HomeMy WebLinkAboutQuality Communities Program
ELIZABETH NEVILLE
TOWN CLlmK
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 ST ATISnCS
MARRiAGE OFFICER
RECORDS MANAGEMENT OFFICER
FREEDOM OF INFORM A nON OFFICER
RESOLUTION # 2005-736
Resolutionl]): 13] 9
Meeting:
Department:
Category:
11/22/05 07:30 PM
Town Clerk
Grants
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 2005-736 OF 2005 WAS
ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON NOVEMBER
22,2005:
RESOL VED that the Southold Town Board hereby authorizes and directs the South old Town Plannin!!
Board to submit an application to the Department of State Qualitv Communities Pro!!ram (2005-2006)
for Environmental Protection Funds to develop local laws, land use regulations and provide graphic support to
implement the Town of Southold Comprehensive Plan documents including the Town of Southold Hamlet
Study. and be it tluiher
'{ESOL VEO that thc Southold Town Board authorizes and directs the Supervisor to execute all financial
and/or administrative Ilrocesses, and
WHEREAS, the funds solicited through this program will be used for the purposes of or development oflocal
laws, land use regulations and graphic support to implement the Town of South old Comprehensive Plan
documents including the Town of South old Hamlet Study in an amount not to exceed up to $75,000 (seventy-
five thousand dollars) and that the town will commit up to $15,000 (fifteen thousand dollars) in match (the
match will include in-house staff salaries. copying and materials), now therefore be it
RESOL VEO that the Town of Southold snpports this proiect to develop local laws, land use re2ulations
and Ilrovide Hallhic sUllllort to inllllement the Town of Sonthold Comllrehensive Plan documents
includin2 the Town of Sonthold Hamlet Study.
t7~a~. jJI,,;,
Elizabeth A. Neville
South old Town Clerk
KIERAN M. CORCORAN
ASSISTANT TOWN ATTORNEY
kieran.corcoran@town.southold.ny.us
SCOTT A. RUSSELL
Supervisor
PATRICIA A. FINNEGAN
TOWN ATTORNEY
patricia.finnegan@town.Bouthold.ny.us
LORI HULSE MONTEFUSCO
ASSISTANT TOWN ATTORNEY
lori.montefusco@town.southold.ny.us
Town Hall Annex. 54375 Route 25
P.O. Box 1179
Southold, New York 11971.0959
Telephone (631) 765.1939
Facsimile (631) 765.6639
OFFICE OF THE TOWN ATTORNEY
TOWN OF SOUTHOLD
MEMORANDUM
To:
Mr. Mark Terry, Acting Department Head, Planning Dept.
From:
Lynne Krauza
Secretary to the Town Attorney
Date:
June 4, 2007
Subject:
New York State Quality Communities Program TDR Grant
Contract No. C-059943
Attached please find the referenced Agreement in connection with the
referenced matter. Kindly forward this Agreement to the NYS DEC in order for
them to obtain the remaining signatures. Please request that they send us a fully
executed original for our records, which original document should be retained by
the Town Clerk.
Please let me know if you have any questions. Thank you for your
assistance.
Ilk
Enclosure
cc: Ms. Elizabeth A. Neville, Town Clerk (w/encl.)
STATE AGENCY (Name and Address):
NYS Department of State
41 State Street
Albany,NY 12231-0001
CONTRACTOR (Name and Address of Lead
A!!ency)
Town of South old
Supervisor
P.O.B. 1179
Southold, NY 11971
FEDERAL TAX IDENTIFICATION
NUMBER: II - r;; 00 ( 13 r
MUNICIPALITY #470379000
NYS COMPTROLLER'S #: C059943
ORIG. AGENCY CODE:
19000
TYPE OF PROGRAM: 2005 Quality
Communities Program
TOTAL PROJECT COST - $75,000.00
STATE FUNDING AMOUNT FOR $60,000.00
INITIAL PERIOD 4-1-05 - 3-31-07
LOCAL SHARE $15,000.00
INITIAL CONTRACT PERIOD:
FROM: 4-1-05 TO: 3-31-07
Multi-Year Term: From: 4-1-05 To:3-31-08
APPENDICES ATTACHED TO AND PART OF THIS AGREEMENT
APPENDIX A: Standard clauses as required by the Attorney General for all state
contracts
APPENDIX AI: Agency-Specific Clauses
Attachments 1,2, 3, 4, thereto: Final Project Summary Report, Quarterly Contractor Report,
Project Status, Procurement Certification
APPENDIX B: Budget
APPENDIX C: Payment and Reporting Schedule
APPENDIX D: Program Workplan
APPENDIX E: Grant Application
APPENDIX X: Modification Agreement Fonn (to accompany modified
appendices for changes in term or consideration on an existing
period or for renewal periods)
-1-
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the
dates below their signatures.
CONTRACTOR:
:W^2:;;t~
...-v
5eof+ d KiA.('>u/!
(Print Name)
STATE AGENCY:
New York State Department of State
By:
(I'rintName)
Title:
Date:
~LQVlvL>n
(G-t-01.
Title:
Date:
CONTRACTOR
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
otller exact copies of this contract."
State of New York )
County of 5Lt -A-fo ( (< )ss: ,JcA/l'-L.
On this LfI'1 -day of ~t {,( """'5"" 20 0'1 , before me personally came
:) C-o++ A. ;(i..-(S5'c /[ (
to me known, who, being by me duly sworn, did depose
1""- ~j,=I,j
of /~11. o-f .)0 the C~ntractor
and say _he is the lZUA 1./('.;; rl
described in and which executed the ab04 ins
by order of the governing body of the ~)ve medtio
KIERAN M. CORCORAN
QUALIFIED IN SUFFOLK COUNTY
NOTARY #{)2C06119838 .
MY COMMISSION EXPIRES DEC. 6. 2129
; and that _he signed his/her name thereto
Approved: Andrew M.Cuomo, Attorney Gcncral
Approvcd: Alan G. Hevesi, Comptroller
Title:
Date:
Title:
Date:
-2-
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
ST ATE and the CONTRACTOR agree as follows:
L 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 this 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 formes). 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 provided guidelines and instructions.
Subject to the availability of funds, determination by the Department that it is in the best interest
of the Project and the State, and upon mutual execution of an Appendix X and approval by the
Office of State Comptroller, the Multi-Year Term of this Agreement may be extended by one
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Contract Period not to exceed twelve (12) months.
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 subcontractors. Nothing in the subcontract shall impair the rights of the STATE under this
AGREEMENT. No contractual relationship shall be deemed to exist between the subcontractor
and the STATE.
G. Appendix A. (Standard Clauses as required by the Attorney General for all State contracts)
takes precedence over all other parts of the AGREEMENT.
II. Payment and Reporting
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 maimer
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.
III. 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 ofthis 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 personalmesscnger service or
-4-
by certified mail, return receipt requested. The termination shall be efJective 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.
B. The CONTRACTOR is an independent contractor and may neither hold itself out nor claim
to be an ot1icer, employee or subdivision of the STATE nor make any claim, demand or
application to or for any right based upon any different status.
V. Property
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 A I.
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. Information relating to individuals who may receive services pursuant to this AGREEMENT
shall be maintained and used only for the purposes intended under the contract and in conformity
with applicable provisions of laws 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 olher
party):
1. EXECUTORY CLAUSE. In accordance \....ilh Section 41 oflhe Stale
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 a,>signed, transferred conveyed, sublct
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 Stale University
or City University of New York, Section 355 or Section 6218 of the
Education Law), if this contract exceeds $15,000 (or the minimulll
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 an)
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 ill his ol1ice.
Comptroller's approval of contracts let by the Office ofGcneral Services
is required when such contracts exceed $30,000 (State Finance Law
Section 163.6a).
4. WORKERS' COMPENSA nON BENEFITS. In accordance with
Section 142 of the State Finance Law, this contract shall be void alld 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 arc
required to be covered by the provisions of the Workers' Compensation
Law,
5. NON-DISCRIMINA nON REQUIREMENTS. 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 heciluse of race, creed, color,
sex, national origin, sexual orientation, age, disability or marital status.
Furthermore, in accordance with Section 220-e oftbe Lahar Law, iflhis
is a contract for the construction, alteration or rcpairofany 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 Nev..' 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 01
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 shaH by
reason of race, creed, color, national origin, age, sex, or disability: (a)
discriminate in hiring against any New Yark 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 a.;; well as possible termination
of this contract and forfeiture of all moneys due hereunder for a second or
subsequent violation.
6. WAGE AND HOURS PRQVISIONS. 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 \vage 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 REQUIREMENT. In accordance
with Section 139~d of the State Finance Law, ifthis contract \Vas awarded
based upon the submission of bids, Contractor warrants, under penalty of
peljury, 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 ofthe federal Export Administration Act of 1979 (50
use App. Sections 2401 et ~eq.) or regulations thereunder. If such
Contractor, or any of the aforesaid affiliates of Contractor , is convicted or
i~ otherwise found to have violated said laws or regulations upon the final
determination of the United States Commerce Department or any other
appropriate agency of the Uniled 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,
dctcrmi:mtion or disposition of appe;=ll (2NYCR1{ 105.4).
9. SET-OFF RIGHTS. The State shall have all of its common law,
equitable and statutory rights of set-ofT. These rights shall include, 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 term
commencing prior to the term ofthis 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-affrights in accordance with normal Slate
practices including, in cases of set-off pursuant to an audit, the finalization
of such audit by the State agency, it.s 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 normal 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 of the Records
which are exempt from disclosure under Section 87 of tile Public Officers
Law (the IIStatute") 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 NOTIFICA-
TION. (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 nlust include the payee's identitication 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 orNew York State
standard voucher, must give the reason or reasons why the payee docs not
have such number or numbers.
(b) PRIVACY NOTIFICATION. (I) The authority to request the above
personal information from a seller of goods or services or a lessor ofreal
or personal property, and the authority to maintain such information, is
found in Section 5 of the Slate Tax Law. Disclosure ofthis information by
the seller or lessor to the State is mandato!}'. The principal purpose for
which the information is collected is to enable the State to identify
individuals, businesses and others who have been delinquent in filing tax
returns or may have understated their tax liabilities and to 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 York State's Central Accounting System by the
Director of Accounting Operations, Office of the State Comptroller,
AESOD, Albany, New York 12236.
12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES
May03
A-2
AND WOMEN. In 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 docs expend funds in return
for labor, services, supplies, equipmcnt, materials or any combination of
the foregoing, to be performed for, or rendered or furnished to the
contracting agency; or Oi) a written agreement in excess of$100,000.00
whereby a contracting agency is committed to expend or docs expend
funds for the acquisition, construction, demolition, replacement, major
repair or renovation of real propelty and improvements thereon; or (iii) a
written agreement in excess of$IOO,OOO.OO whereby the owner ofa State
assisted housing project is committed to expend or docs expend fUllds for
the acquisition, construction, demolition, replacement, major repair or ren-
ovation of real property and improvements thereon for such project, then:
(a) The Contractor \vill 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 discrim-
ination. Affirmative action shall mean recruitment, employment, job
assignment, promotion, upgradings, demotion, transfer, layoff, or
termination and cales 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 \\Titten statement that such employment
agency, labor union or representative will not discriminate on the basis of
race, creed, color, national origin, sex, age, disability or marital status and
that such union or representative \vill affirmatively cooperate in the
implementation of the contractor's obligations herein; and
(c) the Contractor shall state, 111 all solicitations or advertisements for
employees, that, in the performance of the State contract, all qualified
applicants will be afforded equal employment opportunities without dis-
crimination 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 "\\iork") 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 (iii) banking services, insurance policies or the sale of
securities. The State shall consider compliance by a contractor or
subcontractor with the requirements of any federalla\v concerning equal
employment opportunity which effectuates the purpose of this section. The
contracting agency shall determine whether the imposition of the
requircments of the provisions llereof duplicate or conflict \vith any sLlch
federal [a\v and if such duplication or contliet exists, the contracting
agency shall waivc the applicability of Section 312 to the extent of such
duplication or contliet. Contractor will comply with all duly promulgated
and la\vful 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 eunfiiet between the
terms of the contract (including any and all attachments thereto and
amendments thereof) and the terms of this Appendix A, the terms of this
Appendix A shall controL
14. GOVERNING LA\\'. This contract shall be governed by the laws
of the State of New York except where the Federal supremacy clause
requires otherwise.
A-3
15. LATE PAYMENT. Timeliness of payment and any interest to be
paid to Contractor for late payment shall be governed by Article Il-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 ill 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 \vhich to respond.
18. PROHIBITION ON PURCHASE OF TROPICAL HARD-
WOODS. 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 oftropical
hardwoods, unless specifically exempted, by the State orany 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 ofv,'Oods,
whether supply or installation, is to be performed by any subcontractor,
the prime Contractor wiU 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 9165 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.!n accordance
with the MacBride Fair Employment Principles (Chapter 807 of the Laws
of 1992), 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 North~rn Ireland in
accordance with the MacBride Fair Employment Principles (as 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 the poliCY nf
t\'by03
New Yark State to maximize opportunities for the participation of Ncw'
York State business enterprise.s, including minority and women-owned
business enterprises as biddcrs, 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, 7th floor
Albany, New York 12245
518-292-5220
A directory of certified minority and women-owned business enterprises
is available from:
NYS Depm1ment of Economic Development
Minority and Worncn's Business Development Division
30 South Pearl Street, 2nd floor
Albany, New Yark 12245
http://www .empire.state.ny' .llS
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 mad!: reasonable efTorts 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 lhe documentation of these
efforts to be provided upon request to the State;
(b) The Contractor has complied with the Fcderal Equal Opportunity Act
of 1972 (P.L. 92-261), as amended;
iQ) 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 \vith the Job Service
Division of the Ncw York State Department of Labor, or providing such
notification in such manner as is consistcnt with existing collective
bargaining contracts or agreements. The Contractor agrees to document
these efforts and to provide snid documentation to the State upon request;
and
(d) The Contractor acknowledges notice that the State may seck to obtain
offset credits from foreign countries as a result of this COli tract and agrees
to cooperate with the State in thcse efforts.
21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders arc
hereby notified that if their pnncipal place of business is located in a
A-4
country, nation, province, state or political subdivision that penalizes New
York State vendors, and if the goods or services they offer will be
substantially produced or perfonned outside New Yark State, the. Omnibus
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 i 5, 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 from any vendor
unable or unwilling to certifY that: (I) such apparel was manufactured in
compliance with all applicable labor and occupational safety laws,
including, but not limited to, child labor laws, wage and hours laws and
workplace safety laws, and (ii) vendor will supply, with its bid (or, ifoot
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 o( all
manufacturing plants to be utilized by the bidder.
MayO]
APPENDIX Al
Agency-Specific Clanses
I. This Agreement has been entered into pursuant to the following understandings:
A. The 2005-2006 Fiscal Year Budget provides aid to municipalities, not-for-profits, local
benefit corporations, local public authorities and Indian tribe or nations, through the
Environmental Protection Fund under the Quality Communities Program.
B. The Department is authorized 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 and the
application for funding set forth in Appendix E, the Department has made a determination of
eligibility of funding for Contractor's project under such Budget Act.
D. The Contractor is the Lead Agency for the Project and will be responsible for managment of
the project and submitting under signature any reports and requests for reimbursement
according to the requirements of this Agreement.
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 perfonned. No costs will be reimbursed for liabilities
incurred outside of this period.
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 IA., Conditions of Agreement (State of New York
Agreement, page 3).
D. 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.
E. 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
certilicates for facilities or licenses for an activity or program, and conditions of applicable
permits, administrative orders and judicial orders.
r. The Cuntractor shall submit with its requcst for tinal paymcnt a Final Project Summary
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Report in the format described in Appendix AI, Attachment 2.
G. 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.
H. The Department will provide Contractor with a Quarterly Contractor Report form (Appendix
AI, Attachment 3) pursuant to the Department's Minority and Women-owned Business
enterprises as discussed in Section XIV in Appendix A 1. Such report shall be provided to the
Department at the address on the Quarterly Contractor Report by all involved Minority and
Women-owned Businesses.
1. The Contractor shall submit two copies of a "Project Status Report" (Appendix AI,
Attachment 4) every six months from Contract execution date and when requesting payment.
III. Reports, Documents and Maps
The Contractor shall identify documents, reports, and maps produccd it! whole or in part under this
Agreement by endorsing on said documents, reports, and maps the following:
"This (document, report, map, etc.) was prepared with funds provided by the New
York State Department of State under the Quality Communities Grant Program."
IV, Licensc 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 paymcnts shall be made under this Agreement.
V. Pro pert v
A. Pursuant to thc provisions set forth in ScctionlV, page 2 ofthis Agreement, the ownership
of all propcrty 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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VI. Year 2000 Warranty
NEW YORK STATE YEAR 2000 WARRANTY STANDARD
Updated: 6/2005
Date and Time Warranty
Contractor warrants that Product(s) furnished pursuant to this Agreement 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 and acquisition requires that specific Products. must perform as a package or
system, this warranty shall apply to the Products as a system.
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 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
therefrom, including but not limited to the failure or untimely performance of such services.
This Date/Time Warranty shall survive beyond termination or expiration of this Agreement through: a)
ninety (90) days or b) the Contractor's or Product manufacturer/developer's stated date/time warranty
term, which ever is longer. Nothing in this warranty statement shall be construed to limit any rights or
remedies otherwise available under this Agreement for breach of warranty.
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VII. Tenninations
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 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 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 tenninated
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.
VIII. Subcontracting Requirements
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 approval of the Department of the
terms of any subcontract.
IX. Requirements for Contract Map Products
[Intentionally Left Blank]
X. Compliance with Procurement Requirements
A. All contracts by municipalities for professional services, and all purchase contracts
involving not more than $10,000 are subject to the requirements of General Municipal
Law ~ 104-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.
AI-5
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 Sl03 were followed for all contracts involving more than $10,000
for purchase contracts. In the case of purchase contracts involving not more than $20,000,
and contracts for professional services, the municipal attorney, chief legal officer or
financial administrator shall certify that the procedures of the municipality established
pursuant to General Municipal Law S I 04-b were fully complied with (see Appendix AI,
Attachment 4)
XI. Pavment 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 liscal 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.
XII. Equal Employment Opportunitv
The Contractor herehy 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.
XlII. Article IS-A of The New York State Executive Law
The Department of State administers a Minority and Women-owned Business Enterprises
(tv!WBE) Program as mandated by Article IS-A of the New York State Executive Law.
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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 Quarterly 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 IS-A, goals must be set for contracts entered
into by the Department in excess 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 propeliy. 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 ofthe 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 Deparlment. This Plan will detail the work force anticipated
in the performance of the state contract reported by ethnic background, gender, and
Federal Occupational Categories.
Aller a bid opening and prior to the award of a state contract, the contractor will submit an
Equal Emplovment Opportunity mEO) Policy 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 EEQ Policy 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 atTimlative 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 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 womcn at all levels and in all segments of its work force
on state contracts, and the contractor will document these effOlis.
· The contractor will state in all solicitations and advertisements l1Jr employees that
AI-7
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 cmployment
agency, labor union, or authorized representative of workers with which it has a
collective bargaining or other agrecment or understanding, to n.lrnish a written
statement that such employment agency, labor union, or representative will not
discriminate because of race, creed, color, national origin, sex, agc, disability or
marital status, and that such union or rcpresentative 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 Staffing Plan without reasonable
written justification or commitmcnt to providc these requirements by a specified date
will result in rejection of the contractor's bid or proposal.
· After thc award of a statc contract, the contractor will submit to the Department a
Workforce Emplovment Utilization Report. on the form supplied by the Department,
detailing the work force actually utilized on the state contract, by ethnic background,
gender and Federal Occupational 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 Minoritv and Women-owned Business Enterprises
on-line through the Empire State Development website at: http://w\vw.empire.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 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 Directory.
XIV.
Submission of all correspondence and documentation
AI-8
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.
XV. 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 Depaltment with appropriate
documentation that contractor has met any requirements imposed on Contractor by the
State Environmental Quality Review Act.
XVI. 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.
o
Appendix AI, Attachment I Page-I
Final Project Summary Report
Final payment of the grant is dependent upon the satisfactory completion and acceptance by the
Department of State, Division of Local Government of this FINAL PROJECT SUMMARY REpORT along
with the requisite documentation. In addition to the other requirements of the contract, the grant
recipient is responsible to relay the importance. the significance and the value of the completed proiect
to the communitv, the region and the state through the completion of the report.
The following outline should be used to complete the FINAL PROJECT SUMMARY REpORT:
I. Project Title:
2.
Name of Contractor:
Tou_Jf1 0+ S~ u<---d-,old
3. Actual Project Costs:
a. State funds expended (identify source, ego Quality Community Funds, EPF,
Clean Water/Clean Air Bond Act, etc.):
b. Local funds expended:
C. Other funds expended:
4. Project Manager:
Nanle:
Titlc:
Mailing address:
Tel. number:
Fax number:
E-mail address:
5.
Federal Tax Identification Number:
({- GOOf 't.ff
6. Project Background: briefly explain in a short paragraph why this project was necessary, what
its value is and/or its importance to thc 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 strategies recommended
b. For a Design Project describe what is to be built
9. Project Documentation/Visuals: Thc following guidelines are suggested for Planning and
Design Projects.
a. Visuals of renderings and/or graphics, newspaper articles or photographs that depict the
final product or a before and after scenario.
Appendix AI, Attachment 1 Page-2
Final Project Summary Report Cont.
b. Photo and video documentation is encouraged but not mandatory. The video, which can
be in VHS or digital format may be used in a future documentary. Photographs should be
35mm or digital. Color slides and/or digital camera discs should be labeled and dated.
Appendix 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 Work
( )
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
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
Appendix A 1, Attachment 3
CONTRACTOR:
Agreement #
PROJECT STATUS
Ascf
(Submit semi-annually and with each payment request.)
necessary. .
rogram.
a.ntic.ipated completion of the task.
r oth~.r'lcc6m Jishments,
Task
#
D'lte of
Percent of
NT
Completion 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: rnO\.vV, '\"-'''''"1
EmaIl Address:..^.....K.~...."i..~.-.l1"\ . ~cu\--h. \ ~ .
Phone Number: Ca.~ \ -., \.0 - \ ~
Fax Number: CD~\. 1\0.".- S l3('"
1/\ '-I . ,1 ~
/
Appendix AI, Attachment 4
Certification of Grantee to New York State Department of State that all State and Local and Private
Procurement Requirements Have Been Met.
(Complete the certification in the paragraph that applies and strike out that which is not applicable)
I. I hereby certify that the (County) (City) (Town) (Village) (Other ) of
, awarded the contract appended hereto pursuant in whole or in part to NYS
Department of State Contract No. in accordance with all requirements of law and Article SA of the
General Municipal Law, as follows: (place check mark where applicable)
Contract for professional services, public works contracts involving not more than $20,000 or
purchase contracts involving not more than $10,000, procured according to the policies and
procedures of the municipality adopted pursuant to General Municipal Law!il 04-b.
Contract for public works contracts involving more than $20,000 or purchase contracts
involving more than $10,000, procured pursuant to the bidding requirements of General
Municipal Law!j103.
Print name
Signature
Title
Date
Appendix A I, Attachment 4, page 2
Certification of Grantee to New York State Department of State that all State and Local and Private
Procurement Requirements Havc Been Met
2. I hereby certify that the (Insert NYC Agency or Borough name)
ofthc City of New York awarded the contract appended hereto pursuant in whole or in part to
NYS Department of State Contract No. in accordance with all requirements of law and Article
SA of the General Municipal Law, as follows:(place check mark where applicable)
Contract for professional services, public works contacts involving not more than $20,000 or
purchase contracts involving not more than $10,000, procured according to the rules and
regulations of the Policy Procurement Board.
Contracts for public works contracts involving more than $20,000 or purchase contracts
involving more than $10,000, procured to the bidding requirements of General Municipal
LawS I 03 and the regulations of the Procurement Policy Board.
Print Name
Title
(Agency Chief Contracting Officer must sign)
Signature
Date
3. I hereby certify that the (Insert name of not-for-profit organization)
awarded the contract appended hereto pursuant in whole or in part to Department of State COntract
No. in accordance with all requirements of law, including the NYS Not-for-Profit Corporation law and
the bylaws of this organization, and pursuant to a publicly advertised process to cnsure the prudent and
economical use of public funds to obtain maximum quality at reasonable cost.
Print Name
Titlc
Signature
Date
APPENDIX B
Budget
Budget Summary Sheet
A. SALARlES, WAGES AND FRINGE $ <?> S CO
B. TRAVEL $ SaD
c. SUPPLIES/MA TERIALS $ 2.5()D
D. EQUIPMENT $ -D-
E. CONTRACTUAL SERVICES $ Co~ SOO
I
TOTAL $ I Z:;. (')() 0
STATE FUNDING $ (00 I ()c')()
LOCAL SHARE $ \5.000
The TOTAL of your BUDGET and the State funding and local share amounts must equal the
amounts on the CONTRACT FACE PAGE!
The BUDGET is intended to show the items of expense which will be funded under this
Contract plus the local share amount. Please do not show the entire cost of the project if it
exceeds the amount of funding provided by this Contract, plus the minimum required local
share amount.
Please be advised that where there is a conflict between Appendix B and Appendix E,
concerning the budget, Appendix B shall control.
Budget Detail Sheet
A. SALARIES, WAGES AND FRINGE
Amount Charged
Title to this Proiect
-
I'V\ 0..111.{ --t~ (( 'I 1=>1"""1".(,', ~c.. \ ~~"'i\.(\(" v 3 c)oo
f
- S e '^ \ O. ~ \ u. V'\f\ eY 2, \co .....
A >'I. \-h..t. '^ 'I 1"'f""L?G..
L G\..V'\ ~ Vr-O ("'0"""\ --l lGi (',(\ cA
'i\I\e...\;<,c::.c... S~\{,D
Tr-,h", ,,~\>~ V1'U~L.<.. 1c..c..h;\,C'\..\ (bOV"~ I S ~.
oD
TOTAL SALARIES, WAGES AND FRINGE
$
C/5 50 cY
B. TRAVEL
Please indicate destination, purpose and cost of such travel.
TOTAL TRAVEL
$ .3 OD -
Budget Detail Sheet
C. SUPPLIESIMATERlALS
Please use general categories such as office supplies, printing supplies, and like category
descriptions. Indicate the cost of each category.
TOTAL SUPPLIESIMATERIALS
$ L,S 0 a -
.
D. EQUIPMENT
Please list each item of equipment that exceeds $200.00 per item and has a useful life
of one year or more. Group items of less than $200.00 each into general categories
indicating total cost per category.
TOTAL EQUIPMENT
$
- 0-
Budget Detail Sheet
E. CONTRACTUAL SERVICES
This category includes items such as, postage, rental or repairs to equipment, lease of
equipment and contracted services.
TOTAL CONTRACTUAL SERVICES
$
ca ~ . .1:)00
APPENDIX C
Payment and Reporting Schedule
I. Pavment Schedule
A. The Department shall make interim payments for cligible costs incurred up to an amount not to
exceed 90% of the State Funds Awarded. The final payment will be made upon satisfactory
completion of the Project activities funded pursuant to this Agreement.
B. Not more frequently than once every 30 days, a properly executed payment request, on forms as
prescribed by the Department, a program progress report, and any 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: (a) "Summary Sheet Documentation Forms" as provided by the Department,
for reimbursement of actual and eligible expenditures, (b) the required report and work
products, and c) a properly executed State Voucher.
2. Payment requests will be reviewed in accordance with the terms and conditions of this
Agreement to determine total allowable project costs incurrcd and the level of project
completion to date. For the purpose of determining the level of reimbursement, otherwise
allowable project costs may be reduced if the level of project 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 allowable project costs incurred
as calculated in 2. 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. Such final paymcnt request shall be submitted within
60 days following the ending date of this Agreement.
II. Reporting
A. Bv submission of a pavment request as described in LB. above. the Contractor certifies the
information accuratelv represents 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.
Appendix C, page 2
C. Payment requests shall be submitted to:
New York State Department of State'
Division of Local Government - QCP
41 State Street - 9th Floor
Albany, New York, 12231-0001
Attention: Quality Communities Contract Coordinator
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 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 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.
F. By submission of this Agreement and payment requests provided for herein Contractor warrants
that funds claimed and received pursuant to this Agreement do not duplicate reimbursements or
payments from any other source.
APPENDIX D
PROGRAM WORK PLAN
(To Be Developed By Contractor in Consultation with DOS)
1. Proiect Descriotion
A. Brief summary of project, geographic area, partners, goals and objectives, studies,
history of project, relationship to other projects etc.
2. Proiect Comoonents
A. Initial scoping meeting (determine whether project advisory committee to be formed).
B. Procurement (must be in accord w/Municipality's procurement policy).
(i) If project is to be performed by a consultant and subject to competitive
bid, the Contractor shall prepare Draft RFP for DOS review.
C. Identify separate tasks and deliverables with a schedule for completion for each and
associated costs.
Items which should be considered by Contractor include:
(i) Public participation process
(ii) Other tasks and deliverables based upon application and scoping meeting.
Depending on nature of project, tasks and deliverables could include:
a. Vision Statement
b. Maps/GIS
c. Intermunicipal agreement
d. Inventory of conditions
e. Economic or market analysis
f. Land use plan or functional plan
g. Action plan/strategies
h. Designs and plans
1. Local laws or ordinances
J. Other
3. Review and Status
A. DOS shall review Project Components for consistency with the application and scoping
meeting.
B. Contractor shall provide Project Status Reports every six months and when payment is
requested. Please build these reports into the work schedule.
Please attach additional pages as necessary.
Town of Southold Work Program for the
New York State Quality Communities Program TDR Grant
The Town of South old was approved for a $60,000 grant from the New York State
Quality Communities Program (2005-2006) for the development and implementation ofa
town-wide Transfer of Development Rights Program (TDR). The TDR Program will be
an important implementation strategy for the Town's Comprehensive Plan, Hamlet Study
and Local Waterfront Revitalization Program.
It is expected that the Town's TDR Program will use market forces to promote
conservation in high-value natural, agricultural, and open space arcas while encouraging
smart growth in developed and developing sections in each of the Hamlet Centers and
HALO Zones. The primary goal of the TDR Program is to produce a voluntary approach
to preserving lands that provides a public benefit and gives landowners the opportunity to
financially benefit from their property without having to sell or devclop it. The TDR
Program will allow the Town to focus development in areas capable of handling
additional growth, while minimizing impacts on the environment and public services.
A successful TDR Program would further the following Town goals:
Preserve Southold's prime farmland and encourage the continuation and
divcrsification of agriculture as an impOJiant element in the life and economy ofthe
Town (1985 Master Plan Update).
To preserve land, including farmland, open space and recreational landscapes
(2006 Hamlet Study).
Most of the grant money is proposed to be used for consulting services for the creation
and implementation of the Transfer of Development Rights Program, including the
SEQRA review for the project. The Town has retained the firm of Nelson, Pope and
Voorhis, LLC for this project, with Charles Voorhis as the lead consultant providing the
servIces.
The work program is set up into four major tasks, along with several subtasks, that
are designed to bring the project from inception throngh completion.
TASK 1: CREATION OF THE TDR WORK GROUP (April 2006 - September
2007)
A TDR Work Group was created to assist Charles Voorhis with the technical components
of the program and to ensure that the Town was directly involved with its development.
Because of the Town's existing catalogue of planning studies, demographic infomlation
and the general expertise of professional staff, it was determined that this would be the
most effective way to facilitate the program's creation. The Work Group is made up of
professional staff and includes members of the Planning Board, Land Preservation,
Planning and Zoning Committee, Code Committee and the Town Board. The time
spent on these meetings will be calculated into the Town's match for this grant.
The product of this task is the creation of the TDR Work Group, which has been meeting
on a regular basis to conduct a comprehensive inventory and analysis of the available
data that will provide the framework for the program as described in Task 2.
TASK 2: PROGAM FOUNDA nON (April 2006-June 2007)
PRODUCT 1: Reoort on the Transfer of Develooment Ri>!ht Pro>!raJl1 Foundation
Based upon the inventory and analysis of the various data collected by the members of
the Work Group, the following technical issues relating to the creation ofa TDR Program
will be addressed:
A. How will the TDR Program work?
B. Who will benefit from the program?
C. How much do TDRs cost?
D. How is the value of a TDR established?
E. Is the program voluntary or mandatory?
F. What will be the Town's role in implementing and monitoring the program?
G. How do I participate if I own land within a Sending Area?
H. How do I participate if I own land within a Receiving Area?
I. How can the TDRs be used within the Receiving Areas?
J. Where are the Sending Areas located and how are they to be established?
K. Where are the Receiving Areas located and how are they to be established?
L. How does the TDR Program impact other Land Preservation Programs?
M. What are the implications with regard to existing zoning and possible
recommended zone changes?
N. How do Suffolk County Department of Health Services regulations impact the
TDR Program?
O. An analysis ofthe advantages and disadvantages that a TDR Program would have
on commercial use.
P. An analysis of the advantages and disadvantages of including only agricultural
use or both agricultural and open space use in a TDR Program.
Q. An analysis of the TDR credit balance between the Sending and Receiving Areas.
R. Definition and development of the mechanics of the program.
It is expected that the above-mentioned issues relating to the development of a TDR
Program will be combined and presented in one or more reports/studies, as follows:
PRODUCT 2: Reoort on the Delineation and Modelin>! of the Sendin>! Areas
A. Identify and exclude un-buildable lands (wetlands). Many of the Town's
resources are inventoried and mapped. Computerized maps made possible by
computerized Geographic Infonnation System (GIS) are an objective and accurate
infonnation source available for this type ofresource documentation.
B. Establish criteria to and eligibility for Sending Area parcels.
C. Identify and map the parcels that are designated as the Sending Area.
PRODUCT 3: Report on the Delineation. Modelini! and Desii!n of the Receivini! Areas
A. Identify the infrastructure that will be available to support the increased density
and growth. The three main types of infrastructure that must be designed are
facilities for public sewer, public water, and public transportation.
S. Establish parcel eligibility parameters for Receiving Areas.
C. Establish the Receiving Area (HALO Zones) maps for each Hamlet.
D. Establish development and open space goals within the Receiving Areas.
E. Establish affordable housing goals in the Receiving Areas.
F. Mathematically model the residential build-out in the Receiving Areas based upon
y, acre zoning.
G. Identify the type or types of development (housing) in the Receiving Areas that
best meets the goals of the community.
PRODUCT 4: Report on the Value and Allocation of Transfer of Development Rif!hts
A. Identify the value of a Development Right.
B. Identify the marketability of the Development Rights in terms of the amount that
a developer in the Receiving Areas is willing to pay to build an additional
dwelling unit.
C. Identify the method for the allocation of Development Rights.
PRODUCT 5: Analvsis of Implications of a Transfer of Development Rii!hts Prof!ram
on Current Town Preservation Plans and Current Town Zoninf!.
A. Assess a Transfer of Development Rights Program to local zoning ordinances or
laws and the Town of South old Comprehensive Plan.
B. Analyze the positive and negative impact that a Transfer of Development Rights
Program would have on existing Town Preservation Programs.
C. Develop the structure for tracking protocol for recording Transfer of Development
Rights transactions.
D. Identify the method for the execution and filing of Conservation Easements on
land in the sending district whose Development Rights have been purchased
under the program
TASK 3: DRAFT LOCAL LAW (June 2007)
TASK 4: STATE ENVIRONMENTAL QUALITY REVIEW ACT (July-September
2007)
Once the TDR Program has been drafted and accepted by the Town, the SEQRA review
for the project will commence
Task 4a. Project start-up and preparation of Full Environmental Assessment Form
Parts I and II
This involves several initial meetings, preliminary research, and preparation of initial
process documents and EAF forms. The form can be circulated to interested agencies
and parties of interest under SEQRA notice and filing requirements in order to advise the
public and agencies of the Town's intent. The Town Board is the only agency that can
implement the action, and therefore will assume lead agency status. The Town Board
will provide a "proposed action" or program that will identify the initiative. The vroduct
of this task is the comvleted Environmental Assessment Form Parts I and II.
Task 4b. Project Classification and Issuance of Determination of Significance
The type of action proposed mandates the preparation of a Draft Supplemental Generic
Environmental Impact Statement (DSGElS). The action involves the adoption of a Land
Use Program that has town-wide implications and affects a large area ofland. As a
result, the project is classified as a Type I Action, thereby requiring the preparation of a
GElS. The Town should issue a Positive Declaration, which identifies the key issues.
Key issues are expected to include benefits of transfer parcels and potential impacts on
receiving parcels, shift in density, traffic, in- fill development, socio-economic benefits of
housing and potential socio-economic issues involved with density relocation. It is
expected that a Draft Supplemental GElS will be the most appropriate way to solicit input
and subject the program to an orderly review process designed to obtain and factor in
public and agency input in decision making. The vroduct of this task is a Positive
Declaration.
Task 4c. Scoping Process (optional)
The proposal should be subject to public scoping. A Draft Scope should be circulated
and a date set for a public scoping meeting to solicit input on additions or revisions to the
draft scoping document. Once the meeting and any follow-up written comments are
completed, the draft scope should be revised accordingly and issued as a final scope in
accordance with Part 617.8(f). The vroduct of this task is a Draft and Final Scove.
Task 4d. Preparation of a Draft Supplemental Generic Environmental Impact
Statement
A Draft SGElS will be prepared that presents the proposed program in the Description of
the Proposed Project in Section 1.0, summarizes the Town's important environmental
resources relating to the proposed action in Section 2.0, and analyzes the impacts of
adoption of the proposed action in Section 3.0. Additional major sections include
Mitigation Measures and Alternatives to the proposed action. Additional sections
required to complete a comprehensive Generic ElS should be included. The vroduct of
this task is a Draft Surmlemental Generic Environmental Imvact Statement.
Task 4e. Processing of Draft SGEIS and Preparation of Final Supplemental EIS
The Draft SGEIS will be reviewed in conjunction with Town Staffto detem1ine
acceptability and indicate revisions as appropriate or necessary. After acceptance, the
Draft SGEIS will be circulated in accordance with Part 617.9 and a public hearing on the
Draft SGEIS will be held no sooner that 15 days from document acceptance. The
comment period will be no less than 30 days in length, or no less than 10 days after the
pubic hearing. Written comments as well as public hearing comments will be accepted
by the Lead Agency.
Comments on the Draft SGEIS will be reviewed and summarized. A Final SGEIS will be
prepared, which includes a rcsponse to each substantive comment on the Draft SGElS.
The Final SGEIS will be reviewed by Town Staff to determine acceptability and indicate
revisions as appropriate or necessary. The Final SGEIS will be circulated in accordance
with Part 617.9 and will be considered for no less than 10 days prior to preparation and
filing of the Findings Statement. The product or this task is a Final Supplemental
Generic Environmental Impact Statement.
Task 4f. Preparation of Findings Statement
Findings will conform to Part 617.11 and 617.1 O( c) for Generic EIS's. Findings will
identify the confonnance of the project review with SEQRA requirements and will
discuss and weigh the social, environmental and economic issues for pertinent resource
areas. Findings will set forth conditions or criteria under which future actions will be
undertaken or approved, including requirements for any subsequent SEQRA compliance.
The product orthis task is a Findini!s Statement.
Once these steps are complete, the Town will be in a position to initiate the program (or a
modified program if changes are discerned through the SEQRA process.
/
APPE~IX X
Modification Agreement Form
Agency Code: 19000
Contract Period:
Contract No.:
Funding for Period:
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, Nev\" Y ark, 12231 (hereinafter referred
to as the STATE), and (hereinafter referred to as the CONTRACTOR), lor modification of Contract Number, 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 SIGNATURE
By:
DEPARTMENT OF STATE
By:
(print name)
(print name)
Title:
Title:
Date:
Date:
State Agency Certification: "In addition to the acceptance of this contract. I also cCl1ify that original copic~ of this signature page
will be attached to all other exact copies of this contract."
CONTRACTOR
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
is the
of
the contractor described in and which
executed the above instrument; and that Jle signed his/her name thereto by order of the governing body of the
above mentioned contractor.
NOTARY PUBLIC
APPROVED: Alan G. Hevesi, State Comptroller
Title:
Date:
ENVIRONMENTAL PROTECTION FUND
APPLICATION FOR STATE ASSISTANCE PAYMENTS
NEW YORK STATE QUALITY COMMUNITIES PROGRAM, YEAR 2005-2006
PLEASE CONTINUE ON ADDITIONAL SHEETS AS NECESSARY
I. APPLICANT
__ _I Town of Southold
City - 'To\\/n - Villnge - County - Local Public Authority - Public Benefit Corporation - Indian TribelNation - Not-For-Profit Corpor<1tion:
2. APPLICANT MAILING ADDRESS:LO, Box 1179________
---.-----.-~- -------- -~----___.. ____._' __0' _____
n(~l~. -&--;-t~e~t) -I 54~;5~~S Route 25
--".-------
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1_(city21 ~~uthoJ9 _
,
------.- .-~.~------I--.
__J}JY(zip) _~_ 11971______
PHONE:
-.J (i631T)G65-: 1~38--r FA)([cG31IL65-31~___r---===_=_~
-~-- -----..--,.--- --- -------- ----------------- --,..-
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111-6001939
---E-~- -=
---
3. FEDERAL TAX IDENTIFICATION No.
r. ____..n ------. ----.-__.._________
NYS CHARITIES REGISTRATION No.
CONTACT PERSON:
TITLE:
Mark Terr
_ Interim Planning Director
5. PHONE:
--Jc[ 631 1)[ 765-lc)J8] 17[~~J]631N7 65~3~ 36. _ ==-~----=--==_____==~-
I 6. E-MAIL
I Ma~.~~e~ry@t~""~~ou t~:l~.:y .usT-- --=_______-~==~~____---__=
7. CONTACT MAILING ADDRESS (ifdifJerentfrom applicant)
..-----.-------.-- --- ..---...-- --.--- ----- -- --.. -- ---._----------_.._-~--_..-
--..-------.------------------ ----- ------------
(no. & street)
n I
- ---- -- -----L-_-
(city)
- -.-r-m------J
NY (zip)
--- -- - ---
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PART )PGENERAL
I. PROJEC.mT NAME: Town QLSouthold Trans.fer oLDe.'1el.2Jl.mel1tR411ts progra.Jl1.. -_Devel()l'ment
2. PRO]~CT LOCATION: COUNTY. l Suffolk _J and Implementation
~:~>~~~~ ~~~c~: -~~~~~~~S~~~~I~-T -~E 1__- ~ =-~r-==- ~-_==--
3. PROJECT TYPE:
Intermunicipal Growth Program
Community Growth Program
Community Center Program
Community Open Space Program
Mountain Communities Program
I. Proposed Stmi Date FphrllRrV 1. ?OO,; 2 Expected Completion Date'
[3.-Total Pr~Ject Co;t;~ -: $195-'-~OO ~~ -~' - ~rTS~at~~~ssist,u~c-_~eqUe;~ed__. ...
I-n Local Match.
I; yom: ml~~iC]I;-ailt~'ld';nt0~d a~~n e~ono~~l;';~lly-distr';ssed ~U~l1C1P~~Y;> Yes [9
------ - -
'l Resolution is attached. 9 Resolution will be submitted by
---- -- ---.--.._---------- ----- ---..._._._.__._---~---
I hereby affinn under penalty of peljury that information provided on this fonn and attached statements and
exhibits is tme to the best of my knowledge and belief. False statements made herein are punishable as a Class
A misdemeanor pursuant to Section 210.45 of the Penal law.
Pfl~tnam;'-~ - - -- - --l-Tlt'~-I - - ----jof(entlty) 1--- ---- ---- -
- - _ __Unthony Trgzz,,___ _ _ ___ Sr ._l'lanner _ _ _ _L1own oUouth()l<L.. __
~"'" 1,.:,:.<< :;:-,,;, -I"""'''~ ~h- - - -. - .
,2005.
Type here: Proposal is to develop a Town-wide Transfer of Development Rights Program (TDR)
as an implementation tool for the Town's Comprehensive Plan, including the Hamlet Study
and the Local Waterfront Revitalization Program (LWRP). The TDR Program is a necessary
mechanism for the Town to meet its preservation goals while at the same time accomodating
new growth and promoting strong economic development. This initiative will preserve farm-
land and open space, direct new development to appropriate areas in each of the hamlets,
and provide incentives for property owners and developers to participate in the program.
2
Please
- See Attachment -
Type here:
Please
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Please
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L___
--------- -------- -------- ----, ------
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Type here: A consultant has not yet been chosen for this proj ect. The Planning Department
is currently working with the Town Board in determining who will be contracted to do the
work.
In-House Staff: Mark Terry, Interim Planning Director
Anthony Trezza, Senior Planner
Melissa Spiro, Land Preservation Coordinator
John Sepenoski, Technical Coordinator
PART J - ADDITIONAL WEIGHTING
T~ -licate if the applicant is eligible to receive additional weighting
e you a Greenway Compact Community?
9 Dutchess COlmty 9 Town of Amenia 9 City of Beacon
9 Town of Beekman 9 Town of Clinton 9 Town of Do vcr --
9 Town of East Fishkill 9 Town ofFishkill 9 Village of Fishkill
- -
9 Town of Hyde Park 9 Town of LaGrange 9 Town of MiJan
--".._- - --------
9 Village of Millelion 9 Town of North East 9 I(jwnofPawling
---- - .------ -- -------
9 Village of Pawling 9 Town of Pine Plains _ 9 Town of Pleasant Valley
------- --- -- ----.-_._----~--- .-- - -.------
9 Town of Poughkeepsie 9 City of Poughkeepsie 9 Town of Red Hook
..-- --~._---_.- r- --------
9 Village of Red Hook 9 Town of Rhine beck 9 Village of Rhinebeck ---..-
"---- "--- ------_.._----~-~._-------
9 Village ofTivoli 9 Town of Union Vale 9 Town of Wappinger
9 Village ofWappingers Falls
9 W cstchester County 9 Village of Bllchanan 9 Town of Cortlandt
9 Village of Croton- on-Hudson 9 Town of North Salem 9 Town of Ossining
9 City of Peekskill 9 Village of Tarrytown o Village of Briarcliff Manor
o Town of Somers o Town of Yorktown I I
-- ---
Town of Southold
Suffolk County, New York
Application for New York State Quality Communities Grant Program
The Town of South old's Comprehensive Plan is a series of planning initiatives
undertaken over the past 20 years, including most recently the Hamlet Study and the
Local Waterfront Revitalization Plan (LWRP). The Comprehensive Plan establishes a
group of fundamental goals that, together, provide the underpinnings of South old's future
vision. These goals are: to preserve land, including farmland, open spaee and
recreational landscapes; to preserve the rural, cultural and historic character ofthe
hamlets surrounding the countryside; to preserve the Town's remaining natural
enviromllent, to prevent fUlihcr deterioration of the Town's natural resources and to
restore the Town's degraded and natural resources back to their previous quality; to
preserve and promote a range of housing and business opportunities that supports a socio-
economically diverse community; to increase transportation efficiency and to create
alternatives to automobile travel, while preserving the scenic and historic attributes of
roads in the Town.
The primary goals of the recently adopted Hamlet Study was to fonnally delineate the
Hamlet Centers and HALO zones, evaluate the technical and practical feasibility of
redirecting potential future growth from the agricultural and open space areas of the
Town toward the hamlets, and also to critically evaluate the Hamlet Centers themselves,
to define strengths and weaknesses with an eye toward enhancement, improvement and
revitalization. To transfer development into the Hamlet Centers and HALO zones in
accordance with the recommendations made in the Hamlet Study, the development and
implementation of a Transfer of Development Rights program is needed. Therefore, the
Town of Southold is eager to establish a TDR program as one implementation strategy of
the Hamlet Study.
Transfer of Development Rights (TDR) programs use market forces to simultaneously
promote conservation in high value natural, agricultural, and open space areas while
encouraging smart growth in developed and developing sections of a community.
Successful TDR programs have been in place throughout the country since 1980, and
have protected tens ofthousands of acres of farmland and open space.
PART F- PROJECT PARTNERS
It is anticipated that much of the funding will be used for consulting services. The
consultants we retain will work closely with the Town, particularly the Planning
Department. However, it is also expected that the Southold Town Board, Land
Preservation Department, the Suffolk County Depariment of Health Services and the
Suffolk County Water Authority will have limited roles in the project, primarily
providing information on an "as need" basis.
The following is the contact information of those who may be participants in this project:
Southold Town Board
Joshua Horton, Supervisor
53095 NYS Route 25
Southold, NY 11971
631-765-1889
Southold Town Land Preservation Oepmiment
Melissa Spiro, Land Preservation Coordinator
54375 NYS Route 25
Southold, NY 11971
631-765-5711
Suffolk County Oep!. of Health
Walter Hilbeli, Chief Engineer
360 Yaphank Avenue, Suite 2C
Yaphank, NY 11980
631-852-5700
Suffolk County Water Authority
Stephen Jones, Chief Executive Officer
4060 Sunrise Highway
Oakdale, NY 11769
631-563-0219
PART G- WORK PROGRAM
The quest for controlled growth requires creative planning and foresight. Transfer of
development rights is just one tool used in the battle to contain sprawl. TOR is the
exchange of zoning privileges from areas with low population needs, such as farmland, to
areas of high population needs, such as the Hamlet Centers. These transfers allow for the
preservation of open spaces and hist0l1c landmarks, while giving the Hamlet Centers
areas a chance to expand and experience continued growth.
There are three basic elements to a TOR program: the sending district, the receiving
district, and the TOR credits themselves. In developing the TOR program, we are
expecting that the consultant(s) will examine the following:
1. How will the TOR Program work?
2. Who benefits from this program?
3. How much do TOR's cost?
4. How is the value of the TOR's established?
5. Is the program voluntary or mandatory')
6. What will be the Town's role in implementing and monitoring the program?
7. How do I participate if I own land within a Sending A.rea?
8. How do I participate if I own land in a Receiving Area?
9. How can the TOR's be used on the Receiving Area properties'!
10. Where are the Sending Areas located?
11. Where are the Receiving Areas located?
It is anticipated that the work will begin in early February of 2006 and will be
completed by August of 2006. A more detailed schedule oflhe work to be
completed will be provided to the Town once the consultant has prepared a
proposal. It is expected that much of the grant money will be used !tl!' consulting
services. However, we do intend to use a portion of the money for additional in-
house costs, edncationalmaterials, and travel expenses.
The Town is committing up to $15,000 in matching funds to include in-house
staff salaries, copying and materials. We will update the Community Preservation
~
Project Plan, reassess the water main map and determine if amendments are
needed, and continuously review the progress made by the consultants who are
developing the TDR program. All SEQRA related work will be completed by the
Planning Department, with thc exception of the preparation of an EIS, which will
be completed by the consultant if one is required. In addition, the Town's match
will be combined with a portion of the grant money for additional travel expenses,
in-house costs, and possible soft\vare upgrades.
PART H- GRANT SELECTION CRITERIA
The following is a description ofthe how the proposed project is consistent with
each of the Quality Communities Grant Program grant selection criteria.
1. Public Investment
The development and implementation of a TDR program is consistent with the public
investment grant selection criteria. Once developed in accordance with the
recommendations made in Hamlet Study, the TDR program will allow new development
to be transferred into the Hamlet Centers and HALO zones based on their ability to
absorb additional density without overtaxing the community's infrastructure. These areas
have adequate roads, water service, utilities and schools, or the capacity to develop such
services to the extent necessary to accommodate the additional density. This will help to
minimize the additional public costs of new development as well as mitigate the potential
adverse envirorunental impacts that the dcvelopment would have in othcr areas of the
Town.
2. Economic Development
Economic development is a key component of a successful TDR program. The transfer
of development rights allow for the preservation of agricultural land, open spaces and
historic landmarks, while giving the Hamlet Centers a chance to expand and cxperience
continued growth. The Hamlet Center is the first and foremost area of commercial
activity, a business district. Fostering an appropriate level of business enterprise is
critical to the ultimate sustainability of the Hamlet Centers. However, in order to
enhance the economic vitality ofthe Town's business districts, there must be a population
to support local businesses.
The TDR program will encourage new development to occur within the Town's existing
Hamlet Centers and HALO zones, where adequate infrastructure is in place or provisions
for additional services have already been made. In addition, the TDR program will
promote the use or reuse of existing buildings and sites within the Hamlet Centers and
HALO zones, to create a mix of commercial and residential uses that would othcrwise be
difficult to accomplish under our current zoning regulations.
3. Conservation and Restoration
The establishment of a TDR program is wholly consistent with the conservation and
restoration grant selection criteria. A TDR program is a land use tool that protects an area
designated for preservation where little or no development is permitted by shifting
development potential to other growth areas more suitable for development, such as the
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Town's Hamlet Centers and HALO zones with services close by. TORs can be used to
save historic structures from demolition, prevent the undesirable development of
fannland, and prcserve unique environmental areas and scenic vistas.
After the transfer of TORs, future use of the sending parcel is restricted by easements or
deed restriction. The program will limit future use to the existing use, whether it be
agricultural or fanl1land, historical building, open space, or environmentally sensitive
land/wctlands with an easement.
4. Partuership
The Town of Southold prides itself on its reputation for establishing close working
relationships with other govemment agencies, non-profit organizations and private
developers. It is one of our philosophies that more can be accomplished when all ofthe
"players" involved in a project work together towards reaching common goals. The
creation of a TOR program will enhance our ability to continue to provide quality public
service. For example, the Town is currently working with several non-profit
organizations and private developers on a number of affordable housing developments.
Although these projects are consistent with the goals and objectives of the Town's
Comprehensive Plan, they have become difficult to achieve without an appropriate land
use tool in place to allow for higher density development. The implementation of a TOR
program will allow those projects to come to fruition without having to modify the entire
zoning ordinance.
In addition, the increased growth we are anticipating in the Hamlet Centers may have an
impact on the 'I' own's transportation network, which includes local roads, state and
county highways, and a mass transit system including bus and train services. Increasing
public transportation opportunities within the Hamlet Centers will reduce the dependence
on individual passenger vehicles, thereby reducing roadway congestion and associated
pollution, and will also reinforce the Town's smart growth policies. However, in order to
increase the ridership of mass transportation, there must be a population to support its
use. The creation of a TOR program will allow the Town to work closer with other
agencies to develop a transportation network that will ultimately support the use of public
transportation, thereby mitigating some of the traffic impacts that new development has
brought to the east end of Long Island.
Prior to codification of any TOR program, the Town will address the important issue of
inter-jurisdictional cooperation to establish the necessary water and sewer infrastructure,
adequate public facilities and development standards in the receiving areas. The Town
will also undertake a TOR public education program so that when the above issues are
adequately addressed, codification ofthe actual program would be more effective due to
heightened public awareness.
5. COJ/lllluuity Livability
When developed in accordance with the Town's Comprehensive Plan, TORs will
enhance the livability of each of the Town's unique communities but directing new
development into the most appropriate areas under a strict set of design guidelines. The
4
alternative to cookie-cutter development, which is typical on Long Island, is to
concentrate allowable development in certain areas within the community and to protect
the remainder as open space or environmentally conserved land.
TOR promotes compact development patterns because the development potential of
protected areas is combined with the development potential of nonsensitive areas and
those nonsensitive areas are then developed at a greater density than normally allowed.
In turn, this will promote more new housing in HALO zones and Hamlet Centers, which
reduces the costs of services and facilities by concentrating development. In addition, the
Town has in place a comprehensive and aggressive affordable housing program that will
become increasingly successful with the implementation of the TOR program.
With respect to downtown revitalization, one way for the Town's businesses to
experience significant economic growth is to ensure there is a population to support them.
By transferring development into the Hamlet Centers and HALO zones, local businesses
will benefit from an increasing population that lives near them. This will also create
additional employment opportunities and provide a range of housing types for an
increasingly diverse population. The TDR can provide additional housing in the form of
accessory apartments above offices or retail stores; it may provide an opportunity for
senior housing within walking distance of a Hamlet Center or mass transit hub; or it may
result in the creation of "starter homes" for the Town's workforce.
6. Transportation
The TDR program will support a variety of transportation choices that will improve
health and quality of life, reduce automobile dependency, tramc congestion and
automobile pollution. Through the TDR program, the Town will be able to concentrate
development within waking distances of the Hamlet Centers and mass transit hubs.
Continued patterns of suburban sprawl will only exacerbate tramc problems, leaving
many with no options other than to drive from one place to another. With an increasing
population living near the Hamlet Centers as a result of a successful TDR program, use of
mass transit or other means of non-automobile travel will increase.
7. Consistency
The Hamlet Study specifically calls for new development to be concentrated within the
designated Hamlet Centers and HALO zones. However, as part ofthe Town's policies of
enacting smart growth principles, and to be consistent with creating a density neutral
program, it was determined that the best way to facilitate this development is through a
TDR program rather than a change of zone or through the traditional zoning ordinance.
A change of zone, if granted, would give a property owner or developer an "as-of-right"
increase in density without having to transfer it from a parcel land that is slated for
preservation. A TDR program, on the other hand, will result in a development pattern
that is consistent with the Town's policies of both accommodating growth and preserving
land.
In addition, the TOR program will ensure better predictability in land use regulations and
procedures by eliminating the need to obtain variances or changes of zone, which can
5
often be inconsistent from one applicant to another, depending on the nature of the
reviewing Board.
TDR is consistent with the Town's planning efforts to further the conservation and
preservation of natural and undeveloped areas, wildlife, flora and habitats for endangered
species; the preservation of agricultural resources; protection of ground water, surface
water and groundwater quality, as weii as the other natural resources of the Town;
balanced economic growth; the provision of adequate capital facilities, including
transportation, water supply, and solid, sanitary and hazardous waste disposal facilities;
the coordination of the provision of adequate capital facilities with the achievement of
other goals; the development of an adequate supply of affordable housing; and the
preservation of historical, cultural, archaeological, architectural and recreational values.
8. Sustain ability
The development and implementation of the TOR program will provide for broad-based
public involvement of community-based organizations, neighborhood groups, not-for-
profit organizations, private property owners and developers. TORs provide a
development solution with multiple benefits. The developers achieve greater profits from
the higher level of development. The not-for-profit is able to achieve higher densities,
thereby ensuring a permanent stock of affordable housing. The sending site owners are
able to liquidate the development potential of their properties while still using these
properties for non-development and, in some cases, income-producing activities. Finally,
the community itself is able to implement its preservation goals without relying
exclusively on tax revenues and other traditional t~lllding sources, which are often
difficult to adopt.
Given the Town's successful grassroots approach to community planning, combined with
our ongoing efforts to educate the public about important planning initiatives, we expect
that the TOR program will have a very strong educational component to it. The Town of
Southold often sponsors public seminars and forums when new planning initiatives are
undertaken that will have a profound impact in how the community will grow in the
future.
9. Regional Significance
The TOR program will preserve land, direct new development to the Town's business
districts and surrounding areas, and help to advance our affordable housing efforts.
These issues are not only being addressed by the Town of Southold through the
implementation of our Comprehensive Plan, but have also become part of regional effort
to improve the quality of life for all the residents of SutTolk County. Suffolk County has
adopted very progressive land preservation, economic development and affordable
housing programs to assist local municipalities in their efforts to address the issues that
concern local citizens. The development of a local TDR program will further advance
those initiatives.
In addition, the Town has developed a public water plan, endorsed by the Suffolk County
Department of Health Services and the Suffolk County Water Authority. This plan
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outlines the locations where public water is cunently provided or is planned for future
expansions. The TOR program will be developed in accordance with this plan. Any
updates to the water main map will be reflected in the TOR program.
The creation of a TOR program will ensure an appropriate balance between development
and open space protection within a regional context. TOR programs can achieve
numerous land use goals ranging from growth management to the preservation of
agricultural land, open space, natural wetlands, forest areas, or historic landmarks.
Residents benefit from TOR programs because they can preserve important resources at
minimal cost. Landowners can benefit because they can sell the use rights and receive
compensation for not using or developing their property. Non-residents, who are large
contributors of a very active agri-tourism industry, will continue (0 support the economy
as long as the resources that exist are protected and preserved for future use.
10. Innovation, Comprehensiveness
The Town of Southold has identified community opportunities and constraints through
the development of the Hamlet Study, the L WRP and other Comprehensive Plan
documents produced over the years. A TOR program is an innovative approach to
address these opportunities and constraints by producing more orderly growth; helping to
preserve family farms; compensating landowners for the cost of restrictions to their lands;
fostering economic development while minimizing negative impacts; and helping to
maintain other open spaces.
Because the preservation of open space and agricultural land is a fundamental goal of any
TOR program, this project incorporates the community open space program an eligible
grant activity.
The TOR program is an integral part of the Town's Comprehensive Plan and is essential
to the implementation ofthe Hamlet Study.
11. Leveraging of Public Funding
The Town of South old finds that the funding from the Quality Communities Grant
Program, as requested, is sufficient to support this project. However, as a small Town
with limited resources, we are always exploring funding options and will seek grant
money from other sources as needed.
12. Advancing State Planning Initiatives
The Town adopted its Local Waterfront Revitalization Plan in 2005 as approved by the
New Yark State Oepartment of State. The L WRP provides a planning framework
synopsis of all past and ongoing planning documents and programs that govern decisions
and actions of the Town of Southold. Among the many programs that Town has explored
is the establishment of a TOR program. Because the LWRP is designed to build on these
planning programs, the development of a TOR program is vital for the successful
implementation of the LWRP.
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13. Level of Local Commitment
As already stated, the development and implementation of a TDR program is necessary
for the successful implementation of the Town's Comprehensive Plan, including the
Hamlet Study and the L WRP. Recognizing and understanding the interconnectedness
and interrelationships between community development, environmental protection,
economic development and natural resource conservation requires the articulation of very
clear goals and objectives.
The Hamlet Study represents a unique exercise in Southold's long tradition of community
planning in that it was driven by local stakeholders. After a recruiting process involving
the submission of resumes and documentation representing individual qualifications to
serve, a diverse group of nearly 100 individuals, including property owners, merchants,
builders, activists, community leaders and well-intentioned citizens, were appointed to
represent their respective hamlets. Hamlet stakeholders assessed and evaluated, argued
and compromised, established goals and policies, and in the end reached consensus
concerning the vision of their respective hamlets. This grassroots effort proved to be a
remarkable and successful process.
The Town of Southold remains committed to achieving its goals and objectives by
seeking to develop a TDR program in accordance with the various components of the
Comprehensive Plan, including the very successful Hamlet Study. There is a widespread
commitment from local citizens, business leaders, non-profit organization, environmental
groups, government officials and local board members to see this project come to
fruition. Thc development of a TDR program has been in the works for some time but
has proved to be very complicated given our limited funding and staffing resources.
Funding through the Quality Communities Grant Program will allow the Town to move
forward with this project, which will in turn advance both our preservation and smart
growth initiatives.
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1. SALARIES & WAGES, incllldin
TITLE
e benefits (List b title and affiliation)
AMOUNT CHARGED
ANNUAL SALARY TO THIS PROJECT
hdrk Terry, Interim Plannin Dir.
Anthony Trezza, Senior Planner,
Melissa Spiro, Land Pres. Coord.
55 825. 3 000.
$50,667. 100.
$66,039. 1 900.
70 100.
John Se enoski, Technical Coord.
r~ - ] S~'I~~!~L $- i ~8~50Q._ 1
------- ------- ---------..-------- - -- --._----._--- ---- ----
- ---.------------.--..---- ----- -.-._-.-- -----------
-]
2. THA "'EL (Indicate pnrpose and extent of travel and associated costs).
Travel costs involve field inspections, on-site inspections and travel to County Offices,
and travel costs associated with research for the project including visiting other
municipalities.
SUBTOTAl
$ I $4,O~O~-.'r
.1__.. ..
)11
3. SUPPLIES/MATERIALS (Describe and indicate cost by type).
In-house costs associated with producing maps, preparing reports, making copies and
mailing.
L_' L;~B2~~A~$-'jE"500._1-
- ]
4. EQUIPMENT (Describe and indicate the cost of each item).
Costs for software up-grades allowing the Planning Department to produce presentation
drawings.
cr;UBTOTAL$'r$~-,-5QO~-]=-==' == =-=--=-=--=:-
-]
5. CONTRACTUAL SERVICES (Describe services to be acquired and cost of each, if more than OIlC
'pe of service will be secured).
vosts associated with the bulk of the work which will be done by a private consultant.
Consulting services to develop a TDR Program, reports, code changes and implementation
strategies.
[=lsuBTar~~$_I$~~_;oO~]-'
--J
6. OTHER (List professional volunteer services and time at market ratc, and describe the services to be
provided. List non-professional volunteer scrvices and time at $15.00 per hour, and dcscribe the services
to be provided).
Costs associated with the educational and public relations component of the project.
Money will be used to hold a seminar on the TDR Program and to produce and distribut~
educational materials.
1--
SUBTOTAL $
$5,000.
r
1_ n ,
1
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'''PLICATION COIVIPLETENESS CHECKLIST
) Yon Have')
1. A Certiiication SignalLlrc
2. Four copies pins an original of the application
II
3. Tax and Charity ill numbers entered if you are a not-for-profit organization
4. A complete and accurate budget