HomeMy WebLinkAboutTown Code Revisions
PATRICIA A. FINNEGAN
TOWN ATTORNEY
patricia. finncgan(tJ.town.southold.ny. us
LORI M. HULSE
ASSISTANT TOWN ATTORNEY
lori.hulse@town.southold.ny.us
SCOTT A. RUSSELL
Supervisor
KIERAN M. CORCORAN
ASSISTANT TOWN ATTORNEY
kieran.corcoran@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 SOUTH OLD
MEMORANDUM
To:
Ms. Ruthanne Woodhull
From:
Lynne Krauza
Secretary to the Town Attorney
Date:
February 12, 2008
Agreement C006789 w/NYS Dept. of State
Planning & Development of Town Code Revisions
Subject:
Please be advised that Lori has reviewed and approved the attached
Agreement in connection with the referenced matter. A resolution authorizing
Scott to sign this document has been placed on the agenda for today's meeting.
In this regard, kindly have Scott sign and date all pages of this document
where indicated and return them to me for handling.
Thank you for your attention. If you have any questions, please do not
hesitate to call me.
Ilk
Enclosures ~
cc: Ms. Elizabeth A. Neville, Town Clerk (w/encls.) ~
Mr. Mark Terry, Principal Planner (w/o encls.)
Towll of Southold - Agreement ItC006789
Planning and Development of Southold Town Code Revisions
Agreement Information Form
On the Face Page, is the Recipient Name and Address correct?
YES @
If incorrect, please provide the Recipient Name and Address:
Town of Southold
P.O. Box 1119
53095 Main Road
Sou&hold, NY 11911 0959
On the Face Page, is the Federal Tax ill # correct?
@NO
If incorrect (or missing) please provide the correct Federal Tax ill #:
Have any costs shown in Appendix B been incurred and/or any tasks in Appendix D began?
@ NO
If any costs shown in Appendix B have been incurred and/or any tasks in Appendix D have begun, please provide brief
description:
Reviewed Chapter 275 Wetlands & Shoreline proposed amendments to make
Chapter further consistent wlth LWRP pollcles. Revlewed Chapter 219
Shellfish and Other Marine Resources Code proposed amendments and
recommenCed estaD~lsnment or bpawner ~aIlc~uary Lv Iurtller Lll~.~uli~ieb
of the LWRP.
Enter proposed start date for contract: Ap r ill, 2006
Note: If any costs have been incurred, the start date must reflect the date you began incurring those costs
Enter proposed end date for contract:
April 1, 2011
Signature of the Supervisor:
Date;
Printed Name of the Supervisor:
Please return Complete Agreement Address to NYS Department of State
following items (3) signed and notarized signature pages return to: Contract Administration Unit
to DOS: Signed Agreement Information Form Attn: Laurissa Parent, Coastal Resources
Signed Contract Administration Form 41 State Street - 8th Floor
Albany, NY 12231-0001
Town of Southold - Agreement tiC0067S9
Planning and Development of Southold Town Code Revisions
CONTRACT ADMINISTRA nON UPDATE FORM
Please update/specify information for up to (3) people to receive contract related corre.'Jpondencefrom DOS and indicate ivhich
person should be the primary correspondence recipient. The primary recipient must be an employee afthe Town afSou/hold and
ivill receive original DOS corrc.'Jpondence, ivith attachments. l1w other individuals listed lvill receive copies of DOS transmittal
letters, without attachments. NOTE: The Supervisor must be listed on this farm, but does not need to be the primary
correjpondence recipient.
o
No updates necessary
o
Please make the following updates:
Honorable Scott A. Russell
Supervisor
Town of Southold
53095 Main Road i............................................................
: PO Box-II-79-. Email Address:
i..~~~~:~I~.:.~~...~I.~~~...~.~.~..~~..............; ...............s.c~~t:~llssell.~t.~~".:~".llt~~'.~:".~:ll.s..
...............................................................................................................................................................................................
o Primary recipient of correspondence from DOS Phone Number:
f 0 Copy this person on correspondence from DOS
631-765-1889
......................................................................................................................
Fax Number:
631-765-1823
..........................................................................
..............................................................................................................................................................-........................................................................................................
. ..
- .
: Mr. Mark Terry 0 Primary recipient of correspondence from DOS ~ Phone Number: 1
! Acting Department Head , 0 Copy this person on correspondence from DOS ~'. 631- 7 65- 1938 f,.
Town of Southold ,
PO Box 1179 i.......................................................................................................................~............................................................i
Southold, NY 11971 - 0 9 5 9 : Email Address: ~ Fax Number:
. I mark.terrv@town.southold.ny.us ! 631-765-3136 ,
,.................................................................................~.....................................................................................................................................................................................
........................................................................................................................................................................................................................................................................
i No person listed : D Primary recipient of correspondence from DOS 1 Phone Number: '
Mr. John Cu shman i 0 Copy this person on correspondence from DOS , 631-765 - 4 3 3 3
Comptroller, Town of 1 ~
Sou tho 1 d i.......................................................................................................................~............................................................i
P.O. Box 1179 : Email Address: l Fax Number: 1
..~..~.~.~.~~~~..:.....~.~....~~~..~~..~.~..~.~J john. eu shman@town. southold. ny. u1 631-765-1366 i
Please list up to (3) individuals who are authorized to execute amendments and/or sign payment requests for this project:
Name:
Scott A. Russell
Title:
Supervisor
Authorized for:
Amendments? ~ Payments? 0
Amendments? D Payments? 0
Name:
John Cushman
Title:
Comptroller
Amendments'> D Payments? D
Name:
Title:
Signature of the Supervisor:
Date:
IN WITNESS THEREOF, thc parties hereto have executed or approved this AGREEMENT on the dates
below their signatures.
Contract No. C006789
CONTRACTOR
STATE AGENCY:
By:
New York State Department of State
By:
Town of Southold
Scott A. Russell
(Prim NlImc)
Title:
(Print Name)
Supervisor
Title:
Date:
Date:
State Agency 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. !I
ACKNOWLEDGMENT
State of New York
County of Suffolk
)
)ss:
On this day of
February, 20 08, before me personally came
to me known, who, being by me duly sworn, did depose and say that
cutchogue
(if the place
Sr.ott. A. Rllssell
he/sI<8Itl<e,' residers) in
of resident is in a city, include the street and street number, if any, thereof); that he/,,1<81I1oc)' is(_) the
Supervisor
(title of officer or employee) of the Town of Southold
(name
of municipal corporation), described in and which executed the above instrument; and that hel,l<oltll8)' signed
his/hel/their name~) thereto by authority of the governing body of said municipal corporation.
NOTARY PUBLIC
ATTORNEY GENERAL:
Approved:
Thomas P. DiNapoli
State Comptroller
Title:
Date:
By:
Date:
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates
below their signatures,
Contract No, C006789
CONTRACTOR STATE AGENCY:
Town of Soutbold New York State Department of State
~ ~
Scott A. Russell
(I'rintName)
(Prim Nn1l1c)
Title:
Title:
~l1pPr~T; c:r.r
Date:
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."
ACKNOWLEDGMENT
State of New York
County of Suffolk
)
)ss:
day of
February
, 20 08, before me personally came
On this
Scott A. Russell
to me known, who, being by me duly sworn, did depose and say that
he/she/tI.aj' residers) in
Cutchogue
(if the place
of resident is in a city, include the street and street number, if any, thereof); that he/sHe/they is(~) the
Supervisor
(titIe of officer or employee) of the Town of Southold
(name
of municipal corporation), described in and which executed the above instrument; and that he!~Il~/tR~' signed
his/Rer/thai< name(~) thereto by authority of the governing body of said municipal corporation.
NOTARY PUBLIC
Approved:
Thomas P. DiNapoli
State Comptroller
ATTORNEY GENERAL:
Title:
Date:
By:
Date:
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates
below their signatures.
Contract No. C006789
CONTRACTOR
STATE AGENCY:
By:
New York State Department of State
By:
Town of Southold
Scott A. Russell
{Print Name)
Title:
(Print Name)
supervisor
Title:
Date:
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. I!
ACKNOWLEDGMENT
State of New York
County of Suffolk
)
)ss:
day of February
, 20 08, before me personally came
On this
Scott A. Russell
to me known, who, being by me duly sworn, did depose and say that
heIGke.'tkej residers) in
Cutchoaue
(ifthe place
of resident is in a city, include the street and street number, if any, thereof); that ho/s>>e'tl,ey is(~the
Supervisor
(title of officer or employee) of the Town of Southold
(name
of municipal corporation), described in and which executed the above instrument; and that he/ske/tke~. signed
his,'b" ,heIT name(\) thereto by authority of the governing body of said municipal corporation.
NOTARY PUBLIC
ATTORNEY GENERAL:
Approved:
Thomas P. DiNapoli
State Comptroller
Title:
Date:
By:
Date:
FACE PAGE
STATE AGENCY (Name and Address):
NYS Department of State
41 State Street
Albany, NY 12231-0001
CONTRACTOR (Name and Address):
f . 0 . {)c)'(.. {( 1. r
Town of Southold
53095 Main Road
Southold, NY 11971- 0 (:\{
FEDERAL TAX IDENTIFICATION NUMBER:
11-6001939
MUNICIPALITY #
NYS COMPTROLLER'S #:
ORIG. AGENCY CODE:
C006789
19000
TYPE OF PROGRAM: Environmental Protection
Fund Act - 06 LWRP
STATE SHARE FUNDING AMOUNT FOR
INITIAL PERIOD $150,846
LOCAL SIIARE FUNDING AMOUNT FOR
INITIAL PERIOD $150,846
I INITIAL CONTRACT PERIOD:
FROM: TO:
il
APPENDICES ATTACHED TO AND PART OF THIS AGREEMENT
APPENDIX A: Standard clauses as required by the Attorney General for all state contracts
APPENDIX Al Including
Attachments 1, 2, & 3 thereto: Agency-specific clauses
APPENDIX B: Budget
APPENDIX C: Payment and Reporting Schedule
APPENDIX D: Program Workplan
APPENDIX X: Modification Agreement Form (to accompany modified appendices for
changes in term or consideration on an existing period or for renewal
periods)
STATE OF NEW YOHK
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 establislunent 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 ofthis AGREEMENT;
NOW, THEREFORE, in consideration ofthe promises, responsibilities and covenants herein, the STATE and the
CONTRACTOR agree as follows:
I. Conditions of Agreement
A. This AGREEMENT may consist of successive periods (PERIOD), as specified within the AGREEMENT or
within a subsequent Modification Agreement(s) (Appendix X). Each additional or superseding PERIOD shall be
on the fonns 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. Subject to the availability of funds, determination by the Department that it is in the best interest of the State,
and upon mutual written consent of the parties, this AGREEMENT may be extended by up to two Contract
Periods not to exceed twelve months each.
To modify the AGREEMENT within an existing PERIOD the parties shall revise or complete the appropriate
appendix forms(s). Any change in the amount of consideration to be paid, or change in the term, is subject to the
approval of the Office ofthe State Comptroller. Any other modifications shall be processed in accordance with
agency guidelines as stated in Appendix AI.
E. The CONTRACTOR shall perform all services to the satisfaction of the STATE. The CONTRACTOR shall
provide services and meet the program objectives summarized in the Program Workplan (Appendix D) in
accordance with: provisions of the AGREEMENT; relevant laws, rules and regulations, administrative and fiscal
guidelines; and where applicable, operating certificates for facilities or licenses for an activity or program.
F. If the CONTRACTOR enters into subcontracts for the performance of work pursuant to this AGREEMENT,
the CONTRACTOR shall take full responsibility for the acts and omissions of its subcontractors. Nothing in the
subcontract shall impair the rights ofthe STATE under this AGREEMENT. No contractual relationship shall be
deemed to exist between the subcontractor and the ST ATE.
2
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 ST ATE 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. Tenninations
A. This AGREEMENT may be terminated at any time upon mutual written consent of the STATE and the
CONTRACTOR.
B. The STATE may tenninate the AGREEMENT immediately, upon written notice oftennination 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 tenninate this AGREEMENT for any reason in accordance with provisions set forth in
Appendix AI.
D. Written notice of termination, where required, shall be sent by personal messenger service or by certified
mail, return receipt requested. The termination shall be effective in accordance with terms of the notice.
E. Upon receipt of notice of tennination, the CONTRACTOR shall cancel, prior to the effective date of any
prospective tennination, all outstanding obligations, and a!,'fees 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 tennination 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 hannless 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.
3
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 Fedcral or State laws, rules or regulations, or
as stated in Appendix AI.
VI. Safeguards for Services and Confidentiality
A. Scrvices performed pursuant to this AGREEMENT arc 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
gencral or particular religious belicfs.
B. Funds provided pursuant to this AGREEMENT shall not be used for any partisan political activity, or for
activities that may influcnce legislation or the election or defeat of any candidate for public office.
C. Information relating to individuals who may receive services pursuant to this AGREEMENT shall be
maintained and used only for the purposes intended under the Agreement and in conformity with applicable
provisions oflaws and regulations, or specified in Appendix AI.
APPENDIX A
STANDARD CLAUSES FOR NYS CONTRACTS
CIllC 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 \Vriting, 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 Statels prior written consent unless this
contract concerns Certificates of Participation pursuant to Article 5-A of
the State Finance Law.
3. COMPTROLLER'S APPROVAL. In accordance with Section 112
of the State Finance Law (or, if this contract is with the State University
or City University of New York, Section 355 or Section 6218 of the
Education Law), if this contract exceeds $50,000 (or the minimum
thresholds agreed to by the Office of the State Comptroller for certain
S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any
amount to a contract which, as so amended, exceeds said statutory amount,
or if, by this contract, the State agrees to give something other than money
when the value or reasonably estimated value of such consideration
exceeds $1 0,000, 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 $85,000 (State Finance Law
Section 163.6.a).
4. WORKERS' COMPENSATION BENEFITS. In accordance with
Section 142 of the State Finance Law, this contract shall be void and of no
force and effect unless the Contractor shall provide and maintain coverage
during the life of this contract for the benefit of such employees as are
required to be covered by the provisions of the Workers' Compensation
Law.
5. NON-DISCRIMINATION REOUlREMENTS. To the extent
required by Article 15 of the Executive Law (also known as the Human
Rights Law) and all other State and Federal statutory and constitutional
non-discrimination provisions, the Contractor will not discriminate against
any employee or applicant for employment because of race, creed, color,
sex, national origin, sexual orientation, age, disability, genetic
predisposition or carrier status, 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 performed within the
State of New York, Contractor agrees that neither it nor its subcontractors
shall, by reason of race, creed, color, disability, sex, or national origin: (a)
discriminate in hiring against any New York State citizen who is qualified
and available to perform the work; or (b) discriminate against or intimidate
any employee hired for the performance 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
June 2006
neithcr 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 \vcll as possible tennination of this contract and forfeiture of all
moneys due hereunder for a second or subsequent violation.
6. WAGE AND HOURS PROVISIONS. If this is a public work
contract covered by Article 8 of the Labor Law or a building service
contract covered by Article 9 thereot: neither Contractor's employees nor
the employecs 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 CERTIFICATION. In accordance
with Section 139-d of the State Finance Law, ifthis contract was awarded
based upon the submission of bids, Contractor affirms, under penalty of
perjury, that its bid was arrived at independently and without collusion
aimed at restricting competition. Contractor further affirms that, at the
time Contractor submitted its bid, an authorized and responsible person
executed and delivered to the State a non-collusive bidding certitication
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, tirm, partnership or corporation
has participated, is participating, or shall participate in an international
boycott in violation of the federal Export Administration Act of 1979 (50
USC App. Sections 2401 et seq.) or regulations thereunder. If such
Contractor, or any of the aforcsaid 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 contract's
execution, such contract, amendment or modification thereto shall be
rendered forfeit and void. The Contractor shall so notify the State
Comptroller within five (5) business days of such 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-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 tcnn
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 Contractur shall establish and maintain cOlllplete
and accurate books, records, documents, accounts and other evidence
directly pertinent to performance unuer this contract (hercinaftl:r,
collectively, "the Records"). The Records must be kept for the balance of
the calendar year in which they were madt; and for six (6) additional yt;ars
thereafter. lne 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 acet;SS to lhe
Records during normal business hours at an office of the Contractor within
the State of New York or, if no such otli.ee is available, at a mutually
agreeable and reasonable venue within the State, for the ternl 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
infonn 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.
11. IDENTIFYING INFORMA TJON AND PRIVACY
NOTIFICATION. (a) FEDERAL EMPLOYER IDENTIFICATION
NUMBER and/or FEDERAL SOCIAL SECURlTY 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 NOTIFlCA TION. (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
whieh 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, 110
State Street, Albany, New York 12236.
12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES
AND WOMEN. In accordance with Section 312 of the Executive Law
if this contract is: (i) a written agreement or purchase order instrument:
providing for a total expenditure in excess of $25,000.00, whereby a
contracting agency is committed to expend or does expend funds in return
for labor, services, supplies, equipment, materials or any combination of
the foregoing, to be performed for, or rendered or furnished to the
contracting agency; or (ii) a written agreement in excess of$IOO,OOO.OO
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$1 00,000.00 whereby the owner of a State
June 2006
/\-.2
assisted housing projt;d is cOlllmitted 10 expcnd ur dUe:' 1:,l.pl~rld funds t~)[
the acquisition, construction, demolition, replacement, major repair or
renovation of real property and impro\iements thereon for such project,
then:
(a) .01e 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 ofaftirmative action to ensure that minority group members and
women arc afforded equal employment opportunities without
discrimination. Affirmative action shall mean recruitment, employment,
job assignment, promotion, upgradings, demotion, transfer, layoft~ 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 represcntative 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 reprc..o;;entative will affinnatively cooperate in the
implementation of the contractor's obligations herein; and
(c) the Contractor shall state, in all solicitations or advertisements for
employees" that, in the performance of the State contract, all qualified
applicants will be afforded equal employment opportunities without
discrimination because of race, creed, color, national origin, sex, age,
disability or marital status.
Contractor will include the provisions of "a", "b", and "c" above, in every
subcontract over $25,000.00 for the construction, demol ition, 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 tile Contractor. Section 312 docs 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.
'Ine contracting agency shall dctennine 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.
15. LATE PAYMENT. Timeliness of payment and any interest to be
paid to Contractor for late payment shall be governed by Article II-A of
the State Finance Law to the extent required by law.
16. NO ARBITRATION. Disputes involving this contract, including the
breach or alleged breaeh 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 hI addititlll tn the methods ofscr\'icc
allo\vcd by the State Civ"jJ Practice Law & Rules ("CPLR"), Contractor
hereby consents to service of process upon it by registered or ccrtiticd
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 whieh service of process can be made.
Service by the State to the last known address shall be sufficient.
Contractor will have thirty (30) calendar days after service hereunder is
complete in which to respond.
18. PROHIBITION ON PURCHASE OF TROPICAL
HARDWOODS. The Contractor certifies and warrants that all wood
products to be used under this contract award will be in accordance with,
but not limited to, the specifications and provisions of State Finance Law
S 165. (Use of Tropical Hardwoods) which prohibits purchase and use of
tropical hardwoods, unless specifically exempted, by the State or any
governmental agency or political subdivision or public benefit corporation.
Qualification for an exemption under this law will be the responsibility of
the contractor to establish to meet with the approval of the State.
In addition, when any portion of this contract involving the use of woods,
whether supply or installation, is to be perfonned by any subcontractor,
the prime Contractor will indicate and certify in the submitted bid proposal
that the subcontractor has been infonncd and is in compliance with
specifications and provisions regarding usc of tropical hardwoods as
detailed in S 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 PRINCIPLESln 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 Northern 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 of
New York State to maximize opportunities for the participation of New
York State business enterprises, including minority and women-owned
business enterprises as bidders, subcontractors and suppliers on its
procurement contracts.
Information on the availability of New York State subcontractors and
suppliers is available from:
NYS Department of Economic Development
Division for Small Business
30 South Pearl St -- tll Floor
Albany, Ncw York 12245
Telephone: 518-292-5220
Fax: 518-292-5884
http://www.empire.state.ny.us
June 2006
1\-3
:\ directory ul clTtiticd lllirl(lrily and WOIllCfl-lHVIICd business enterprises
is available frolll:
NYS Depurtment of Economic Development
Division of Minority und Women's Business Development
30 South Pearl St -- 2nd Floor
Albany, New York 12245
Telephone: 518-292-5250
Fax: 518-292-5~03
http://www.cmpire.state.ny.us
The Omnibus Procurement Act of 1992 requires that by signing this bid
proposal or contract, as applicable, Contractors certify that whenever the
lotal 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 certificd minority and women-owned business
enterprises, on this project, and has retained the documentation of these
efforts to be provided upon request to the State;
(b) TIle Contractor has complied with the Federal Equal Opportunity Act
of 1972 (PL. 92-261), as amended;
(c) The Contractor agrees to makereasonableefforts to provide notification
to New York State residents of employment opportunities on this project
through listing any such positions with the Job Service Division of the
New York State Department of Labor, or providing such notification in
such manner as is consistent with existing collective bargaining contracts
or agreements. The Contractor agrees to document these efforts and to
provide said documentation to the State upon request; and
(d) The Contractor acknowledges notice that the State may seek to obtain
onset credits from foreign countries as a result of this contract and agrees
to cooperate with the State in these efforts.
21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are
hereby notified that if their principal place of business is located in a
country, nation, province, state or political subdivision that penalizes New
York State vendors, and if the goods or services they offer will be
substantially produced or performed outside New York State, the Omnibus
Procurement Act 1994 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. 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, 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 of all
manufacturing plants to be utilized by the bidder.
APPENDIX Al
Ageney-Speedic Clauses
1. This Agreement has been entered into pursuant to the following understandings:
A. Title 11 of the Environmental Protection Fund Act provides for State assistance to municipalities for
the State share of the cost of approved local waterfront revitalization projects as defined in the Act.
B. The Department of State (Department) is authorized by such Act to evaluate and detennine eligibility
of applications for funding of projects.
C. Based upon infonnation, representations and certifications contained in Contractor's application for
funding, including the Work Program as set forth in Appendix D, the Department has made a
determination of eligibility of funding for Contractor's project under such Act.
D. State funds (Funding Amount set forth on the Face Page) for this Project (Appendix D Program
Workplan) are provided pursuant to a reappropriation of funds originally made by Title 11 of the
Environmental Protection Fund Act.
E. The Contractor has demonstrated its ability to finance its share of the Project and has agreed to fund
its portion of the cost of the Project.
F. The 2006 "Request for Applications" required the Applicant to budget for costs associated with
training for projects which fall under the following categories: Urban Waterfront Redevelopment,
Preparing or Implementing WaterbodylWatershed Management Plans, Making the Most of Your
Waterfront, and Completing or Implementing a Local Waterfront Revitalization Program.
II. General
A. For the purposes of this Agreement, the terms "State" and "Department" are interchangeable, unless
the context requires otherwise.
B. The contract period as set forth on the Face Page is the inclusive period within which the provisions
of this Agreement shall be performed.
C. No liabilities are to be incurred beyond the tennination 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 detennines that it is in the best interest ofthe Department and the State to
provide additional time to complete the Project and 3) an extension agreement is approved in
accordance with Section IA. of the Agreement.
D. 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 perfonn all services to the satisfaction of the Department. The Contractor shall
provide all services and meet the program objectives described in Appendix D in accordance with:
provisions of this Agreement; relevant State, federal and local laws, rules and regulations,
administrative and fiscal guidelines; where applicable, operating certificates for facilities or licenses
for an activity or program, and conditions of applicable pennits, administrative orders and judicial
orders.
F. The Contractor shall submit with its request for final payment a Final Project Summary Report in the
format described in Appendix AI, Attachment 1, such forms to be provided Contractor by the
Department.
Appemli\ ;\ 1- Page 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 pennits, administrative orders, or judicial orders and this Agreement.
H. The Department will provide Contractor with a Quarterlv Contractor Report (Appendix AI,
Attachment 2) pursuant to the Department's Minority and Women-owned Business Enterprises
Program. In the event Contractor utilizes Minority and Women-owned Business Enterprises as
discussed in Section XIV in Appendix A I, such report shall be provided to the Department at the
address on the Quarterly Contractor Report.
I. The Contractor shall submit two copies of a "Project Status Report" (Appendix AI, Attachment 3)
on a six month basis for the periods ending June 30 and Decembcr 31. Rcports are duc no later than
30 days following the end of each reporting period.
III. Additional Rcquirements for Construction Proiccts
A. Project design, including preparation of final plans and spccifications, and supervision of
construction shall be undertaken by a qualified architect and/or enginecr Iiccnsed to practice in the
State ofNcw York. Thc Contractor shall submit final plans and spccifications to thc Department for
its acccptance bcforc initiating construction work or, if thc Contractor intends to subcontract for
construction work, before thc work is advertised for bidding. No changc to project plans may be
made without the prior written approval of the Department. The Contractor shall also be responsible
for erecting a project sign satisfactory to the Department identifying the Project. The project sign
shall rcmain in placc for the useful life of thc improvements undcrtaken pursuant to this Agreement.
Upon completion of the Project, the Contractor shall submit to the Department a proper certification
from a Iicenscd architect or engineer.
B. The State shall make periodic inspections ofthc project both during its implementation and after its
completion to assure compliance with this Agreement. The Contractor shall allow the State
unrestricted access to work during the preparation and progress of the work, and provide for such
access and inspcction by the State in all construction contracts relating to the proj ect.
C. Thc Contractor shall be responsiblc for assuring that the project is designed and constructed in
conformance with the Uniform Fcderal Accessibility Standards (OF AS - Appendix A to 41 CRF part
101-19.6), thc Americans with Disabilities Act Acccssibility Guidelincs (ADAAG - Appendix A of
Title 9 NYCRR). Where there are discrepancies among the sets of standards with regard to a
particular design/construction requiremcnt, the one providing for the greatcst degree of
accommodation for thc disabled shall apply.
D. It is the Contractor's responsibility, pursuant to Section 57 of the Workers' Compensation Law, to
maintain for Statc audit and review either proof that they have Workers' Compensation coveragc for
any employees, or a waiver statement from the New York State Department of Labor. The
Contractor must also obtain from any contractor or sub-contractor hired to provide a service pursuant
to this Agreement, similar proof or waiver from the contractor or subcontractor, and must maintain
such documentation on file for audit.
IV. Reports, Documents and MaDS
The Contractor shall, where appropriate, identify documents, reports, and maps produced in whole or in
part under this Agreement by endorsing on said documents, reports, and maps the following:
"This (document, report, map, etc.) was prepared for the New York State Department of
Appendix /\ 1- Page 3
State with funds provided under Tille 11 oCthc Environmental Protection Fund Act."
V. License to use and reproduce documents and other works:
By acceptance of this Agreement, Contractor transfers to the Department a nonexclusive license to use,
reproduce in any medium, and distribute any work prepared for or in cormection with the Project,
including but not limited to reports, maps, designs, plans, analysis, and documents regardless of the
medium in which they are originally produced. Contractor warrants to the Department that it has
sufficient title or interest in such works to license pursuant to this Agreement. Such warranty shall
survive the termination of this agreement. Contractor agrees to provide the original of each such work,
or a copy thereof which is acceptable to the Department, to the Department before payments shall be
made under this Agreement.
VI. Contractors Insurance Requirements
A. Prior to the commencement of the Work, the Contractor shall file with the Department of State,
Division of Coastal Resources, Certificates of Insurance evidencing compliance with all
requirements contained in this Agreement. Such Certificate shall be of fonn and substance
acceptable to the Department.
B. Acceptance and/or approval by the Department does not and shall not be constmed to relieve
Contractor of any obligations, responsibilities or liabilities under the Agreement.
C. All insurance required by the Agreement shall be obtained at the sole cost and expense of the
Contractor; shall be maintained with insurance carriers licensed to do business in New York State;
shall be primary and non-contributing to any insurance or self insurance maintained by the
Department; shall be endorsed to provide written notice be given to the Department, at least thirty
(30) days prior to the cancellation, non-renewal, or material alteration of such policies, which notice,
evidenced by return receipt of United States Certified Mail which shall be sent to New York State
Department of State, 41 State Street, Albany, New York 12231-0001; and shall name the People of
the State of New York and their directors officers, agents, and employees as additional insured
thereunder.
D. The Contractor shall be solely responsible for the payment of all deductibles to which such policies
are subject.
E. Each insurance carrier must be rated at least "A" Class "VII" in the most recently published Best's
Insurance Report. If, during the term of the policy, a carrier's rating falls below "A Class "VII", the
insurance must be replaced no later than the renewal date of the policy with an insurer acceptable to
the Department and rated at least "A" Class "VII" in the most recently published Best's Insurance
Report.
F. The Contractor shall cause all insurance to be in full force and effect as of the date of this Agreement
and to remain in full force and effect throughout the term of this Agreement and as further required
by this Agreement. The Contractor shall not take any action, or omit to take any action that would
suspend or invalidate any of the required coverages during the period of time such coverages are
required to be in effect.
G. Not less than thirty (30) days prior to the expiration date or renewal date, the Contractor shall supply
the Department updated replacement Certificates of Insurance, and amendatory endorsements.
H. Unless the Contractor self-insured, Contractor shall, throughout the term of the Agreement or as
otherwise required by this Agreement, obtain and maintain in full force and effect the following
insurance with limits not less than those described below and as required by the terms of this
Appendix 1\ 1- Page 4
Agreement, or as required by law, whichever is greater (limits may be provided through a
combination of primary and umbrella/excess policies). Where Contractor is self-insured, Contractor
shall provide suitable evidence of such to the Department relating to the risks and covcrage amounts
as provided hcreunder.
I. Comprehensivc Liability Insnrance with a limit of not less than $1,000,000 each occurrence.
Such liability shall be written on the Insurance Service Office's (ISO) occurrencc form CG 00 0 I,
or a substitute form providing equivalent coverages and shall cover liability arising from
premises operations, indepcndent contractors, products-completed operations, broad form
property damage, personal & advertising injury, owners & contractors protective, cross liability
coveragc, liability assumed in a contract (including the tort liability of another assumed in a
contract) and explosion, collapse & undcrground coverage.
a. If such insurancc contains an aggregate limit, it shall apply separately to this location.
b. Products and Completed Operations coverage shall include a provision that coverage will
extend for a period of at least twelve (12) months from thc date of final completion and
acccptance by the owner of all of Contractors Work.
2. Where the Project described in Appendix D includes the construction of any structure or
building, a Builder's Risk Policy until the Project is completcd and accepted in the amount of the
total proj ect cost.
3. Workers Compensation, Employers Liability, and Disability Bencfits as required by New York
State. Workers Compensation Policy shall include the U.S. Longshore & Harbor Workers'
Compensation Act endorsement.
4. Comprehensive Automobile Liability Insurance with a limit of not less than $1,000,000 each
accident. Such insurance shall cover liability arising out of any automobile including owned,
leased, hired and non owned automobiles.
5. Commercial Property Insurance covering at a minimum, the perils insured under the ISO Special
Clauses of Loss Form (CP 10 30), or a substitute form providing equivalent coverages, for loss or
damage to any owned, borrowed, leased or rentcd capital equipment, tools, including tools of
their agents and employees, staging towers and forms, and property of DOS held in their care,
custody and/or control.
6. An Owner's Protective Liability Policy with limits no less than $1,000,000 in the name of the
Contractor.
I. Professional consultants retaincd by thc Contractor in connection with the Project shall show
evidenee of professional liability insurance with limits no less than $1 million.
VII. Propertv
A. Pursuant to the provisions set forth in Section V, page 3 of this Agreement, the ownership of all
property described therein shall reside with the Contractor unless otherwise specified in writing by
the Department at any time during the term of this Agreement and up to thirty (30) days following
the issuance of the final payment.
B. Contractor warrants that it has fee simple or such other estate or interest in the site of the Project,
where the Project is undertaken at a site, including easements and lor rights -of-way sufficient to
Appendix A 1- Page 5
assure undisturbed use and possessIOn for the purposes of construction and operation for the
estimated life of the Project. Contractor further acknowledges that where such Project is undertakcn
on or involves the usc of lands for activc or passive recreational use, it is a material term of this
Agreement that such lands shall be available for such recreational use by thc People of the Slate of
New York. Additionally, Contractor shall not limit access or discriminate on the operation ofthe
facilities against any person on the basis of place of residence, race, creed, color, national origin, sex,
age) disability or Inarital status.
Vlll. Date/Time Warrantv
A. Contractor warrants that Product(s) furnishcd pursnant to this Contract shall, when used in
accordance with the Product documentation, be able to accurately process date/time data (inclnding,
but not limited to, calculating, comparing, and sequencing) transitions, including leap year
calculations. Where a Contractor proposes or an acquisition requires that specific Products must
perform as a packagc or system, this warranty shall apply to the Products as a system.
B. Where Contractor is providing ongoing services, including but not limited to: i) consulting,
integration, code or data conversion, ii) maintenance or support services, iii) data entry or processing,
or iv) contract administration services (c.g. billing, invoicing, claim processing), Contractor warrants
that services shall be provided in an accurate and timely manner without interruption, failure or error
due to the inaccuracy of Contractor's business operations in processing date/time data (including, but
not limited to, calculating, comparing, and sequencing) various date/time transitions, including leap
year calculations. Contractor shall be responsible for damages resulting from any delays, errors or
untimely performance resulting there from, including but not limited to the failure or untimely
performance of such services.
C. This Date/Time Warranty shall survive beyond termination or expiration of this Contract through: a)
ninety (90) days or b) the Contractor's or Product manufacturer/developer's stated date/time warranty
term, whichever is longer. Nothing in this warranty statement shall be construed to limit any rights
or remedies otherwise available under this Contract for breach of warranty.
IX. Fees
The Contractor may charge a reasonable fee for the use of any facility which is part of the project.
A. Except for the imposition of a differential fee schedule for non-residents of the municipality in which
the project is located, the establishment of any preferential user fee for any person or entity is
prohibited. Fees charged to non-residents shall not exceed twice those charged to residents.
B. Where there is no charge for residents but a fee is charged to non-residents, non-resident fees cannot
exceed fees charged for residents at comparable State or local public facilities.
C. Reservation, membership or annual permit systems available to residents must also be available to
non-residents and the period of availability must be the same for both residents and non-residents.
D. This provision does not apply to non-residents' fishing and hunting license fees.
X. Alienation
Where the Project is undertaken on or involves parklands or public waterfront land, the following
additional provisions apply:
Appclllhx A 1- Page (,
A. The Contractor shall not at any time sell or convey any facility or any portion of the Project acquired
or developed pursuant to this Agreement or convert such facility or any portion of the Project to
other than public park or public watcrfront purposes without the express authority of an act of the
Legislature, which shall provide for the substitution of other lands of equal fair market value and
reasonably equivalent usefulness and location to those to bc discontinued, sold or disposed of: and
such other requirements as shall be approved by State.
B. The Contractor agrees to own a property interest sufficient to maintain and operate the projcct in
perpetuity. The Contractor shall not authorize the operation of the project, or any portion thereof,
by any other person, entity, or organization pursuant to any management agreement, lease or other
arrangement without first obtaining the written approval of the State.
XI. Subcontracting Rcquirements
A. The Contractor may subcontract for all or any portion of the activities covered by this Agreement as
provided for in Appendix D, subject to prior written approval by the Department of any
subcontractor and the terms of any subcontract. Subcontractors shall comply with all applicable
requirements of the Agreement between the Contractor and the State.
XII. Compliance with Procurement Requirements
A. All contracts by municipalities for professional services, all contracts for construction involving not
more than $20,000 and all purchase contracts involving not more than $10,000 are subject to the
requirements of General Municipal Law S 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.
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 S I 03
were followed for all construction contracts involving more than $20,000 and more than $10,000 for
purchase contracts. In the case of construction contracts involving not more than $20,000, purchase
contracts involving not more than $10,000, and contracts for professional services, the municipal
attorney, chief legal officer or financial administrator shall certify that the procedures of the
municipality established pursuant to General Municipal Law S 104-b were fully complied with.
xm. Requirements for Contract GIS Products (2/04)
A. GENERAL MAP PRODUCT REQUIREMENTS - The following general cartographic
requirements must be adhered to by the Contractor:
I. Map Products -- The Division requires delivery of digital map products, unless otherwise
specified in the Request for Proposal (RFP), that meet the specifications outlined in this
GENERAL MAP PRODUCT REQUIREMENTS section and the ADDITIONAL DIGITAL
CARTOGRAPHIC FILE REQUIREMENTS section. If analog map products are required by the
RFP, they must meet specifications outlined in this GENERAL MAP PRODUCT
REQUIREMENTS section and the ADDITIONAL DIGITAL-READY MAP PRODUCT
REQUIREMENTS section.
2. Deliverable Format -- All digital map and attribute table files must be provided in MapInfo Tab
file format on Recordable CD or DVD, 3.5" floppy diskette media, external hard drive, via e-
mail attachment (preferably in a WinZIP file) or downloadable from an ftp site on the Internet.
Appendix A 1- Page 7
Alternatively, the digital products may bc provided in AreInfo/GIS cxpOli format (.eOO) or
ArcView shape tile fomlat on the same media types upon approval of the Division. All other
digital formats require prior approval of the Division. Coordination with the Division prior to
submission of digital media is required to ensure compatibility of the delivered materials.
3. Documentation -- A data dictionary must be ineIuded along with the map files describing file
contents and file names, as well as metadata for each file including map projection, horizontal
and vertical datums used, coordinate system, RMS accuracy and log sheet, information sources
and dates, the map maker and date of preparation, and creation methodology. Data provided
under federal funds must be provided in a manner which meets Digital Geospatial Federal
Geographic Data Committee Metadata Standard as executed by Executive Order 12906, April!l,
1994, "Coordinating Geographic Data Acquisition and Access: the National Spatia! Data
Infrastructurell .
4. Map Accuracy -- Unless otherwise stated in the RFP, all deliverable map products must conform
to National Map Accuracy Standards for horizontal and vertical accuracy as established by the
United States Bureau of the Budget, June 10, 1941, revised June 17, 1947. For example, for
maps at I :20,000 or smaller, not more than 10% of the well-defined map points tested must be
more than l/50 inch (0.508 mm) out of correct position. At I :24,000, this tolerance translates to
a required horizontal accuracy of 40 feet. If by prior agreement with the Division the map
product does not conform to National Map Accuracy Standards, then a statement of actual map
accuracy should be included in the Documentation above. Furthermore, hydrographic surveys
and maps should conform to recommended accuracy standard proposed in the joint USGS, NOS,
Coastal Mapping Handbook, 1978, Melvin Ellis editor, U.S. Government Printing Office,
Appendix 6.
5. Datums -- Unless otherwise specified in the RFP, all map products should be referenced to the
North American Horizontal Datum of 1983 (NAD83) and the National Geodetic Vertieal Datum
of 1988 (NGVD88).
B. ADDITIONAL DIGITAL CARTOGRAPHIC FILE REQUIREMENTS - The following
cartographic construction requirements must be adhered to by the Contractor:
I. Edge-matching -- All map sheets must be both visually and coordinate edge-matched with
adjacent map sheets. No edge-match tolerance will be allowed. Attributes for splitable features
must also be identical.
2. Common Boundaries -- All features that share a common boundary, regardless of map layer,
must have exactly the same coordinate position of that feature in all common layers.
3. Point Duplication -- No duplication of points that occur within a data string is permitted.
4. Connectivity -- Where graphic elements visually meet, they must also digitally meet. All
confluences of line and polygon data must be exact; "overshoots", "undershoots", "slivers", or
"offshoots" are NOT permitted.
5. Line Quality -- A high quality cartographic appearance must be achieved. Transitions from
straight lines to curvilinear elements must be smooth, with angular inflections at the point of
intersection. The digital representation must not contain extraneous data at a non visible level.
There should be no jags, hooks, or zero length segnlents. Any lines that are straight, or should be
straight, should be digitized using only two points that represent the beginning and ending points
of the line.
Appendix AI- Page 8
6. Polygon Closure -- For area features being digitized, the last coordinate pair must be exactly
(mathematically) equal to the first coordinate pair. No line or polygon must cross itself except to
join at an actual confluence. All digitized features across map boundaries must be edited to
effect smooth and continuous lines.
7. Graphic Precision -- Positional coordinates for all digital graphic elements should not be reported
to a level of precision greater than onc thousandth (.001) of a foot.
8. Digitizer Accuracy -- The required RMS error for digitizer accuracy must be 0.003 or better for
digital map registration.
C. ADDITIONAL DIGITAL-READY MAP PRODUCT REQUIREMENTS -- The following
rcquirements for largc scalc, non-digital map products must be followed to facilitate the future
conversion of the maps to digital map products. All large lonnat, non-digital map products must bc
provided on stable basc material at a scale stipulated in the RFP. The map products must ineludc an
indcx map to all map sheets and thorough dcscriptions of all thc cartographic clements portrayed on
the maps.
I. Basc Map Mcdia -- All maps must bc created on mylar or other stablc basc material.
2. Map Scale h All maps of a similar series should be crcated using the same base scale. Unless
otherwise stated by the Division, all maps should be compiled at I :24,000. If other map scales
are approved by the Division, where possible they will conform to standard map scales such as
1:9600; 1:50,000; I :75,000; or I: 100,000.
3. Map Registration -- The maps must provide a minimum of four (4) comer and four (4) interior
ti"cks tied to USGS/NYSDOT quadrangle Lat/Long or NYTM coordinates. The maps must be
geometrically correct and should register when overlaid on the appropriate USGSINYSDOT
quadrangle control ticks.
4. Map Title and Legend -- The maps must provide a title and legend block describing thc
infonnation contained on the maps, and including the Documentation and Datums infomlation
requested in the GENERAL MAP PRODUCT REQUIREMENTS above and the map scale.
5. Cartographic Quality -- The quality of all map line work and symbolization must conform to
items I - 6 in the map criteria set forth in the ADDITIONAL DIGITAL CARTOGRAPHIC FILE
REQUlllliMENTS section outlined above.
D. CONTRACT DATABASE STANDARDS
I. Delivery Media - All database and tabular files must be provided on digital media as specified
above in Deliverable Format.
2. Software Fonnat -. Database and tabular files can be provided in Corel Quattro, Microsoft Excel
or Microsoft Access format. Other formats that are convertible to one of the aforementioned
formats may be used with prior approval of the Division.
3. Geographic Attributes -- Database and tabular files that contain 'elements with a geographic
reference must provide a corresponding data field and a geographic coordinate pair for each
feature location.
XIV. Pavment and Records Retention
Appendix Al- Page 9
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
paymcnts 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 tenninate 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 thercfrom 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 tenn of this Agreement and for a period of six years after its tennination, the Contractor
shall make all such books and records available to the Department and the Office of the State
Comptroller, or their designated representatives, for inspection and audit.
XV. Euual 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.
XVI. 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 Executive Law. This law supersedes any
other provision in state law authorizing or requiring an equal employment opportunity program or a
program for securing participation by minority and women-owncd business enterpriscs. Under this law,
all state agencies must, subject to certain exceptions, establish goals for minority and women-owned
business patticipation in certain state contracts and grants. Where MWBE goals arc required, even in
circumstances where this goal is zero, a Quarterly Contractor Report is required to be submitted to the
Minority and Women-owncd Business Program of the Department on forms provided by the Department,
as set forth in Appendix AI, Attachment 2.
Article 15-A requires that mles and regulations be established for contracts entered into by the
Department. In accordance with Article 15-A, goals must be set for contracts entered into by the
Department in excess 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, constmetion, demolition, replacement, major repair, renovation or improvement of real
property. In applying these mles and re!,'"dations, thc Department must consider the availability of
certified lninority and women-owned businesses in the region in which the state contract will be
perfonned, the total dollar value of the contract, the scope of work to be performed, and the projcet sizc
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 performanec of thc
state contract, reportcd by ethnic background, gcnder, and Federal Occupational Categories.
Appendix Al- Page 10
After a bid opening and prior to the award of a state contract, the contractor will submit an Equal
Emplovment Opportunitv mEO) Policv Statement to the Department within the time frame established
by the Department. The law requires that, as a precondition to entering into a valid and binding state
contract, the contractor will agree to the following stipulations and will include them in the EEO Policv
Statement:
· The contractor will not discriminate against any employee or applicant for employment
because of race, creed, color, national origin, sex, age, disability or marital status.
· The contractor will undertake or continue existing programs of affirmative action to ensure
that minority group members and women arc afforded equal employment opportunities without
discrimination because of race, creed, color, national origin, sex, age, disability or marital status.
For these purposes, at1ilmative action applies in areas of recruitment, employment, job
assigmnent, promotion, upgrading, demotion, transfer, layoff, or tennination 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 alllevcls and in all segments of its work force on state contracts,
and the contractor will document these efforts.
· The contractor will state in all solicitations and advertisements for employees that, in the
performance of the state contract, all qualified applicants will be afforded equal employment
opportunities without discrimination because of race, creed, color, national origin, sex, age,
disability or marital status.
· The contractor will, at the request of the Department, request each employment agency, labor
union, or authorized representative of workers with which it has a collective bargaining or other
agreement or understanding, to furnish a written statement that such employment agency, labor
union, or representative will not discriminate because of race, creed, color, national origin, sex,
age, disability or marital status, and that such union or representative will at1innatively cooperatc
in the implementation of the contractor's obligations herein.
· The contractor will include the provisions regarding the EEO Policv Statement and the
Staffing Plan ennmerated above in each and every subcontract of a slate contract in such a
mamler that the subcontractor is bound by these requirements.
· Failure to provide an EEG Policv Statement and a StatTIng 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
Employment Utilization Revort, 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
Depmtment 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 at1irmative 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 Depmtment'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
Appendix A 1- Page I I
Development website at: http://www.cmpire.state.nv.us. double click (lcft column) on: NY v BIZ (Doing
Busincss in Ncw York); put the curser over: Small and Growing Business and, from that menu, click on:
Minority and Women-Owned Busincss. From the center column, highlighted in blue, click on the bullet:
"Scarch the Directory ofCertitied Minority- and Women-Owned Business Enterprises."
The Dcpartment makes no represcntation with rcspect to thc availability or capability of any busincss
listed in thc Directory.
XVII. Noticc of Public Proceedings
The Contractor agrccs to provide the Department with prompt and timcly written notice at least two
wecks in advance of all public proceedings, including, but not Iimitcd to; public meetings or hearings,
relating to the Proj ect.
XVIII. Submission of all correspondence and documentation
A. The Contractor agrees to provide the Departmcnt with uriginal and two copies of all documentation
relating to this Project, including, but nut limitcd to: notices of public mectings, products described
in Appendix D, and payment request documentation as dcscribed in Appendix C.
B. All infonnation as described in A. above shall includc the NYS Comptroller's # as indicated on the
Face Page of this Agrccmcnt.
XIX. Environmcntal Rcview
A. Contractor agrccs to provide thc Dcpartment, in a timely manncr, with all doeumentatiun, including
but not limited to, permit applications, environmental assessments, designs, plans, studies,
environmental impact statements, findings, and determinations, relating to the Project.
B. Contractor acknowledgcs that eompliancc with the State Environmental Quality Rcview Act is a
material tenn and condition of this Agreement. In no evcnt shall any payments be made under this
Agreement until Contractor has provided Department with appropriate documentation that contractor
has met any requirements imposed un Contractor by the State Environmcntal Quality Review Act.
XX. Default and Termination
A. The Department may terminate the Agreement in accordance with the terms and conditions in
Seetiun Ill.
B. In addition to whatever other reserved rights it has to terminate the Agreemcnt, the Dcpartment may
tenninate the Agreement when it is in the best interests of the State or (I) for cause, (2) for
eonvcnienee, or (3) due to unavailability of funds.
C. If the Department detennines the Contractor has breached a term of the Agreement and if the
Department determines the defcct can bc remedied, it may issue a written notice providing thc
Contractor with a minimum of 30 days to correct thc defect and the notice may include a prospective
tennination datc. If the Contractor fails to eon'eet the defect or fails to make a good faith effort to do
so as determined by the Department to the Department's satisfaction, the Department may terminate
the Agreement for cause.
D. The Department shall also have the right to postpone or suspend the Agreement or dcem it
abandoned without this action being a breach of the Agreement. The Depmtment shall provide
written notice to the Contractor indicating the Agreement has been postponed, suspended or
Appendix Al- Page 12
abandoned. During any postponement, suspension or abandonment the Contractor agrees not to do
any work under the Agrecment without prior written approval of the Dcpartment.
E. In thc event thc Agreement is postponed, suspended, abandoncd or tenninated, the Department shall
make a settlement with the Contractor upon an equitahle basis in good faith and under the general
compensation principles and rates established in the Agreement by the Department. This settlement
shall fix the value of the work which was performed by the Contractor to the Department's
satisfaction prior to the postponement, suspension, abandonment or termination of the Agreement.
F. Any funds paid to the Contractor hy the Department which are not expended undcr the terms of the
Agreement shall be repaid to the Department.
XXI. Fully-Executed Agreement or Amendment Thereto
A. If this Agreement, or amendments thereto, allocates funds totaling $15,000 or less, it shall be deemed
to bc 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 fully cxecuted whcn approved by the Officc of the State Comptroller.
A I, Attachment 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 Coastal Resources 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 relav the importance. the significance and the value of
the comoleted 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 Municipality:
3. Actual Project Costs:
a. State funds expended (identify sourcc, ego EPF, Clean Water! Clean Air
Bond Act, etc.):
b. Local funds cxpcnded:
c. Other funds expended:
4. Project Manager: Name:
Title:
Mailing address:
Tel. number:
Fax number:
E-mail address:
(
(
)
)
5. Federal Tax Identification Number:
6. Project Background (briefly explain in a shOJi paragraph why this project was necessary, what it') value is and/or its
importance to the community):
7. Project Work (briefly dcscribe the work that was donc to complete thc project):
8. Project DescIiptions (use the following guidelines to describe the project and please be concise in the description):
a. For a Planning Project describe the findings or recommended strategies.
b. For a Design Project describe what is to be built.
c. For a Construction Project describe what was built.
9. Project Documentation: The Department of State, Divi:'iion of Coastal Resources requires a visual documentation of the
Environmental Protection Fund projects. Project products should be visually documented using a 35mm camera or a
digital camera. The 35rnm color slides and/or digital camera disc should be labeled and dated when submitted along with
the completed FINAL PROJECT SUMMARY REPORT.
Visuals should illustrate the final project product and, as appropriate, activities undertaken to complete the project. For
example, some projects would call for visuals that include photographs of volunteers participating in a wetland restoration
project (planting Spartina); photographs of historical signs markers, kiosks, etc. being placed; or photographs of an artist's
rendering of a waterfront design.
Design, planning, and construction projects call for different visual documentation. Therefore, the following guidelines
are suggested:
[!J For design projects, visuals of renderings and/or graphics that depict the final product.
Cil For planning projects, visuals of any graphics, where appropriate, that illustrate the final product.
LiJ For construction projccts, visuals of work in progress and the finished project.
In addition to the 35mm color slides/digital camera disc, a video (vhs format) ofthe project with a verbal description is
desirable but not mandatOlY. The video may be used in a future documentary.
AI, Attachment 2
NYS Department of State . Minority and Women-owned Business Enterprises Program
41 State Street Albany NY 12231-0001 . (518) 474 - 5741
Minority and Women-owned Business Enterprises (MWBE) Program
Quarterly Contractor Report
INSTRUCTIONS:
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
[J MBE $
[J WBE
[] MBE
0 WBE
0 MBE
0 WBE
[J MBE
[J WBE
o MBE
o WBE
o MBE
oWBE
o MBE
oWBE
[J MBE
oWBE
o MBE
o WBE
PAGE 1 of
Al - Attachment 3
}'rojcct Status Form
RECIPIENT
CONTRACT #
PROJECT TITLE
Status Report Date:
Task
#
Brief Task
Description
NT
Date of
Completion
Percent of
Completion
Task Accomplishments
Product
Submitted
to DOS
ADJUSTMENTS - Please indicate proposed adjustment(s) to work program/schedule, reason(s) for the proposed
adjustment(s), aud any other problems encountered durin!! this reportin!! period:
Person to contact if we have questions about the information provided on this form:
Name:
Email Address:
Title:
Affiliation:
Phone:
Fax:
Appendix B
BUDGET SUMMARY
A. Salaries & Wages (including Fringe Benefits)
B. Travel
C. Supplies/Materials
D. Equipment
E. Contractual Services
F. Other
$147,580.00
$0.00
$2,750.00
$0.00
$151,362.00
$0.00
TOTAL PROJECT COST
$30 I ,692.00
,'.1
Total State Funds
Total Local Share
$150,846.00
$150,846.00
B-2
Appendix 13 (Budget Detail Sheet)
A. SALARIES & WAGES
TITLE
ANNUAL
SALARY
AMOUNT
CHARGED TO THIS
PROJECT
Town Attorney $135,000,00 $35,605,00
Assistant Town Attorney $112,500,00 $29,664,00
Chief Building Inspector $101,559,00 $8,928,00
Acting Depmtment Head/LWRP Coordinator $88,376,00 $30,110,00
Town Engineer $62,871.00 $12,600,00
Land Preservation Coordinator $102,526,00 $9,012,00
Senior Planner $78,661.00 $6,909,00
Environmental Technician $84,362,00 $8,280,00
Secretarial Assistant $73,119,00 $6,472.00
SUBTOTAL $147,580,00
I B. TRAV'" II
SUBTOTAL $0,00
c. SUPPLIES/MATERIALS
Paper/copy supplies / rcport supplics for drafts and publishing
SUBTOTAL
$2,750,00
D, EQUIPMENT
SUBTOTAL
$0,00
B-3
Appendix B (Budget Detail Sheet Continued)
E. CONTRACTUAL SERVICES
Conlractual services related to the review and evaluation of Town of Southold Town Code and the
development of recommendations to revise said code in a way that resolves inconsistencies with the
Town's Local Waterfront Revitalization Program.
SUBTOTAL
$151,362.00
F. OTHER
SUBTOTAL
$0.00
APPENDIX C
Payment and Reporting Schedule
I. Payment Schedule
A. The Department shall make intcrim payments for eligible costs incurred up to an amount not to exceed
90% of the State Share Funding Amount. The final payment will be made upon satisfactory completion
of the Project.
B. Not more frequently than once every 30 days, a properly executed payment request, on forms as
prescribed by the Department documenting total project costs incurred to date, may be submitted.
I. Payment provided above shall be made to the Contractor upon the submission by the Contractor
of properly executed payment request. Such request shall contain the following: (I) "Summary
Sheet Documentation Forms" as provided by the Department, for reimbursement of actual and
eligible expenditures, (2) the reqnired work products, and (3) a properly executed State Voucher.
2. Payment requests will be reviewed in accordance with the terms and conditions of this
Agreement to detennine total allowable project costs incurred and the number and percentage of
allowable project tasks completed to date. For the purpose of determining the level of
reimbursement, otherwise allowable project costs may be reduced if the percentage of task
completion is deemed insufficient.
3. Total allowable project costs, adjusted pursnant to 2. above, will be prorated between State Share
and Local Sharc costs in the same proportions as Total State Share is to Total Local Share as set
forth on the Face Page.
4. Interim payments will be issued in amounts cqual to the State Funds calculated in 3. above, less
outstanding advance paYlnents.
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 Agreemcnt.
n. Reporting
A. Payment requests as described in LB. above shall be certified by a duly authorized representative of the
Contractor as accurately representing such accomplishments and expenses as recorded in the
Contractor's accounting records, including, where goods or services arc 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 reimburscment or costs and
services received from other sources.
C-2
B. Notwithstanding the above requirements, upon written notification by the Department, the Contractor
may be required to submit source documentation and additional verification of allowable expenditures.
C. Payment requests shall be submitted to:
New York State Department of State
Contract Administration Unit - LWRP
41 State Street - 10th Floor
Albany, New York, 12231-0001
D. Claimed expenditures per cost category may not exceed the amounts indicated in the Budget, Appendix
B, by ten percent (10%) without approval of the Department, provided that the Total Project Cost as set
forth in Appendix B, Budget Summary is not exceeded. Any expenditure in excess of such 10% or that
changes the State Share or Local Share funding amount shall require an amendment to the Project
Budget submitted in writing by the Contractor and approved by the Department. No expenditures shall
be allowed for items not set forth in the Project Budget without written approval of the Department.
III. Other
A. Notwithstanding the submission of timely and properly executed payment requests, the Department
shall be under no obligation to make payment for expenditures incurred without the prior Department
approvals and/or amendments required under this Agreement and, further, shall have the right to
withhold any such payment pending the cxecution of such approval and/or amendment.
B. Interest income eamed on funds reccivcd pursuant to tbis Agreement shall be used to further the
purpose of this Project or shall be deducted Irom total eligible cost to determinc the net eligiblc costs to
be rcimbursed by the DepaItment.
C. The Dcpartment shall havc the right to conduct on-sitc progress assessments and reviews of the Project
and Contractor's books and records during the life of this Agrccment and for a rcasonable time
following issuance of thc FINAL paymcnt. 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 tenninate or suspend this
Agreement, if found that the Contractor has misrepresented any expenditures or projcct 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 thc
Department and project activities conducted pursuant to this Agreement, and shall make all such books
and records available to the Departmcnt, thc Office of the State Comptroller, or their designated
representativcs for inspection and audit for a period of six years following termination of this
Agreement.
APPENDIX D
I'ROGRAM WORK I'LAN
Contractor:
Town of Sonthold
Contract Number:
C006789
Program Contact Person:
Mark Terry
Phone:
631.765.1938
Fax:
631.765.3136
Planning and Development of Sonthold Town Code Revisions
1. Project Description:
The Town of Southold (Contractor) will evaluate the Town Code and propose amendments to implement
the goals and objectives of its Local Waterfront Revitalization Program (LWRP). Work will focus on
revising code definitions, chapter language, zoning districts and their associated permitted and special
exemption uses. Town staff will be assisted by a consultant team in conducting this project.
The purpose of the project is to implement and advance the intent and policies of the Town's LWRP
through the re-evaluation of the Town of Southold Town Code definitions, language, and permitted and
special exception uses to identify inconsistencies and conflicts with the intent and policies of the LWRP
and recommend to the Town of Southold Town Board code amendments that would meet and/or further
the intent and policies of the LWRP. The result of the project will be a cohesive, effective, and
enforceable Town of Southold Town Code that is consistent with the intent of the L WRP and the thirteen
adopted policies.
2. Project Attribntion and Number of Copies
The Contractor must ensure that all materials printed, constructed, and/or produced acknowledge the
contributions of the Division of Coastal Resources to the project. The materials must include the
following acknowledgment:
"This (documellt, report, map, etc.) was preparedfor the New York State Departmellt of State
Divisioll of Coastal Resources withfullds p/'Ovided ullder Title 11 of the Ellvirollmelltal
Protectioll FUlld."
The contributions of the Division of Coastal Resources must also be acknowledged in community press
releases issued for the project. Projcct press releases shall be submitted to the Division for review and
approval prior to release to ensure appropriate attribution.
The Contraetor must submit to the Division of Coastal Resources three copies of all written reports and
supporting graphics, final design documents, and other printed materials.
0-2
3. Compliance with Procnrement Reqnirements
The municipal attorney, chief legal of1icer, or financial administrator for the municipality (Contractor)
shall celtify to the Division of Coastal Resources that applicable public bidding proccdures of General
Municipal Law ~ I 03 were followed for all construction contracts involving more than $20,000 and more
than $10,000 for purchasc contracts. In the case of construction contracts involving not morc than
$20,000, purchase contracts involving not morc than $10,000, and contracts for professional services, the
municipal attorney, chief legal officer, or linancial administrator shall certify that the procedures of thc
municipality establishcd pursuant to General Municipal Law ~ 104-b wcre fully complied with.
I .
4. Pro.iect Components
Task I: Initial Projcct Scoping Meeting
The Contractor, the Division of Coastal Resources (OCR), project partners and any other
appropriate entities shall hold an initial meeting to review thc project scope, project
requirements, roles and responsibilities of project partners, the selection process for procuring
consultant services for the project, State Environmental Quality Review Act (SEQRA)
compliancc rcquirements, the number of public mcctings and techniques for public involvement
proposed for the project, and any other information which would assist in project completion. In
addition, the composition of a project advisory committee shall be discussed during initial
project scoping. Thc Contractor, or a designated project partner, shall prepare and distribute to
all projcct partners a brief meeting summary clearly indicating the a!,'Tecments/understandings
reached at the mceting. Work on subsequent tasks shall not proceed prior to OCR approval of
the proposed approach as outlined in the meeting summary.
l'roduct( s):
Scoping mceting with appropriate pmties. Written meeting summary outlining
agreements/understandings reachcd.
Task 2:
Establishmcnt of a Project Advisot)i Committce (if applicable)
The Contractor shall establish a Project Advisory Committee to oversee all aspects of the projcct
in cooperation with municipal officials and the project consultant(s), if applicable. The
committee shall be representative of project stakeholders, including representativcs of State and
municipal agcncies with jurisdiction over project activities or the projcct area, and non-
governmental and community based organizations. A draft list of proposed members shall be
circulated to OCR for rcvicw and approval prior to cstablishment of the committee.
Product(s):
Draft and tinallist of proposed members of projeet advisory committee. Project
advisory committee established by Contractor.
Task 3:
Request for Proposals
The Contractor shall draft a Request for Proposals (RFP) including a complete project
description with site conditions, cxpccted tinal results, a schedule for completion, and criteria for
sclecting a preferred proposal.
Task 4:
Task 5:
0-3
Thc Contractor shall submit thc RFP to OCR for review and approval prior to rclease for
solicitation of proposals.
Product(s):
Approvcd RFP rcleased through advisement in local papers, the New York State
Contract Reporter, and other appropriate means.
Consultant Selection and Compliance with Procurement Requircmcnts
In consultation with OCR, the Contractor and an appropriate review committcc shall review all
proposals reecivcd as a result of the RFP. At a minimum, the following criteria are suggested for
use in evaluating consultant responses:
Quality and completeness of the response.
Understanding oflhe proposed scope of work.
Applicability of proposed alternatives or enhancements to information requested.
Cost-cffectivcncss ofthc proposal.
Qualifications and rclevant cxpericnce with rcspcct to the tasks to be performed.
Reputation among previous clients.
Ability to complete all project tasks within the allotted timc and budgct.
Incomplete proposals that do not address all oCthc rcquestcd components should not be accepted
for review and consideration.
For preparation/certification of final designs and construction doeumcnts, and for supervision of
construction, a professional engineer or licenscd arehiteet/landscape architect is required.
The municipal attorney, chief legal officer or financial administrator of the municipality shall
ceriify in writing to the OCR that applicable provisions of General Municipal Law were fully
complied with.
The Contractor's procurement record and consultant selection is subject to approval by OCR.
l'roduct(s):
Consultant(s) selccted and approved by nCR. Written ceriification of
procurement procedures.
Subcontract Preparation and Execution
The Contractor shall preparc a draft subcontract or subcontracts to conduct project work with the
consultant(s) selected. Thc subcontract(s) shall contain a detailed work plan with adequatc
opportunity for rcvicw at appropriate stages ofprojcct completion, a payment schedule
(payments should be tied to receipt of products), and a projcct cost. The subcontraet(s) shall
specify the composition of thc entire consultant team, including firm name and area of
responsibility/expcrtise, and those professionals fi'om the consultant team or consulting finn that
will be directly involved in specific project tasks. Thc Contractor shall submit thc draft
subcontract(s) to DCR for review and approval, and shall incorporate OCR's comments in the
final subeontract(s). A copy oflhe final, executcd subcontract(s) sball be submitted to OCR.
l'roduet(s):
Draft and final, executed consultant subcontracts.
D-4
Task 6:
Second Project Scoping Meeting
In consultation with DCR, the Contractor shall hold a second project scoping meeting with thc
consultant(s), the project advisory committee, and other project partners as appropriate, to review
project requirements, site conditions, and roles and responsibilities; identify new infOlmation
needs and next steps; and transfer any information to the eonsultant(s) which would assist in
completion of the projcet. The consultant(s) shall preparc and distribute a brief meeting
sununary clearly indicating the agreements/understandings reached at the meeting. Work on
subsequent tasks shall not proceed prior to DCR approval of the proposed approach as outlined
in the meeting summary.
Product(s):
Seoping meeting with appropriate parties. Written meeting summary outlining
agreements/understandings reached.
Task 7:
Review of Definitions in Town Code
The Contractor shall compile a listing of all definitions in the Town of Southold Town Code.
Once listed, definitions shall be reviewed for consistency, clarity and defensibility in legal
interpretation and whether the definitions fUlther the policies of the Town's LWRP.
Product(s):
Report that identifies inconsistencies and conflicts with definitions in the chapter
of Town Code and proposes amendments to inadequate definitions.
Task 8:
Rcview of Chaptcr Language in Town Code
The Contractor shall review the Chapter language in the Town of Southold Town Code and
idcntify sections of the code that rcquire revision to integrate and further the policics of the
L WID', and recommend to the T()wn Board revisions to code language to meet and/or further the
intent and policies of thc I,WRP.
Product(s):
Report that identifies inadequacies and confliets within each Chapter of Town
Code and proposes amendments to the "Imming and Town boards for
codification that will further the intent and policies of the Town's LWRP.
Task 9:
Evaluation of Recommended Lcgislative Changes
The Contractor shall evaluate for applicability and effectiveness legislative changes outlined in
Section V (Implementation) of the Town of Southold's LWRP, and recommend to the Southold
Town Board applicable revisions to the language of Town Code to integrate those legislative
changes suggested in the L WRP.
Product(s):
Report that evaluates legislative changes outlined in LWRP and recommends
revisions to Town Code to integrate applicable revisions in language.
0-5
Task] 0:
Review of Chapter 100 Zoning Districts
The Contractor shall review uses within all zoning districts to determine if the uses are consistent
with and/or further the policies of the Town's L WRP, and recommend to the Town of Southold
Planning and Town boards applicable revisjons to the permitted and special exception uses that
will cause the usc or special exccption use to bccomc consistent with and/or further the intent
and policies of the LWRP.
Product(s):
Report that rcviews uses within all zoning districts and recommends revisions to
the permitted and special exception uses to cause said uses to become consistent
with and/or further the intcnt and policies of the LWRP.
Task] 1:
Semi-annual Reporting
The Contractor shall submit to the OCR semi-annual reports (every six months) on the form
provided, including a description of the work accomplished, any problems encountered, and any
assistance needed. The report may be submitted as part of a payment request.
Produet(s):
Semi-annual reports during the life of the contract.
Task 12:
Measurable Results
The Contractor shall work with the OCR project manager to complete the Measurable Results
Form. Final payment shall not be authorized until the Measurable Results Form has been
completed and filed with project deliverables.
Produet(s):
Completed Measurable Results FOrtn.
S. Project Management Responsibilities
The Contractor shall administer the grant, exccute a contract with OCR, and ensure the completion of
work in accordance with the approved Work Plan. Unless otherwise specified in the Project Description
or under Project Components, the Contractor and/or its approved eonsultant(s) or subeontractor(s) shall
conduct all work as described in the component tasks.
The Contractor:
will be responsible for conducting all projcet work in confonnance with the Work Plan included
in the executed contract with the DCR.
will be responsible for all projcct activities including drafting request for proposals and
managing subcontracts with consultants and subconsultants.
will certify to the OCR that the procurement record for project consultants and subcontractors
complies with the applicable provisions of General Municipal Law.
will receive approval from the OCR for any and all consultant subcontracts before beginning
project work.
will be responsible for submission of allpr9ducts and payment requests.
will be responsible for coordinating participation and soliciting comments from local govcrnment
pcrsonnel, project volunteers, and the public.
D-6
will keep the DCR informed of all important meetings for the duration of this contract.
will receive approvalli'om the DCR before purchase of any equipment.
will secure all necessary permits and perform all required environmcntal reviews.
. will ensure that all materials printed, constructed, and/or produced reflect the Division of Coastal
Resourecs logo, feature the Secretary of State and the Governor, and acknowledge the
contributions of the Division to the project.
will ensure that all products prepared as a part of this agreement shall include the NYS
Comptrollcr's Contract /I as indicated on the Face Page of this Agrecment.
will ensure thc project objectives are being achieved.
will ensure that comments received from the DCR and the project advisory committee, or othcr
advisory group, are satisfactorily responded to and reflected in subsequent work.
will reco!,'llize that payments made to consultants or subcontractors covering work carried out or
products produced prior to receiving approvaJ from1he DCR will not be reimbursed unless and
until the DCR finds the work or products to be acceptable.
will participate, if requested by DCR, in a training session or sessions focused on developing and
implementing revitalization strategies. The purpose of the training session(s) is to build
knowledge and provide support to community leaders to advance revitalization efforts and
eompletc priority projects.
The Division of Coastal Resourccs:
will review and approve or disapprovc of subcontracts between the Contractor and consultant(s)
and any other subcontractor(s).
will participate in initial projcct scoping and attend meetings that are important to the project.
will review all draft and final products and providc comments as necessary to meet the
obj ectives.
must approve any and all design, site plan, and preconstruction documents before construction
may begin.
APPENDIX X
Agency Code: 19000
Contract Period:
Contract No.: C006789
Funding for Period: $ J 50,846
This is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Department of
Stale, having its principal ofllee at 41 State Street, Albany, New Yark, 12231 (hereinafter referred to as the STATE), and Town of
Southold (hereinafter referred to as the CONTRACTOR), for modification of Contract Number C006789, as amended above and
in attached Appendiee(s) _.. ___________.__
Terms and conditions of this amendment are subject to continued availability of funds for this contract.
All other provisions of said AGREEMENT shall remain in lull force and effect.
IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as of the dates appearing under their signatures.
CONTRACTOR SIGNATURE
13y:
DEPARTMENT OF STATE SIGNATURE
By:
(print name)
(print name)
Title:
Title:
Date: Date:
State Agency Certilication: "]n addition to the acceptance of this contract, ] also certify that original copies of this signature page will be attached to all other exact
copies of this conlrncl."
State of New York
County of________ .___.____ _...._____)8S:
On this
day of
____~_.__, 20___, before me personally came
to me
known, who, being by me duly swam, did depose and say that he/she/they rcside(s) in
_ "._ (if the place of resident is in a city, include the street
and street number, if any, thereof); that he/she/they is(are) the ~__~~__._~____ (title of officer or employee) of the
(name of municipal corporation), described in and which executed the above instlUl11ent;
and that helshclthcy signed his/her/their namc(s) thereto by authority or the governing body of said municipal corporation.
NOT ARY PUBLIC
Approved:
Thomas P. DiNapoli
Stale Comptroller
By:
Date:
STATE OF NEW YORK
DEPARTMENT OF STATE
41 STATE STREET
ALBANY, NY 12231-0001
ELIOT SPITZER
GOVERNOR
LORRAINE A. CORTES-VAzQUEZ
SECRETARY OF STATE
December 4, 2007
Honorable Scott A. Russell
Supervisor
Town of Southold
53095 Main Road
1'0 Box I I 79
Southold, NY 11971
~~ D~C~: ~'i~ ~
SUPERVISOR'S OFFICE
TOWN OF SOUTHOlO
Re: 2006 Environmental Protection Funds
Agreement IIC006789 - Planning and Development of Southold Town Code Revisions
Dear Supervisor Russell:
Enclosed arc one complete copy and three (3) signature and notary pages of an Agreement between the Town of
Southold and the DepaI1ment of State, an Agreement Information Form and Contract Administration Update
Form.
Aller reviewing the enclosures, please have the person authorized to execute this Agreement sign and have
notarized the Agreement on the signature pages, complete the Agreement Information Form and Contract
Administration Update Form and retulll the entire package to me. These pages must have original signatures.
Once received, we will forward the Agreement to our Contracts Administration Unit who will have it executed by
the Department of Slate, Office of the Attorney General and Omee of the State Comptroller (OSC). When fedly
executed, a copy of this Agreement will be returned to you.
If you have any questions regarding this Agreement, please contact Laurissa Parent at (518) 474-5559. If your
questions arc specific to detads of the workplan (Appendix D), please contact Dennis Mildner at (518) 474-4457.
Sin:;l'ely, .' .
h:~ #! ~L
~'1Jean M. Fuller
/ Sr. Administrative Assistant
// Division of Coastal Resources
//
1/
Enclosure
ee: V. DeBraeeio
Mark Terry
WWW.DOS.$TATE.NY.US . E~MAIL: lNFO@OOS.STATE.NY.US
MEMO TO FILE:
2006 Environmental Protection Funds
Agreement C006792
C006789
As per Mark Terry, the budget detail sheet attached as an appendix in both agreements
was prepared by him and checked by John Cushman. The amount charged to project is an
estimation and can be modified as necessary.