HomeMy WebLinkAboutLWRP Hamlet StudyRESOLUTION 2010-304
ADOPTED
DOC ID: 5865
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 2010-304 WAS
ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON
APRIL 20, 2010:
RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs
Supervisor Scott A. Russell to execute Grant Agreement #C006879 between the Town of
Southold and the NYS Department of State in connection with the Town of Southold
LWRP Hamlet Study, subject to the approval of the Town Attorney.
Elizabeth A. Neville
Southoid Town Clerk
RESULT: ADOPTED [UNANIMOUS]
MOVER: Christopher Talbot, Councilman
SECONDER: Louisa P. Evans, Justice
AYES: Ruland, Orlando, Talbot, Krupski Jr., Evans, Russell
Town of Southold - Agreement #C006879
Town of Southold LWRP Hamlet Study
Agreement Information Form
On the Face Page, is the Contractor's address correct?
If incorrect, please provide the correct address:
Y~ NO
On the Face Page, is the Federal Tax ID # shown correctly?
If incorrect (or missing) please provide the correct Federal Tax ID #:
Y~ NO
Have any costs shown in Appendix B been incurred and/or any tasks in Appendix D began? 3t~tS NO
If any costs shown in Appendix B have been incurred and/or any tasks in Appendix D have begun, please provide brief
description:
Enter proposed start date for contract: LI It's
Note: lf costs have been incurred, the start date must reflect the date you began incurring those costs (including match).
Enter proposed end date for contract:
Note: The initial contract term cannot exceed three years.
Signature of the Supervisor:
Printed Name of the Supervisor:
Date:
NOTE: For DOS to process the Agreement, this form must be completed in it's entirety.
Please return
following items
to DOS:
Complete Agreement
(3) signed and notarized signature pages
Signed Agreement Information Form
Signed Contract Administration Form
Address to
return to:
NYS Department of State
Contract Administration Unit
Attn: Laurissa Parent
One Commerce Plaza
99 Washington Avenue - Suite 1010
Albany, NY 12231-0001
Town of Southold - Agreement #C006879
Town of Southold LWRP Hamlet Study
CONTRACT ADMINISTRATION UPDATE FORM
Please update/specify information for up to (3) people to receive contract related correspondence from DOS and indicate which
person should be the primary correspondence recipient. The primary recipient must be an employee of the Town of $outhold and
will receive original DOS correspondence, with attachments. The other individuals listed will receive copies of DOS transmittal
letters, without attachments. NOTE: The Supervisor must be listed on this form, but does not need to be the primary
correspondence recipient.
[] No updates necessary Please make the following updates:
Supervisor
Town of Southold
53095 Main Road
POBox 1179
Southold, NY 11971-
Honorable Scott A. Russell O Prima~y recipient of correspondence fi'om DOS .-': Phone Number:
~ Copy this person on correspondence fi'om DOS
631-765-1889
i Email Address: -" Fax Number:
scott.r ussell~town.southold.ny.us 631-765-1823
~' ...... -'--- · --ic-~-t ¢¢',~-.c, ~,,,\ }\,-nq~ Copy this person on correspondence fi'om DOS
Town of Southold 631-765-'1~-~
53095 Main Road
PO Box 1179 Email Address: Fax Number:
Southold, NY 11971~o ~-~ e~x~x. 4-e~ ~'-t 631-765-~
~m~,,,a~aaaallltm ~ t ow ri.south old.ny.u s
Mr. John Cushman
Town Comptroller
Town of Southold
53095 Main Road
PO Box 1179
Southold, NY 11971-
[~ Primary recipient of correspondence fi'om DOS Phone Number:
Copy this person on correspondence fi'om DOS 631-765-4333
Email Address: Fax Number:
j ohn.cu shman~town.southold.ny.us 631-765-1366
Please list up to (3) individuals who are authorized to execute amendments and/or sign payment requests for this project:
Name:
Authorized for:
Title: ~'~a.~C~"~ ~'lFqff-~c:,~/ Amendments? ~'-"~Payments?
Title: ¢ t_',/x.~,, 9c~\ ~ i ~ lex h q v/Amendments? F"~f Payments?
Title: Amendments? ~-] Payments?
/7_
Signature of the Supervisor: ~ Date: I~.~ .~oI ~o~
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates
below their signatures.
Contract No. C006879
CONTRACTOR
town of Southold~_ ~
By:
(Pdm Name)
Title:
Date:
STATE AGENCY:
New York State Department of State
By:
(Print Name)
Title:
Date:
State Agency Certification
"In addition to the acceptance of this commct, I
also certify that original copies of this signature
page will be attached to all other exact copies of
this contract."
ACKNOWLEDGMENT
State ofNew~X~rk ~ fi, )
Cgunty of/~,'~ .;, tlJ~ )ss:
On this ~ day of ~ I~I~.C~ , in the year 20 ! O , before me personally appeared
~ e__ o"~ ~ .~_ S~e.~[ , to me known, who being by me ~l~aly sworn, did depose and say that
he/she is the G'°~,~Loo,~ of ~.rvx. c~ ~l~,theorganization
described in and which executed the above instrument; and that ~-e/ahe has the authority to sign on behalf of
said organization; and that he/s~;xecuted the foregoing~feme~t ~r and on behalf of said organization.
~ t 0 NOTARY' pUBLIc LYNDA M BOHN
NOTARY PUBLIC, State of New York
NO. 01~i;~020932, Suffolk County
Term Expires March 8, 20. ~ [
ATTORNEY GENERAL:
Approved:
Thomas P. DiNapoli
State Comptroller
Title: By:
Date: Date:
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates
below their signatures.
Contract No. C006879
CONTRACTOR
Town of Southol~d/~_~_._/... ~ . · ! L~
By:
(Prim Name)
Title:
STATE AGENCY:
New York State Department of State
By:
(Print Name)
Title:
Date:
State Agency Certification
"In addition to the acceptance of this contmet, 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 Yor~ /~ /xfi )
County of ~Lc,.~l/~d& )ss:
On this ~ day of ~ , in the year 20 [~ , before me personally appeared
~ C_oat~t ~.~. _u~ a*.. I ~ , to me known, who being by me duly sworn, did depose and say that
hed~'is the ..~ ~ ~I~, v'\! ~ ~o~- of "-~-J D co ~ ~ ~ o~a Id., the organization
described in and which executed the above instrument; and that heg~ has the authority to sign on behalf of
said organization; and that he/~'~ execut/0d the foregoing agreaent for and on behalf of said organization.
- UBUC ~ate of Ne~y~
~NOTARY PUB~LIC No. 011~6020932
~ualified in Suffolk Counl~
Term Expires March 8, 20.j.[,
ATTORNEY GENERAL:
Title:
Date:
Approved:
Thomas P. DiNapoli
State Comptroller
By:
Date:
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates
below their signatures.
CONTRACTOR
Town of Southold/
(PiCa~ Name)
Title:
Date:
Contract No. C006879
STATE AGENCY:
New York State Department of State
By:
(Prlnt Name)
Title:
Date:
State Agency Certification
"In addition to the acceptance of this comract, 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 Y ~~,.~ ~ss:
County of
yr
O this ~,~) dayo~f ~O~L , in the year 20 $0 , before me personally appeared
· ~ ~ [~(~-~_L~ ,to me known, who being by rile duly sworn, did depose and say that
he/e,h~'is the ~ .,.~_ of ~a__a__ox~ tO,.. ~ _~~h~x0, , the organization
described in and which executed the above instrument; and that he/~a~has the authority to sign on behalf of
said organization; and that he/~ae executed the foregoing/ggreement for and on behalf of said organization.
-, ~ - [ - . - ~{OTARY PUBUO, State of NewYor~
NOTARY PUBLIC No. 011~760209a2
TeQualified In Suffolk County
rm Expires March 8, 20 II
ATTORNEY GENERAL:
Title:
Date:
Approved:
Thomas P. DiNapoli
State Comptroller
By:
Date:
FACE PAGE
STATE AGENCY (Name and Address):
NYS Department of State
One Commerce Plaza
99 Washington Avenue - Suite 1010
Albany, NY 12231-0001
CONTRACTOR (Name and Address):
Town of Southold
53095 Main Road
Southold, NY 11971
FEDERAL TAX IDENTIFICATION NUMBER:
il-6001939
MUNICIPALITY #
NYS COMPTROLLER'S #: C006879
ORIG. AGENCY CODE: 19000
TYPE OF PROGRAM:
Environmental Protection Fund Act - 2007 LWRP
STATE SHARE FUNDING AMOUNT FOR
INITIAL PERIOD $335,250
LOCAL SHARE FUNDING AMOUNT FOR
INITIAL PERIOD $335,250
IINITIAL CONTRACT PERIOD:
FROM:
TO:
APPENDICES ATTACHED TO AND PART OF THIS AGREEMENT
APPENDIX A: Standard clauses as required by the Attorney General for all state contracts
APPENDIX A1:
Including
Agency-specific clauses
Attachment 1 - Final Project Summary Report
Attachment 2- Minority and Women-owned Business Enterprises (MWBE) Program
Quarterly Contractor Report
Attachment 3 - Project Status Form
Attachment 4 - Procurement Certification
APPENDIX B: Budget
APPENDIX C: Payment and Reporting Schedule
APPENDIX D: Program Work Plan
APPENDIX F: Notices
APPENDIX G: Electronic Payments
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 YORK
AGREEMENT
This AGREEMENT is hereby made by and between the State of New York agency (STATE) and the public or
private agency (CONTRACTOR) identified on the Face Page hereof.
WITNESSETH:
WHEREAS, the STATE has the authority to regulate and provide funding for the establishment and operation of
program services and desires to contract with skilled parties possessing the necessary resources to provide such services;
and
WHEREAS, the CONTRACTOR is ready, willing and able to provide such program services and possesses or can
make available all necessary qualified personnel, licenses, facilities and expertise to perform or have performed the
services required pursuant to the terms of this AGREEMENT;
NOW, THEREFORE, in consideration of the promises, responsibilities and covenants herein, the STATE and the
CONTRACTOR agree as follows:
I. Conditions of Agreement
A. This AGREEMENT may consist of successive periods (PERIOD), as specified within the AGREEMENT or
within a subsequent Modification Agreement(s) (Appendix X). Each additional or superseding PERIOD shall be on
the forms specified by the particular State agency, and shall be incorporated into this AGREEMENT.
B. Funding for the first PERIOD shall not exceed the funding amount specified on the Face Page hereof. Funding
for each subsequent PERIOD, if any, shall not exceed the amount specified in the appropriate appendix for that
PERIOD.
C. This AGREEMENT incorporates the Face Page attached and all of the marked appendices identified on the Face
Page hereof.
D. For each succeeding PERIOD of this AGREEMENT, the parties shall prepare new appendices, to the extent that
any require modification, and a Modification Agreement (the attached Appendix X is the blank form to be used).
Any terms of this AGREEMENT not modified shall remain in effect for each PERIOD of the AGREEMENT.
To modify the AGREEMENT within an existing PERIOD, the parties shall revise or complete the appropriate
appendix form(s). Any change in the amount of consideration to be paid, or change in the term, is subject to the
approval of the Office of the State Comptroller. Any other modifications shall be processed in accordance with
agency guidelines as stated in Appendix Al.
E. The CONTRACTOR shall perform all services to the satisfaction of the STATE. The CON'I'RACTOR shall
provide services and meet the program objectives smnmarized in the Program Work Plan (Appendix D) in
accordance with: provisions of this AGREEMENT; relevant laws, roles 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 orrdssions of its subcontractors. Nothing in the
subcontract shall impair the rights of the STATE under this AGREEMENT. No contractual relationship shall be
deemed to exist between the subcontractor and the STATE.
G. Appendix A. (Standard Clauses as required by the Attorney General for all State contracts) takes precedence
over all other parts of this AGREEMENT.
II. Payment and Reporting
A. The CONTRACTOR, to be eligible for payment, shall submit to the STATE's designated payment office
(identified in Appendix C) any appropriate documentation as required by the Payment and Reporting Schedule
(Appendix C) and by agency fiscal guidelines, in a manner acceptable to the STATE.
B. The STATE shall make payments and any reconciliations in accordance with the Payment and Reporting
Schedule (Appendix C). The STATE shall pay the CONTRACTOR, in consideration of contract services for a
given PERIOD, a sumnot to exceed the amount noted on the Face Page hereof or in the respective Appendix
designating the payment amount for that given PERIOD. This sum shall not duplicate reimbursement from other
sources for CONTRACTOR costs and services provided pursuant to this AGREEMENT.
C. The CONTRACTOR shall meet the audit requirements specified by the STATE.
III. Terminations
A. This AGREEMENT may be terminated at any time upon mutual written consent of the STATE and the
CONTRACTOR.
B. The STATE may terminate this AGREEMENT immediately, upon written notice of termination to the
CON'rRACTOR, if the CONTRACTOR fails to comply with thc terms and conditions of this AGREEMENT and/or
with any laws, rules, regulations, policies or procedures affecting this AGREEMENT.
C. The STATE may also terminate this AGREEMENT for any reason in accordance with provisions set forth in
Appendix Al.
D. Written notice of termination, where required, shall be sent by personal messenger service or by certified mail,
return receipt requested. The termination shall be effective in accordance with terms of the notice.
E. Upon receipt of notice of termination, the CONTRACTOR agrees to cancel, prior t6 the effective date of any
prospective termination, as many outstanding obligations as possible, and agrees not to incur any new obligations
after receipt of the notice without approval by the STATE.
F. The STATE shall be responsible for payment on claims pursuant to services provided and costs incurred
pursuant to terms of this AGREEMENT. In no event shall the STATE be liable for expenses and obligations arising
from the program(s) in this AGREEMENT after the termination date.
IV. Indemnification
A. The CONTRACTOR shall be solely responsible and answerable in damages for any and all accidents and/or
injuries to persons (including death) or property arising out of or related to the services to be rendered by the
CONTRACTOR or its subcontractors pursuant to this AGREEMENT. The CONTRACTOR shall indemnify and
hold harmless the STATE and its officers and employees from claims, suits, actions, damages and costs of every
nature arising out of the provision of services pursuant to this AGREEMENT.
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 Federal or State laws, roles or regulations, or as
stated in Appendix Al.
VI. Safeguards for Services and Confidentiality
A. Services performed pursuant to this AGREEMENT are secular in nature and shall be performed in a manner that
does not discriminate on the basis of religious belief, or promote or discourage adherence to religion in general or
particular religious beliefs.
B. Funds provided pursuant to this AGREEMENT shall not be used for any partisan political activity, or for
activities that may influence legislation or the election or defeat of any candidate for public office.
C. Information relating to individuals who may receive services pursuant to this AGREEMENT shall be maintained
and used only for the purposes intended under this Agreement and in conformity with applicable provisions of laws
and regulations, or specified in Appendix Al.
APPENDIX A
STANDARD CLAUSES FOR NYS CONTRACTS
Tim parties to the attached contract, license, lease, anaenthnent 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, lessen or any other
party):
1. EXECUTORY CLAUSE. In accordance with Section 41 of the State
Finance Law, the State shall have no liability under this contract to the
Contractor or to anyone else beyond funds appropriated and available for
this contract.
2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of
the State Finance Law, this contract may not be assigned by the Contractor
or its right, title or interest therein assigned, transferred, conveyed, sublet
or otherwise disposed of without the previous consent, in writing, of thc
State and any attempts to assign the contract without the State's written
consent are null and void. The Contractor may, however, assign its right
to receive payment without the State's prior written consent unless this
con~ract concems 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 3,55 or Section 6218 of the
Education Law), if this contract exceeds $50,000 (or the minimum
thresholds agreed to by the Office of thc State Comptroller for certain
S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any
amount to a contract which, as so amended, exceeds said statutory amount,
or if, by this contract, the State agrees to give something other than money
when the value or reasonably estimated value of such consideration
exceeds $10,000, it shall not be valid, effective or binding upon the State
until it has been approved by the State Comptroller and filed in his office.
Comptroller's approval of contracts let by the Office of General Services
is required when such contracts exceed $85,000 (State Finance Law
Section 163.6.a).
4. WORKERS' COMPENSATION BENEFITS. In accordance with
Scedon 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 thc benefit of such employees as arc
required to be covered by the provisions of the Workers' Compensation
Law.
5. NON-DISCRIMINATION REQUIREMENTS. To thc 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 can'ier status, or marital status. Furthermore, in
accordance with Section 220-e of the Labor Law, if this is a contract for
the construction, alteration or repair of any public building or public work
or for the manufacture, sale or distribution of materials, equipment or
supplies, and to the extent that this contract shall be performed within 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
neither it nor its subcontractors shall by reason of race, creed, color,
national origin, age, sex or disability: (a) discriminate in hiring against
any New York State citizen who is qualified end available to perform the
work; or (b) discriminate against or intimidate any employee hired for the
performance of work under this contract. Contractor is subject to fines of
$50.00 per person per day for any violation of Section 220-e or Section
239 as well as possible termination of this contract and forfeiture of all
moneys due hereunder for a second or subsequent violation.
6. WAGE AND HOURS PROVISIONS. If this is a public work
contract covered by Article 8 of the Labor Law or a building service
contract covered by Article 9 thereof, neither Conhactor's employees nor
the employees of its subcontractors may be required or permitted to work
more than the number of hours or days stated in said statutes, except as
otherwise provided in the Labor Law and as set forth in prevailing wage
and supplement schedules issued by the State Labor Department.
Furtherrnore, Contractor end its subcontractors must pay at least the
prevailing wage rate and pay or 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 thc State Finance Law, if this 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 certification
on Contractor's behalf.
8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance
with Section 220-f of the Labor Law and Section 139-h of the State
Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a
material condition of the contract, that neither the Contractor nor any
substantially owned or affiliated person, firm, partnership or corporation
has participated, is participating, or shall participate in an international
boycott in violation oftbe federal Expori Administration Act of 1979 (50
USC App. Sections 2401 et seq.) or regulations thereunder. If such
Contractor, or any of the aforesaid affiliates of Contractor, is convicted or
is 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 inclode, but not
be limited to, the State's option to withhold for the purposes of sct-offany
moneys due to the Contractor under this contract up to any amounts due
and owing to the State with regard to this conlmct, any other contract with
any State department or agency, including any contract for a term
commencing prior to the term of this contract, plus any amounts duc and
owing to the State for any other reason including, without limitation, tax
delinquencies, fee delinquencies or monetary penalties relative thereto.
The State shall exercise its set-offrights in accordance with normal State
practices including, in cases ofsct-offpursuant to an audit, thc finalization
of such audit by the State agency, its representatives, or the State
Comptroller.
Julte 2006
10. RECORDS. ~lhe Contractor shall establish and maintain complete
end acenmte books, records, documents, accounts end other evidence
directly pertinent to performence under this contract (berainat~er,
collectively, "the Records"). The Records must be kept for the balance of
the calendar year in which they were made end for six (6) additional years
therea~er. The State Comptroller, the Attorney General and any other
person or entity authorized to conduct an examination, as well as the
agency or agencies involved in this contract, shall have access to the
Records during normal business hours at an office of the Contractor within
the State of New York or, if no such office is available, at a mutually
agreeable end reasonable venue within the State, for the term specified
above for the purposes of inspection, auditing and copying. The State
shall take reasonable steps to protect bom public disclosure any of the
Records which are exempt from disclosure under Section 87 of the Public
Officers Law (the "Statute") provided that: (i) the Contractor shall timely
inform en 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 eny way adversely affect,
the State's right to discovery in any pending or future litigation.
11. IDENTIFYING INFORMATION AND PRIVACY
NOTIFICATION. (a) FEDERAL EMPLOYER IDENTIFICATION
NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER. All
invoices or New York State stendard 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 lessur's identification number. The number is either the
payee's Federal employer identification number or Federal social security
number, or both such numbers when the payee has both such numbers.
Failure to include this number or numbers may delay payment. Where the
payee does not have such number or numbers, the payee, on its invoice or
New York State standard voucher, must give the reason or reasons why the
payee does not have such number or numbers.
(b) PRIVACY NOTIFICATION. (I) The authority to request the above
personal information from a seller &goods or services or a lessor of real
or persona] property, and the authority to maintain such information, is
found in Section 5 of the State Tax Law. Disclosure of this information
by the seller or lessor to the State is mandatory. The principal purpose for
which the information is collected is to enable the State to identify
individuals, businesses and others who have been delinquent in filing tax
ratums 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
adminislration purposes and for any other purpose authorized by law.
(2) The personal information is requested by the purchasing unit oftbe
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 Cent, sa] 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 $100,000.00
whereby a contracting agency is committed to expend or does expend
funds for the acquisition, construction, demolition, replacement, major
repair or renovation of real property and improvements thereon; or (iii) a
written agreement in excess orS100,000.00 whereby the owner ora State
A-2
assisted housing project is committed to expend or does expend funds for
the acquisition, construction, demolition, replaenment, major repair or
renovation of real property and improvements thereon for such project,
then:
(a) The Contractor will not discriminate against employees or applicants
for employment because of race, creed, color, national origin, sex, age,
disability or marital status, and will undertake or continue existing
programs of affirmative action to ensure that minority group members end
women are afforded equal employment opportunities without
discrimination. Affirmative action shall mean recruitment, employment,
job assignment, promotion, upgradings, demotion, transfer, layoff, or
termination and rates of pay or other forms of compensation;
(b) at the request of the contracting agency, thc ConWactor shall request
each employment agency, labor union, or authorized representative of
workers with which it has a collective bargaining or other agree, merit or
understanding, to furnish a written statement that such employment
agency, labor union or representative will not discriminate on the basis of
race, creed, color, national origin, sex, age, disability or marital status and
that such union or representative will affirmatively cooperate in thc
implementation of the contractor's obligations herein; end
(c) the Contractor shall state, in all solicitations or advertisements for
employees, that, in the performence 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 tbe construction, demolition, replacement,
major repair, renovation, planning or design of real propeay and
improvements thereon (the "Work") except where the Work is for the
beneficial use of the Contractor. Section 312 does not apply to: (i) work,
goods or services unrelated to this contract; or (ii) employment outside
New York State; or (iii) banking services, insurance policies or the sale of
securities. The State shall consider compliance by a contractor or
subcontractor with the requirements ofeny federal law concerning equal
employment opportunity which effectuates the purpose of this section.
The contracting agency shall determine whether the imposition of the
requirements of the provisions hereof duplicate or conflict with any such
federal law and if such duplication or conflict exists, the cunWacting
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, thc 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 end eny interest to be
paid to Contractor for late payment shall be governed by Article 11-A of
the State Finance Law to the extent required by law.
16. NO ARBITRATION. Disputes involving this contract, including the
breach or alleged breach thereof, may not be submitted to binding
arbitration (except where statutotily authorized), but must, instead, be
heard in a court of competent jutisdictiun oftbe State of New York.
June 2006
17. SERVICE OF PROCESS. In addition to the methods of servieu
allowed by the State Civil Practice Law & Rules CCPLR"), Contractor
hereby consents to service of process upon it by registered or certified
mail, return receipt requested. Service hereunder shall be complete upon
Contractor's actual receipt of process or upon the State's receipt of the
return thereof by the United States Postal Service as refused or
undeliverable. Contractor must promptly notify the State, in writing, of
each and every change of address to which service of process can be made.
Service by the State to the last known address shall be sufficient.
Contractor will have thirty (30) calendar days after service hereunder is
complete in which to respond.
18. PROHIBITION ON PURCHASE OF TROPICAL
HARDWOODS. Thc Contractor certifies and warrants that all wood
products to be used under this contract award will be in accordance with,
but not limited to, the specifications and provisions of State Finance Law
§ 165. (Use of Tropical Hardwoods) which prohibits purchase and use of
tropical hardwoods, unless specifically exempted, by thc State or any
govcmmeutal agency or political subdivision orpublicbenefit corporation.
Qualification for an exemption under this law will be the responsibility of
the contractor to establish to meet with the approval of the State.
In addition, when any portion of this contract involving the use of woods,
whether supply or installation, is to be performed by any subcontractor,
the prime Con tractor will indicate and certify in th e submitted bid proposal
that the subcontractor has been informed and is in compliance with
specifications and provisions regarding use of tropical hardwoods as
detailed in §165 State Finance Law. Any such use must meet with the
approval 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. MACBR1DE FAIR EMPLOYMENT PRINCIPLESIn 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 oftbe 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, subcontractom 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 -- 7'h Floor
Albany, New York 12245
Telephone: 518-292-5220
Fax: 518-292-5884
http://www.empire, state.ny, us
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A directory of cerfified minority and women-owned business enterprises
is available from:
NYS Department of Economic Development
Division of Minority and Women's Business Development
30 South Pearl St -- 2nd Floor
Albany, New York 12245
Telephone: 518-292-5250
Fax: 518-292-5803
http://www.empire, state.ny.us
The Omnibus Procurement Act of 1992 requires that by signing this bid
proposal or contract, as applicable, Contractors certify that whenever the
total bid amount is greater than $1 million:
(a) The Contractor has made reasonable efforts to eucoumge the
participation of New York State Business Enterprises as suppliers and
subcontractors, including certified minority and women-owned business
enterprises, on this project, and has wtained the documentation of these
efforts to be provided upon request to the State;
(b) The Contractor has complied with the Federal Equal Opportunity Act
of 1972 (P.L. 92-261), as amended;
(c) Th e Contractor agrees to make reasonable efforts to provide n otifi cation
to New York State residents of employment opportunities on this project
through listing any such positions with the Job Service Division of the
New York State Department of Labor, or providing such notification in
such manner as is consistent with existing collective bargaining contracts
or agreements. The Contractor agrees to document these efforts and to
provide said documentation to the State upon request; and
(d) The Contractor acknowledges notice that the State may seek to obtain
offset credits from foreign 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.
June 2006
Il.
APPENDIX A1
Agency-Specific Clauses
This Agreement has been entered into pursuant to the following understandings:
A. Titlell ofthe 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 determine eligibility
of applications for funding of projects.
Based upon information, representations and certifications contained in Contractor's application for
funding, including the Program Work Plan as set forth in Appendix D, the Department has made a
determination of eligibility of funding for Contractor's project under such Act.
State funds (Funding Amount set forth on the Face Page) for this Project (Appendix D Program
Work Plan) 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.
The 2007 "Request for Applications" required the Applicant to budget for costs associated with
training for projects which fall under the following categories: Visioning and Development of Local
or Regional Revitalization Strategies, Completing or Implementing a Local Waterfront Revitalization
Program, Preparing or Implementing Waterbody/Watershed Management Plans, Downtown and
Hamlet Revitalization, Urban Waterfront Redevelopment, Creating a Blueway Trail, Interpreting
Waterfront Resources - New York State Coastal Resources Interpretive Program.
Where Contractor is required to attend training session(s) in Appendix D, Program Work Plan, the
Contractor agrees to participate in the designated training session(s). The Department will notify the
Contractor when training session(s) will be held. The Contractor agrees to submit payment for the
required registration fee(s) in accordance with the notification letter from the Department.
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Failure of the Contractor to transmit the registration fees or attend the training session(s) will result
in the withholding of payments in the amount of the registration fee(s) and could result in this
contract being terminated. In no case should the funds allocated for training be used for any other
purpose without prior approval of the Department.
General
For the purposes of this Agreement, the terms "State" and "Department" are interchangeable, unless
the context requires otherwise. In addition, the terms "Agreement" and "Contract" 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 incurred prior to the contract period will be eligible under this Agreement.
No liabilities are to be incurred beyond the contract period and no costs will be reimbursed for such
liabilities unless: 1) funds have been reappropriated for the Project in the subsequent State fiscal
year, 2) the Department determines that it is in the best interest of the Department and the State to
provide additional time to complete the Project and 3) an extension agreement is approved in
accordance with Section IA. of the Agreement.
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Subject to the availability of funds, determination by the Department that it is in the best interest of
the State, and upon mutual written consent of the parties, the Initial Contract Period of this
Agreement may be extended by up to two contract periods not to exceed twelve months each. The
parties shall revise or complete the appropriate appendix form(s), which may be subject to approval
of the Office of the State Comptroller.
F. To modify any terms of this Agreement within an existing period, the parties shall revise or complete
the appropriate appendix form(s), which may be subject to approval of the Office of the State
Comptroller.
G. 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.
The Contractor shall perform all services to the satisfaction of the Department. The Contractor shall
provide all services and meet the program objectives described in Appendix D in accordance with:
provisions of this Agreement; relevant State, federal and local laws, rules and regulations,
administrative and fiscal guidelines; where applicable, operating certificates for facilities or licenses
for an activity or program, and conditions of applicable permits, administrative orders and judicial
orders.
I. The Contractor shall submit with its request for final payment a Final Project Summary Report in the
format described in Appendix Al, Attachment.
The Contractor agrees to proceed expeditiously with the Project and to complete the Project in
accordance with the timetable set forth in the Work Plan (Appendix D) as well as with the conditions
of any applicable permits, administrative orders, or judicial orders and this Agreement.
The Contractor shall submit a Quarterly Contractor Report (Appendix Al, 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 ag discussed in Section X1V in
Appendix Al, such report shall be provided to the Department at the address on the Quarterly
Contractor Report.
The Contractor shall submit a "Project Status Report" (Appendix Al, Attachment 3) on a six month
basis for the periods ending June 30 and December 31. Reports are due no later than 30 days
following the end of each reporting period~
Additional Requirements for Construction Projects
Project design, including preparation of final plans and specifications, and supervision of
construction shall be undertaken by a qualified architect and/or engineer licensed to practice in the
State of New York. The Contractor shall submit final plans and specifications to the Department for
its acceptance before initiating construction work or, if the Contractor intends to subcontract for
construction work, before the work is advertised for bidding. No change to project plans may be
made without the prior written approval of the Department. The Contractor shall also be responsible
for erecting a project sign satisfactory to the Department identifying the Project. The project sign
shall remain in place for the useful life of the improvements undertaken pursuant to this Agreement.
Upon completion of the Project, the Contractor shall submit to the Department a proper certification
from a licensed architect or engineer.
VI.
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The State shall make periodic inspections of the project both during its implementation and after its
completion to assure compliance with this Agreement. The Contractor shall allow the State
unrestricted access to work during the preparation and progress of the work, end provide for such
access end inspection by the State in all construction contracts relating to the project.
The Contractor shall be responsible for assuring that the project is designed end constructed in
conformance with the Uniform Federal Accessibility Stendards (UFAS - Appendix A to 41 CRF part
101-19.6), the Americans with Disabilities Act Accessibility Guidelines (ADAAG - Appendix A of
Title 9 NYCRR). Where there are discrepancies among the sets of standards with regard to a
particular design/construction requirement, the one providing for the greatest degree of
accommodation for the disabled shall apply.
It is the Contractor's responsibility, pursuent to Section 57 of the Workers' Compensation Law, to
maintain for State audit and review either proof that they have Workers' Compensation coverage for
eny 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.
Reports, Documents and Maps
The Contractor shall, where appropriate, identify documents, reports, and maps produced in whole or in
part under this Agreement by endorsing on said documents, reports, and maps the following:
"This (document, report, map, etc.) was prepared for the New York State Department of
State with funds provided under Title 11 of the Environmental Protection Fund Act."
License to use and reproduce documents end other works:
By acceptence of this Agreement, Contractor transfers to the Department a nonexclusive license to use,
reproduce in eny medium, and distribute any work prepared for or in connection with the Project,
including but not limited to reports, maps, designs, plens, analysis, and documents regardless of the
medium ia 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.
Contractors Insurance Requirements
Prior to the commencement of the work, the Contractor shall file with the Department of State,
Certificates of Insurance evidencing complience with all requirements contained in this Agreement.
Such certificate shall be of form and substance acceptable to the Department.
B. Acceptence and/or approval by the Department does not end shall not be construed to relieve
Contractor of any obligations, responsibilities or liabilities under the Agreement.
All insurance required by the Agreement sha. ll be obtained at the sole cost end 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, One Commerce Plaza, 99 Washington Avenue, 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.
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D. The Contractor shall be solely responsible for the payment of all deductibles to which such policies
are subject.
E. Each insurance carder must be rated at least "A" Class "VII" in the most recently published Besfs
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
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, the
Contractor shall provide suitable evidence of such to the Department relating to the risks and
coverage amounts as provided hereunder.
Comprehensive Liability Insurance with a limit of not less than $1,000,000 each occurrence.
Such liability shall be written on the Insurance Service Office's (ISO) occurrence form CG 00 01,
or a substitute form providing equivalent coverages and shall cover liability arising from
premises operations, independent contractors, products-completed operations, broad form
property damage, personal & advertising injury, owners & contractors protective, cross liability
coverage, liability assumed in a contract (including the tort liability of another assumed in a
contract) and explosion, collapse & underground coverage.
a. If such insurance contains an aggregate limit, it shall apply separately to this location.
Products and Completed Operations coverage shall include a provision that coverage will
extend for a period of at least twelve (12) months from the date of final completion and
acceptance by the owner of all of contractors work.
Where the Project described in Appendix D includes the construction of any structure or
building, a Builder's Risk Policy until the Project is completed and accepted in the amount of the
total project cost.
Workers Compensation, Employers Liability, and Disability Benefits as required by New York
State. Workers Compensation Policy shall include the U.S. Longshore & Harbor Workers'
Compensation Act endorsement.
VII.
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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.
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 rented capital equipment, tools, including tools of
their agents and employees, staging towers and forms, and property of the Department 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 retained by the Contractor in connection with the Project shall show
evidence of professional liability insurance with limits no less than $1 million.
Property
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.
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/or rights-of-way sufficient to
assure undisturbed use and possession for the purposes of construction and operation for the
estimated life of the Project. Contractor fmther acknowledges that where such project is undertaken
on or involves the use of lands for active or passive recreational use, it is a material term of this
Agreement that such lands shall be available for such recreational use by the People of the State of
New York. Additionally, Contractor shall not limit access or discriminate on the operation of the
facilities against any person on the basis of place of residence, race, creed, color, national origin, sex,
age, disability or marital status.
vm. Date/Time Warranty
mo
Contractor warrants that product(s) furnished pursuant to this contract shall, when used in
accordance with the product documentation, be able to accurately process date/time data (including,
but not limited to, calculating, comparing, and sequencing) transitions, including leap year
calculations. Where a Contractor proposes or an acquisition requires that specific products must
perform as a package or system, this warranty shall apply to the products as a system.
Where Contractor is providing ongoing services, including but not limited to: i) consulting,
integration, code or data conversion, ii) maintenance or support services, iii) data entry or processing,
or iv) contract administration services (e.g. billing, invoicing, claim processing), Contractor warrants
that services shall be provided in an accurate and timely manner without interruption, failure or error
due to the inaccuracy of Contractor's business operations in processing date/time data (including, but
not limited to, calculating, comparing, and sequencing) various date/time transitions, including leap
year calculations. Contractor shall be responsible for damages resulting from any delays, errors or
untimely performance resulting there from, including but not limited to the failure or untimely
performance of such services.
XI.
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C. This Date/Time Warranty shall survive beyond termination or expiration of this Contraet 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 fights
or remedies otherwise available under this Contract for breach of warranty.
Fees
The Contractor may charge a reasonable fee for the use of any facility which is part of the project.
An
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 per'nit 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.
Alienation
Where the project is undertaken on or involves parklands or public waterfront land, the following
additional provisions apply:
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 waterfront 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 be discontinued, sold or disposed of, and
such other requirements as shall be approved by State.
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The Contmetor agrees to own a property interest sufficient to maintain and operate the project 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.
Subcontracting Requirements
A. The Contractor may subeontraet 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 service, labor, and construction involving not more than $35,000
and purchase contracts involving not more than $I 0,000 are subject to the requirements of General
Municipal Law § 104-b, which requires such contracts to comply with the procurement policies and
procedures of the municipality involved. All such contracts shall be awarded after and in
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accordance with such municipal procedures, subject to any additional requirements imposed by the
State as set forth in Appendix D hereof.
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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 § 103
were followed for all service, labor, and construction contracts involving more than $35,000 and all
purchase contracts involving more than $10,000. In the case of contracts by municipalities for
service, labor, and construction involving not more than $35,000 and purchase contracts involving
not more than $10,000, the municipal attorney, chief legal officer or fmancial administrator shall
certify that the procedures of the municipality established pursuant to Geneml Municipal Law § 104-b
were fully complied with.
All contracts by non-municipal entities such as a community-based organization, shall have its chief
legal officer or financial administrator certify to the State that alternative proposals and quotations
for professional services were secured by use of written requests for proposals through a publicly
advertised process to ensure the prudent and economical use of public funds for professional services
of maximum quality at reasonable cost.
xm. Reqniremants for Contract GIS Products (2/04)
A. GENERAL MAP PRODUCT REQUIREMENTS -- The following general cartographic
requirements must be adhered to by the Contractor:
Map Products -- The Department requires delivery of digital map products, unless othenvise
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 tins GENERAL MAP PRODUCT
REQUIREMENTS section and the ADDITIONAL DIGITAL-READY MAP PRODUCT
REQUIREMENTS section.
Deliverable Format -- All digital map and attribute table files must be provided in Maplnfo 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 Interact.
Alternatively, the digital products may be provided in Arclnfo/GIS export format (.e00) or
ArcView shape file format on the same media types upon approval of the Department. All other
digital formats require prior approval of the Department. Coordination with the Department prior
to submission of digital media is required to ensure compatibility.of the delivered materials.
Documentation -- A data dictionary must be included along with the map files describing file
contents and file names, as well as metadata for each file including map projection, horizontal
and vertical datums used, coordinate system, RMS accuracy and log sheet, information sources
and dates, the map maker and date of preparation, and creation methodology. Data provided
under federal funds must be provided in a manner winch meets Digital Geospatial Federal
Geographic Data Committee Metadata Standard as executed by Executive Order 12906, April 11,
1994, "Coordinating Geographic Data Acquisition and Access: the National Spatial Data
Infrastructure".
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 1:20,000 or smaller, not more than 10% of the well-defined map points tested must be
more than 1/50 inch (0.508 mm) out of correct position. At 1:24,000, this tolerance translates to
a required horizontal accuracy of 40 feet. If by prior agreement with the Department the map
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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 Priming Office,
Appendix 6.
Datums -- Unless otherwise specified in the RFP, all map products should be referenced to the
North American Horizontal Datum of 1983 (NAD83) and the National Geodetic Vertical Datum
of 1988 (NGVD88).
B. ADDITIONAL DIGITAL CARTOGRAPHIC FILE REQUIREMENTS -- The following
cartographic construction requirements must be adhered to by the Contractor:
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 botmdary, 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.
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.
Line Quality -- A high quality cartographic appearance must be achieved. Transitions from
straight lines to curvilinear elements must be smooth, with angular inflections at the point of
intersection. The digital representation must not contain extraneous data at a non visible level.
There should be no jags, hooks, or zero length segments. Any lines that are straight, or should be
straight, should be digitized using only two points that represent the beginning and ending points
of the line.
Polygon Closure -- For area features being digitized, the last coordinate pair must be exactly
(mathematically) equal to the first coordinate pair. No line or polygon must cross itself except to
join at an actual confluence. All digitized features across map boundaries must be edited to
effect smooth and continuous lines.
7. Graphic Precision -- Positional coordinates for all digital graphic elements should not be reported
to a level of precision greater than one thousandth (.001) 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
requirements for large scale, non-digital map products must be followed to facilitate the future
conversion of the maps to digital map products. All large format, non-digital map products must be
provided on stable base material at a scale stipulated in the REP. The map products must include an
index map to all map sheets and thorough descriptions of all the cartographic elements portrayed on
the maps.
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1. Base Map Media - All maps must be created on mylar or other stable base material.
Map Scale -- All maps of a similar series should be created using the same base scale. Unless
otherwise stated by the Department, all maps should be compiled at 1:24,000. If other map
scales are approved by the Department, where possible they will conform to standard map scales
such as 1:9600; 1:50,000; 1:75,000; or 1:100,000.
Map Registration -- The maps must provide a minimum of four (4) comer and four (4) interior
ticks tied to USGS/NYSDOT quadrangle Lat/Long or NYTM coordinates. The maps must be
geometrically correct and should register when overlaid on the appropriate USGS/NYSDOT
quadrangle control ticks.
Map Title and Legend -- The maps must provide a title and legend block describing the
information contained on the maps, and including the Documentation and Datums information
requested in the GENERAL MAP PRODUCT REQUIREMENTS above and the map scale.
Cartographic Quality -- The quality of all map line work and symbolization must conform to
items 1 - 6 in the map criteria set forth in the ADDITIONAL DIGITAL CARTOGRAPHIC FILE
REQUIREMENTS section outlined above.
D. CONTRACT DATABASE STANDARDS
1. Delivery Media -- All database and tabular files must be provided on digital media as specified
above in Deliverable Format.
Software Format - Database and tabular files can be provided in Corel Quattro, Microsoft Excel
or Microsoft Access format. Other formats that are convertible to one of the aforementioned
formats may be used with prior approval of the Department.
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.
X1V. Payment and Records Retention
A~ Payments shall be made as set forth in Appendix C.
The Contractor shall maintain, at its principal place of business, detailed books and accounting
records supported by original documentation relating to the incurring of all expenditures, as well as
payments made pursuant to this Agreement. The Contractor shall make such records available for
review by the Department upon request at any time. The Department shall have the right to conduct
progress assessments and review books and records as necessary. The Department shall have the
right to conduct an on-site review of the Project and/or books and records of the Contractor prior to,
and for a reasonable time following, issuance of the final payment. The Department shall be entitled
to disallow any cost or expense, and/or terminate or suspend this Agreement, if the Contractor has
misrepresented any expenditures or Project activities in its application to the Department, or in this
Agreement, or in any progress reports or payment requests made pursuant hereto. The Contractor
shall maintain such books and accounting records in a manner so that reports can be produced
therefrom in accordance with generally accepted accounting principles. The Contractor shall
maintain separate fiscal books and records for all funds received through the Department pursuant to
this Agreement.
Al- 10
C. During the term of this Agreement and for a period of six years after its termination, the Contractor
shall make all such books and records available to the Dcpamnent and the Office of the State
Comptroller, or their designated representatives, for inspection and audit.
XV. Equal Employment Opportunity
The Contractor hereby assures that it is, and shall be for the duration of this Agreement, in compliance
with the Federal Equal Employment Opportunity Act of 1972 (Public Law 92-261), as amended.
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-owned business enterprises. Under this law,
all state agencies must, subject to certain exceptions, establish goals for minority and women-owned
business participation in certain state contracts and grants. Where MWBE goals are required, even in
circumstances where this goal is zero, a Quarterly Contractor Report is required to be submitted to the
Minority and Women-owned Business Program of the Department on forms provided by the Department,
as set forth in Appendix Al, Attachment 2.
Article 15-A requires that rules and regulations be established for contracts entered into by the
Department. In accordance with Article 15-A, goals must be set for contracts entered into by the
Department in excess of $25,000 for labor, services, supplies, equipment, and materials, or any
combination of the foregoing, and for contracts entered into by the Department in excess of $100,000 for
acquisition, construction, demolition, replacement, major repair, renovation or improvement of real
property. In applying these roles and regulations, the Department must consider the availability of
certified minority and women-owned businesses in the region in which the state contract will be
performed, the total dollar value of the contract, the scope of work to be performed, and the project size
and term.
The contractor will, when required as a part of the bid or proposal, submit a Staffmg Plan on the form
provided by the Department. This Plan will detail the work force anticipated in the performance of the
state contract, reported by ethnic background, gender, and Federal Occupational Categories.
After a bid opening and prior to the award of a state contract, the contractor will submit an Equal
Employment Opportunity (EEO) Policy Statement to the Department within the time frame established
by the Department. The law requires that, as a precondition to entering into a valid and binding state
contract, the contractor will agree to the following stipulations and will include them in the EEO Policy
Statement:
· The contractor will not discriminate against any employee or applicant for employment
because of race, creed, color, national origin, sex, age, disability or marital status.
· The contractor will undertake or continue existing programs of affirmative action to ensure
that minority group members and women are afforded equal employment opportunities without
discrimination because of race, creed, color, national origin, sex, age, disability or marital status.
For these purposes, affirmative action applies in areas of recruitment, employment, job
assignment, promotion, upgrading, demotion, transfer, layoff, or termination and rates of pay or
other forms of compensation.
Al- 11
· The contractor will make active and conscientious efforts to employ and to utilize minority
group members and women at all levels and in all segments of its work force on state contracts,
and the contractor will document these efforts.
· The contractor will state in all solicitations and advertisements for employees that, in the
performance of the state contract, all qualified applicants will be afforded equal employment
opportunities without discrimination because of race, creed, color, national origin, sex, age,
disability or marital status.
· The contractor will, at the request of the Department, request each employment agency, labor
union, or authorized representative of workers with which it has a collective bargaining or other
agreement or understanding, to furnish a written statement that such employment agency, labor
union, or representative will not discriminate because of race, creed, color, national origin, sex,
age, disability or marital status, and that such union or representative will affirmatively cooperate
in the implementation of the contractor's obligations herein.
· The contractor will include the provisions regarding the EEO Policy Statement and the
Staffing Plan enumerated above in each and every subcontract of a state contract in such a
manner that the subcontractor is bound by these requirements.
· Failure to provide an EEO Policy Statement and a Staffing Plan without reasonable written
justification or commitment to provide these requirements by a specified date will result in
rejection of the contractor's bid or proposal.
· After the award of a state contract, the contractor will submit to the Department a Workforce
Employment Utilization Report, on the form supplied by the Department, detailing the work
force actually utilized on the state contract, by ethnic background, gender and Federal
Occupational Categories, as specified on the form. This Report will be submitted to the
Department on a quarterly basis throughout the life of the contract.
· The contractor, and any of its subcontractors, may be required to submit compliance reports
relating to their operations and implementation of their affirmative action or equal employment
opportunity program in effect as of the date the state contract is executed.
Questions regarding this program should be directed to the Department's Minority and Women-owned
Business Program by calling (518) 474-5741. Potential contractors can access the NYS Directory of
Certified Minority and Women-owned Business Enterprises on-line through the Empire State
Development website at: http://www.empire.state.ny.us and click on NY BIZ. From the list on the top
left of the page, click on Small and Growing Business and, from that drop-down menu, click on: Minority
and Women-Owned Business. On the top of the page click on the heading "MWBE Directory."
The Department makes no representation with respect to the availability or capability of any business
listed in the Directory.
XVII. Notice of Public Proceedings
The Contractor agrees to provide the Department with prompt and timely written notice at least two
weeks in advance of all public proceedings, including, but not limited to; public meetings or hearings,
relating to the Project.
Al- 12
XVIII. Submission of all correspondence and documentation
A. Unless otherwise stated in Appendix D, the Contractor agrees to provide the Department with the
required products in the following formats. All products and shall include the NYS Comptroller's #
as indicated on the Face Page of this Agreement and where applicable, reflect the Task # it relates to
in the Appendix D.
1. Draft products: two paper copies of each product must be submitted.
2. Final products: two paper copies of each product must be submitted. In addition all f'mal
products (including reports, designs, maps, drawings, and plans) must be submitted as an
electronic copy (in Adobe~ Acrobat® Portable Document Format - PDF), oreated using 300 dpi
scanning resolution, and be submitted on a labeled CD-R type CD. The CD must be labeled with
the contractor name, contract #, and project title.
3. Pictures and photographs must be dated and captioned with the location and a brief description of
the activity being documented.
B. Contractor agrees to provide the Department with original and one copy of payment request
documentation as described in Appendix C.
XIX. Environmental Review
Contractor agrees to provide the Department, in a timely manner, with all documentation, including
but not limited to, permit applications, environmental assessments, designs, plans, studies,
environmental impact statements, findings, and determinations, relating to the Project.
Bo
Contractor acknowledges that compliance with the State Environmental Quality Review Act is a
material term and condition of this Agreement. In no event shall any payments be made under this
Agreement until Contractor has provided Department with appropriate documentation that contractor
has met any requirements imposed on Contractor by the State Environmental Quality Review Act.
XX. Default and Termination
A. The Department may terminate the Agreement in accordance with the terms and conditions in
Section III.
In addition to whatever other reserved rights it has to terminate the Agreement, the Department may
terminate the Agreement when it is in the best interests of the State or (1) for cause, (2) for
convenience, or (3) due to unavailability of funds.
If the Department determines the Contractor has breached a term of the Agreement and if the
Department detemaines the defect can be remedied, it may issue a written notice providing the
Contractor with a minimum of 30 days to correct the defect and the notice may include a prospective
termination date. If the Contractor fails to correct 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.
The Department shall also have the right to postpone or suspend the Agreement or deem it
abandoned without this action being a breach of the Agreement. The Department shall provide
written notice to the Contractor indicating the Agreement has been postponed, suspended or
abandoned. During any postponement, suspension or abandonment the Contractor agrees not to do
any work under the Agreement without prior written approval of the Department.
E. In the event the Agreement is postponed, suspended, abandoned or terminated, the Department shall
make a settlement with the Contractor upon an equitable basis in good faith and under the general
Al- 13
compensation principles and rates established in the Agreement by thc 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 by the Department which are not expended under 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 $50,000 or less, it shall be deemed
to be fully executed when approved and signed by the Contractor and the Department.
B. If this Agreement, or amendments thereto, allocates funds totaling more than $50,000, it shall be
deemed to be fully executed when approved by the Office of the State Comptroller.
Al, Attachment I
FINAL PROJECT SUMMARY REPORT
Final payment of the grant is dependent upon the satisfactory completion and acceptance by the Department of State, Office of
Coastal, Local Government and Community Sustainability of this Final Project Summary Report along with the requisite
documentation. In addition to the other requirements of the contract, the grant recipient is responsible to relay the
importance, the significance and the value of the completed project 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:
1. Project Title:
2. Name of Municipality:
Actual Project Costs:
a. State funds expended (identify source, eg. EPF, Clean Water/Clean Air
Bond Act, etc.):
b. Local funds expended:
c. Other funds expended:
Project Manager: Name:
Title:
Mailing address:
Tel. number: _ ( )
Fax number: ( )
E-mail address:
5. Federal Tax Identification Number:
6. Project Background (briefly explain in a short paragraph why this project was necessary, what its value is and/or its
importance to the community):
7. Project Work (briefly describe the work that was done to complete the project):
Project Descriptions (use the following guidelines to describe the project and please be concise in the description):
a. For a Planning Project describe the findings or recommended strateg/es.
b. For a Design Project describe what is to be built.
c. For a Construction Project describe what was built.
9. Project Measurable Results: To be completed on forms attached.
10. Project Documentation: The Department of State, Office of Coastal, Local Government and Community Sustainability
requires a visual documentation of the Environmental Protection Fund projects. Project products should be visually
documented using a 35mm camera or a digital camera. The 35mm color slides and/or 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 markem, 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:
For design projects, visuals of renderings and/or graphics that depict the final product.
For planning projects, visuals of any graphics, where appropriate, that illustrate the final product.
For construction projects, visuals of work in progress and the finished project.
In addition to the 35mm color slides/digital camera disc, a video (vhs forma0 of the project with a verbal description is
desirable but not mandatory. The video may be used in a future documentary.
Al, 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 Bbsiness 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 Se~zice Area of Contract Work
NAME and TITLE of CONTACT PERSON (Please Print) i TELEPHONE NUMBER
TYPE of DESCRIPTION of AMOUNT PAID
VENDOR NAME and ADDRESS VENDOR SERVICE/PRODUCT THIS PERIOD COMMENTS
[3 MBE $
[3 WBE
[] MBE
[] WBE
[] MBE
[] WBE
[3 MBE
o WBE
[] MBE
[] WBE
[] MBE
[] WBE
[] MBE
[]WBE
[] MBE
[] WBE
[] MBE
[] WBE
PAGE I of
Project Status Form
RECIPIENT
PROJECT TITLE
CONTRACT #
A1 - Attachment 3
Status Report Date:
Task Brief Task Date of Percent of
# Description A/T Completion Completion
Task Accomplishments
Product
Submitted
to DOS .
ADJUSTMENTS - Please indicate proposed adjustment(s) to work program/schedule, reason(s) for the proposed
adjustment(s), and any other problems encountered durine this reoortine oeriod:
Person to contact if we have questions about the information provided on this form:
Name: Email Address:
Title: Affiliation:
Phone: Fax:
A1 - Attachment 4
Certification to New York State Department of State that ali State and Local and Private
Procurement Requirements [lave Been Met
(Check the paragraph that applies)
I hereby certify that I am the municipal attomey, chief legal officer or financial administrator for the
and that the contract/procurement with
, appended hereto pursuant in whole or in part to
) was awarded in accordance all requirements of law and
NYS Department of State Contract No.
the following provisions:
For Municipal Entities (except NYC or Borough):
__ Applicable public bidding procedures of General Municipal Law § 103 relating to the procurement
for service, labor, and/or construction involving more than $35,000 or purchase involving more than
$10,000.
__ Procedures established by this municipality pursuant to the General Municipal Law § 104-b relating
to the procurement for service, labor, and/or construction involving not more than $35,000 or
purchase involving not more than $10,000.
2. For New York City or Borough:
__ ApplicablepublicbiddingproceduresofGeneralMunicipalLaw §103 and regulations ofthe
Procurement Policy Board relating to the procurement for service, labor, and/or construction
involving more than $35,000 or purchase involving more than $10,000.
__ Procedures established by the municipality pursuant to the General Municipal Law §104-b and
regulations of the Procurement Policy Board relating to the procurement for service, labor, and/or
construction involving not more than $35,000 or purchase involving not more than $10,000.
3. For Not-for-Profit Organization or other entities not listed above:
__ AIl requirements of law, including the NYS Not-for-Profit Corporation Law, the bylaws of this
organization, and pursuant to a publicly advertised process to ensure the prudent and economical use
of public funds to obtain maximum quality at a reasonable cost.
By:
Title:
Date:
Attached - Executed Contract between Contractor and Subcontractor
Revised:
January 21, 2010
APPENDIX B
BUDGET SUMMARY
A. Salaries & Wages (including Fringe Benefits)
B. Travel
C. Supplies/Materials
D. Equipment
E. Contractual Services
F. Other
$260,177.00
$4,197.00 '
$0.00
$0.00
$320,626.00
$85,500.00
TOTAL PROJECT COST
$670,500.00
Total State Funds
Total Local Share
$335,250.00
$335,250.00
B-2
Appendix B (Budget Detail Sheet)
A. SALARIES & WAGES
TITLE ANNUAL AMOUNT
SALARY CHARGED TO THIS
PROJECT
Town Attorney $125,580.00 $4,485.00
Assistant Town Attorney $123,760.00 $7,753.00
Director of Planning $123,050.00 $39,225.00
LWRP Coordinator/Principal Planner $89,180.00 $68,845.00
Special Projects Coordinator $76,076.00 $56,518.00
GIS Coordinator $98,098.00 $20,510.00
Community Development Director $118,719.00 $16,440.00
Highway Superintendent $124,912.00 $13,068.00
Town Engineer $82,118.00 $16,084.00
Land Preservation Coordinator $89,180.00 $1,960.00
Environmental Technician $83,545.00 $5,145.00~
Senior Planner $77,113.00 $5,339.00
Secretarial Assistant $64,795.00 $4,805.00
SUBTOTAL $260,177.00
B. TRAVEL
Travel for stakeholder meetings: $0.43/miles ........................................ $697
Fishers Island stakeholder meeting boat travel, fee for boat passage: $250/trip x 8 trips ..... $2,000
Travel to NYS Community Seminar Series training sessions ........................... $1,500
SUBTOTAL $4,197.00
C. SUPPLIES/MATERIALS
SUBTOTAL $0.00
Appendix B (Budget Detail Sheet Cominued)
B-3
D. EQUIPMENT
SUBTOTAL $0.00
E. CONTRACTUAL SERVICES
Completion of comprehensive hamlet revitalization program
SUBTOTAL $320,626.00
F. OTHER
Volunteer services toward completion of hamlet study - $15/hour ...................... $84,125
Registration for NYS Community Seminar Series tmining sessions
(Registration fee $125 per person per session) ...................................... $1,375
SUBTOTAL $85,500.00
APPENDIX C
PAYMENT AND REPORTING SCHEDULE
I. Payment Schedule
mo
The Department shall make interim 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.
Payment provided above shall be made to the Contractor upon the submission by the Contractor
of properly executed payment request. Such request shall contain the following: (1) "Summary
Sheet Documentation Forms" as provided by the Department, for reimbursement of actual and
eligible expenditures, (2) the required work products, and (3) a properly executed State Voucher.
Payment requests will be reviewed in accordance with the terms and conditions of this
Agreement to determine total allowable project costs incurred and the number and percentage of
allowable project tasks completed to date. For the purpose of determining the level of
reimbursement, otherwise allowable project costs may be reduced if the percentage of task
completion is deemed insufficient.
Total allowable project costs, adjusted pursuant to 2. above, will be prorated between State Share
and Local Share 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 equal to the State Funds calculated in 3. above.
The final payment will be issued upon receipt and approval of a payment request marked
"FINAL" documenting all project costs incurred and tasks completed and submission of the Final
Project Summary Report. Such final payment request shall be submitted within 60 days
following the ending date of this Agreement.
II. Reporting
Payment requests as described in I.B. above shall be certified by a duly authorized representative of the
Contractor as accurately representing such accomplishments and expenses as recorded in the
Contractor's accounting records, including, where goods or services are provided by third parties not
party to this Agreement, a certification that any payment obligations arising from the provision of such
goods or services have been paid by the Contractor and do not duplicate reimbursement or costs and
services received from other sources.
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.
Payment requests shall be submitted to:
New York State Department of State
Office of Coastal, Local Government & Community Sustainability
One Commerce Plaza - Suite 1010
Albany, New York, 12231-0001
Claimed expenditures must be in accordance with the project budget in Appendix B. Any changes to
the cost categories contained in the Budget, Appendix B, in excess of 10% wil! require prior approval
of the Department. If the total Contract amount is in excess of $50,000, approval will also be required
by the Office of the State Comptroller. No expenditures shall be allowed for items not set forth in the
project budget.
Other
Notwithstanding the submission of timely and properly executed payment requests, the Department
shall be under no obligation to make payment for expenditures incurred without the prior Department
approvals and/or amendments required under this Agreement and, further, shall have the right to
withhold any such payment pending the execution of such approval and/or amendment.
Interest income earned on funds received pursuant to this Agreement shall be used to further the
purpose of this Project or shall be deducted from total eligible cost to determine the net eligible costs to
be reimbursed by the Department.
The Department shall have the right to conduct on-site progress assessments and reviews of the Project
and Contractor's books and records during the life of this Agreement and for a reasonable time
following issuance of the final payment. The Contractor shall furnish proper facilities, where necessary
or useful, for such access and inspection.
The Department shall be entitled to disallow any cost or expense, or terminate or suspend this
Agreement, if found that the Contractor has misrepresented any expenditures or project activities in this
Agreement, or in any progress reports or payment requests made pursuant hereto.
The Contractor shall maintain separate fiscal books and records for all funds received through the
Department and project activities conducted pursuant to this Agreement, and shall make all such books
and records available to the Department, the Office of the State Comptroller, or their designated
representatives for inspection and audit for a period of six years following termination of this
Agreement.
APPENDIX D
PROGRAM WORK PLAN
Contractor:
Contract Number:
Program Contact Person:
Phone:
Fax:
Town of Southold
C006879
Mark Terry, Principal Planner
631.765.1938
631.765.3136
Town of Southold LWRP Hamlet Study
1. Project Description:
The Town of Southold (Contractor) will complete a comprehensive hamlet revitalization program and
implement several short-term, priority projects. This will include planning for traffic calming, gateway
signage, and affordable housing; lighting and pedestrian movement analyses; development and
implementation of site-plan design standards; and an hamlet centers economic study. To date, hamlet
stakeholder groups have been formed, presented hamlet stakeholder reports to the Town, and identified
priority projects. The goal of this project is to develop a cohesive, community driven, comprehensive
hamlet revitalization program that will support town-wide hamlet projects and define the future of the
Town's nine hamlets while supporting overall Town goals and the intent of the Town's Local Waterfront
Revitalization Program.
2. Project Attribution and Number of Copies
The Contractor must ensure that all materials printed, constructed, and/or produced acknowledge the
contributions of the Department of State (Department) to the project. The materials must include the
following acknowledgment:
"This (document, report, map, etc.) was prepared for the New York State Department of State
with funds provided under Title 11 of the Environmental Protection Fund."
The Contractor must submit to the Department all required products, clearly labelled with the NYS
Comptroller's Contract # as indicated on the Face Page of this Agreement and where applicable, the
related Task # from this Work Plan. The Contractor shall submit:
Draft products: two paper copies of each product.
Final products: two paper copies of each product. In addition, all final products (including
reports, designs, maps, drawings, and plans) must be submitted as an electronic copy (in
Adobe® Acrobat® Portable Document Format - PDF), created using 300 dpi scanning
resolution, and be submitted on a labeled CD-R type CD. The CD must be labeled with the
contractor name, contract #, and project title.
Pictures and photographs must be dated and captioned with the location and a brief description of
the activity being documented.
D-2
The contributions of the Department must also be acknowledged in community press releases issued for
the project. Project press releases shall be submitted to the Department for review and approval prior to
release to ensure appropriate attribution.
3. Compliance with Procurement Requirements
The municipal attorney, chief legal officer or financial administrator of the municipality shall certify in
writing to the Department that applicable provisions of General Municipal Law were fully complied with
(Appendix A1-XXI).
4. Training
A required component of the Title 11 Environmental Protection Fund program is Contractor participation
in a training session or sessions focused on developing and implementing revitalization strategies
(Appendix Al-I). The purpose of these training sessions is to build knowledge and provide support to
community leaders to advance revitalization efforts and advance grant priorities. The specific training
session(s) to be attended will be determined during the initial project scoping meeting.
5. Project Components
Task 1:
Initial Project Scoping Meeting
The Contractor, the Department, project partners and any other appropriate entities shall hold an
initial meeting to review the project scope, project requirements, roles and responsibilities of
project partners, the selection process for procuring consultant services for the project (including
whether an initial Request for Qualifications should be issued), State Environmental Quality
Review Act (SEQRA) compliance requirements, the number of public meetings and techniques
for public involvement proposed for the project, attendance at NYS Community Seminar Series
training sessions, 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. The Contractor, or a designated project partner, shall prepare and distribute to
all project partners a brief meeting summary clearly indicating the agreements/understandings
reached at the meeting. Work on subsequent tasks shall not proceed prior to the Department
approval o.f the proposed approach as outlined in the meeting summary.
Products:
Scoping meeting with appropriate parties. Written meeting summmy outlining
agreements/understandings reached.
Task 2:
Community Training
The Contractor will participate in the Community Training Program as stated in Section 4 above.
Product:
Copy of transmittal letter submitting payment for registration fees. Participation
in training session(s).
Task 3:
Project Advisory Committee
The Contractor shall establish a project advisory committee to oversee all aspects of the project
in cooperation with municipal officials and the project consultant(s), if applicable. The
D-3
committee shall be representative of project stakeholders, including representatives of State and
municipal agencies with jurisdiction over project activities or the project area, and non-
governmental and community based organizations. A draft list of proposed members shall be
circulated to the Department for review and approval prior to establishment of the committee.
Products:
Draft and final list of proposed members of project advisory committee. Project
advisory committee established.
Task 4:
Request for Proposals
The Contractor shall draft a Request for Proposals (RFP) including a complete project
description with site conditions, expected f'mal results, a schedule for completion, and criteria for
selecting a preferred proposal. The Contractor shall submit the RFP to the Department for
review and approval prior to release for solicitation of proposals.
Products:
Approved RFP released through advisement in local papers, the New York State
Contract Reporter, and other appropriate means.
Task 5:
Consultant Selection and Compliance with Procurement Requirements
In consultation with the Department, the Contractor and an appropriate review committee shall
review all proposals received 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 of the proposed scope of work.
Applicability of proposed alternatives or enhancements to information requested.
Cost-effectiveness of the proposal.
Qualifications and relevant experience with respect to the tasks to be performed.
Reputation among previous clients.
Ability to complete all project tasks within the allotted time and budget.
Incomplete proposals that do not address all of the requested components should not be accepted
for review and consideration.
For preparation/certification of final designs and construction documents, and for supervision of
construction, a licensed professional engineer or licensed amhitect/landscape architect is
required.
The municipal attorney, chief legal officer or financial administrator of the municipality shall
certify in writing to the Department that applicable provisions of General Municipal Law were
fully complied with.
The Contractor's procurement record and consultant selection is subject to approval by the
Department.
Products:
Consultant(s) selected and approved by the Department. Written certification of
procurement procedures.
D-4
Task 6:
Subcontract Preparation and Execution
The Contractor shall prepare a drat~ subcontract or subcontracts to conduct project work with the
consultant(s) selected. The subcontract(s) shall contain a detailed work plan with adequate
opportunity for review at appropriate stages of project completion, a payment schedule
(payments should be tied to receipt of products), and a project cost. The subcontract(s) shall
specify the composition of the entire consultant team, including firm name and area of
responsibility/expertise, and those professionals from the consultant team or consulting fh-m that
will be directly involved in specific project tasks. The Contractor shall submit the draft
subcontract(s) to the Department for review and approval, and shall incorporate the Department's
comments in the final subcontract(s). A copy of the final, executed subcontract shall be
submitted to the Department.
Products: Draft and final, executed consultant subcontracts.
Task 7:
Second Project Scoping Meeting
In consultation with the Department, the Contractor shall hold a second project scoping meeting
with the consultant(s), the project advisory committee and other project partners as appropriate,
to review project requirements, site conditions, and roles and responsibilities; identify new
information needs and next steps; and transfer any information to the consultant(s) which would
assist in completion of the project. Meeting participants shall also identify the study area
boundary and any available land use data, maps or reports that are relevant to area/site
redevelopment. The consultant(s) shall prepare and distribute a brief meeting summary clearly
indicating the agreements/understandings reached at the meeting. Work on subsequent tasks
shall not proceed prior to the Department approval of the proposed approach as outlined in the
meeting summary.
Products:
Scoping meeting with appropriate parties. Written meeting summary outlining
agreements/understandings reached.
Task 8:
Develop consensus from the public for the furore of the Town's nine hamlets through the
reformation of the hamlet stakeholder groups.
Task 8A: Re-convene hamlet stakeholder groups
The Contractor or its consultant(s) shall re-convene the hamlet stakeholder groups with
the intent of developing a hamlet stakeholder mission statement. This will be done by
contacting previous stakeholders involved in the Town's 2005 hamlet study; placing
advertisements in local papers; having local media write a feature article about the
reconfigured group; and create a Town of Southold hamlet implementation w~rkbook
(which will be provided to the Department for review and approval), to assist re-
configured stakeholders with former hamlet study findings and recommendations, as well
as existing Town code and other relevant resources.
Products:
List of hamlet stakeholders groups; supervisor's message and hamlet
stakeholder mission statement; hamlet stakeholder meeting schedule,
Rounds I - 3; hamlet !mplementation workbook.
D-5
Task 8B:
Prepare and present written repons to the Town of Southold Planning Board and
Town Board through a series of meetings
Stakeholders shall attend Planning Board meetings as scheduled; attend meetings
amongst stakeholders to formulate ways to achieve tasks outlined in the hamlet
implementation workbook; elect chairs and co-chairs for each stakeholder group;
schedule open forum meetings within each hamlet to share hamlet implementation ideas;
meet with cultural facilities and business community to share hamlet implementation
ideas; meet with housing advisory committee members to discuss potential site selections
for affordable and senior housing; provide feedback on meetings to the Planning Board
at scheduled work sessions; prioritize projects of hamlet study implementation provided
in hamlet implementation workbook; if warranted, write an addendum to the 2005 hamlet
study; and complete an evaluation of the 2007 hamlet study implementation. All of the
above elements will be submitted to the Department for review and approval prior to
being presented in hamlet stakeholder reports.
Products: Draft and final hamlet stakeholder reports
Task 8C: Establish list of short- and long-term priority projects
In consultation with the project advisory committee, hamlet stakeholder groups shall
identify and prioritize short- and long-term priority projects and identify potential
funding sources for project design and completion. Project lists shall be submitted to the
Department for review and approval.
Products: List of short- and long-term priority projects.
Task 9:
Formation of the Town of Southold Hamlet Study Implementation Panel
A Town Hamlet Study Implementation Panel shall be established and comprised of Town staff,
Town committee chairs, and will be chaired by the Town Supervisor.
Products: List of Hamlet Study Implementation Panel members
Task 10: Categorize and organize hamlet stakeholder recommendations
The Town Planning Department shall compile and categorize into spreadsheets all
recommendations in the nine hamlet stakeholder reports. Spreadsheets shall be provided to the
Department for review and approval. Recommendations will be forwarded to the Hamlet Study
Implementation Panel for implementation.
Products: Hamlet study implementation spreadsheets
Task 11: Implementation of short-term priority projects
Task 11 A: Develop a Hamlet Centers traffic calming plan
The Contractor or its consultant shall analyze current traffic patterns and produce a
report that recommends traffic calming implementation strategies and parking
D-6
improvements within each hamlet center. The Contractor or its consultant(s) shall
submit the traffic report to the Department for review and approval. The report will be
integrated with the Hamlet Revitalization Plan.
Products: Hamlet center traffic calming plan
Task 1 lB: Identify implementation strategies for pedestrian-friendly streetscapes
The Contractor or its consultant shall analyze and recommend implementation strategies
to develop pedestrian-friendly streetscapes for each hamlet center by conducting field
surveys of each hamlet's sidewalks, crosswalks, bus shelters and lighting, and will be
used to support the future development of a holistic pedestrian movement plan.
Strategies will include the current condition of each element and a plan to repair
associated problems. The Contractor or its consultant(s) shall submit strategies to the
Depa~nent for review and approval. The report will be integrated within the Hamlet
Revitalization Program.
Products: Implementation strategies for pedestrian-friendly streetscapes.
Task 11 C: Gateway signage plans for the nine hamlets
The Contractor or its consultant shall develop a uniform gateway signage plan for entry
and exit within hamlets that express the unique character of each hamlet. The Contractor
or its consultant(s) shall submit signage plans to the Department for review and approval.
The report will be integrated within the Hamlet Revitalization Program.
Products: Gateway signage plans for each hamlet.
Task 11D: Affordable housing study
In an effort to address the critical need for affordable housing in the Town, the
Contractor or its consultant shall survey and analyze the ability to increase the inventory
of accessory apartments in hamlet centers. This will include developing an inventory of
existing and potential accessory apartment sites relative to allowable sanitary flow within
each hamlet. The Contractor or its consultant(s) shall submit the report to the
Department for review and approval. The report will be integrated within the Hamlet
Revitalization Program.
Products:
Report outlining the current and potential inventory of accessory
apartments within each hamlet center.
Task 11 E: Commercial and residential site plan design standards manual
The Contractor or its consultant shall develop and implement voluntary commercial and
residential site plan design standards to assist applicants through the Planning Board's
review process. The Contractor or its consultant(s) shall submit site plan design
standards to the Department for review and approval. The report will be integrated
within the Hamlet Revitalization Program.
Products: Commercial and residential site plan design standards manual
D-7
Task 11F: Economic feasibility study
The Contractor or its consultant shall develop an economic feasibility study that supports
the development of commercial and municipal uses that strengthen hamlet centers and
mitigate the exodus of local businesses. This will include an evaluation of zoning
districts, an inventory of commercial uses within each hamlet center, a statistical profile
and trend analysis of business success and failures, and a post office utilization profile.
The Contractor or its consultant(s) shall submit the economic feasibility study to the
Department for review and approval. The report will be integrated within the Hamlet
Revitalization Program.
Products: Economic feasibility report
Task 12:
Final Town of Southold Comprehensive Hamlet Revitalization Program
In consultation with the project advisory committee, the Contractor or its consultant shall
produce a final comprehensive hamlet revitalization program that includes all of the products
previously identified in this work program, revised as per Town multi-agency board review. All
comments provided by the project advisory committee and the Department shall be addressed to
the satisfaction of the Department prior to finalization, publication and distribution of the hamlet
revitalization program.
Products: Final Town of Southold comprehensive hamlet revitalization program
Task 13:
Semi-annual reporting
The Contractor or its consultant(s) shall submit to the Department semi-annual reports (every six
months) on the form provided, including a description of the work accomplished, any problems
encountered, and any assistance needed.
Products: Semi-annual reports during the life of the contract
Task 14: Final Project Summary Report and Measurable Results forms
The Contractor or its consultant(s) shall work with the Department project manager to complete
the Final Project Summary Report and Measurable Results forms. Final payment shall not be
authorized until these forms have been completed and filed with project deliverables.
Products: Completed Final Project Summary Report and Measurable Results forms.
6. Project Management Responsibilities
The Contractor shall administer the grant, execute a contract with the Department, 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 consultant(s) or
subcontractor(s) shall conduct all work as described in the component tasks.
D-8
The Contractor:
will be responsible for conducting all project work in conformance with the Work Plan included
in the executed contract with the Department.
will be responsible for all project activities including drafting request for proposals and
managing subcontracts with consultants and subconsultants.
will certify to the Department that the procurement record for project consultants and
subcontractors complies with the applicable provisions of General Municipal Law.
will receive approval from the Department for any and all consultant subcontracts before
beginning project work.
will be responsible for submission of all products and payment requests.
will be responsible for coordinating participation and soliciting comments from local government
personnel, project volunteers, and the public.
will keep the Department informed of all important meetings for the duration of this contract.
will receive approval from the Department before purchase of any equipment.
will secure all necessary permits and perform all required environmental reviews.
will ensure that all materials printed, constructed, and/or produced reflect the Division of Coastal
Resources logo, feature the Secretary of State and the Governor, and acknowledge the
contributions of the Department to the project.
will ensure that all products prepared as a part of this agreement shall include the NYS
Comptroller's Contract # as indicated on the Face Page of this Agreement.
will ensure the project objectives are being achieved.
will ensure that comments received from the Department and the project advisory committee, or
other advisory group, are satisfactorily responded to and reflected in subsequent work.
will recognize that payments made to consultants or subcontractors covering work carried out or
products produced prior to receiving approval from the Department will not be reimbursed unless
and until the Department finds the work or products to be acceptable.
will participate, if requested by the Department, in a community seminar series training session
or sessions focused on developing and implementing revitalization strategies. The purpose of the
community training session(s) is to build knowledge and provide support to community leaders
to advance revitalization efforts and complete priority projects.
The Department:
will review and approve or disapprove of subcontracts between the Contractor and consultant(s)
and any other subcontractor(s).
will participate in initial project scoping and attend meetings that are important to the project.
will review all draft and final products and provide comments as necessary to meet the
objectives.
must approve any and all design, site plan, and preconstruetion documents before construction
may begin.
APPENDIX F
NOTICES
All notices permitted or required hereunder shall be in writing and shall be transmitted either:
(a)
(b)
(c)
(d)
(e)
via certified or registered United States mail, return receipt requested;
by facsimile transmission;
by personal delivery;
by expedited delivery service; or
by e-mail.
Such notices shall be addressed as follows or to such different addresses as the parties may from
time-to-time designate:
State of New York Department of State
Name:
Title:
Address:
Telephone Number:
Facsimile Number:
E-Mail Address:
Latwissa Parent
Secretary 1
99 Washington Avenue, Suite 1010
Albany, NY 12231
(518) 486-9540
(518) 473-2464
laurissa.parent~dos.state.ny.us
Town of Southold
Name:
Title:
Address:
Telephone Number:
Facsimile Number:
E-Mail Address:
Scott A. Russell
Supervisor
53095 Main Road
PO Box 1179
Southold, NY 11971
631-765-1889
631-765-1823
scott.mssell~town.southold.ny.us
Any such notice shall be deemed to have been given either at the time of personal delivery or, in the case
of expedited delivery service or certified or registered United States mail, as of the date of first attempted
delivery at the address and in the manner provided herein, or in the case of facsimile transmission or
email, upon receipt.
The parties may; from time to time, specify any new or different address in the United States as their
address for purpose of receiving notice under this Agreement by giving fifteen (15) days written notice to
the other party sent in accordance herewith. The parties agree to mutually designate individuals as their
respective representatives for the proposes of receiving notices under this Agreement. Additional
individuals may be designated in writing by the parties for purposes of implementation and
administration/billing, resolving issues and problems and/or for dispute resolution.
APPENDIX G
ELECTRONIC PAYMENTS
Contractor shall provide complete and accurate billing invoices to the Agency in order to receive payment.
Billing invoices submitted to the Agency must contain all information and supporting documentation required by
the Contract, the Agency and the State Comptroller. Payment for invoices submitted by the Contractor shall only
be rendered electronically unless payment by paper check is expressly authorized by the Commissioner, in the
Commissioner's sole discretion, due to extenuating circumstances. Such electronic payment shall be made in
accordance with ordinary State procedures and practices. The Contractor shall comply with the State
Comptroller's procedures to authorize electronic payments. Authorization forms are available at the State
Comptroller's website at www.osc.state.n¥.us/epa¥/index.htm, by emall at epunit~osc.state.n¥.us, or by
telephone at 518-474-4032. Contractor acknowledges that it will not receive payment on any invoices submitted
under this Contract if it does not comply with State Comptroller's electronic payment procedures, except where
the Commissioner has expressly authorized payment by paper check as set forth above.
APPENDIX X
MODIFICATION AGREEMENT FORM
Agency Code: 19000
Contract Period:
Contract No.: C006879
Funding for Period: $335,250
Ttds is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Department of
State, having its principal office at 99 Washington Avenue, Albany, New York, 12231 (hareinafter referred to as the STATE),
and Town of Southold (hereinafter referred to as the CONTRACTOR), for modification of Contract Number C006879, as
amended above and in attached Appendice(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 full force and effect.
IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as of thc dates appearing under their
signatures.
CONTRACTORSIGN~E. ~:7 _.~,]
By: ~
By:
(print name)
Title: ~ V tO' O t"- Title:
Date: ,~.,a/t C/~_ 3 ; ~. ( D Date:
(print name)
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?
State of New York
County of
)SS:
Onthis ~jO't~dayof /v~tg.4_c~_ , 20 {O , before me personally came _~-C~:','~.-~--
to me known, who, being by me duly sworn, did depose and say that he/:l.z/'..';:y reside(!0 in
~,i_-Q~ o~ (if the place of resident is ina city, include the
street and street number, if any, thereof); that he~he?X_ey is(atn0 the ~"a~.~tz.4' ~'~- O~f (title of officer or
employee) ofthe "~oo3rl ~ ~c~ 64'{~o//ta/(name ofmunicipal corporation), described in and which executed
the above instrument; and that he/.r,l~-lh~signed his/he, r-a,h~ name('~) thereto by authority of the governing body of said
municipal corporation.
~ - NOTARY PUBLIC
Approved:
Thomas P. DiNapoli
State Comptroller
By:
Date:
LYNDA M. BOHN
NOTARY PUBLIC, State of New York
No, 01 B06020932
Oualified in Suffolk County
Term Expires March 8, 20 ~