of Coastal Resources requires a visual documentation of
the Environmental Protection Fund projects. Project products should be visually documented using a 35mm camera
or a digital camera. The 35mm color slides and/or die:ital camera disc should be labeled and dated when submitted
along with the completed FINAL PROJECT SUMMARY REpORT.
Visuals should illustrate the final project product and, as appropriate, activities undertaken to complete the project. For
example, some projects would call for visuals that include photographs of volunteers participating in a wetland
restoration project (planting Spartina); photographs of historical signs markers, kiosks, etc. being placed; or photographs
of an artist's rendering of a waterfront design.
Design, planning, and construction projects call for different visual documentation. Therefore, the following guidelines
are suggested:
II!I For design projects, visuals of renderings and/or graphics that depict the final product.
IiIII For plauning projects, visuals of any graphics, where appropriate, that illustrate the final product.
II!I For construction projects, visuals of work in progress and the finished project.
In addition to the 35mm color slides/digital camera disc, a video (vhs format) of the project with a verbal description is
desirable but not mandatory. The video may be used in a futore docwnentary.
"
AI, Attachment 2
NYS Department of State . Minority and Women-owned Business Enterprises Program
41 State Street Albany NY 12231-0001 . (518) 474 - 5741
Minority and Women-owned Business Enterprises (MWBE) Program
Quarterly Contractor Report
INSTRUCTIONS:
1. Please prepare reports based on calendar quarters, or prepare one annual report.
2. Use a separate Report sheet for each contract or program area
3. Record the. amount paid for each service/product for the time period identified below.
4. Send completed reports to the Minority and Women-owned Business Enterprises Program at the above address.
REPORT PERIOD
Report should cover a calendar quarter OR the program year. FROM: TO:
Enter the inclusive dates of the quarter or for the program year. .... ..
CONTRACTOR NAME PROGRAM DOS CONTRACT NUMBER
CONTRACTOR ADDRESS Service Area of Contract Wotk
( )
NAME and TITLE of CONTACT PERSON (Please Print) TELEPHONE NUMBER
TYPE of DESCRIPTION of AMOUNT PAID
VENDOR NAME and ADDRESS VENDOR SERVICE/PRODUCT THIS PERIOD COMMENTS
o MBE $
o WBE
I o MBE
o WBE
o MBE
o WBE
o MBE
o WBE
o MBE
o WBE
o MBE
OWBE
o MBE
OWBE
o MBE
. oWBE
o MBE
o WBE
PAGE 1 of
"
A I - Attaclunent 3
CONTRACTOR:
Agreement #
PROJECT STATUS
As of
(Submit semi-annually and with each payment request.)
Task
#
Aff
Date of
ComDletion
Percent of
ComDletion
Products! AccomDlislunents
Please note problems encountered, proposed adjustment(s) to work program/schedule, and reason(s) for
proposed adjustment(s):
Please provide the following information:
Name of contact Person:
Email Address:
Phone Number:
Fax Number:
"
Appendix B
BUDGET SUMMARY
A. Salaries & Wages (including Fringe Benefits) $ $15,000.00
B. Travel $ $0.00
C. SupplieslMaterials $ $0.00
D. Equipment $ $0.00
E. Contractual Services $ $85,000.00
F. Other $ $0.00
TOTAL PROJECT COST
$
$100,000.00
Total State Funds (50% of Total)
Total Local Share (50% of Total)
$
$
$50,000.00
$50,000.00
" .
B-2
Appendix B (Budget Detail Sheet)
A. SALARIES & WAGES
TITLE ANNUAL AMOUNT CHARGED
SALARY TO THIS PROJECT
Director of Public Works $81,000.00 $6,000.00
GIS Manager $60,227.00 $9,000.00
SUBTOTAL $15,000.00
! BmAVEL
I
SUBTOTAL $0.00
C. SUPPLIES/MA TERIALS
SUBTOTAL $0.00
D. EQUIPMENT
SUBTOTAL $0.00
E. CONTRACTUAL SERVICES
Consulting Services to create the stormwater inventory database - $50,000
Installation of catch basins and culvert replacement - $35,000
SUBTOTAL $85,000.00
I ' OTIffiR I
SUBTOTAL $ 0.00
"
,
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I
APPENDIX C
Payment and Reporting Schedule
XXll. Pavrnent Schedule
A. The Department shall make interim payments for eligible costs incurred up to an amount not to exceed
90% of the State Funds Requested. The fmal payment will be made upon satisfactory completion of the
Project.
B. Not more frequently than once every 30 days, a properly executed payment request, on fonns as
prescribed by the Department, and required work products documenting completion of one or more of the
tasks set forth in Appendix D, Program Workplan, and total project costs incurred to date, may be
submitted.
I. Payment provided above shall be made to the Contractor upon the submission by the Contractor of
properly executed payment request. Such request shall contain the following: (I) "Summary Sheet
Documentation Forms" as provided by the Department, for reimbursement of actual and eligible
expenditures, (2) the required Detail Study, and (3) a properly executed State Voucher.
2. Payment requests will be reviewed in accordance with the tenns and conditions of this Agreement to
determine total allowable project costs incurred and the number and percentage of allowable project
tasks completed to date. For the purpose of determining the level of reimbursement, otherwise
allowable project costs may be reduced if the percentage of task completion is deemed insufficient.
3. Total allowable project costs, adjusted pursuant to 2. above, will be prorated between State Funds
and Local Share costs in the same proportions as Total State Funds is to Total Local Share as set
forth on the Face Page.
4. Interim payments will be issued in amounts equal to the State Funds calculated in 3. above, less all
previous payments to date.
5. The final payment will be issued upon receipt and approval of a payment request marked "FINAL"
documenting all project costs incurred and tasks completed and submission of the Final Project .
Summary Report and Measurable Results Forms. Such finaI payment request shall be submitted
within 60 days following the ending date of this Agreement.
II. Reoortinl!:
A. Payment requests as described in I.B. above shall be certified by a duly authorized representative of the
Contractor as accurately representing such accomplishments and expenses as recorded in the Contractor's
accounting records, including, where goods or services are provided by third parties not party to this
Agreement, a certification that any payment obligations arising from the provision of such goods or
services have been paid by the Contractor and do not duplicate reimbursement or costs and services
received from other sources.
B. Notwithstanding the above requirements, upon written notification by the Department, the COntractor
may be required to submit source documentation and additional verification of allowable expenditures.
C-2
C. Payment requests shall be submitted to:
New York State Department of State
Contract Administration Unit - L WRP
41 State Street - 10th Floor
Albany, New York, 12231-0001
D. Claimed expenditures per cost category may not exceed the amounts indicated in the Budget, Appendix
B, by ten percent (10%) without approval of the Department, provided that the Total Project Cost as set.
forth in Appendix B, Budget Summary is not exceeded. Any expenditure in excess of such 10% or that
changes the State Share or Local Share funding amount shall require an amendment to the Project Budget
submitted in writing by the Contractor and approved by the Department. No expenditures shall be
allowed for items not set forth in the Project Budget without written approval of the Department.
III. Other
A. Notwithstanding the submission of timely and properly executed payment requests, the Department shall
be under no obligation to make payment for expenditures incurred without the prior Department
approvals and/or amendments required under this Agreement and, further, shall have the right to
withhold any such payment pending the execution of such approval and/or amendment.
B. Interest income earned on funds received pursuant to this Agreement shall be used to further the purpose
of this Proj ect or shall be deducted from total eligible cost to determine the net eligible costs to be
reimbursed by the Department.
C. The Department shall have the right to conduct on-site progress assessments and reviews of the Project
and Contractor's books and records during the life of this Agreement and for a reasonable time following
issuance of the FINAL payment. The Contractor shall furnish proper facilities, where necessary or
useful, for such access and inspection.
D. The Department shall be entitled to disallow any cost or expense, or terminate or suspend this
Agreement, if found that the Contractor has misrepresented any expenditures or project activities in this
Agreement, or in any progress reports or payment requests made pursuant hereto.
E. The Contractor shall maintain separate fiscal books and records for all funds received through the
Department and project activities conducted pursuant to this Agreement, and shall make all such books
and records available to the Department, the Office of the State Comptroller, or their designated
representatives for inspection and audit for a period of six years following termination of this Agreement.
'.
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APPENDIX D
PROGRAM WORK PLAN
Contractor:
Program Contact Person:
Phone: (Office)
(Fax)
Town of Southold
Jim McMahon
(631) 765-1283
(631) 765-9015
Stormwater Management in Town of Southold Creeks
1. Project Description
The Town of Southold (the Contractor) has adopted a Local Waterfront Revitalization Program (L WRP)
which has been approved by the Secretary of State. The L WRP recommends stormwater construction
and maintenance measures to enhance water quality in the Peconic Estuary and Long Island Sound. This
grant will be used by the Town as the first phase to establish a database and digitally inventory existing
stormwater and drainage outfalls and retention structures in the most populated western hamlets of the
Town. The Town will match Environmental Protection Fund monies in-kind through the installation of
stormwater catch basins and a culvert replacement at WeSlphalia Avenue near Mattituck designed as part
of this contract. The installations implement components of the Town's L WRP and will require
maintenance to ensure optimal performance. Further phases of this project will inventory the remaining
stormwater structures in the remaining hamlets to maximize the ecological benefit of stormwater
management in the Town.
Tasks will include the creation of the stormwater inventory database compatible with the Town's
Geographic Information System (GIS); an electronic inventory of all known outfalls, structures, and
devices; a documented visual assessment of the condition of each structure; and the development of a
maintenance prioritization and schedule. The completion of these tasks will improve the Town's ability
to address stormwater maintenance actions necessary to protect natural resources from water quality
impairments and implement the policies of the Town's LWRP.
The Town has developed a partnership with the Cornell Cooperative Extension of Suffolk County to
complete work related to the implementation of the Town's L WRP under previous EPF grants. This
partnership will be extended to cover the tasks associated with this work plan.
2. Project Attribution and Number of Copies
The Contractor must ensure that all materials printed, constructed, and/or produced reflect the
Department of State, Division of Coastal Resources logo, and acknowledge the contributions of the
Division to the project. The materials must include the following acknowledgment: "This (document,
report, map, etc.) was prepared for the New York State Department of State with funds provided under
Title II of the Environmental Protection Fund."
The Contractor must submit to the Division of Coastal Resources three copies of all written reports and
supporting graphics, final design documents, and other printed materials. For all construction or
restoration projects, the Town of Southold shall erect a sign on or near the site indicating the source of
the grant, as stated in Appendix A-I, Section ill A of this contract.
" .
. .
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0-2
3. Compliance with Procurement Requirements
The municipal attorney, chieflegal officer, or financial administrator for the Town of Southold shall
certify to the Department of State that applicable public bidding procedures of General Municipal Law
~ I 03 were followed for all construction contracts involving more than $20,000 and more than $10,000
for purchase contracts. In the case of construction contracts involving not more than $20,000, purchase
contracts involving not more than $10,000, and contracts for professional services, the municipal
attorney, chieflegal officer, or financial administrator shall certify that the procedures of the
municipality established pursuant to General Municipal Law ~ 104-b were fully complied with.
4. Component Tasks
Task 1: Project Scoping
The Contractor, the Division of Coastal Resources (OCR), and Cornell Cooperative Extension of Suffolk
County shall hold an initial meeting to review goals and targets, project requirements, work schedule,
existing information and data, and the details of the OCR contract. Areas of the project where additional
consultant services may be required will be identified. Points in the project timeline where approval by
Divisiol} of Coastal Resources is required prior to commencement of additional tasks will be identified.
The meeting will also address local responsibility for project oversight, including compliance with the
State Enviromnental Quality Review Act (SEQRA); whether a steering committee will be formed with
local stakeholders and government agencies; and the proposed project schedule. If a Steering Committee
is formed, its composition will be determined at this meeting. A brief meeting summary will be prepared
by the Contractor or its consultant indicating the agreements/understandings reached at the meeting.
Product:
Summary of scoping meeting including responsibilities agreed to and proposed project
schedule.
Task 2:
Consultant Procurement Record
The Contractor will provide DCR with a record of the actions taken to procure their preferred consultant.
The mlqlicipal attorney, chief legal officer or financial administrator of the municipality shall certify in
writing to the OCR that applicable provisions of General Municipal Law were fully complied with.
Product:
Written certification of consultant procurement procedures.
Task 3:
Subcontract preparation and execution
The Contractor shall prepare a draft subcontract with Cornell Cooperative Extension (the consultant) to
address tasks of this contract. The subcontract shall contain a detailed work plan with adequate
opportunity to review stages in completion of the products, a payment schedule (payments should be tied
to the receipt of products identified in the work plan), and a project cost. The draft subcontract will be
submitted to the Division of Coastal Resources for review and approval prior to final execution by the
Town and Cornell Cooperative Extension. A copy ofthe final subcontract, incorporating the Division's
comments on the draft, will be provided to OCR.
Product:
Draft consultant subcontract for review prior to execution, and executed consultant
subcontract incorporating OCR comments.
, " ..
.' .
.
D-3
Task 4:
Stormwater catch basin design, permitting, and installation
The Contractor shall prepare engineering designs for catch basins and culvert replacement to be installed
at W estphalia Avenue and indicate the proposed location for installation. Final construction designs
must be stamped by a licensed engineer. The Contractor shall apply for obtain all necessary permits for
the proposed installation. The Contractor shall submit final construction designs and copies of all
received permits to DCR prior to commencing construction. After receiving DCR approval. the
contractor shall install two catch basins. Following construction, the Contractor shall submit as-built
plans certified by a licensed engineer to DCR.
Product:
Final designs and copies of all required permits sent to OCR, installation of two catch
basins, and as-built plans certified by a licensed engineer sent to DCR.
Task 5:
Stormwater database creation and inventory data collection
The consultant shall establish a GIS compatible database to be used specifically for the digital inventory
and assessment of stormwater infrastructure in the Town of Southold. All GIS data collected as part of
this project shall be presented and stored in Mapfufo format. The Contractor and its consultant shall
identifY, map and visually assess all stormwater infrastructure in the hamlets of Laurel and Mattituck
(from theTown's western border approximately to Mill Lane).
The digital inventory to populate the database will at a minimum include:
. .fuventory of all municipal stormwater infrastructure - all stormwater outfalls, catchments,
retention or detention basins digitally mapped and linked to the corresponding tax map lot;
'Documented visual assessment - the maintenance condition of all mapped structures and
descriptive metadata including the length, size, construction material (i.e., metal, plastic, etc.),
and apparent visual condition; and
. Geographic location and maintenance prioritization - locations will be mapped and linked to
aerial photos and conditions metadata to highlight priority maintenance needs.
The Contractor shall provide DCR with an electronic copy of all inventory data.
Product:
Digital database created for collection of stormwater infrastructure data. Digital
inventory data collected for municipal stormwater infrastructure in Laurel and Mattituck
hamlets.
Task 6:
Import existing stormwater data
The Contractor shall import existing stormwater infrastructure data collected from within the Town of
Southold by other agencies. The Contractor shall contact other local, county, state and federal agencies
and coordinate the delivery and integration of existing data into the database. Agencies contacted shall
include, but not be limited to, the following:
. Federal Highway Administration
. New York State Department of Transportation
. Suffolk County Department of Public Works - Highway Division
Village of Greenport Department of Public Works
" .
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.
D-4
Existing data collected and mapped by other sources will include a reference to the source in the
metadata file. The Contractor is not expected to assume the responsibility for mapping or maintaining
structures not installed by the municipality.
Products:
Existing data from agencies imported into the stormwater database and data source
identified.
Task 7:
Development of maintenance strategy
The Contractor shall prepare a written strategy for the maintenance of all mapped stormwater
infrastructure, including identifying the most efficient and appropriate time of year and predicted
regularity for cleaning, sediment removal and routine maintenance. Using data collected as part of the
visual assessment, the Contractor will prioritize stormwater structures that occur in areas of heavy or
routine sediment deposition, are located near State designated Significant Coastal Fish and Wildlife
Habitats, sensitive ecological areas as mapped by the Town, or that may require special maintenance
operations. The document will include a summary of the inventory and analysis and assumptions used by
the Town in developing the strategy. The Contractor will provide a draft strategy to DCR for review and
comment.
Products:
Draft maintenance strategy for Town-owned stormwater infrastructure incorporating data
and metadata gathered as part of inventory and assessment. Final maintenance strategy
incorporating DCR comments.
Task 8:
Semi-annual reporting
The Contractor or its consultant shall submit to the DCR semi-annual reports every six months on the
form provided, including a description of the work accomplished, any problems encountered, and any
assistance .needed. The report may be submitted as part of a payment request.
Products:
Semi-annual reports during the life of the contract.
Task 9:
Project completion and Measurable Results
Upon completion of the project, the consultant shall submit a statement to the Contractor that the work
has been completed in accordance with the contract and all permit requirements, where applicable. The
consultant shall provide the municipality with all reports, analysis, data, GIS layers, and products as
specified in this work program. The Division of Coastal Resources shall concur that the work is
complete prior to the municipality paying the consultant and/or submitting to DCR for final payment of
grant funds. The municipality shall work with DCR to complete the Measurable Results form attached to
this work program.
Product:
Completed Measurable Results form.
~ \ "
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APPENDIX X
Agency Code: 19000
Contract Period:
Contract No.: C00647 I
Funding for Period: $50,000.00
This is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Department of
State, having its principal office at 41 State Street, Albany, New York, 12231 (hereinafter referred to as the STATE), and
Town of Southold (hereinafter referred to as the CONTRACTOR), for modification of Contract Number C00647I, as
amended above and in attached Appendice( s)
All other provisions of said AGREEMENT shall remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as of the dates appearing under their
signatures.
CONTRACTOR SIGNA 11JRE
By:
By:
(print name)
(print name)
Title:
Title:
Date:
Date:
State ARetlcv Certification: "In addition to the acceptance of this contract, I also certify that original copies of this signature page will be
attached to all other exact copies of this contract"
State of New York
County of
)
)ss:
On this _ day of
, 20_, before me personally came
to me known, who, being by me duly sworn, did depose and say that he/she/they
reside( s) in (if the place of resident is in a city,
include the street and street number, if any, thereof); that he/she/they is(are) the (title of officer
or employee) of the (name of municipal corporation), described in and which
executed the above instrument; and that he/she/they signed his/her/their name( s) thereto by authority of the governing body of
said municipal corporation.
NOTARY PUBLIC
Approved:
Alan G. Hevesi
Comptroller
By:
Date: