HomeMy WebLinkAboutTDR Grant
ELIZABETH NEVILLE
TOWN CLERK
Town Hall, 53095 Main Road
PO Box 1179
Southold, NY 11971
Fax (631) 765-6145
Telephone: (631) 765-1800
southoldtown .northfork. net
REGISTRAR OF VITAL STATISTICS
MARRIAGE OFFICER
RECORDS MANAGEMENT OFFICER
FREEDOM OF INFORM A nON OFFICER
RESOLUTION # 2005-736
ResolutionlD: 1319
Meeting:
Department:
Category:
11/22/0507:30 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:
RESOLVED that the Southold Town Board hereby authorizes and directs the South old Town Planninl!
Board to submit an application to the Deoartment of State Ouality Communities Prol!ram (2005-2006)
for Environmental Protection Funds to develop local laws, land use regulations and provide graphic support to
implement the Town of South old Comprehensive Plan documents including the Town of South old Hamlet
Study, and be itllll1her
'lESOL VED that the Southold Town Board authorizes and directs the Supervisor to execute all financial
and/or administratiye processes, 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 Southold 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. copvinl! and materials), now therefore be it
RESOLVED that the Town of South old supports this project to develop local laws, land use rel!ulations
and proyide l!raohic sUPlJort to implement the Town of Southold Comprehensive Plan documents
includinl! the Town of SOllthold Hamlet Study.
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, " , "
Elizabeth A. Neyille
South old Town Clerk
I STATE AGENCY (Name and Address): .
NYS Department of State
41 State Street
Albany, NY 12231-0001
NYS COMPTROLLER'S #: C059943
ORIG. AGENCY CODE:
19000
CONTRACTOR (Name and Address of Lead
Al!:encv)
Town of Southold
Supervisor
P.O.B. 1179
Southold, NY 11971
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
FEDERAL TAX IDENTIFICATION
NUMBER: If - c; 00 ( ? 3'1
MUNICIPALITY #470379000
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 Form (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.
::::l:;t;;:;
.S-clAy!1- ,//, KG{ )s~l/
(PrinfName)
STATE AGENCY:
New York State Department of State
By:
{Print Narne)
Title:
Date:
5~OM V/f lY1
G-/lf'-01
Title:
Date:
State Agencv Certification
"In addition to the acceptance of this
contract, I also certify that original copies
of this signature page will be attached to all
other exact copies of this contract."
CONTRACTOR
State of N ew York )
County of 5 L{ -t>~o ~ )ss: JM-i
On this if day of ,..... L,uo:Ar, 20Q2, before me personally came
5(".,ff /I. ~ '\l('J (( to me known, who, being by me duly sworn, did depose
-#.01<4
and say _he is the f u,/LPA UU-"Dr of fOwl1 c;+ 50ut the Contractor
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described in and which executed the above' strument; and that _he signed his/her name thereto
by order of the governing body of the ab
ntra:~.
KIERAN M. CORCORAN
QUALIFIED IN SUFFOLK COUNTY
NOTARY #02C06119838 ~ et
MY COMMISSION EXPIRES DEC. 6, 2.!,L/L
Approved: Andrew M.Cuomo, Attorney General
Approved: Alan G. Hevesi, Comptroller
Title:
Date:
Title:
Date:
-2-
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the
dates below their signatures.
. IJ
STATE AGENCY:
New York State Department of State
By:
By:
)~.h++ If-. (u5seJI
(Print Name)
(PrlntName)
Title:
Date:
)u f/f~:t:~
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
other exact copies of this contract."
State of New York )
County of .J fA. +>~ 0 f(<- r-l:.ss: (J' ~
On this HIli. day of ~ [, oW v, 20Q2, before me personally came
---T- r
sr~f4L 71, ~~C)c/{/
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to me known, who, being by me duly sworn, did depose
dfr~/cJ;
and say _he is the .). fILA. vis &-1 of ~1..u'1 r.i-P- 50" the Contractor
described in and which executed the above instrument; and that _he signed his/her name thereto
KIERAN M. CORCORAN
QUALIFIED IN SUFFOLK COUNTY
NOTARY #02C06119838
MY COMMISSION EXPIRES DEC. 6, 2
by order of the governing body of the ab v
Approved: Andrew M.Cuomo, Attorney General
Approved: Alan G. Hevesi, Comptroller
Title:
Date:
Title:
Date:
-2-
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the
dates below their signatures.
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5eo-H-- A. KiA.S.>e.j!
(Print Name)
STATE AGENCY:
New York State Department of State
By:
(PrinIName)
Title:
Date:
);LQ.R./[ vi:> n
1(;-t-01
Title:
Date:
State Agencv Certification
"In addition to the acceptance of this
contract, I also certify that original copies
of this signature page will be attached to all
other exact copies of this contract."
CONTRACTOR
State of New York )
County of 5t.Z -A--.fo ( t< )ss: -J cM-L..
On this L(P\ -day of ~""- tr """'5y, 20 01 , before me personally came
5' c..o++ A. l?uJ.n j (
to me known, who, being by me duly sworn, did depose
-~h=I,j
of /1)c.u1! 0 + ~. the C~ntractor
~,07A 1/("..;; rl
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described in and which executed the abo
and say _he is the
ins
. and that Jle signed his/her name thereto
KIERAN M. CORCORAN
QUALIFIED IN SUFFOLK COUNTY
NOTARY #02C06119838
MY COMMISSION EXPIRES DEC. 6. 21l$-
tractor.
by order of the governing body of the
Approved: Andrew M.Cuomo, Attorney General
Approved: 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
STATE and the CONTRACTOR agree as follows:
I. Conditions of Agreement
A. This AGREEMENT may consist of successive periods (PERlOD), 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 offunds, 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 ofthe 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 manner
acceptable to the STATE.
B. The STATE shall make payments and any reconciliations in accordance with the Payment
and Reporting Schedule (Appendix C). The STATE shall pay the CONTRACTOR, in
consideration of contract services for a given PERIOD, a sum not to exceed the amount noted on
the face page hereof or in the respective Appendix designating the payment amount for that given
PERIOD. This sum shall not duplicate reimbursement from other sources for CONTRACTOR
costs and services provided pursuant to this AGREEMENT.
C. The CONTRACTOR shall meet the audit requirements specified by the STATE.
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 of this AGREEMENT and/or with any laws, rules, regulations, policies or procedures
affecting this AGREEMENT.
. C. The ST ATE may also terminate this AGREEMENT for any reason in accordance with
provisions set forth in Appendix AI.
D. Written notice of termination, where required, shall be sent by personal messenger service or
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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 officer, employee or subdivision of the STATE nor make any claim, demand or
application to or for any right based upon any different status.
V. Propertv
Any equipment, furniture, supplies or other property purchased pursuant to this AGREEMENT is
deemed to be the property of the STATE except as may otherwise be governed by Federal or
State laws, rules or regulations, or as stated in Appendix AI.
VI. 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.
-5-
APPENDIX A
Standard Clauses for All New York State Contracts
The parties to the attached contract, license, lease, amendment or other
agreement of any kind (hereinafter, "the contract" or "this contract") agree
to be bound by the following clauses which are hereby made a part of the
contract (the word "Contractor" herein refers to any party other than the
State, whether a contractor, licenser, licensee, lessor, lessee or any other
party):
1. EXECUTORY CLAUSE. In accordance with Section 41 of the State
Finance Law, the State shall have no liability under this contract to the
Contractor or to anyone else beyond funds appropriated and available for
this contract.
2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of
the State Finance Law, this contract may not be assigned by the Contractor
or its right, title or interest therein assigned, transferred conveyed, sublet
or otherwise disposed of without the previous consent, in writing, of the
State and any attempts to assign the contract without the State's written
consent are null and void The Contractor may, however, assign its right to
receive payment without the State's prior written consent unless this
contract concerns Certificates of Participation pursuant to Article 5-A of
the State Finance Law.
3. COMPTROLLER'S APPROVAL In accordance with Section 112
of the State Finance Law (or, if this contract is with the State University
or City University of New York, Section 355 or Section 6218 of the
~,ducation Law), if this contract exceeds $15,000 (or the minimum
.nresholds agreed to by the Office of the State Comptroller for certain
S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any
amountto a contract which, as so amended, exceeds said statutory amount,
or if, by this contract, the State agrees to give something other than money
when the value or reasonably estimated value of such consideration
exceeds $10,000, it shall not be valid, effective or binding upon the State
until it has been approved by the State Comptroller and filed in his office.
Comptroller's approval of contracts let by the Office of General Services
is required when such contracts exceed $30,000 (State Finance Law
Section 163.6a).
4. WORKERS' COMPENSATION BENEFITS. In accordance with
Section 142 of the State Finance Law, this contract shall be void and of no
force and effect unless the Contractor shall provide and maintain coverage
during the life of this contract for the benefit of such employees as are
required to be covered by the provisions ofthe Workers' Compensation
Law.
5. NON-DISCRIMINATION REOUlREMENTS. To the extend
required by Article 15 ofthe Executive Law (also known as the Human
Rights Law) and all other State and Federal statutory and constitutional
non-discrimination provisions, the Contractor will not discriminate against
any employee or applicant for employment because of race, creed, color,
sex, national origin, sexual orientation, age, disability or marital status.
Furthennore, in accordance with Section 220-e of the Labor Law, if this
is a contract for the construction, alteration or repair of any public building
or public work or for the manufacture, sale or distribution of materials,
equipment or supplies, and to. the extent that this contract shall be
~erfonned within the State of New York, Contractor agrees that neither it
aor its subcontractors shall, by reason of race, creed, color, disability, sex,
or national origin: (a) discriminate in hiring against any New York State
citizen who is qualified and available to perform the work; or (b)
discriminate against or intimidate any employee hired for the performance
May 03
of work under this contract. If this is a building service contract as defined
in Section 230 of the Labor Law, then, in accordance with Section 239
thereof, Contractor agrees that neither it nor its subcontractors shall by
reason of race, creed, color, national origin, age, sex, or disability: (a)
discriminate in hiring against any New York State citizen who is qualified
and available to perform the work; or (b) discriminate against or intimidate
any employee hired for the performance of work under this contract.
Contractor is subject to fines of $50.00 per person per day for any
violation of Section 220.e or Section 239 as well as possible termination
of this contract and forfeiture of all moneys due hereunder for a second or
subsequent violation.
6. WAGE AND HOURS PROVISIONS. If this is a public work
contract covered by Article 8 of the Labor Law or a building service
contract covered by Article 9 thereof, neither Contractor's employees nor
the employees of its subcontractors may be required or permitted to work
more than the number of hours or days stated in said statutes, except as
otherwise provided in the Labor law and as set forth in prevailing wage
and supplement schedules issued by the State Labor Department.
Furthermore, Contractor and its subcontractors must pay at least the
prevailing wage rate and payor provide the prevailing supplements,
including the premium rates for overtime pay, as determined by the State
Labor Department in accordance with the Labor Law.
7. NON-COLLUSIVE BIDDING REOUlREMENT. In accordance
with Section 139-d of the State Finance Law, if this contract was awarded
based upon the submission of bids, Contractor warrants, under penalty of
perjury, that its bid was arrived at independently and without collusion
aimed at restricting competition. Contractor further warrants that, at the
time Contractor submitted its bid, an authorized and responsible person
executed and delivered to the State a non.collusive bidding certification
on Contractor's behalf.
8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance
with Section 220.f of the Labor Law and Section 139-h of the State
Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a
material condition of the. contract, that neither the Contractor nor any
substantially owned or affiliated person, firm, partnership or corporation
has participated, is participating, or shall participate in an international
boycott in violation of the federal Export Administration Act of 1 979 (50
use App. Sections 2401 et seq.) or regulations thereunder. If such
Contractor, or any of the aforesaid affiliates of Contractor, is convicted or
is otherwise found to have violated said laws or regulations upon the final
determination of the United States Commerce Department or any other
appropriate agency of the United States subsequent to the contractors
execution, such contract, amendment or modification thereto shall be
rendered forfeit and void. The Contractor shall so notify the State
Comptroller within five (5) business days of such conviction,
determination or disposition of appeal (2NYCRR 105.4).
9. SET-OFF RIGHTS. The State shall have all of its common law,
equitable and statutory rights of set-off. These rights shall include, but not
be limited to, the State's option to withhold for the purposes of set-otTany
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 of this contract, plus any amounts due and
owing to the State for any other reason including, without limitation, tax
delinquencies, fee delinquencies or monetary penalties relative thereto.
The State shall exercise its set-off rights in accordance with normal State
practices including, in cases of set-off pursuant to an audit, the finalization
of such audit by the State agency, its representatives, or the State
Comptroller.
10. RECORDS. The Contractor shall establish and maintain complete
and accurate books, records, documents, accounts and other evidence
directly pertinent to performance under this contract (hereinafter,
collectively, "the 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 of the 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 the Public Officers
Law (the "Statute") provided that: (i) the Contractor shall timely inform an
appropriate State official, in writing, that said records should not be
disclosed; and (ii) said records shall be sufficiently identified; and (Hi)
designation of said records as exempt under the Statute is reasonable.
Nothing contained herein shall diminish, or in any way adversely affect,
the State's right to discovery in any pending or future litigation.
I. IDENTIFYING INFORMATION AND PRIVACY NOTIFICA-
nON. (a) FEDERAL EMPLOYER IDENTIFICATION NUMBER and/or
FEDERAL SOCIAL SECURITY NUMBER. All invoices or New York
State standard vouchers submitted for payment for the sale of goods or
services or the lease of real or personal property to a New York State
agency must include the payee's identification number, i.e., the seller's or
lessor's identification number. The number is either the payee's Federal
employer identification number or Federal social security number, or both
such numbers when the payee has both such numbers. Failure to include
this number or numbers may delay payment. Where the payee does not
have such number or numbers, the payee, on its invoice or New York State
standard voucher, must give the reason or reasons why the payee does not
have such number or numbers.
(b) PRlV ACY NOTIFICATION. (I) The authority to request the above
personal information from a seller of goods or services or a lessor of real
or personal property, and the authority to maintain such information, is
found in Section 5 of the State Tax Law. Disclosure of this information by
the seller or lessor to the State is mandatory. The principal purpose for
which 'the 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
1llaintained in New York State's Central Accounting System by the
'irector of Accounting Operations, Office of the State Comptroller,
AESOB, Albany, New York 12236.
12. EOUALEMPLOYMENT OPPORTUNITIES FOR MINORITIES
May 03
A-2
AND WOMEN. In accordanc..:: with Section 312 of the Executive Law,
if this contract is: (i) a written agreement or purchase order instrument,
providing for a total expenditure in excess of $25,000.00, whereby a
contracting agency is committed to expend or does expend funds in return
for labor, services, supplies, equipment, materials or any combination of
the foregoing, to be performed for, or rendered or furnished to the
contracting agency; or (ii) a written agreement in excess of$100,000.00
whereby a contracting agency is committed to expend or does expend
funds for the acquisition, construction, demolition, replacement, major
repair or renovation of real property and improvements thereon; or (iii) a
written agreement in excess of$l 00,000.00 whereby the owner of a State
assisted housing project is committed to expend or does expend funds for
the acquisition, construction, demolition, replacement, major repair or ren-
ovation of real property and improvements thereon for such project, then:
(a) The Contractor will not discriminate against employees or applicants
for employment because of race, creed, color, national origin, sex, age,
disability or marital status, and will undertake or continue existing
programs of affirmative action to ensure that minority group members and
women are afforded equal employment opportunities without discrim-
ination. Affirmative action shall mean recruitment, employment, job
assignment, promotion, upgradings, demotion, transfer, layoff, or
termination and rates of payor other forms of compensation;
(b) at the request of the contracting agency, the Contractor shall request
each employment agency, labor union, or authorized representative of
workers with which it has a collective bargaining or other agreement or
understanding, to furnish a written statement that such 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 will affirmatively cooperate in the
implementation of the contractor's obligations herein; and
(c) the Contractor shall state, in all solicitations or advertisements for
employees, that, in the performance of the State contract, all qualified
applicants will be afforded equal employment opportunities without 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 "Work") except where the Work is for the
beneficial use of the Contractor. Section 312 does not apply to: (i) work,
goods or services unrelated to this contract; or (ii) 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 federal law concerning equal
employment opportunity which effectuates the purpose of this section. The
contracting agency shall determine whether the imposition of the
requirements of the provisions hereof duplicate or conflict with any such
federal law and if such duplication or conflict exists, the contracting
agency shall waive the applicability of Section 312 to the extent of such
duplication or conflict. Contractor will comply with all duly promulgated
and lawful rules and regulations of the Governor's Office of Minority and
Women's Business Development pertaining hereto.
13. CONFLICTING TERMS. In the event of a conflict between the
terms of the contract (including any and all attachments thereto and
amendments thereof) and the terms of this Appendix A, the terms of this
Appendix A shall control.
14. GOVERNING LAW. This contract shall be governed by the laws
of the State of New York except where the Federal supremacy clause
requires otherwise.
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15. LATE PA YMENT. Timeliness of payment and any interest to be
paid to Contractor for late payment shall be governed by Article II-A of
the State Finance Law to the extent required by law.
16. NO ARBITRATION. Disputes involving this contract, including the
breach or alleged breach thereof, may not be submitted to binding
arbitration (except where statutorily authorized), but must, instead, be
heard in a court of competent jurisdiction of the State of New York.
17. SERVICE OF PROCESS. In addition to the methods of service
allowed by the State Civil Practice Law & Rules ("CPLR"), Contractor
hereby consents to service of process upon it by registered or certified
mail, return receipt requested. Service hereunder shall be complete upon
Contractor's actual receipt of process or lIpon the State's receipt of the
return thereof by the United States Postal Service as refused or
undeliverable. Contractor mllst promptly notifY the State, in writing, of
each and every change of address to which service of process can be made.
'ervice by the State to the last known address shall be sufficient.
-,ontractor will have thirty (30) calendar days after service hereunder is
complete in which 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 or any governmental
agency or political subdivision or public benefit corporation. Qualification
for an exemption under this law will be the responsibility of the contractor
to establish to meet with the approval of the State.
In addition, when any portion of this contract involving the use of woods,
whether supply or installation, is to be performed by any subcontractor,
the prime Contractor will indicate and certity 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 g 165 State Finance Law. Any such use must meet with the
approval of the State, otherwise, the bid may not be considered responsive.
Under bidder certifications, proof of qualification for exemption will be
the responsibility of the Contractor to meet with the approval of the State.
19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In accordance
with the MacBride Fair Employment Principles (Chapter 807 ofthe Laws
of I 992), the Contractor hereby stipulates that the Contractor either(a) has
no business operations in Northern Ireland, or (b) shall take lawful steps
in good faith to conduct any business operations in Northern Ireland in
:cordance 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 of
May 03
New York State to maximize opportunities for the participation of New
York State business enterprises, including minority and women-owned
business enterprises as bidders, subcontractors and suppliers on its
procurement contracts.
Information on the availability of New Yark State subcontractors and
suppliers is available from:
NYS Department of Economic Development
Division for Small Business
30 South Pearl Street, 7th iloor
Albany, New York 12245
518-292-5220
A directory of certified minority and women-owned business enterprises
is available from:
NYS Department of Economic Development
Minority and Women's Business Development Division
30 South Pearl Street, 2nd iloor
Albany, New York 12245
http://www.empire.state.ny.us
The Omnibus Procurement Act of 1992 requires that by signing this bid
proposal or contract, as applicable, Contractors certity that whenever the
total bid amount is greater than $1 million:
(a) The Contractor has made reasonable efforts to encourage the
participation of New York State Business Enterprises as suppliers and
subcontractors, including certified minority and women-owned business
enterprises, on this project, and has retained the documentation ofthese
efforts to be provided upon request to the State;
(b) The Contractor has complied with the Federal Equal Opportunity Act
of 1972 (P.L. 92-261), as amended;
<<;J) The Contractor agrees to make reasonable efforts to provide
notification to New York State residents of employment opportunities on
this project through listing any such positions with the Job Service
Division of the New York State Department of Lahor, or providing such
notification in such manner. as is consistent with existing collective
bargaining contracts or agreements. The Contractor agrees to document
these efforts and to provide said documentation to the State upon request;
and
(d) The Contractor acknowledges notice that the State may seek to obtain
offset credits from foreign countries as a result of this contract and agrees
to cooperate with the State in these efforts.
21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are
hereby notified that if their principal place of business is located in a
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 performed 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 15, 2002, the list of
discriminatory jurisdictions subject to this provision includes the states of
South Carolina, Alaska, West Virginia, Wyoming, Louisiana and Hawaii.
ContactNYS Department afEconomic 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 Jaws,
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, if not
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.
May 03
APPENDIX Ai
Agency-Specific Clauses
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 performed. 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 offunds for the Project.
E. The Contractor shall perform all services to the satisfaction of the Department. The
Contractor shaH provide all services and meet the program objectives described in Appendix
D in accordance with: provisions of this Agreement; relevant State, federal and local laws,
rules and regulations, administrative and fiscal guidelines; where applicable, operating
certificates for facilities or licenses for an activity or program, and conditions of applicable
permits, administrative orders and judicial orders.
F. The Contractor shall submit with its request for final payment a Final Project Summary
AI-2
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 AI. Such report shall be provided to the
Department at the address on the Quarterly Contractor Report by all involved Minority and
Women-owned Businesses.
I. 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 produced in whole or in part under this
Agreement by endorsing on said documents, reports, and maps the following:
"This (document, report, map, etc.) was prepared with funds provided by the New
York State Department of State under the Quality Communities Grant Program."
IV. License to use and reproduce documents and other works:
By acceptance of this Agreement, Contractor transfers to the Department a nonexclusive license
to use, reproduce in any medium, and distribute any work prepared for or in connection with the
Project, including but not limited to reports, maps, designs, plans, analysis, and documents
regardless of the medium in which they are originally produced. Contractor warrants to the
Department that it has sufficient title or interest in such works to license pursuant to this
Agreement. Such warranty shall survive the termination of this agreement. Contractor agrees to
provide the original of each such work, or a copy thereof which is acceptable to the Department,
to the Department before payments shall be made under this Agreement.
V. Propertv
A. Pursuant to the provisions set forth in Section IV, page 2 ofthis Agreement, the ownership
of all property described therein shall reside with the Contractor unless otherwise specified
in writing by the Department at any time during the term of this Agreement and up to thirty
(30) days following the issuance ofthe final payment.
AI-3
VI. Year 2000 Warrantv
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. Terminations
A. In addition to any other actions authorized by this Agreement, the Department may
terminate the Agreement in the best interests of the State of New York by providing
written notice to the Contractor as provided in this Agreement.
B. The Contractor shall complete the project as set forth in this Agreement, and failure to
render satisfactory progress or to complete the project to the satisfaction of the State may
be deemed an abandonment ofthe 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 terminated
after expiration of such time period. During any such suspension, the Contractor agrees
not to incur any new obligations after receipt of the notice without approval by the
Department.
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. Comoliance 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 S I 04-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, chief legal officer or financial administrator of the CONTRACTOR
shall certify to the Department of State that applicable public bidding procedures of
General Municipal Law 9103 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 ofthe municipality established
pursuant to General Municipal Law 9104-b were fully complied with (see Appendix AI,
Attachment 4)
XI. Payment and Records Retention
A. Payments shall be made as set forth in Appendix C.
B. The Contractor shall maintain, at its principal place of business, detailed books and
accounting records supported by original documentation relating to the incurring of all
expenditures, as well as payments made pursuant to this Agreement. The Contractor shall
make such records available for review by the Department upon request at any time. The
Department shall have the right to conduct progress assessments and review books and
records as necessary. The Department shall have the right to conduct an on-site review of
the Project and/or books and records of the Contractor prior to, and for a reasonable time
following, issuance of the FINAL payment. The Department shall be entitled to disallow
any cost or expense, and/or terminate or suspend this Agreement, if the Contractor has
misrepresented any expenditures or Project activities in its application to the Department,
or in this Agreement, or in any progress reports or payment requests made pursuant hereto.
The Contractor shall maintain such books and accounting records in a manner so that
reports can be produced therefrom in accordance with generally accepted accounting
principles. The Contractor shall maintain separate fiscal books and records for all funds
received through the Department pursuant to this Agreement.
C. During the term of this Agreement 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 ofthe State 'Comptroller, or their designated representatives, for inspection and
audit.
XII. Equal Emplovment Opportunity
The Contractor hereby assures that it is, and shall be for the duration of this Agreement, in
compliance with the Federal Equal Employment Opportunity Act of 1972 (Public Law 92-
261), as amended.
XllI. Article 15-A of The New York State Executive Law
The Department of State administers a Minority and Women-owned Business Enterprises
(MWBE) Program as mandated by Article 15-A of the New York State Executiye 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 Ouarterlv Contractor Report is required to be
submitted to the Minority and Women-owned Business Program of the Department on
forms provided by the Department.
Article 15-A requires that rules and regulations be established for contracts entered into by
the Department. In accordance with Article 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 $1 00,000 for acquisition, construction, demolition, replacement,
major repair, renovation or improvement of real property. In applying these rules and
regulations, the Department must consider the availability of certified minority and
women-owned businesses in the region in which the state contract will be performed, the
total dollar value of the contract, the scope of work to be performed, and the project size
and term.
The contractor will, when required as a part of the bid or proposal, submit a Staffing Plan
on the form provided by the Department. This Plan will detail the work force anticipated
in the performance of the state contract reported by ethnic background, gender, and
Federal Occupational Categories.
After a bid opening and prior to the award of a state contract, the contractor will submit an
Equal Emplovment Opportunity CEEO) Policv Statement to the Department within the
time frame established by the Department. The law requires that, as a precondition to
entering into a valid and binding state contract, the contractor will agree to the following
stipulations and will include them in the EEO 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 affirmative action to
ensure that minority group members and women are afforded equal employment
opportunities without discrimination because of race, creed, color, national origin,
sex, age, disability or marital status. For these purposes, affirmative action applies in
areas of recruitment, employment, job assignment, promotion, upgrading, demotion,
transfer, layoff, or termination and rates of payor other forms of compensation.
. The contractor will make active and conscientious efforts to employ and to utilize
minority group members and women at all levels and in all segments of its work force
on state contracts, and the contractor will document these efforts.
. The contractor will state in all solicitations and advertisements for employees that,
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in the performance of the state contract, all qualified applicants will be afforded equal
employment opportunities without discrimination because of race, creed, color,
national origin, sex, age, disability or marital status.
. The contractor will, at the request of the Department, request each employment
agency, labor union, or authorized representative of workers with which it has a
collective bargaining or other agreement or understanding, to furnish a written
statement that such employment agency, labor union, or representative will not
discriminate because of race, creed, color, national origin, sex, age, disability or
marital status, and that such union or representative will affirmatively cooperate in the
implementation of the contractor's obligations herein.
. The contractor will include the provisions regarding the EEO Policv Statement and
the 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 commitment to provide these requirements by a specified date
will result in rejection of the contractor's bid or proposal.
· After the award of a state contract, the contractor will submit to the Department a
Workforce Emolovment Utilization Reoort. on the form supplied by the Department,
detailing the work force actually utilized on the state contract, by ethnic background,
gender and Federal Occupational Categories, as specified on the fornl. This Report
will be submitted to the Department on a quarterly basis throughout the life ofthe
contract.
· The contractor, and any of its subcontractors, may be required to submit
compliance reports relating to their operations and implementation of their affirmative
action or equal employment opportunity program in effect as of the date the state
contract is executed.
Questions regarding this program should be directed to the Department's Minority and
Women-owned Business Program by calling (518) 474-5741. Potential contractors can
access the NYS Directorv of Certified Minoritv and Women-owned Business Enterorises
on-line through the Empire State Development website at: htto://www.emoire.state.nv.us.
double click (left cotumn)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 Directorv.
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 Department 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 -1
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 yalue of the completed proiect
to the community, 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:
IOU-Jrt 0+ ~i.A+j,olc/
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:
Name:
Title:
Mailing address:
Tel. number:
Fax number:
E-mail address:
5.
Federal Tax Identification Number:
({~ Goot 't3 't
6. Project Background: briefly explain in a short paragraph why this project was necessary, what
its yalue is and/or its importance to the community
7. Project Work: briefly describe the work that was done to complete the project
8. Project Descriptions: use the following guidelines to describe the project and please be concise
in the description
a. For a Planning Project describe the findings strategies recommended
b. For a Design Project describe what is to be built
9. Project DocumentationlVisuals: The 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 I 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 SeNiee Area of Contract Work
( )
NAME and TITLE of CONTACT PERSON (Please Print) TELEPHONE NUMBER
TYPE of DESCRIPTION of AMOUNT PAID
ENDOR 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
DWBE
o MBE
DWBE
o MBE
DWBE
o MBE
o WBE
Appendix A 1, Attachment 3
CONTRACTOR:
Agreement #
PROJECT STATUS
As of
(Submit semi-annually and with each payment request.)
Task
#
Date of
Percent of
AfT
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:
Na~e of contact Person: rn",vv, '\ <'-Y"'!
Emall Address: ~o....K.T. u'':A Ci hWA. "}Clu\-h h \ C:
Phone Number: ~~ \ ~ "1 ~t; - \ ~ ~
Fax Number: Co"? \. 1 \0.".- S l 3 ("
i\. '-I . \ \~
I
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)
1. 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 LawS I 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 LawSI03.
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 Have Been Met
2. I hereby certify that the (Insert NYC Agency or Borough name)
of the 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
Lawg 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 oflaw, including the NYS Not-for-Profit Corporation law and
the bylaws of this organization, and pursuant to a publicly advertised process to ensure the prudent and
economical use of public funds to obtain maximum quality at reasonable cost.
Print Name
Title
Signature
Date
APPENDIX B
Budget
Budget Summary Sheet
A. SALARIES, WAGES AND FRINGE $ R>SC6
B. TRAVEL $ "SOD
C. SUPPLIESIMA TERIALS $ 2..5bD
D. EQUIPMENT $ ~O-
E. CONTRACTUAL SERVICES $ Co'S 500
I
TOTAL $ 1 ~. (')()O
STATE FUNDING $ (nO 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 F ACE 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
r'VI. I>.vK -L-<. II" II" 'I -
~I"''(\.C.', ~c... \ ~~" 'l\.Y\c> v ~OOO
I
A 11\ \-h.1>. '^ 'I - S e.-\ \ o. \) \c... "V\ e. v 2,\oc ".
\>{'/:,"Z..cG..
(\I\e...\;<,. >" S)\;f'D L "-V\ cL Vr-u ( CQ ..J ---l C1 ()("\ ""
,
T~ h", "\ e..\,>~V1 ",,~IA', lc::.c.h.\,c'\.\ c. bo v~ I S ~.
OD
TOTAL SALARIES, WAGES AND FRINGE
$
C6SoD-
B. TRAVEL
Please indicate destination, purpose and cost of such travel.
TOTAL TRAVEL
$ _"SOD-
Budget Detail Sheet
C. SUPPLlESIMATERIALS
Please use general categories such as office supplies, printing supplies, and like category
descriptions. Indicate the cost of each category.
TOTAL SUPPLIESIMA TERIALS
$ 2500-
.
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
$
(Q~. "SOO
APPENDIX C
Payment and Reporting Schedule
I. Payment Schedule
A. The Department shall make interim payments for eligible costs incurred up to an amount not to
exceed 90% of the State Funds A warded. 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 ofthe 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 incurred 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 payment request shall be submitted within
60 days following the ending date of this Agreement.
II. Reporting
A. Bv submission of a payment request as described in I.B. 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 Stak
Division of Local Government - QCP
41 State Street - 9th Floor
Albany, New York, 12231-0001
Attention: Quality Commuuities 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, iffound 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 ofthe 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)
I. Proiect Description
A. Brief summary of project, geographic area, partners, goals and objectives, studies,
history of project, relationship to other projects etc.
2. Proiect Components
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 South old 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 of a
town-wide Transfer ofOevelopment Rights Program (TOR). The TOR 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 TOR Program will use market forces to promote
conservation in high-value natural, agricultural, and open space areas while encouraging
smart growth in developed and developing sections in each of the Hamlet Centers and
HALO Zones. The primary goal of the TOR 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 develop it. The TOR
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 TOR Program would further the following Town goals:
Preserve Southold's prime farmland and encourage the continuation and
diversification of agriculture as an important 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 ofOevelopment 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 through completion.
TASK 1: CREATION OF THE TDR WORK GROUP (April 2006 - September
2007)
A TOR Work Group was created to assist Charles Voorhis with the technical components
ofthe program and to ensure that the Town was directly involved with its development.
Because of the Town's existing catalogue of planning studies, demographic information
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: Report on the Transfer of Development Rif!ht Prof!ram 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 of a 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! own land within a Sending Area?
H. How do I participate if I own land within a Receiving Area?
1. 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?
1. 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 of the 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: Report on the Delineation and Modelinf! of the Sendinf! 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 Information System (GIS) are an objective and accurate
information source available for this type of resource 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: Reoort on the Delineation. Modelinz and Desizn of the Receivinz 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.
B. 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
Y2 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 Rizhts
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 Develooment Rizhts Prozram
on Current Town Preservation Plans and Current Town Zoninz.
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 (DSGEIS). The action involves the adoption of a Land
Use Program that has town-wide implications and affects a large area of land. As a
result, the proj ect 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 product of this task is a Drafi and Final Scove.
Task 4d. Preparation of a Draft Supplemental Generic Environmental Impact
Statement
A Draft SGEIS 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 ofthe 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 EIS should be included. The vroduct of
this task is a Drafi Suvvlemental 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 Staff to determine
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 response to each substantive comment on the Draft SGEIS.
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 oroduct of this task is a Final Suoolemental
Generic Environmental Imoact Statement.
Task 4f. Preparation of Findings Statement
Findings will conform to Part 617.11 and 617.10(c) for Generic EIS's. Findings will
identify the conformance 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 vroduct of this task is a Findinf!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.
/
APPEJy>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, New York, 12231 (hereinafter referred
to as the STATE), and (hereinafter referred to as the CONTRACTOR), for 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 Aeencv Certification: "In addition to the acceptance of this contract, I also certify that original copies of this signature page
will be attached to all other exact copies of this contract."
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 _he 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: