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HomeMy WebLinkAboutNYS DOS LWRP Grant C005961 - GIS ImplementationDEPARTMENT OF STATE Oi~is~on ~~r3) George E. Pataki Governor Randy A. Daniels Secretary of State Coastal Resources 41 State Street Albany, NY 12231-0001 November 29, 2001 Ms. Valerie Scopaz Town Planner Town of Southold 53095 Main Road Southold, NY 11971 Re: Agreement Number C005961 Project Description: GIS Implementation Dear Ms. Scopaz: Enclosed is a fully-executed copy of an amendment to an Agreement between the Town of Southold and the Department of State for the above cited project which extended the termination date of the Agreement to March 31, 2002. If you have any questions regarding the enclosures please contact me at (518) 473-2466 or by email at Lparent@dos. state, ny. us. Enclosure cc: V. DeBraccio John Cushman ]~fitrissa Parent Clerk 2 Voice:(518) 4746000 Fax:(518) 473-2464 E-mailcoastal@dos.state.ny.us www.dos.state.ny.us/csd/c stlwww, hlml APPENDIX X Agency Code: 1900~) Contract Period: April 1, 1998 to March 31, 2002 Contract No.: C00596l Funding forPeriod: $18,300 This is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Department of State, having its principal office at 41 State Street, Albany, New York, 12231 (hereinafter referred to as the STATE), and Town of Southold (hereinafter referred to as the CONTRACTOR), for modification of Contract Number C005961, as amended above and in attached Appendice(s) All other provisions of said AGREEMENT shall remain in full force and effect. 1N WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as of the dates appearing under their signatures. CONTRACTOR SIGNATURE Title: (print name) Date: NEW YORK STATE By: 5~D2~N~ ~E S~~ (print name) Title: OIR I::llq~lqCl~L ADNIIN 3 Date: /I/~"/OI State Agency Certification: "In addition to the acceptance of this contract, 1 also certify that original copies of this signature page will be attached to all other exact copies of this contract." BARBARA ANN RUDDER STATE OF NEW YORK ) Nellry Public, 8tare of New York No, 4855805 COLrNTY OF ~3-(~\Nt-. ) SS: Ouilified in Suffolk County Cummis$ien Expires April 14, ~ On the Ll~x~'date ofC~h~'-~ , 20 o t,, before me personally appeared, x)¢o~-~, koA. Cc~.~ ~-, to me known, who, being by me duly sworn, did depose and sa5( that (s)h~e resides at "-~2~.~w<'o.~ ~- ~,Sx-¥~r~ vp ;that (s)he ,s the <~u~ ,s..e~. of "--~. ~,.~,._, oX, .~,~-g-14o--O , the corporation described herein whmh executed the foregoing instrument; and that (s)he signed (her)his name thereto by order of the board of directors of said corporation. NOTARY PUBLIC STATE OF NEW YORK ) COUNTY OF ) SS: On this __ day of ,20 , before me personally came _, to me known and known to me to be the of ., the unincorporated association described in and which executed the above agreement; and who acknowledge to me that (s)he executed the foregoing agreement for and in behalf of said unincorporated association. ~ :; : ;: ,:::: . NOTARYPUBLIC STATE COMPTROLLER'S SIGNATURE~ I- ,~ ~, Title: ' Date: ELIZABETH A. NEVILLE TOWN CLERK REGISTKAR OF VITAL STATISTICS MARRL-kGE OFFICER RECORDS MANAGEMENT OFFICER FREEDOM OF INFORMATION OFFICER Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (631) 765-6145 Telephone (631) 765-1800 OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD October 16. 2000 CERTIFIED MAIL RETURN RECEIPT REQUIRED Department of State State of New York Division of Coastal Resources ~,1 State Street Albany, New York 12231-0001 Attention: Jean M. Fuller Administrative Assistant Dear Ms. Fuller: Enclosed please find two (2) original copies of Agreement #CO05961 CIS Implementation signed by Supervisor Jean W. Cochran. This was approved at the August 15, 2000 Southold Town Board meeting, a certified copy of this resolution is enclosed. SENDER: [] Complete items 1 and/or 2 for additional services. Complete items 3, 4a, and 4b. E3 Print your name and address on the reverse of this form so that we can return this can~ to you. {3 Aitac~ this form to the front of the mai~piece, or on the back if space does not permit. D Write 'Return Receipt Requested' on the mailpiece below the article number. El The Retum Receipt will show to whom the article was delivered and the date Article Addressed to: ean M. Fuller, Admin. Asst. i also wish to receive the follow- ing services (for an extra fee): 1. [] Addressee's Address 2. [] Restricted Delivery lie ~ erk 4a. Article Number 4bT~'e-rvic~ T~p~ I [] Registered [] Certified I [] Express Mail [] Insured [] Retum Receipt for Merchandise [] COD NYS Dept of State 41 State Street Albany, NY 12231-0001 5. Received By: (Print Name) 6. Signature (Addressee or Agent) PS Form 3811, December 1994 8. Addressee's Address (Only if requested and ~ : fee is paid) ~ ~ 102595-99-B-0223 Domestic Return Receipt ELIZABETH A. NEVILLE TOWN CLERK REGISTRAR OF VIT.~L STATISTICS MARRIAGE OFFICER RECORDS .XL. LNAGEMENT OFFICER FREEDOM OF INFOtLMATION OFFICER Town Hail, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (631) 765-6145 Telephone (631) 765-1800 OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION WAS ADOPTED AT A REGULAR MEETING OF THE SOUTHOLD TOWN BOARD HELD ON AUGUST 15. 2000: RESOLVED that the Town Board of the Town of Southold hereby authorizes Supervisor Jean W. Cochran to execute all necessary documents to amend the project description of the LWRP Grant #C005961. Southold Town Clerk August 15. 2000 NEW YORK STATE DEPARTMENT OF STATE PROJECT AMENDMENT Parties to the Agreement A. New York State Department of State 41 State Street Albany, NY 12231 hereinafter referred to as the "Department" B. Town of Southold 53095 Main Road Southold, NY 11971 WHEREAS, the Department and the Recipient entered into an Agreement, Contract Number C005961, (Original Agreement); and WHEREAS, funds have been reappropriated under Title 11 of the Environmental Protection Fund. NOW, THEREFORE, in consideration of the foregoing, the Original Agreement is amended as follows: 1. The termination date of this Agreement is extended to March 31, 2001. All other terms and conditions as set forth in the Original Agreement shall remain unchanged. IN WITNESS WHEREOF, the parties have executed this Amendment on the day and year set forth below. RECIPIENT TITL~ _Jean W. Cochran DATE ~upervisor, Town of Sou[hold Approved: OFFICE OF STATE COMPTROLLER By¸ DATE NEW YORK STATE DEPARTMENT OF STATE BY DATE Department Certification "In addition to the acceptance of this amendment, the Department certifies that original copies of this signature page will be attached to all other exact copies of this contract. CONTRACT NUMBER C005961 STATE OF NEW YORK ) COUNTY OF ) ss: On this lfillx day of October , 20_lift_, before me the personally came Jean W. Cochran to me known, who, being by me duly sworn, did depose and say thatS_he is the Supervisor of Southold lown the governmental body described in and which executed the above instrument; and that _he signed his/her name thereto by order of the Board of Supervisors and/or County Legislature of the above mentioned County. Y I~UBLIC~ ELIZABETH ANN NEVILLE Notary Public, State of New York DEPARTMENT OF STATE George E. Pataki Governor Alexander F. Treadwell Secretat3, ~fl State Division of Coastal Resources 41 Slate Street Albany, NY 12231-0001 September 11, 2000 Ms. Valerie Scopaz Town Planner Town of S'~ut~ol.~ 53095 Main Road Southold, NY 11971 Re: Agreement #C005961 GIS Implementation SEP 5 2000 Dear Ms. Scopaz: Our records indicate that the Town of Southold has not vouchered for all of the funds available under the above cited Agreement. This Agreement has a termination date of March 31, 2000, which means that any costs incurred after that date could not be reimbursed. If all costs intended for this project have been incurred prior to the current termination date, please submit a final payment request package according to our payment procedures, to document these costs. Forms for requesting payment are enclosed. If additional costs are to be incurred subsequent to the current termination date, please have two of the attached amendments signed, notarized, and returned to me, and continue to submit payment request packages in accordance with the original Agreement. The third copy of the amendment is for your files. When approved by the Office of the State Comptroller, this amendment will extend the termination date of the Agreement, making the funds available until March 31, 2001. if you have any questions, please coutact me at (518) 473-2462. Si~c?erely, Jean M. Fuller Administrative Assistant Enclosures: cc; Vouchering Forms and Guidelines Project Amendments V. DeBraccio John Cushman, Town Comptroller Voice: (518) 474 6000 Fax: (518) 473 2464 E-mail coastal(a)dos.state.ny, us www.dos.state.ny, us/cstl/c sfiwww, html NEW YORK STATE DEPARTMENT OF STATE PROJECT AMENDMENT Parties to the A~,reement A. New York State Department of State 41 State Street Albany, NY 12231 hereinafter referred to as the "Department" B. Town of Southold 53095 Main Road Southold, NY 11971 WHEREAS, the Department and the Recipient entered into an Agreement, Contract Number C005961, (Original Agreement); and WHEREAS, funds have been reappropriated under Title 11 of the Environmental Protection Fund. NOW, THEREFORE, in consideration of the foregoing, the Original Agreement is amended as follows: 1. The termination date of this Agreement is extended to March 31, 2001. All other terms and conditions as set forth in the Original Agreement shall remain unchanged. IN WITNESS WHEREOF, the parties have executed this Amendment on the day and year set forth below. RECIPIENT TITLl~ _Jean ~. Cochran DATE :~uperwsor, Town of ~ouihuid Approved: OFFICE OF STATE COMPTROLLER By DATE NEW YORK STATE DEPARTMENT OF STATE BY DATE Department Certification "In addition to the acceptance of this amendment, the Department certifies that original copies of this signature page will be attached to all other exact copies of this contract. CONTRACT NUMBER C005961 STATE OF NEW YORK COUNTY OF ) ss: On this 16th day of Oetoh~_r , 20 an, before me the personally came Jean It/. Cochran to me known, who, being by me duly sworn, did depose and say thatS_he is the Supervisor of Southold Town the governmental body described in and which executed the above instrument; and that _he signed his/her name thereto by order of the Board of Supervisors and/or County Legislature of the above mentioned County. · kOTARY i~UBLIC~' - I~ ELIZAgETH ANN NEVILLE otary Public, State of N~w York ~o, 52-8125850, Suffolk Ccumy ~erm expires October 35, ~ ELIZABETH A. NEVILLE TOWN CLERK REGISTRAR OF VITAL STATISTICS MARRIAGE OFFICER RECORDS MANAGEMENT OFFICER FREEDOM OF INFORMATION OFFICER Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (631) 765-6145 Telephone (631) 765-1800 OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 686 OF 2001 WAS ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON OCTOBER 9, 2001: RESOLVED that thc T own Board of thc T own of Southold hereby authorizes and directs Su ervisor Jean W. Cochran to execute a ro'ect amendment for the GIS Im lementation grant, from New York State Department of State, Contract No. CO05961, to extend the contract expiration date from March 31, 2001 to March 31, 2002. Elizabeth A. Neville Southold Town Clerk ACCOUNTING & FINANCE DEPT. John A. Cushman, Town Comptroller Telephone (631) 765-4333 Fax (631) 765-1366 E-mail: accounting ~town.southold.ny.us TOWN HALL ANNEX Feather Hill, Building 10 620 Traveler Street P.O. Box 1179 Southold, NY 11971-0959 TOWN OF SOUTI-IOLD OFFICE OF THE SUPERVISOR November 8, 2001 Ms. Jean M. Fuller, Adrflinistrative Assistant New York State Dept. of State Division of Coastal Resources 41 State Street Albany, NY 12231-0001 Re: Contract No. C005961 GIS Implementation Dear Ms. Fuller: The Town of Southold hereby requests a budget modification to the above referenced agreement as follows: Personal Services Contractual Services Total Original Proposed Budflet Budqet $ 36,600.00 $19,600.00 .00 17,000.00 $ 36,600.00 $ 36,600.00 These changes are necessary to (1) provide additional Town staff in the project work plan, and (2) to accommodate work completed by the Peconic Land Trust rather than Town employees in GIS implementation within the framework of the Local Waterfront Revitalization Plan. The updated budget summary and detail sheets (Appendix B) are also enclosed. Your consideration regarding this matter is appreciated. CC: Very truly yours, Town Comptroller Elizabeth Neville, Town Clerk/ Valerie Scopaz, Principal Planner Laurissa Parent, NYS DOS Agreement Number _ C00596~ Request to revise budge dated 4/1/98 Appendix B BUDGET suMMARY A. Salaries & Wages (including Fringe Benefits) B, Travel C. Supplies/Materials D. Equipment E. Contractual Services F. Other 19,600.00 17,000.00 TOTAL PROYECT COST $ 36,600.00 Total State Funds (50% of Total) $ 18~ 300.00 Total Local Share (50% of Total) $ 18,300.00 Note - Describe the anticipated project costs for each of the above cost categories in detail on the following pages (i.e; the title and pay rate of mumcipal employees to work on the project, type of consultant to be retained, type of equipment and materials to be purchased), NOU-08-2001 14:32 COASTAL RESOURCES ~i~ 4'(5 Z464 ~.~J/~4 APPENDIX B (Budget Detail Sheet) A. SALARIES & WAGES ' [I ~ S Al .--'~.-.-.-.-.-.-~ CHARGED TO~T~IIS Technical Coordinator II Senior Planner . 57,978 8,000.00 049 1,000.00 SUBTOTAL $ 19,600.00 B. TRAVEL SUBTOTAL $ C. SUPPLII~SfMATERIALS sUBTOTAL $ NOU-08-2001 14:33 COASTAL RESOURCES ~1~ 4'r~ ~4bq r.e~xe~ D, EQUIPMENT SUBTOTAL $ E. coNTRACTUAL SERVICES Provide assistance to Town with implementation of GISwtthin Local Waterfront Revitalization Plan framework sUBTOTAL $ 17,000.00 F. OTHER SUBTOTAL $ TOTRL P.04 DEPARTMENT OF STATE George E. Pataki Alexander F. Treadwell Secretary qf State Division of Coastal Resources 41 State Street Albany, NY 12231-¢h')01 December 1, 2000 Ms. Vaierie Scopaz Town Planner Town of Southold 53095 Main Road Southold, NY 11971 DEC z z 2000 Re: Agreement Number C005961 Project Description: GIS Implementation Dear Ms. Scopaz: Southold Town Planning Board Enclosed is a fully-executed copy of an amendment to an Agreement between the Town of Southold and the Department of State for the above cited project which extended the termination date of the Agreement to March 31, 2001. If you have any questions regarding the enclosures please contact me at (518) 473-2462. Sincerely, Jean M. Fuller Sr. Administrative Assistant jmf CC: V. DeBraccio John Cushman, Town Comptroller Voice: (518) 474-6000 Fax: (518) 473-2464 E-mail coastal(o~dos.state,ny.us www.dos.state,ny.us/cstl/csdwww.html NEW YORK STATE DEPARTMENT OF STATE PROJECT AMENDMENT Parties to the Agreement New York State Department of State 41 State Street Albany, NY 12231 hereinafter referred to as the "Department" B. Town of Southold 53095 Main Road Southold, NY 11971 WHEREAS, the Department and the Recipient entered into an Agreement, Contract Number C005961, (Original Agreement); and WHEREAS, funds have been reappropriated under Title 11 of the Environmental Protection Fund. NOW, THEREFORE, in consideration of the foregoing, the Original Agreement is amended as follows: 1. The termination date of this Agreement is extended to March 31,2001. All other terms and conditions as set forth in the Original Agreement shall remain unchanged. IN WITNESS WHEREOF, the parties have executed this Amendment on the day and year set forth below. RECIPIENT TITL~ lean W. Cochran DATE Supervisor, Town of Southold 10116100 Approved: OFFICE OF STATE COMPTROLLER By DATE NEW YORK STATE DEPARTMENT OF STATE DATE Department Certification "In addition to the acceptance of this amendment, the Department certifies that original copies of this signature page will be attached to all other exact copies of this contract. CONTRACT NUMBER C005961 STATE OF NEW YORK ) COUNTY OF Su~t) ss: On this 16th day of October, 20 00, before me the personally came I~n w En~hran tO me known, who, being by me duty sworn, did depose and say thatS_he is the Supervisor of Southold Town the governmental body described in and which executed the above instrument; and that _he signed his/her name thereto by order of the Board Of Supervisors and/or County Legislature of the above mentioned County. NO~L_I.Z~ B ..ErH ANN NEVILLE No a~r~ ~.ub_tic, State of New York ~_-_~.-~ ! z5 _8:50. Suffolk County ,=~ v. xp~res october 3] NEW YORK STATE DEPARTMENT OF STATE PROJECT AMENDMENT Parties to the Agreement A. New York State Department of State 41 State Street Albany, NY 12231 hereinafter referred to as the "Department" B. Town of Southold 53095 Main Road Southold, NY 11971 WHEREAS, the Department and the Recipient entered into an Agreement, Contract Number C005961, (Original Agreement); and WHEREAS, funds have been reappropriated under Title 11 of the Environmental Protection Fund. NOW, THEREFORE, in consideration of the foregoing, the Original Agreement is amended as follows: 1. The termination date of this Agreement is extended to March 31, 2001. All other terms and conditions as set forth in the Original Agreement shall remain unchanged. IN WITNESS WHEREOF, the parties have executed this Amendment on the day and year set forth below. RECIPIENT TITL"E l.an W. C~hran DATE Supervisor, To~n of ~uthold 10116/00 Approved: OFFICE OF STATE COMPTROLLER By DATE NEW YORK STATE Department Certification "In addition to the acceptance of this amendment, the Department certifies that original copies of this signature page will be attached to all other exact copies of this contract. CONTRACT NUMBER C005961 STATE OF NEW YORK ) COUNTY OF Su~a~) ss: On this ! $th day of Oeto~r , 20 0o, before me the personally came to me known, who, being by me duly sworn, did depose Supervisor of Southold Town thc I~q W. ~.nehr, n and say that S_he is the governmental body described in and which executed the above instrument; and that _he signed his/her name thereto by order of the Board of Supervisors and/or County Legislature of the above mentioned County. No~L_I.Z~A~ B ..E::I'H ANN NEVILLE · ary rub/ic, State of New York no. 52-8125850, Suffolk County Term Expires October 31, ',~ DEPARTMENT OF STATE George E. Pataki Alexander F. Treadwell Secreta~' of State Division of Coastal Resources 41 State Street Albany, NY 12231-0001 May 6, 1999 Ms. Valerie Scopaz Town Planner Town of Southold 53095 Main Road Southold, NY 11971 Local Waterfront Revitalization Project Agreement Number C005961 Project Description: GIS Implementation Dear Ms. Scopaz: Enclosed is a fully-executed copy of an Agreement between the Town of Southold and the Department of State for the above cited project. Also enclosed are vouchering procedure guidelines and documentation forms for submitting requests for payment and Project Measurable Results form(s). The Measurable Results form must be completed and returned with your final payment request. If you have any questions regarding the enclosures please contact me at (518) 473-2462. jmf Enclosures cc: V. DeBraccio Sincerely, Jean M. Fuller Administrative Assistant Plan,h'n~ ~oard Voice: (518) 474 6000 Fax: (518) 473 2464 E-mail coastal~dos.stat¢.ny us STATE AGENCY (Name and Address): NYS Department of State 41 State Street Albany, NY 12231-0001 CONTRACTOR (Name and Address): Town of Southold 53095 Main Road Southold, NY 11971 NYS COMPTROLLER'S #: C005961 ORIG. AGENCY CODE: 19000 TYPE OF PROGRAM: Environmental Protection · Fund Act STATE SHARE FUNDING AMOUNT FOR INITIAL PERIOD $18,300 LOCAL SHARE FUNDING AMOUNT FOR INITIAL PERIOD $18,300 FEDERAL TAX IDENTIFICATION NUMBER: INITIAL CONTRACT PERIOD: FROM: April 1, 1998 TO: March31, 1999 MULTI-YEAR TERM (If applicable): From: April 1, 1998 To: March 31, 2000 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 Attaehments 1, 2, & 3 thereto: Agency-specific clauses APPENDIX B: Budget APPENDIX C: Payment and Reporting Schedule APPENDIX D: Program Workplan APPENDIX X: Modification Agreement Form (to accompany modified appendices for changes in term or consideration on an existing period or for renewal periods) IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates below their signatures. Contract No. C005961 CONTRACTOR Town of S~uthold Title: ~llparvignr. Tn.n nf ~[,thold Date: ~/18/99 STATE AGENCY: New York State De~ent of State By: c_.~///- ,~ -- Title: and/4ana?emenC "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." GOVERNMENTAL BODY State of New York ) County of Suffolk )ss: On this 18th day of March ,19 99, before me personally came Jean W. Cochran to me known, who, being by me duly sworn, did depose and say that S_he is the Supervisor of Southold Town the municipality described in and which executed the above instrument; and thats_he signed his/her name thereto by order of the local legislative body of the above mentioned municipality. E L,Z~ETH ANN N EVI!I.E ~ {~-~~_~ ~'4otarV Public, State of New ~o,., ~ _ _ NO, 52-8'~ 25850, Suffolk CourCy ('; NOTARY PUBLI(~ Term Expires October 31,1;1 t3t:~> ATTORNEY GEtxI~RAL,s SIGNATURE: Title: Date: STATE COMPTROLLER'S SIGNATURE: Date: STATE OF NEW YORK AGREEMENT The AGREEMENT is hereby made by and between the State of New York agency (STATE) and the public or private agency (CONTRACTOR) identified on the face page hereof. WITNESSETH: WHEREAS, the STATE has the authority to regulate and provide funding for the establishment and operation of program services and desires to contract with skilled parties possessing the necessary resources to provide such services; and 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: Conditions of A_m'eement A. This AGREEMENT may consist of successive periods (PERIOD), as specified within the AGREEMENT or within a subsequent Modification Agreement(s) (Appendix X). Each additional or superseding PERIOD shall be on the forms specified by the particular State agency, and shall be incorporated into this AGREEMENT. B. Funding for the first PERIOD shall not exceed the funding amount specified on the face page hereof. Funding for each subsequent PERIOD, if any, shall not exceed the amount specified in the appropriate appendix for that PERIOD. C. This AGREEMENT incorporates the face pages attached and all of the marked appendices identified on the face page hereof. D. For each succeeding PERIOD of the AGREEMENT, the parties shall prepare new appendices, to the extent that any require modification, and a Modification Agreement (the attached Appendix X is the blank form to be used). Any terms of this AGREEMENT not modified shall remain in effect for each PERIOD of the AGREEMENT. To modify the AGREEMENT within an existing PERIOD the parties shall revise or complete the appropriate appendix forms(s). Any change in the amount of consideration to be paid, or change in the term, is subject to the approval of the Office of the State Comptroller. Any other modifications shall be processed in accordance with agency guidelines as stated in Appendix Al. E. The CONTRACTOR shall perform all services to the satisfaction of the STATE. The CONTRACTOR shall provide services and meet the program objectives summarized in the Program Workplan (Appendix D) in accordance with: provisions of the AGREEMENT; relevant laws, rules and regulations, administrative and fiscal guidelines; and where applicable, operating certificates for facilities or licenses for an activity or program. F. If the CONTRACTOR enters into subcontracts for the performance of work pursuant to this AGREEMENT, the CONTRACTOR shall take full responsibility for the acts and omissions of its subcontractors. Nothing in the subcontract shall impair the rights of the STATE under this AGREEMENT. No contractual relationship shall be deemed to exist between the subcontractor and the STATE. II. III. IV. 2 G. Appendix A. (Standard Clauses as required by the Attomey General for all State contracts) takes precedence over all other parts of the AGREEMENT. A. The CONTRACTOR, to be eligible for payment, shall submit to the STATE's designated payment office (identified in Appendix C) any appropriate documentation as required by the Payment and Reporting Schedule (Appendix C) and by agency fiscal guidelines, in a manner acceptable to the STATE. B. The STATE shall make payments and any reconciliations in accordance with the Payment and Reporting Schedule (Appendix C). The STATE shall pay the CONTRACTOR, in consideration of contract services for a given PERIOD, a sum not to exceed the amount noted on the face page hereof or in the respective Appendix designating the payment amount for that given PERIOD. This sum shall not duplicate reimbursement from other sources for CONTRACTOR costs and services provided pursuant to this AGREEMENT. C. The CONTRACTOR shall meet the audit requirements specified by the STATE. A. This AGREEMENT may be terminated at any time upon mutual written consent of the STATE and the CONI'RACTOR. B. The STATE may terminate the AGREEMENT immediately, upon written notice of termination to the CONTRACTOR, if the CONTRACTOR fails to comply with the terms and conditions of this AGREEMENT and/or with any laws, rules, regulations, policies or procedures affecting this AGREEMENT. C. The STATE may also terminate this AGREEMENT for any reason in accordance with provisions set forth in Appendix 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 shall cancel, prior to the effective date of any prospective termination, all outstanding obligations, and agrees not to incur any new obligations after receipt of the notice without approval by the STATE. F. The STATE shall be responsible for payment on claims pursuant to services provided and costs incurred pursuant to terms of the AGREEMENT. In no event shall the STATE be liable for expenses and obligations arising from the program(s) in this AGREEMENT after the termination date. A. The CONTRACTOR shall be solely responsible and answerable in damages for any and all accident and/or injuries to person (including death) or property arising out of or related to the services to be rendered by the CONTRACTOR or its subcontractors pursuant to this AGREEMENT. The CONTRACTOR shall indemnify and hold harmless the STATE and its officers and employees from claims, suits, actions, damages and costs of every nature arising out of the provision of services pursuant to this AGREEMENT. B. The CONTRACTOR is an independent contractor and may neither hold itself out nor claim to be an officer, employee or subdivision of the STATE nor make any claim, demand or application to or for any right based upon any different status. Property. Any equipment, furniture, supplies or other property purchased pursuant to this AGREEMENT is deemed to be the property of the STATE except as may otherwise be governed by Federal or State laws, rules or regulations, or as stated in Appendix Al. Safeguards for Services and Confidentiality A. Services performed pursuant to this AGREEMENT are secular in nature and shall be performed in a manner that does not discriminate on the basis of religious belief, or promote or discourage adherence to religion in general or particular religious beliefs. B. Funds provided pursuant to this AGREEMENT shall not be used for any partisan political activity, or for activities that may influence legislation or the election or defeat of any candidate for public office. C. Information relating to individuals who may receive services pursuant to this AGREEMENT shall be maintained and used only for the purposes intended under the contract and in conformity with applicable provisions of laws and regulations, or specified in Appendix Al. APPENDIX A Standard Clauses for All New York State Contracts Revised December 1996 The parties to the attached contract, license, lease, amendment or other agreement of any kind (hereinafter, "the contract" or "this contract") agree to be bound by the following clauses which are hereby made a part of the contract (the word "contractor" herein refers to any party other than the State, whether a contractor, licensor, licensee, lessor, lessee or any other party): 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. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of the State Finance Law, this contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred, conveyed, sublet or otherwise disposed of without the previous consent, in writing, of the State and any attempts to assign the contract without the State's written consent are null and void. The Contractor may, however, assign its right to receive payment without the State's prior written consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of the State Finance Law. COMPTROLLER'S APPROVAL. In accordance with Section 112 of the State Finance Law (or, if this contract is with the State University or City University of New York, Section 355 or Section 6218 of the Education Law), if this contract exceeds $10,000.00 (or the minimum thresholds agreed to by the Office of the State Comptroller for certain S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any amount to a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the State agrees to give something other than money when the value or reasonably estimated value of such consideration exceeds $10,000.00, 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. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the provisions of the Workers' Compensation Law. NON-DISCRIMINATION REQUIREMENTS. In accordance with 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, age, disability or marital status. Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex or national origin: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. If this is a building service contract as def'med in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcontractors shall be reason of race, creed, color, national origin, age, sex, or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all monies due hereunder for a second or subsequent violation. 10. Appendix A-2 WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and 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. NON-COLLUSIVE BIDDING REQUIREMENT. In accordance with Section 139-d of the State Finance Law, if this contract was awarded based upon the submission of bids, Contractor warrants, under penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition. Contractor further warrants that, at the time Contractor submitted its bid, an authorized and responsible person executed and delivered to the State a non-collusive bidding certification on Contractor's behalf. 1NTERNATION,,LL BOYCOTTPROHIBITION. In accordance with Section 220-f of the Labor Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000.00, the Contractor agrees, as a material condition of the contract, that neither the Contractor nor any substantially owned or affiliated person, fn'm, parmership or corporation has participated, is participating, or shall participate in an international boycott in violation of the federal Export Administration Act of 1979 (50 USC App. Section 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 (2 NYCRR 105.4). SET-OFFRIGHTS. The State shall have all of its common law, equitable and statutory rights of set-off. These rights shall include, but not be limited to, the State's option to withhold for the purposes of set-off any moneys due to the Contractor under this contract up to any amounts due and owing to the State with regard to this contract, any other contract with any State department or agency, including any contract for a term commencing prior to the term of this contract, plus any amounts due and owing to the State for any other reason including, without limitation, tax delinquencies, fee delinquencies or monetary penalties relative thereto. The State shall exercise its set-offrights in accordance with normal State practices including, in cases of set-off pursuant to an audit, the finalization of such audit by the State agency, its representatives, or the State Comptroller. RECORDS. The Contractor shall establish and maintain complete and accurate books, records, documents, accounts and other evidence directly pertinent to performance under this contract (hereinafter, collectively, "the Records"). The Records must be kept for the balance of the calendar year in which they were made and for six (6) additional years thereafter. The State Comptroller, the Attomey General and any other person or entity authorized to conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the Records during normal business hours at an office of the Contractor within the State of New York or, if no such office is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the purposes of inspection, auditing and copying. The State shall take reasonable steps to protect from public disclosure any of the Records which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute") provided that (i) the Contractor shall timely inform an appropriate State official, in writing, that said records should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the State's right to discovery in any pending or future litigation. 11. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION. Appendix A-3 12. FEDERAL EMPLOYER IDENTIFICATION NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER. All invoices or New York State standard vouchers submitted for payment for the sale of goods or services or the lease of real or personal property to a New York State agency must include the payee's identification number i.e., the seller's or lessor's identification number. The number is either the payee's Federal employer identification number or Federal social security number, or both such numbers when the payee has both such numbers. Failure to include this number or numbers may delay payment. Where the payee does not have such number or numbers, the payee, on its invoice or New York State standard voucher, must give the reason or reasons why the payee does not have such number or numbers. PRIVACY NOTIFICATION. (i) The authority to request the above personal information from a seller of goods or services or a lessor of real or personal property, and the authority to maintain such information, is found in Section 5 of the State Tax Law. Disclosure of this information by the seller or lessor to the State is mandatory. The principal purpose for which the information is collected is to enable the State to identify individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons affected by the taxes administered by the Commissioner of Taxation and Finance. The information will be used for tax administration purpose and for any other purpose authorized by law; (ii) The personal information is requested by the purchasing unit of the agency contracting to purchase the goods or services or lease the real or personal property covered by this contract or lease. The information is maintained in New York State's Central Accounting System by the Director of State Accounts, Office of the State Comptroller, AESOB, Albany, New York 12236. 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 therein; or (iii) a written agreement in excess of $100,000.00 whereby the owner of a State-assisted housing project is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such project, then: The Contractor will not discriminate against employees or applicants for employment because of race, creed; color, national origin, sex, age, disability or marital status, and will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination. Affirmative action shall mean recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation; At the request of the contracting agency, the Contractor shall request each employment agency, labor union or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, or furnish a written statement that such employment agency, labor union or representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of the contractor's obligations herein; and Appendix A-4 The Contractor shall state, in all solicitation or advertisements for employees, that, in the perTormance of the State contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. Contractor will include the provisions of"A", "B" and "C", above, in every subcontract over $25,000.00 for the construction, demolition, replacement, major repair, renovation, planning or design or real property and improvements thereon (the Work) except where the Work is for the beneficial use of the Contractor. Section 312 does not apply to: (i) work, goods or services unrelated to this contract; or (ii) employment outside New York State; or (iii) banking services, insurance policies or the sale of securities. The State shall consider compliance by a contractor or subcontractor with the requirements of any federal law concerning equal employment opportunity which effectuates the purpose of this section. The contracting agency shall determine whether the imposition of the requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict. Contractor will comply with all duly promulgated and lawful rules and regulations of the Division of Minority and Women's Business Development pertaining hereto. 13. CONFLICTING TERMS. In the event of a conflict between the terms of the contract (including any and all attachments thereto and amendments thereof) and the terms of this Appendix A, the terms of this Appendix A shall control. 14. GOVERNING LA W. This contract shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise. 15. LATE PAYMENT. Timeliness of payment and any interest to be paid to Contractor for late payment shall be governed by Article XI-A of the State Finance Law to the extent required by law. 16. NOARBITRATIOA( Disputes involving this contract, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily authorized), but must, instead, be heard in a court of competent jurisdiction of the State of New York. 17. SERVICE OF PROCESS. In addition to the methods of service allowed by the State Civil Practice Law and Rules ("CPLR"), Contractor hereby consents to the 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 State 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. l 8. PROHIBITION ONPURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and warrants that all wood products to be used under this contract award will be in accordance with, but not limited to, the specifications and provisions of State Finance Law § 165 (Use of Tropical Hardwoods) which prohibits purchase and use of tropical hardwoods, unless specifically exempted, by the State or any governmental agency or political subdivision or public benefit corporation. Qualification for an exemption under this law will be the responsibility of the contractor to establish to meet with the approval of the State. In addition, when any portion of this contract involving the use of woods, whether supply or installation is to be performed by any subcontractor, the prime Contractor will indicate and cerhfy in the submitted bid proposal that the subcontractor has been informed and is in compliance with specifications and provisions regarding use of tropical hardwoods as detailed in {}165 State Finance Law. Any such use must meet with the approval of the State, otherwise, the bid may notbe 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. Appendix A-5 19. MACBRIDE FAIR EMPLOYMENTPRINCIPLES. In 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 Co) shall take lawful steps in good faith to conduct any business operations in Northem Ireland in accordance with the MacBride Fair Employment Principles (as described in Section 165 of the New York State Finance Law), and shall permit independent monitoring of compliance with such principles. 20. OMNIBUS PROCUREMENTACT OF 1992. It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts. Information on the availability of New York State subcontractors and suppliers is available from: NYS Department of Economic Development Division for Small Business One Commerce Plaza Albany, New York 12245 A directory of certified minority and women-owned business enterprises is available from: NYS Department of Economic Development Minority and Women's Business Development Division One Commerce Plaza Albany, New York 12245 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: The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State; B. The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended. The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of 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 state 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 amendments (Chapter 684, Laws of 1994) require that they be denied contracts which they would otherwise obtain. Contact the NYS Department of Economic Development, Division for Small Business, one Commerce Plaza; Albany New York 12245, for a current list of states subject to this provision. II. APPENDIX A1 Agency-Specific Clauses This Agreement has been entered into pursuant to the following understandings: Title 11 of the Environmental Protection Fund Act provides for State assistance to municipalities for the State share of the cost of approved local waterfront revitalization projects as defined in the Act. B. The Department 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 Work Program as set forth in Appendix D, the Department has made a determination of eligibility of funding for Contractor's project under such Act. State funds (Funding Amount set forth on the Face Page) for this Project (Appendix D Program Workplan) are provided pursuant to a reappropriation of funds originally made by Title 11 of the Environmental Protection Fund Act. E. The Contractor has demonstrated its ability to fmance its share of the Project and has agreed to fund its portion of the cost of the Project. A. For the purposes of this Agreement, the terms "State" and "Department" are interchangeable, unless the context requires otherwise. B. The contract period as set forth on the Face Page is the inclusive period within which the provisions of this Agreement shall be performed. No liabilities are to be incurred beyond the termination date and no costs will be reimbursed for such liabilities unless: 1) funds have been reappropriated for the Project in the subsequent State fiscal year, 2) the Department determines that it is in the best interest of the Department and the State to provide additional time to complete the Project and 3) an extension agreement is approved in accordance with Section IA. of the Agreement. The Department shall not be liable for expenses of any kind incurred/n 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, roles 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. The Contractor shall submit with its request for final payment a Final Project Summary Report in the format described in Appendix Al, Attachment 2 and Measurable Results Forms, such forms to be provided Contractor by the Department. III. Al-2 The Contractor agrees to proceed expeditiously with the Project and to complete the Project in accordance with the timetable set forth in the Workplan (Appendix D) as well as with the conditions of any applicable permits, administrative orders, or judicial orders and this Agreement. The Department will provide Contractor with a Granteedl.epml (Appendix Al, Attachment 3) pursuant to the Department's Minority and Women-owned Business Enterprises Program. In the event Contractor utilizes Minority and Women-owned Business Enterprises as discussed in Section XIV in Appendix Al, such report shall be provided to the Department at the address on the Grantee Report. 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. Contracts for construction in excess of twenty thousand dollars ($20,000) shall be awarded after and in accordance with competitive bidding requirements of the General Municipal Law. A certified copy of a summary of all bids shall be submitted to the Department prior to awarding the contract, and an executed copy of the construction contract will thereafter be submitted to the Department. All purchase contracts involving an expenditure of more than ten thousand dollars ($10,000) shall be awarded to the lowest bidder furnishing the required security after advertisement for sealed bids in the manner provided for in section 103 of the General Municipal Law. The State shall make periodic inspections of the project both during its implementation and after its completion to assure compliance with this Agreement. The Contractor shall allow the State unrestricted access to work during the preparation and progress of the work, and provide for such access and inspection by the State in all construction contracts relating to the project. The Contractor shall be responsible for assuring that the project is designed and constructed in conformance with the Uniform Federal Accessibility Standards (UFAS - Appendix A to 41 CRF part 101-19.6), the Americans with Disabilities Act Accessibility Guidelines (ADAAG - Appendix A of Title 9 NYCRR). Where there are discrepancies among the sets of standards with regard to a particular design./constmction requirement, the one providing for the greatest degree of accommodation for the disabled shall apply. It is the Contractor's responsibility, pursuant to Section 57 of the Workers' Compensation Law, to maintain for State audit and review either proof that they have Workers~ Compensation coverage for any employees, or a wavier statement from the New York State Department of Labor. The Contractor must also obtain from any contractor or sub-contractor hired to provide a service pursuant to this Agreement, similar proof or waiver from the contractor or subcontractor, and must maintain such documentation on file for audit. IV. Al-3 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 and other works: By acceptance of this Agreement, Contractor transfers to the Department a nonexclusive license to use, reproduce in any medium, and distribute any work prepared for or in connection with the Project, including but not limited to reports, maps, designs, plans, analysis, and documents regardless oftha medium in which they are originally produced. Contractor warrants to the Department that it has sufficient title or interest in such works to license pursuant to this Agreement. Such warranty shall survive the termination of this agreement. Contractor agrees to provide the original of each such work, or a copy thereof which is acceptable to the Department, to the Department before payments shall be made under this Agreement. Contractors Insurance Requirements Prior to the commencement of the Work, the Contractor shall file with the Department of State, Division of Coastal Resources, Certificates of Insurance evidencing compliance with all requirements contained in this contract. Such Certificate shall be of form and substance acceptable to the Department. B. Acceptance and/or approval by the Department does not and shall not be construed to relieve Contractor of any obligations, responsibilities or liabilities under the Contract. All insurance required by the Contract shall be obtained at the sole cost and expense of the Contractor; shall be maintained with insurance carriers licensed to do business in New York State; shall be primary and non-contributing to any insurance or self insurance maintained by the Department; shall be endorsed to provide written notice be given to the Department, at least thirty (30) days prior to the cancellation, non-renewal, or material alteration of such policies, which notice, evidenced by return receipt of United States Certified Mail which shall be sent to New York State Department of State, 41 State Street, Albany, New York 12231-0001; and shall name the People of the State of New York and their directors officers, agents, and employees as additional insured thereunder. D. The Contractor shall be solely responsible for the payment of all deductibles to which such policies are subject. Each insurance carrier must be rated at least "A" Class "VII" in the most recently published Best's Insurance Report. If, during the term of the policy, a carder'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. The Contractor shall cause all insurance to be in full force and effect as of the date of this Contract and to remain in full force and effect throughout the term of this Contract and as further required by this contract. The Contractor shall not take any action, or omit to take any action that Al-4 would suspend or invalidate any of the required coverages during the period of time such coverages are required to be in effect. 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. Unless the Contractor self-insured, Contractor shall, throughout the term of the Contract or as otherwise required by this Contract, 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 Contract, or as required by law, whichever is greater (limits may be provided through a combination of primary and umbrella/excess policies). Where Contractor is self-insured, Contractor shall provide suitable evidence of such to the Department relating to the risks and coverage amounts as provided hereunder. 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 contrac0 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 f'mal 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 Compenaation, 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. 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 DOS held in their care, custody and/or control. 6. An Owner's Protective Liability Policy with limits no less than $1,000,000 in the name of the Contractor.. The Contractor shall require that any subcontractors hired, carry insurance with the same limits and provisions provided herein. Al-5 VII. VIII. J. Professional consultants retained by the Contractor in connection with the Project shall show evidence of professional liability insurance with limits no less than $1 million. 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 fights -of-way sufficient to assure undisturbed use and possession for the purposes of construction and operation for the estimated life of the Project. Contractor further acknowledges that where such Project is undertaken on or involves the use 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. Where the project described in Appendix D involves the creation or purchase of any computer program, software, hardware or other equipment, the Contractor hereby agrees that its computer software and equipment (including those with consultants using or maintaining computer equipment) will comply with the NYS Year 2000 Warranty as stated in Appendix A1 (Attachment 1) and will, if so designed, function as part of the State agency's computer system. Fees The Contractor may charge a reasonable fee for the use of any facility which is part of the project. Except for the imposition of a differential fee schedule for non-residents of the municipality in which the project is located, the establishment of any preferential user fee for any person or entity is prohibited. Fees charged to non-residents shall not exceed twice those charged to residents. B. Where there is no charge for residents but a fee is charged to non-residents, non-resident fees cannot exceed fees charged for residents at comparable State or local public facilities. C. Reservation, membership or annual permit systems available to residents must also be available to non-residents and the period of availability must be the same for both residents and non-residents. D. This provision does not apply to non-residents fishing and hunting license fees. Alienation where the Project is undertaken on or involves parklands, 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 purposes without the express authority of an act of the XIII. Al-6 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. The Contractor 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. Terminations In addition to any other actions authorized by this Agreement, the Department may terminate the Agreement in the best interests of the State of New York by providing written notice to the Contractor as provided in this Agreement. The Contractor shall complete the project as set forth in this Agreement, and failure to render satisfactory progress or to complete the project to the satisfaction of the State may be deemed an abandonment of the project and may cause the suspension or termination of any obligation of the State. In the event the Contractor should be deemed to have abandoned the project for any reason or cause other than a national emergency or an Act of God, all monies paid to the Contractor by the State and not expended in accordance with this Agreement shall be repaid to the State upon demand. If such monies are not repaid within one year after such demand, the State Comptroller of the State of New York may cause to be withheld from any State assistance to which the Contractor would otherwise be entitled an amount equal to the monies demanded. In the event that the Department has provided written notice to the Contractor directing that the Contractor correct any failure to comply with this Agreement, the Department reserves the right to direct that the Contractor suspend all work during a period of time to be determined by the Department. If the Contractor does not correct such failures during the period provided for in the notice, this Agreement shall be deemed to be terminated after expiration of such time period. During any such suspension, the Contractor agrees not to incur any new obligations after receipt of the notice without approval by the Department. Subcontracting Requirements The Contractor may subcontract for all or any portion of the activities covered by this Agreement as provided for in Appendix D, subject to prior written approval by the Department of any subcontractor and the terms of any subcontract. Requirements for Contract Map Products A. GENERAL MAP PRODUCT REQUIREMENTS - The following general cartographic requirements must be adhered to by the Contractor: 1) Map Products -- The Division requires delivery of digital map products, unless otherwise specified in the Request for Proposal (RFP), that meet the specifications outlined in this GENERAL MAP PRODUCT REQUIREMENTS section and the ADDITIONAL DIGITAL CARTOGRAPHIC FILE REQUIREMENTS section. If analog map products are required by the RFP, they must meet specifications outlined in this GENERAL MAP PRODUCT REQUIREMENTS section and the ADDITIONAL DIGITAL-READY MAP PRODUCT REQUIREMENTS section. Al-7 Deliverable Format -- All digital map and attribute table files must be provided in Maplnfo 4.0 for Windows95 format on CD-ROM, or 3.5" floppy diskette media. Alternatively, the digital products may be provided in UNIX or PC ARC/1NFO binary or export format (.e00) or AutoCAD DXF format on the same media types upon approval of the Division. All other digital formats require prior approval of the Division. Coordination with the Division prior to submission of digital media is required to ensure compatibility of the delivered materials. Documentation -- A data dictionary must be included along with the map files describing file contents, file names, map projection, horizontal and vertical datums used, coordinate system, RMS accuracy and log sheet, information sources and dates, the map maker and date of preparation, and creation methodology. Data provided under federal funds must be provided in a manner which meets Digital Geospatial Federal Geographic Data Committee Metadata Standard as executed by Executive Order 12906, April 11, 1994, "Coordinating Geographic Data Acquisition and Access: the National Spatial Data Infrastructure". 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 Division the map product does not conform to National Map Accuracy Standards, then a statement of actual map accuracy should be included in the Documentation above. Furthermore, hydrographic surveys and maps should conform to recommended accuracy standard proposed in the joint USGS, NOS, Coastal Mapping Handbook, 1978, Melvin Ellis editor, U.S. Government Printing Office, Appendix 6. Datums -- Unless otherwise specified in the RFP, all map products should be referenced to the North American Horizontal Datum of 1927 (NAD27) and the National Geodedtic Vertical Datum of 1929 (NGVD29). 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 boundary, regardless of map layer, must have exactly the same coordinate position of that feature in all common layers. 3. Point Duplication -- No duplication of points that occur within a data string is permitted. Connectivity -- Where graphic elements visually meet, they must be 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, Al-8 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) ora 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 RFP. The map products must include an index map to all map sheets and thorough descriptions of all the cartographic elements portrayed on the maps. 1. Base Map Media -- All maps must be created on mylar or 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 Division, all maps should be compiled at 1:24,000. If other map scales are approved by the Division, where possible they will conform to standard map scales such as 1:9600; 1:50,000; 1:75,000; or 1:100,000. 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 - All database and tabular files must be provided in Microsoft Access '97 for Windows95 version 5.0 format. Other formats that are convertible to Paradox may be used with prior approval of the Division. Al-9 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. Payment and Records Retention A. Payments shall be made as set forth in Appendix C. The Contractor shall maintain, at its ptincipal 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 tight 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 there~om in accordance with generally accepted accounting ptinciples. The Contractor shall maintain separate fiscal books and records for all funds received through the Department pursuant to this Agreement. During the term of this Agreement and for a period of six years after its termination, the Contractor shall make all such books and records available to the Department and the Office of the State Comptroller, or their designated representatives, for inspection and audit. Equal Emplo.vment Opportuni _ty 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. 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 requiting 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 Grantee Report is required to be submitted to the Bureau of Human Resources Management of the Department on forms provided by the Department. Article 15-A requires that rules and regulations be established for contracts entered into by the Department. In accordance with Article 15-A, goals must be set for contracts entered into by the Department in excess 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 rules and regulations, the Department must consider the availability of certified minority and women-owned businesses in the region in which the state contract will be Al-lO performed, the total dollar value of the contract, the scope of work to be performed, and the project size and tenn. The contractor will, when r. tqlJ~ed as a part of the bid or proposal, submit a Staffing Plan on the form provided by the Department. This Plan will detail the work force anticipated in the performance of the state contract broken down 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 Depat'tment 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 shall 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. · 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 af£mnative 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 Bureau of Human Resources Management by calling (518) 474-2752. To assist potential contractors, a copy of the NYS Directory of Certified Minority and Women-owned Business Enterprises is made available for inspection at the Department of State, Bureau of Human Resources Management, 41 State Street, Albany, New York 12231-0001. The Department makes no representation with respect to the availability or capability of any business listed in the Directory. XVII. Notice of Public Proceedings Al-Il XVIII. XX. 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. Submission of all correspondence and documentation The Contractor agrees to provide the Department with original and two copies of all documentation relating to this Project, including, but not limited to: notices of public meetings, products described in Appendix D, and payment request documentation as described in Appendix C. B. All information as described in A. above shall include the NYS Comptroller's # as indicated on the Face Page of this Agreement. 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. 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. Fully-Executed A_m'eement or Amendment Thereto A. If this Agreement or amendments thereto, allocates funds totaling $10,000 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 $10,000, it shall be deemed to be full executed when approved by the Office of the State Comptroller. Appendix Al, Attachment 1 Page -1 NEW YORK STATE YEAR 2000 WARRANTY STANDARD 1. l)~all[tioa - For purposes of this warranty, the following de£mitions shall apply: a. "Product" shall include, without limitation: any piece or component of equipment, hardware, fn'mware, middleware, custom or commercial software, or internal components or subroutines therein which perform any date/time data recognition function, calculation, comparing or sequencing. Where services are being furnished, e.g. consulting, systems integration, code or data conversion or data entry, the term "Product" shall include resulting deliverables. b. "Vendor's Product" shall include all Product delivered under this Agreement by Vendor other than Third Party Product. c. "Third Party Product" shall include product manufactured or developed by a corporate entity independent from Vendor and provided by Vendor on a non-exclusive licensing or other distribution Agreement with the third party manufacturer. "Third party Product" does not include product where Vendor is: a) a corporate subsidiary or affiliate of the their party manufacturer/developer; and/or b) the exclusive re- seller or distributor of product manufactured or developed by said corporate entity. P~t the time of bid, Product order or Product quote, Vendor is required to disclose the following information in writing to authorized User: a) For Vendor Product and for Products (including, but not limited to, Vendor and/or Third party Products and/or Authorized User's Installed Product) which have been specified to perform as a system: Compliance or non-compliance of the Products individually or as a system with the Warranty Statement set forth below; and b) For Third Party Product Not specified as Part of a System: Third Party Manufacturer's statement of compliance or non-compliance of any Third party Product being delivered with Third Party Manufacturer/Developer's Year 2000 warranty. If such Third Party Product is represented by Third Party Manufacturer/Developer as compliant with Third Party Manufacturer/Developer's Year 2000 Warranty, Vendor shall pass though said Third Party Warranty from the Third Party Manufacturer to the Authorized User but shall not be liable for the testing or verification of Third Party's compliance statement. An absence or failure to furnish the required written warranty disclosure shall be deemed a statement of compliance of the product(s) or system(s) in question with the year 2000 warranty statement set forth below. Year 2000 wananty 'compliance' shall be defined in accordance with the following warranty statement: Vendor warrants that Product(s) furnished pursuant to this Agreement shall, when used in accordance with the Product documentation, be able to accurately process date/time data (including, but not limited to, calculating, comparing, and sequencing) from, into, and between the twentieth and twenty-first centuries, and the years 1999 and 2000, including leap year calculations. Where a purchase requires that specific Products must perform as a package or system, this warranty shall apply to the Products as a system. In the event of any breach of this warranty, Vendor shall restore the Product to the same level of performance as warranted herein, or repair or replace the Product with conforming Product so as to minimize interruption to Authorized User's ongoing business processed, time being of the essence, at Vendor's sole cost and Appendix Al, Attachment 1 Page -2 expense. This warranty does not extend to correction of Authorized User's errors in data entry or data conversion. This warranty shall survive beyond termination or expiration of the Agreement. Nothing in this warranty shall be construed to limit any rights or remedies otherwise available under this Agreement. Appendix Al, Attachment 2, FPSR-1 FINAL PROJECT SUMMARY REPORT F~inal payment of the grant is dependent upon the satisfactory completion and acceptance by the Department of State, Divixion of Coastal Rexources 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 si?ificance and the value of the completed pro.iect to the community.: the region and the state through the completion of the report. The following outline should be used to complete the FrNAL PROJECT SUMMARY REPORT: 1. Project Title: 2. Name of Municipality: 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: 4. Project Manager: Name: Title: Mailing address: Tel. number: ( ) Fax number: ( ) E-mail address: 5. Federal Tax Identification Number: 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 strategies recommended. 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. I0. Project Documentation: The Department of State, Division of Coastal Resources requires a visual documentation of the Environmental Protection Fund projects. Project products should be visually documented using a 35mm camera or a digital camera. ~ Appendix Al, Attachment 2, ~PSR-2 and/or digital camera disc should be labeled and dated when submitted along with the completed FINAL PROJECT SUMMARY REPORT. Visuals should illustrate the final project product and, as appropriate, activities undertaken to complete the project. For example, some projects would call for visuals that include photographs of volunteers participating in a wetland restoration project (planting Spartina); photographs of historical signs markers, kiosks, etc. being placed; or photographs of an artist's rendering of a waterfront design. Design, planning, and construction projects call for different visual documentation. Therefore, the following guidelines are suggested: [] 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 format) of the project with a verbal description is desirable hut_nolaxmadatm~. The video may be used in a future documentary. Appendix Al, Attachment 3, Grantee Report 1 NYS Department of State · Bureau of Human Resources Management 41 State Street Albany NY 12231-0001 · (518) 474-2752 Minority and Women-owned Business Enterprises (MWBE) Program Coastal Management Program Grantee Report INSTRUCTIONS: 1. Please prepare reports based on ~aJP.,[t¢t~ quarters, or prepare one annual report. 2. Use a separate Grantee Report sheet for each program area 3. Record the amount paid for each service/product for the time period identified below. 4. Send completed reports to the Bureau of Human Resources Management 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. .,' ~" -' GRANTEE NAME PROGRAM DOS CONTRACT NUMBER GRANTEE ADDRESS SERVICE AREA of GRANT i( ) 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 [] M.BE $ [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE DOS801 (Rev.10/98) PAGE 1 of__ APPENDIX B BUDGET SUMMARY A. Salaries & Wages (including Fringe Benefits) B. Travel C. Supplies/Materials D. Equipment E. Contractual Services F. Other $36,600.00 $0.00 $0.00 $0.00 $0.00 $0.00 TOTAL PROJECT COST $36,600.00 Total State Funds (50 % of Total) Total Local Share (50 % of Total) $18,300.00 $18,300.00 Describe the anticipated project costs for each of the above cost categories in detail on the following pages (i.e. the title and pay rate of municipal employees to work on the project, type of consultant to be retained, type of equipment and materials to be purchased). The Total of your BUDGET must equal the sum of the State Share and the Local Share as shown on the Contract Face Page. Appendix B (Budget Detail Sheet) Appendix B-2 A. SALARIES & WAGES TITLE ,~NNIIAI. AMOUNT SAI.ARY ~ PROJECT Planner/GIS technician I $36,600.001 $36,600.00 SUBTOTAL $36,600.00 lB. TRAVEL SUBTOTAL $ 0.00 IC. SUPPLIES/MATERIALS SUBTOTAL $ 0.00 D. EQUIPMENT SUBTOTAL $ 0.00 I'E. CONTRACTUAL SERVICES SUBTOTAL $ 0.00 F. OTHER SUBTOTAL $ 0.00 APPENDIX C Payment and Reporting Schedule The Department shall make interim payments for eligible costs incurred up to an amount not to exceed 90% of the State Funds Requested. The final payment will be made upon satisfactory completion of the Project. Not more frequently than once every 30 days, a properly executed payment request, on forms as prescribed by the Department, and required work products documenting completion of one or more of the tasks set forth in Appendix D, Program Workplan, and total project costs incurred to date, may be submitted. Payment provided above shall be made to the Contractor upon the submission by the Contractor of properly executed payment request. Such request shall contain the following: (1) "Summary Sheet Documentation Forms" as provided by the Department, for reimbursement of actual and eligible expenditures, (2) the required Detail Study, and (3) a properly executed 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 Funds and Local Share costs in the same proportions as Total State Funds is to Total Local Share as set forth on the Face Page. 4. Interim payments will be issued in amounts equal to the State Funds calculated in 3. above, less all previous payments to date. The £mal payment will be issued upon receipt and approval of a payment request marked "FINAL" documenting all project costs incurred and tasks completed and submission of the Final Project Summary Report and Measurable Results Forms. Such fmal 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. III. Appendix C-2 C. Payment requests shall be submitted to: New York State Department of State Contract Administration Unit - LWRP 41 State Street - 10th Floor Albany, New York, 12231-0001 Claimed expenditures per cost category may not exceed the amounts indicated in the Budget, Appendix B, by ten percent (10%) without approval of the Department, provided that the Total Project Cost as set forth in Appendix B, Budget Summary is not exceeded. Any expenditure in excess of such 10% or that changes the State Share or Local Share funding amount shall require an amendment to the Project Budget submitted in writing by the Contractor and approved by the Department. No expenditures shall be allowed for items not set forth in the Project Budget without written approval of the Department. 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. Contractor: Program Contact Person: Phone: (Office) O ax) APPENDIX D PROGRAM WORK PLAN Town of Southold Valerie Scopaz (516) 765-1938 (516) 765-3136 GIS Implementation In 1997, the Town of Southold received funding from the Environmental Protection Fund to establish a GIS database for a growth management initiat/.ve, Southold 2000. The Town has made substantial progress on this task although limited staff resources and increasing development pressure has limited the full deployment of the GIS on the Town's growth management initiatives, including the Local Waterfront Revitalization Program. The Town intends to hire a staff person to assist in the implementation of the GIS, to expedite the updating and revising of the databases and to assist in the implementation of the Town's growth management initiatives. The staff person will report to the Town Planner and the work program will be coordinated with the Town's Computer Specialist. The GIS implementation project involves several discrete tasks that are broken out below. Department of State review is included within these tasks. Sub-contracts must be submitted to the Department of State for review and approval. 2. Project Components Task 1: Project Scoping Session The Town of Southold and the Department of State shall hold an initial meeting to review project requirements. The Town of Southold shall prepare a brief meeting summary to clearly indicate the agreements/understandings reached at the meeting. Product: Meeting summary with note of agreements and understandings reached. Task 2: Hiring of Staff person The Town of Southold initiates the process to hire a staff person to assist in the implementation of the GIS. Product: Staff person hired. Task 3: Development of work program Appendix D-2 The Town of Southold and Department of State shall develop a work program for the implementation of the GIS for growth management and other tasks related to the implementation of the Town's growth management initiatives, including the LWRP. Product: Work program Task 4: GIS and Growth Management Implementation. The Town of Southold will complete the implementation of the GIS for growth management and other tasks related to the implementation of the Town's growth management initiatives as indicated in the work program. Product: Completed work program. Task 5: Quarterly Reports The Town of Southold shall submit to the Department of State quarterly reports on the form provided, including the extent of work accomplished, any problems encountered, any delays incurred, and any assistance needed. If a quarterly payment request is submitted, the quarterly report may be submitted as part of the payment request. Products: Quarterly reports during the life of the contract. Task 6: Measurable Results The municipality shall complete the Measurable Results form attached to this work program and provide a copy to the Department of State. Product: Completed Measurable Results form. 2. Schedule Recipient started incurring eligible costs for this project on April 1 1998. Appendix D-3 Task Description 1. Project seoping session 2. Hiring of staff person 3. Development of work pro~ram 4. GIS and ~'owth management implementation 5. Quarterly reports 6. Measurable Results Form M M M M M M M M M M 9 10 M M I1 12 Expected Products Meeting report Staff person hired Completed measurable results APPENDIX X Agency Code Contract Period Contract Number Funding for Period This is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Department of State, having its principal office in Albany, New York (hereinafter referred to as the STATE), and (hereinafter referred to as the CONTRACTOR), for modification of Contract Number , as amended above and in attached Appendix(ices) All other provisions of said AGREEMENT shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as of the dates appearing under their signatures. CONTRACTOR SIGNATURE By: STATE AGENCY SIGNATURE By: (print name) (print name) Title: Title: Date: Date: State Agency Certification: "In addition to the acceptance of this Contract, I also certify that original copies of this signature page will be attached to all other exact copies of this Contract." STATE OF NEWYORK ) COUNTY OF ) ss: On this day of appeared did depose and say that (s)he resides at is the of , 19 , before me personally , to me known, who, being by me duly sworn, ; that (s)he , the corporation described herein which executed the foregoing instrument; and that (s)he signed (her)his name thereto by order of the board of directors of said corporation. STATE OF NEWYORK ) COUNTY OF ) ss: NOTARY PUBLIC On this dayof ,19 , before me personallycame , to me known and known to me to be the of , the unincorporated association described in and which executed the above agreement; and who acknowledge to me that (s)he executed the foregoing agreement for and in behalf of said unincorporated association. STATE COMPTROLLER'S SIGNATURE NOTARY PUBLIC Title: Date: NEW YORK STATE DEPARTMENT OF STATE CONTRACT ADMINISTRATION UNIT VOUCHERING PROCEDURES GUIDELINES These guidelines explain what supporting documentation is required to be submitted for each payment request to be considered a proper invoice. 2. For the purpose of this Program the designaWM payment office is: New York State Department of State Contract Administration Unit 41 State Street Albany, New York 12231-0001 Claims for payment consist of a Summary Sheet, Forms 1 through 3 and a signed New York State Voucher. A desk audit must be completed before payment can be made. Generally, payments will be made approximately twenty (20) working days form receipt of a complete cla'un provided all requirements are met and your agency is meeting all other contractual obligations. Care should be taken to ensure that all forms are legible and completely filled out. The certification section of the Summary Sheet mu~t be signed by a responsible and authorized representative and must be an original signature. This statement is an integral part of our payment review, allowing you to maintain source documentation at your local office versus our requiring copies of all documentation to be submitted to the Department of State for review. The certification also places the responsibility of assuring the appropriate expenditures are being made in relation to the project with your organization. If you have any questions regarding 'the enclosed guidelines, please contact the Contract Administration Unit at 518-473-0086. SUMMARY SHEET SECTION 1: Column # 1 - Please insert the current budget amounts reflected in the most recently approved budget. Column ~ - These figures must reflect the expenditures being documented on Forms 2 through 3 in this payment request only. Column # 3 - These figures represent the cumulative expenditures documented to date including this payment request and previous payment requests in which expenditures were documented. If this is the first payment request, Columns # 2 and 3 will be the same. Column # 4 - The Available Balance to Document can be calculated by subtracting the Cumulative Expenditures to Date (Column #3) from the Current Budget Amounts (column #1). If this results in a negative balance which exceeds the budget amount by 10% or $1,000, whichever is greater, or there is no budget amount for the category of expense, a budget amendment is required in accordance with Section I.G. of your contract. 2 This section must be signed by the responsible authorized representative to be considered a proper submission. The Department will only accept the Summary Sheet with an original signature; please do not submit a copy. Please take care in completing the Smmmtry Sheet as any errors can and will result in the rejection of your payment request. If assistance is needed in completing the documentation forms, please call the number given on Page 1 of these guidelines. FORMS 1 - 3 The purpose of these forms is to document the expenditures claimed in Colunm g2 of the Summary Sheet. Although these forms are the same design and format as the forms used in the Agreement which detail the budget categories, please do not photocopy the budget pages to be used as documentation forms in the payment requests. Since supporting documentation (receipts, invoices, etc.) is not required, unless requested, it is very important that these forms be completed as accurate and detailed as possible. Failure to do so will result in the rejection of your payment request for more information. The use of Other, Etcetera or Miscellaneous is not allowable in documenting expenditures. FORM 1: PROII~CT NARRATIVF~ This report should describe in detail all project accomplishments and any problems encountered during the period being reported. Whereas the project narrative in the Agreement details the project intent, the project narrative in payment requests must detail what project accomplishments have been met with the funds being claimed for reimbursement in the payment request. FORMS 2 - 3: EXPENDITURE DETAIL For each category claiming reimbursement, detail the types of expenses and actual costs. The items detailed must be in the same as those included in the original budget, and must be shown in the same budget categories. The amount reflected in the Subtotal line of each category must be the same amount claimed in Column # 2 of the Summary Sheet. DETAIL: It is not necessary to list each individual item purchased; like items can be combined. However, the expenditures be'mg documented should be descriptive and itemized to some extent. Listed below are some examples for documenting expenditures. .qalarieq & Wagaq (.incll~ding Fringe Renefit~): List in "Amount Charged to this Project" column the amount paid to each employee for the work done relating to this contract during the period covered by this report. Travel' Break-out the traveling expenses incurred and relate them to the project. How much of the total travel amount was for taxi fare? of mileage reimbursement? How may miles were traveled? C. Snppli~ & Material~: List the different types of supplies and materials purchased and the cost of each. 3 i.e. Office Supplies (Paper, pens, stationary) $845.00 Medical Supplies (splints, bandages, blankets) $420.00 Gas and Oil $35.00 15 Gallons of Gas @ $1.50/gallon = $22.50 10 Quarts ofOil @ $1.25/quart = $12.50 D. En?ipment: List each piece of equipment purchased and the cost of each piece. Please give some description of the equipment such as make, year, model number, etc. * * If the contract is for equipment only, it is not necessary to complete form 1, the Project Narrative. However, the date the equipment was paid for an the check number must be provided in the Description of Material/Service Block of the State Voucher. E. Contractual Services: The contractual services category includes items such as telephone, postage, rent, utilities, rental or repairs to equipment, least of equipment, consultant services and construction costs. List the different types of contractual services and the costs for each. i.e. Insurance (fire, theft auto) $1500.00 Telephone $136.00 Lease (Photocopying machine) $200.00 * * Consultant work must be approved by the Department before claims can be processed. If there are many questions on how to correctly document expenditures, please call the number listed on Page 1 of the instructions. STATE VOUCHER In Payee ID Block, indicate your Federal ID number as submitted on the Contract Face Page. In Payee Name and Address Block, indicated the organizations, name and address as it appears on the Contract Face Page. In Description of Material/Service Block, briefly re-cap the expenditures per budget category and indicate the dollar amount expended from Column 2 of the Summary Sheet in the Amount Colunm. The Payee Certification must be an original signature by the responsible official authorized to certify claims. If this Voucher is not signed, the payment request will automatically be rejected. ELIZABETH A. NEV/I TOWN CLERK REGISTI~kR OF VITAL b-~ATISTICS MARRIAGE OFFICER RECORDS MANAGEMENT OFFICER FREEDOM OF INFORMATION OFFICER Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (516) 765-1823 Telephone (516) 765-1800 OFFICE OF THE TOWN CI,~,RK TOWN OF SOUTHOLD March 18, 1999 Jean M. Fuller Administrative Assistant State of New York Department of State Division of Coastal Resources ~, Waterfront Revitalization Albany, New York 12213-0001 Dear Ms. Fuller: Pursuant to our telephone conversation this afternoon, I am enclosing the original contract agreement number C005961 for GIS implementation through March 31, 2000. We will look forward to receiving a fully executed copy in the future. Thank you. ~ SENDER: remit. 3. Article Addressed to: Jean M. Fuller Administrative Aassistant Department of State 41 State Street Albany, NY 12231-0001 1. [] Addm,~,~'s Address Very truly yours, ~/ille Clerk 5. Received By: (Print Name) 1 8~ture: (Addressee or Agent) P8 Fom~ 3811, December 1994 ~o~ra Domestic Retum Receipt 4a. At,de Number P 226 182 825 ELIZABETH A. NEVILLE TOWN CLERK REGISTRAR OF VITAL STATISTICS MARRIAGE OFFICER RECORDS MANAGEMENT OFFICER FREEDOM OF INFORMATION OFFICER Town Hall, 53095 Main Road P.O. Box 1179 Southold, New York 11971 Fax (516) 765-1823 Telephone (516) 765-1800 OFFICE OF THE TOWN CLERK TOWN OF SOUTHOLD March 18, 1999 Jean M. Fuller Administrative Assistant State of New York Department of State Division of Coastal Resources & Waterfront Revitalization Albany, New York 12213-0001 Dear Ms. Fuller: Pursuant to our telephone conversation this afternoon, I am enclosing the original contract agreement number C005961 for GIS Implementation through March 31, 2000. We will look forward to receiving a fully executed copy in the future. Thank you. Very truly yours, Elizabeth A. Neville Southold Town Clerk Enclosures cc: Valerie Scopaz, Planner J. McMahon, Executive Administrator J. Cushman, Town Comptroller DEPARTMENT OF STATE George E. Pataki Governor Alexander F. Treadwell Secretary of State -/qT-// Division of Coastal Resources 41 State Street Albany, NY 12231-0001 February 19, 1999 Ms. Valerie Scopaz Town of Southold 53095 Main Road Southold, NY 11971 Re: Agreement #C005961 GIS Implementation Dear Ms. Scopaz: On November 20, 1998, we forwarded a proposed Agreement to be signed by the Town of Southold and returned to us for processing and execution by the Office of the State Comptroller. To date, this Agreement has not been returned. We would appreciate being advised as to whether the Town of Southold intends to enter into this Agreement and when we may expect to receive the Agreement back. If there are problems associated with processing this Agreement that we can be of assistance with, please let us know. If we don't receive a response within thirty (30) days from the date of this letter, we will consider reprogramming the funds to another project. If you have any questions please contact me at 518-473-2462 or Steve Ridler at (518) 473-3942. Enclosure cc: V. DeBraccio Sincerely, l?uller Administrative Assistant :: outhold Town I-m,,;dnc5 Board Voice:(518)474-6000 Fax:(518)473-2464 E-mailcoastal@dos.state.ny.us www.dos.state.ny, us/cstl/csllwww.ht mi DEPARTMENT OF STATE George E. Palaki Alexander F. Treadwell Secretary of State Division of Coastal Resources 41 Slate Street Albany, NY 12231-0001 Ms. Valerie Scopaz Town of Southold 53095 Main Road Southold, NY 11971 Re: Agreement #C005961 GIS Implementation November 20, 1998 Southold Town planning Board Dear Ms. Scopaz: Congratulations on being awarded a grant funded under Title 11 of the Environmental Protection Fund to undertake the above project. Enclosed are one (1) complete copy and two (2) signature and notmy pages of an Agreement between the Town of Southold and the Department of State. Please l~ave the person authorized to execute this Agreement, sign and have notarized the Agreement on the signature pages and retm'n the entire package to me. These pages must have o.dginal signatures. When fully executed, a copy of this Agreement will be returned to you. If you have any questions regarding this Agreement, please contact me at (518) 473-2462. Sincer~,ly~ Jean M. Fuller Administrative Assistant Enclosures cc: V. DeBracc~o Supervisor Jean Cochran Voice:(518)474-6000 Fax:(518) 473-2464 E-mailcoaslal@dos.stale.ny.us www.dos.state.ny, us/cstl/cstlwww, hlml STATE AGENCY (Name and Address): NYS Depm hnent of State 41 State Street Albany, NY 12231-0001 CONTRACTOR (Name and Address): Town of Southold 53095 Main Road Southold, NY 11971 FEDERAL TAX IDENTIFICATION NUMBER: 11-6001939 MUNICIPALITY # NYS COMPTROLLER'S #: C005961 ORIG. AGENCY CODE: 19000 TYPE OF PROGRAM: Environmental Protection Fund Act STATE SHARE FUNDING AMOUNT FOR I INITIAL PERIOD $18,300 LOCAL SHARE FUNDING AMOUNT FOR INITIAL PERIOD $18,300 lINITIAL CONTRACT PERIOD: FROM: April 1, 1998 TO: March31, 1999 MULTI-YEAR TERM (If applicable): From: April 1, 1998 To: March 31, 2000 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 Attachments 1, 2, & 3 thereto: Agency-specific clauses APPENDIX B: Budget APPENDIX C: Payment and Reporting Schedule APPENDIX D: Program Workplan APPENDIX X: Modification Agreement Form (to accompany modified appendices for changes in term or consideration on an existing period or for renewal periods) IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates below their signatures. Contract No. C005961 CONTRACTOR Town of ~uthold rx By: ~J Jean W. Cochran (Print Nan.) Title: Supervisor, Town of Southold Date: 3/18/99 STATE AGENCY: New York State Department of State By: (Print Name) Title: Date: "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." GOVERNMENTAL BODY State of New York ) County of Suffolk )ss: On this 18th day of March ,199~9 before me pgrsonally came Jean W. Cochran to me known, who, being by me duly sworn, did depose and say that _she is the Supervisor of Southold Town: the municipality described in and which executed the above instrument; and that _she signed his/her name thereto by order of the local legislative body of the above mentioned municipality. ELIZABETH ANN NEVILLE Nota~/Public, State of New York No. 52-8125850, Suffolk Co~l[tlY Term Ex~ires O~tober 31 ATTORNEY GENERAL'S SIGNATURE: STATE COMPTROLLER'S SIGNATURE: Title: Title: Date: Date: STATE OF NEW YORK AGREEMENT The AGREEMENT is hereby made by and between the State of New York agency (STATE) and the public or private agency (CONTRACTOR) identified on the face page hereof. WITNESSETH: WHEREAS, the STATE has the authority to regulate and provide funding for the establishment and operation of program services and desires to contract with skilled parties possessing the necessary resources to provide such services; and 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: Conditions of A_m-eement A. This AGREEMENT may consist of successive periods (PERIOD), as specified within the AGREEMENT or within a subsequent Modification Agreement(s) (Appendix X). Each additional or superseding PERIOD shall be on the forms specified by the particular State agency, and shall be incorporated into this AGREEMENT. B. Funding for the first PERIOD shall not exceed the funding amount specified on the face page hereof. Funding for each subsequent PERIOD, if any, shall not exceed the amount specified in the appropriate appendix for that PERIOD. C. This AGREEMENT incorporates the face pages attached and all of the marked appendices identified on the face page hereof. D. For each succeeding PERIOD of the AGREEMENT, the parties shall prepare new appendices, to the extent that any require modification, and a Modification Agreement (the attached Appendix X is the blank form to be used). Any terms of this AGREEMENT not modified shall remain in effect for each PERIOD of the AGREEMENT. To modify the AGREEMENT within an existing PERIOD the parties shall revise or complete the appropriate appendix forms(s). Any change in the amount of consideration to be paid, or change in the term, is subject to the approval of the Office of the State Comptroller. Any other modifications shall be processed in accordance with agency guidelines as stated in Appendix Al. E. The CONTRACTOR shall perform all services to the satisfaction of the STATE. The CONrRACTOR shall provide services and meet the program objectives summarized in the Program Workplan (Appendix D) in accordance with: provisions of the AGREEMENT; relevant laws, rules and regulations, administrative and fiscal guidelines; and where applicable, operating certificates for facilities or licenses for an activity or program. F. If the CO~CTOR enters into subcontracts for the performance of work pursuant to this AGREEMENT, the CONTRACTOR shall take full responsibility for thc acts and omissions of its subcontractors. Nothing in the subeonlract shall impair the rights of the STATE under this AGREEMENT. No contractual relationship shall be deemed to exist between the subcontractor and the STATE. II. Ill. IV. G. Appendix A. (Standard Clauses as required by the Attomey General for all State contracts) takes precedence over all other parts of the AGREEMENT. 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. 2 C. The CONTRACTOR shall meet the audit requirements specified by the STATE. A. This AGREEMENT may be terminated at any time upon mutual written consent of the STATE and the CONTRACTOR. B. The STATE may terminate the AGREEMENT immediately, upon written notice of termination to the CONTRACTOR, if the CONTRACTOR fails to comply with the terms and conditions of this AGREEMENT and/or with any laws, rules, regulations, policies or procedures affecting this AGREEMENT. C. The STATE may also terminate this AGREEMENT for any reason in accordance with provisions set forth in Appendix 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 shall cancel, prior to the effective date of any prospective termination, all outstanding obligations, and agrees not to incur any new obligations after receipt of the notice without approval by the STATE. F. The STATE shall be responsible for payment on claims pursuant to services provided and costs incurred pursuant to terms of the AGREEMENT. In no event shall the STATE be liable for expenses and obligations arising from the program(s) in this AGREEMENT after the termination date. A. The CONTRACTOR shall be solely responsible and answerable in damages for any and all accident and/or injuries to person (including death) or property arising out of or related to the services to be rendered by the CONTRACTOR or its subcontractors pursuant to this AGREEMENT. The CONTRACTOR shall indemnify and hold harmless the STATE and its officers and employees from claims, suits, actions, damages and costs of evet~ nature arising out of the provision of services pursuant to this AGREEMENT. B. The STATE shall make payments and any reconciliations in accordance with the Payment and Reporting Schedule (Appendix C). The STATE shall pay the CONTRACTOR, in consideration of contract services for a given PERIOD, a sum not to exceed the amount noted on the face page hereof or in the respective Appendix designating the payment amount for that given PERIOD. This sum shall not duplicate reimbursement from other sources for CONTRACTOR costs and services provided pursuant to this AGREEMENT. 3 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. Any equipment, furniture, supplies or other property purchased pursuant to this AGREEMENT is deemed to be the property of the STATE except as may otherwise be governed by Federal or State laws, rules or regulations, or as stated in Appendix Al. Safeguards for Services and Confidentiality A. Services performed pursuant to this AGREEMENT are secular in nature and shall be performed in a manner that does not discriminate on the basis of religious belief, or promote or discourage adherence to religion in general or particular religious beliefs. B. Funds provided pursuant to this AGREEMENT shall not be used for any partisan political activity, or for activities that may influence legislation or the election or defeat of any candidate for public office. C. Information relating to individuals who may receive services pursuant to this AGREEMENT shall be maintained and used only for the purposes intended under the contract and in conformity with applicable provisions of laws and regulations, or specified in Appendix Al. APPENDIX A Standard Clauses for All New York State Contracts Revised December 1996 The parties to the attached contract, license, lease, amendment or other agreement of any kind (hereinafter, "the contract" or "this contract") agree to be bound by the following clauses which are hereby made a part of the contract (the word "contractor" herein refers to any party other than the State, whether a contractor, licensor, licensee, lessor, lessee or any other party): 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. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of the State Finance Law, this contract may not be assigned by the Contractor or its right, title or interest therein assigned, transferred, conveyed, sublet or otherwise disposed of without the previous consent, in writing, of the State and any attempts to assign the contract without the State's written consent are null and void. The Contractor may, however, assign its right to receive payment without the State's prior written consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of the State Finance Law. COMPTROLLER'S APPROVAL. In accordance with Section 112 of the State Finance Law (or, if this contract is with the State University or City University of New York, Section 355 or Section 6218 of the Education Law), if this contract exceeds $10,000.00 (or the minimum thresholds agreed to by the Office of the State Comptroller for certain S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any amount to a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the State agrees to give something other than money when the value or reasonably estimated value of such consideration exceeds $10,000.00, 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. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the provisions of the Workers' Compensation Law. NON-DISCRIMINATION REQUIREMENTS. In accordance with 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 apphcant for employment because of race, creed, color, sex, national origin, age, disability or marital status. Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex or national origin: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance 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 be reason of race, creed, color, national origin, age, sex, or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contntctor is subject to fmcs 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 monies due hereunder for a second or subsequent violation. 10. Appendix A-2 WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and 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. NON-COLLUSIVE BIDDING REQUIREMENT. In accordance with Section 139-d of the State Finance Law, if this contract was awarded based upon the submission of bids, Contractor warrants, under penalty of perjury, that its bid was arrived at independently and without collusion aimed at restricting competition. Contractor further warrants that, at the time Contractor submitted its bid, an author/zed and responsible person executed and delivered to the State a non-collusive bidding certification on Contractor's behalf. INTERNATIONAL BOYCOTTPROHIBITION. In accordance with Section 220-f of the Labor Law and Section 139-h of the State Finance Law, if this contract exceeds $5,000.00, the Contractor agrees, as a material condition of the contract, that neither the Contractor nor any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or shall participate in an international boycott in violation of the federal Export Administration Act of 1979 (50 USC App. Section 2401 et seq.) or regulations thereunder. If such Contractor, or any of the aforesaid affihates of Contractor, is convicted or is otherwise found to have violated said laws or regulations upon the fmal 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 (2 NYCRR 105.4). SET-OFFRIGHTS. The State shall have all of its common law, equitable and statutory rights of set-off. These rights shall include, but not be limited to, the State's option to withhold for the purposes of set-off any moneys due to the Contractor under this contract up to any amounts due and owing to the State with regard to this contract, any other contract with any State department or agency, including any contract for a term commencing prior to the term of this contract, plus any amounts due and owing to the State for any other reason including, without limitation, tax delinquencies, fee delinquencies or monetary penalties relative thereto. The State shall exercise its set-offrights in accordance with normal State practices including, in cases of set-off pursuant to an audit, the fmalization of such audit by the State agency, its representatives, or the State Comptroller. RECORDS. The Contractor shall establish and maintain complete and accurate books, records, documents, accounts and other evidence directly pertinent to performance under this contract (hereinafter, collectively, "the Records"). The Records must be kept for the balance of the calendar year in which they were made and for six (6) additional years thereafter. The State Comptroller, the Attorney General and any other person or entity authorized to conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the Records during normal business hours at an office of the Contractor within the State of New York or, if no such office is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the purposes of inspection, auditing and copying. The State shall take reasonable steps to protect from pubhc disclosure any of the Records which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute") provided that (i) the Con~'actor shall timely inform an appropriate State official, in writing, that said records should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, thc State's right to discovery in any pending or future litigation. 11. IDENTIFYING INFORMATIONAND PRIVACYNOTIFICATION. Appendix A-3 12. FEDERAL EMPLOYER IDENTIFICATION NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER. All invoices or New York State standard vouchers submitted for payment for the sale of goods or services or the lease of real or personal property to a New York State agency must include the payee's identification number i.e., the seller's or lessor's identification number. The number is either the payee's Federal employer identification number or Federal social security number, or both such numbers when the payee has both such numbers. Failure to include this number or numbers may delay payment. Where the payee does not have such number or numbers, the payee, on its invoice or New York State standard voucher, must give the reason or reasons why the payee does not have such number or numbers. PRIVACY NOTIFICATION. (i) The authority to request the above personal information from a seller of goods or services or a lessor of real or personal property, and the authority to maintain such information, is found in Section 5 of the State Tax Law. Disclosure of this information by the seller or lessor to the State is mandatory. The principal purpose for which the information is collected is to enable the State to identify individuals, businesses and others who have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons affected by the taxes administered by the Commissioner of Taxation and Finance. The information will be used for tax administration purpose and for any other purpose authorized by law; (ii) The personal information is requested by the purchasing unit of the agency conlracting to purchase the goods or services or lease the real or personal property covered by this contract or lease. The information is maintained in New York State's Central Accounting System by the Director of State Accounts, Office of the State Complroller, AESOB, Albany, New York 12236. EQUAL EMPLO YIvIENT 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/'or the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements therein; or (iii) a written agreement in excess of $100,000.00 whereby the owner cfa State-assisted housing project is committed to expend or does expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such project, then: 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 alTlrmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination. Affhmaative action shall mean recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation; At the request of the contracting agency, the Contractor shall request each employment agency, labor union or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, or furnish a written statement that such employment agency, labor union or representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of the contractor's obligations herein; and 13. 14. 15. 16. 17. 18. Appendix A-4 The Contractor shall state, in all solicitation or advertisements for employees, that, in the performance of the State contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. Contractor will include the provisions of"A", "B" and "C", above, in every subcontract over $25,000.00 for the construction, demolition, replacement, major repair, renovation, planning or design or real property and improvements thereon (the Work) except where the Work is for the beneficial use of the Contractor. Section 312 does not apply to: (i) work, goods or services unrelated to this contract; or (ii) employment outside New York State; or (iii) banking services, insurance policies or the sale of securities. The State shall consider compliance by a contractor or subcontractor with the requirements of any federal law concerning equal employment opportunity which effectuates the purpose of this section. The contracting agency shall determine whether the imposition of the requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict. Contractor will comply with all duly promulgated and lawful roles and regulations of the Division of Minority and Women's Business Development pertaining hereto. CONFLICTING TERMS. In the event of a conflict between the terms of the contract (including any and all attachments thereto and amendments thereof) and the terms of this Appendix A, the terms of this Appendix A shall control. GOVERNING LA W.. This contract shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise. LATE PAYMEN~E Timeliness of payment and any interest to be paid to Contractor for late payment shall be governed by Article XI-A of the State Finance Law to the extent required by law. NOARBITIMTION. Disputes involving this contract, including the breach or alleged breach thereof, may not be submitted to binding arbitration (except where statutorily authorized), but must, instead, be heard in a court of competent jurisdiction of the State of New York. SERVICE OFPROCESS. In addition to the methods of service allowed by the State Civil Practice Law and Rules ("CPLR"), Contractor hereby consents to the 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 State 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. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and warrants that all wood products to be used under this contract award will be in accordance with, but not limited to, the specifications and provisions of State Finance Law § 165 (Use of Tropical Hardwoods) which prohibits purchase and use of tropical hardwoods, unless specifically exempted, by the State or any governmental agency or political subdivision or public benefit corporation. Qualification for an exemption under this law will be the responsibility of the contractor to establish to meet with the approval of the State. In addition, when any portion of this contract involving the use of woods, whether supply or installation is to be performed by any subcontractor, the prime Contractor will indicate and certify in the submitted bid proposal that the subcontractor has been informed and is in compliance with specifications and provisions regarding use of tropical hardwoods as detailed in §165 State Finance Law. Any such use must meet with the approval 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. Appendix A-5 19. MACBRIDE FAIR EMPLOYMENTPRINCIPLES. In accordance with the MacBride Fair Employment Principles (Chapter 807 of the Laws of 1992), the Contractor hereby stipulates that the Contractor either (a) has no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Fair Employment Principles (as described in Section 165 of the New York State Finance Law), and shall permit independent monitoring of compliance with such principles. 20. OMNIBUS PROCUREMENTACT OF 1992. It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers on its procurement contracts. Information on the availability of New York State subcontractors and suppliers is available from: NYS Depm huent of Economic Development Division for Small Business One Commerce Plaza Albany, New York 12245 A directory of certified minority and women-owned business enterprises is available from: NYS Department of Economic Development Minority and Women's Business Development Division One Commerce Plaza Albany, New York 12245 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: The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subenntractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State; B. The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended. The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining conaacts 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 state 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 amendments (Chapter 684, Laws of 1994) require that they be denied contracts which they would otherwise obtain. Contact the NYS Department of Economic Development, Division for Small Business, One Commerce Plaza; Albany New York 12245, for a current list of states subject to this provision. II. APPENDIX A1 Agency-Specific Clauses This Agreement has been entered into pursuant to the following understandings: Title 11 of the Environmental Protection Fund Act provides for State assistance to municipalities for the State share of the cost of approved local waterfront revitalization projects as defined in the Act. B. The Department 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 Work Program as set forth in Appendix D, the Department has made a determination of eligibility of funding for Contractor's project under such Act. State funds (Funding Amount set forth on the Face Page) for this Project (Appendix D Program Workplan) are provided pursuant to a reappropriation of funds originally made by Title 11 of the Environmental Protection Fund Act. E. The Contractor has demonstrated its ability to fmance its share of the Project and has agreed to fund its portion of the cost of the Project. A. For the purposes oft_his Agreement, the terms "State" and "Department" are interchangeable, unless the context requires otherwise. B. The contract period as set forth on the Face Page is the inclusive period within which the provisions of this Agreement shall be performed. No liabilities are to be incurred beyond the termination date and no costs will be reimbursed for such liabilities unless: 1) funds have been reappropriated for the Project in the subsequent State fiscal year, 2) the Department determines that it is in the best interest of the Department and the State to provide additional time to complete the Project and 3) an extension agreement is approved in accordance with Section IA. of the Agreement. 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. The Contractor shall submit with its request for final payment a Final Project Summary Report in the format described in Appendix Al, Attachment 2 and Measurable Results Forms, such forms to be provided Contractor by the Department. III. Al-2 The Contractor agrees to proceed expeditiously with the Project and to complete the Project in accordance with the timetable set forth in the Workplan (Appendix D) as well as with the conditions of any applicable permits, administrative orders, or judicial orders and this Agreement. The Depa~ to~ent will provide Contractor with a C_xrarlle,~,Jl. qlmI (Appendix Al, Attachment 3) pursuant to the Department's Minority and Women-owned Business Enterprises Program. In the event Contractor utilizes Minority and Women-owned Business Enterprises as discussed in Section XIV in Appendix Al, such report shall be provided to the Department at the address on the Grantee Report. P, dditional 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 hfe 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. Contracts for conslruction in excess of twenty thousand dollars ($20,000) shall be awarded after and in accordance with competitive bidding requirements of the General Municipal Law. A certified copy of a summary of all bids shall be submitted to the Department prior to awarding the contract, and an executed copy of the construction contract will thereafter be submitted to the Department. All purchase contracts involving an expenditure of more than ten thousand dollars ($10,000) shall be awarded to the lowest bidder furnishing the required security after advertisement for sealed bids in the manner provided for in section 103 of the General Municipal Law. The State shall make periodic inspections of the project both during its implementation and after its completion to assure compliance with this Agreement. The Contractor shall allow the State unrestricted access to work during the preparation and progress of the work, and provide for such access and inspection by the State in all construction contracts relating to the project. The Contractor shall be responsible for assuring that the project is designed and constructed in conformance with the Uniform Federal Accessibility Standards (U'FAS - 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./constmctiun requirement, the one providing for the greatest degree of accommodation for the disabled shall apply. It is the Contractor's responsibility, pursuant to Section 57 of the Workers' Compensation Law, to maintain for State audit and review either proof that they have Workers' Compensation coverage for any employees, or a wavier statement from the New York State Department of Labor. The Contractor must also obtain from any contractor or sub-contractor hired to provide a service pursuant to this Agreement, similar proof or waiver from the contractor or subcontractor, and must maintain such documentation on file for audit. Al-3 IV. Report.q: 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 Tire I 1 of the Environmental Protection Fund Act." I.icense to use and reproduce documents and other works: By acceptance of this Agreement, Contractor transfers to the Depattment a nonexclusive license to use, reproduce in any medium, and distribute any work prepared for or in connection with the Project, including but not limited to reports, maps, designs, plans, analysis, and documents regardless of the medium in which they are originally produced. Contractor warrants to the Department that it has sufficient title or interest in such works to license pursuant to this Agreement. Such warranty shall survive the termination of this agreement. Contractor agrees to provide the original of each such work, or a copy thereof which is acceptable to the Department, to the Department before payments shall be made under this Agreement. Contractors Insurance Requirements Prior to the commencement of the Work, the Contractor shall file with the Department of State, Division of Coastal Resources, Certificates of Insurance evidencing compliance with all requirements contained in this contract. Such Certificate shall be of form and substance acceptable to the Department. B. Acceptance and/or approval by the Department does not and shall not be construed to relieve Contractor of any obligations, responsibilities or liabilities under the Contract. All insurance required by the Contract shall be obtained at the sole cost and expense of the Contractor; shall be maintained with insurance carriers licensed to do business in New York State; shall be primary and non-contributing to any insurance or self insurance maintained by the Department; shall be endorsed to provide written notice be given to the Department, at least thirty (30) days prior to the cancellation, non-renewal, or material alteration of such policies, which notice, evidenced by return receipt of United States Certified Mail which shall be sent to New York State Depat hitent of State, 41 State Street, Albany, New York 12231-0001; and shall name the People of the State of New York and their directors officers, agents, and employees as additional insured thereunder. The Contractor shall be solely responsible for the payment of all deductibles to which such policies are subject. Each insurance carrier must be rated at least "A" Class "VII" in the most recently pubhshed Best's Insurance Report. If, during the term oftbe policy, a carder'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. The Contractor shall cause all insurance to be in full force and effect as of the date of this Contract and to remain in full force and effect throughout the t, mi of this Contract and as further required by this contract. The Contractor shall not take any action, or omit to take any action that Al-4 would suspend or invalidate any of the required coverages during the period of time such coverages are required to be in effect. 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. Unless the Contractor self-insured, Contractor shall, throughout the term of the Contract or as otherwise required by this Contract, obtain and maintain in full fome and effect the following insurance with limits not less than those described below and as required by the terms of this Contract, or as required by law, whichever is greater (limits may be provided through a combination of primary and umbrella/excess policies). Where Contractor is self-insured, Contractor shall provide suitable evidence of such to the Department relating to the risks and coverage amounts as provided hereunder. 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 contrac0 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. 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 DOS held in their care, custody and/or control. 6. An Owner's Protective Liability Policy with limits no less than $1,000,000 in the name of the Contractor. · I. The Contractor shall require that any subcontractors hired, carry insurance with the same limits and provisions provided herein. A1-5 VII. VIII. J. Professional consultants retained by the Contractor in connection with the Project shall show evidence of professional liability insurance with limits no less than $1 million. 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 Depat hnent 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 further 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. Where the project described in Appendix D involves the creation or purchase of any computer program, software, hardware or other equipment, the Contractor hereby agrees that its computer sot¥~vare and equipment (including those with consultants using or maintaining computer equipment) will comply with the NYS Year 2000 Warranty as stated in Appendix A1 (Attachment 1) and will, if so designed, function as part of the State agency's computer system. Fees The Contractor may charge a reasonable fee for the use of any facility which is part of the project. Except for the imposition of a differential fee schedule for non-residents of the municipality in which the project is located, the establishment of any preferential user fee for any person or entity is prohibited. Fees charged to non-residents shall not exceed twice those charged to residents. B. Where there is no charge for residents but a fee is charged to non-residents, non-resident fees cannot exceed fees charged for residents at comparable State or local public facilities. C. Reservation, membership or annual permit systems available to residents must also be available to non-residents and the period of availability must be the same for both residents and non-residents. D. This provision does not apply to non-residents fishing and hunting license fees. Where the Project is undertaken on or involves parklands, 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 purposes without the express authority of an act of the A1-6 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. The Contractor 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. In addition to any other actions authorized by this Agreement, the Department may terminate the Agreement in the best interests of the State of New York by providing written notice to the Contractor as provided in this Agreement. The Contractor shall complete the project as set forth in this Agreement, and failure to render satisfactory progress or to complete the project to the satisfaction of the State may be deemed an abandonment of the project and may cause the suspension or termination of any obligation of the State. In the event the Contractor should be deemed to have abandoned the project for any reason or cause other than a national emergency or an Act of God, all monies paid to the Contractor by the State and not expended in accordance with this Agreement shall be repaid to the State upon demand. If such monies are not repaid within one year after such demand, the State Comptroller of the State of New York may cause to be withheld fi.om any State assistance to which the Contractor would otherwise be entitled an amount equal to the monies demanded. In the event that the Department has provided written notice to the Contractor directing that the Contractor correct any failure to comply with this Agreement, the Department reserves the right to direct that the Contractor suspend all work during a period of time to be determined by the Department. If the Contractor does not correct such failures during the period provided for in the notice, this Agreement shall be deemed to be terminated after expiration of such time period. During any such suspension, the Contractor agrees not to incur any new obligations after receipt of the notice without approval by the Department. Subcontracting Requirement.g The Contractor may subcontract for all or any portion of the activities covered by this Agreement as provided for in Appendix D, subject to prior written approval by the Depat hnent of any subcontractor and the terms of any subcontract. Requirements for Contract Map Products A. GENERAL MAP PRODUCT REQUIREMENTS - The following general cartographic requirements must be adhered to by the Contractor: 1) Map Products -- The Division requires delivery of digital map products, unless otherwise specified in the Request for Proposal (RFP), that meet the specifications outlined in this GENERAL MAP PRODUCT REQUIREMENTS section and the ADDITIONAL DIGITAL CARTOGRAPItlC FILE REQUIREMENTS section. If analog map products are required by the RFP, they must meet specifications outlined in this GENERAL MAP PRODUCT REQUIREMENTS section and the ADDI'I'IONAL DIGITAL-READY MAP PRODUCT REQUIREMENTS section. Al-7 Deliverable Format -- All digita~ap and attribute tabl.e~,files mu~st be provided in Map]nfo 4.0 for Windows95 format on~..~ '~-~v,~, W~ ~'~, 3.5" floppy diskette media. Alternatively, the digital products may be provided in UNL~ or PC ARC/INFO binary or export format (.e00) or AutoCAD DXF format on the same media types upon approval of the Division. All other digital formats require prior approval of the Division. Coordination with the Division prior to submission of digital media is required to ensure compatibility of the delivered materials. Documentation -- A data dictionary must be included along with the map files describing file contents, file names, map projection, horizontal and vertical datums used, coordinate system, RMS accuracy and log sheet, information sources and dates, the map maker and date of preparation, and creation methodology. Data provided under federal funds must be provided in a manner which meets Digital Geospatial Federal Geographic Data Committee Metadata Standard as executed by Executive Order 12906, April 11, 1994, "Coordinating Geographic Data Acquisition and Access: the National Spatial Data Infrastcucture". 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 Division the map product does not conform to National Map Accuracy Standards, then a statement of actual map accuracy should be included in the Documentation above. Furthermore, hydrographic surveys and maps should conform to recommended accuracy standard proposed in the joint USGS, NOS, Coastal Mapping Handbook, 1978, Melvin Ellis editor, U.S. Government Printing Office, Appendix 6. Datums -- Unless otherwise specified in the RFP, all map products should be referenced to thc North American Horizontal Datum of 1927 (NAD27) and the National Geodedtic Vertical Datum of 1929 (NGVD29). 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. Common Boundaries -- All features that share a common boundary, regardless of map layer, must have exactly the same coordinate position of that feature in all common layers. Point Duplication -- No duplication of points that occur within a data string is permitted. Connectivity -- Where graphic elements visually meet, they must be 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 A1-8 level. There should be no jags, hooks, or zero length segments. Any lines that are straight, or should be slraight, 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 oftbe 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. 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 thc Division, all maps should be compiled at 1:24,000. If other map scales are approved by thc Division, 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 I - 6 in the map criteria set forth in the ADDITIONAL DIGITAL CARTOGRAPHIC FILE REQUIREMENTS section outlined above. D. CONrRACT DATABASE STANDARDS 1. Delivery Media - All database and tabular files must be provided on digital media as specified above in Deliverable Format. 2. Software F0rmat - All database and tabular files must be provided in ~or Windows95 version 5.0 format. Other formats that are convertible to Paradox may be used with prior approval of the Division. A1-9 XV. 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. 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. During the term of this Agreement and for a period of six years after its termination, the Contractor shall make all such books and records available to the Department and the Office of the State Comptroller, or their designated representatives, for inspection and audit. Equal Employment Opportuni _ty 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. 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 woman- owned business participation in certain state contracts and grants. Where MWBE goals are required, even in circumstances where this goal is zero, a Grantee Report is required to be submitted to the Bureau of Human Resources Management of the Department on forms provided by the Department. Article 15-A requires that rules and regulations be established for contracts entered into by the Department. In accordance with Article 15-A, goals must be set for contracts entered into by the Department in excess 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 rules and regulations, the Department must consider the availability of certified minority and women-owned businesses in the region in which the state contract will be Al-lO performed, the total dollar value of the contract, the scope of work to be performed, and the project size and term. The contractor will, when required as a part of the bid or proposal, submit a Staffing Plan on the form provided by the Department. This Plan will detail the work force anticipated in the performance of the state contract broken down 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 shall 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. · The conmtctor 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 thc 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 Depat hnent 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 affu-mative 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 Bureau of Human Resources Management by calling (518) 474-2752. To assist potential contractors, a copy of the NYSDirectory of Certified Minority and Women-owned Business Enterprises is made available for inspection at the Department of State, Bureau of Human Resources Management, 41 State Street, Albany, New York 12231-0001. The Depaahnent makes no representation with respect to the availability or capability of any business listed in the Directory. XVII. Notice of Public Proceedings Al-Il 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. Submission of all correspondence and documentation The Contractor agrees to provide the Department with original and two copies of all documentation relating to this Project, including, but not limited to: notices of public meetings, products described in Appendix D, and payment request documentation as described in Appendix C. B. Ail information as described in A. above shall include the NYS Comptroller's # as indicated on the Face Page of this Agreement. 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, £mdings, and determinations, relating to the Project. 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. Fully-Exeented A~m-eement or Amendment Thereto A. If this Agreement or amendments thereto, allocates funds totaling $10,000 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 $10,000, it shall be deemed to be full executed when approved by the Office of the State Comptroller. Appendix Al, Attachment 1 Page -1 YORK STATE YEAR 2000 WARR~NTV STANDARD 1. Definitlon - For purposes of this warranty, the following de£mitions shall apply: a. "Product" shall include, without limitation: any piece or component of equipment, hardware, firmware, middleware, custom or commercial software, or internal components or subroutines therein which perform any date/time data recognition function, calculation, comparing or sequencing. Where services are being furnished, e.g. consulting, systems integration, code or data conversion or data entry, the term "Product" shall include resulting deliverables. b. "Vendor's Product" shall include all Product delivered under this Agreement by Vendor other than Third Party Product. c. "Third Party Product" shall include product manufactured or developed by a corporate entity independent from Vendor and provided by Vendor on a non-exclusive licensing or other distribution Agreement with the third party manufacturer. "Third party Product" does not include product where Vendor is: a) a corporate subsidiary or affiliate of the their party manufacturer/developer; and/or b) the exclusive re- seller or distributor of product manufactured or developed by said corporate entity. P~t the time of bid, Product order or Product quote, Vendor is required to disclose the following information in writing to authorized User: a) For Vendor Product and for Products (including, but not limited to, Vendor and/or Third party Products and/or Authorized User's Installed Product) which have been specified to perform as a system: Compliance or non-compliance of the Products individually or as a system with the Warranty Statement set forth below; and b) For Third Party Product Not specified as Part of a System: Third Party Manufacturer's statement of compliance or non-compliance of any Third party Product being delivered with Third Party Manufacturer/Developer's Year 2000 warranty. If such Third Party Product is represented by Third Party Manufacturer/Developer as compliant with Third Party Manufacturer/Developer's Year 2000 Warranty, Vendor shall pass though said Third Party Warranty from the Third Party Manufacturer to the Authorized User but shall not be liable for the testing or verification of Third Party's compliance statement. An absence or failure to furnish the required written warranty disclosure shall be deemed a statement of compliance of the product(s) or system(s) in question with the year 2000 warranty statement set forth below. Year 2000 warranty 'compliance' shall be defined in accordance with the following warranty statement: Vendor warrants that Product(s) furnished pursuant to this Agreement shall, when used in accordance with the Product documentation, be able to accurately process date/time data (including, but not limited to, calculating, comparing, and sequencing) from, into, and between the twentieth and twenty-first centuries, and the years 1999 and 2000, including leap year calculations. Where a purchase requires that specific Products must perform as a package or system, this warranty shall apply to the Products as a system. In the event of any breach of this warranty, Vendor shall restore the Product to the same level of performance as warranted herein, or repair or replace the Product with conforming Product so as to minimize interruption to Authorized User's ongoing business processed, time being of the essence, at Vendor's sole cost and Appendix Al, Attachment 1 Page -2 expense. This warranty does not extend to correction of Authorized User's errors m data entry or data conversion. This warranty shall survive beyond termination or expiration of the Agreement. Nothing in this warranty shall be construed to limit any rights or remedies otherwise available under this Agreement. Appendix Al, Attachment 2, FPSR-1 FINAL PROJECT SUMMARY REPORT Final payment of the grant is dependent upon the satisfactory completion and acceptance by the Department of State, Division of Coaxtal Resources of this FINAL PROJECT SUMMARY REPORT along with the requisite documentation. In addition to the other requirements of the contract, the grant recipient is responsible to relay the importance, the si?ifieance and the value of the completed pro.iect to the community., the re~on 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: 4. Project Manager: Name: Title: Mailing address: Tel. number: ( ) Fax number: ( ) E-mail address: 5. Federal Tax Identification Number: 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 strategies recommended. 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, Division of Coastal Resources requires a visual documentation of the Environmental Protection Fund projects. Project products should be visually documented using a 35mm camera or a digital camera. ~ Appendix Al, Attachment 2, PPSR-2 and/or digital camera disc should be labeled and dated when submitted along with the completed FINAL PROJECT SUMMARY REPORT. Visuals should illustrate the final project product and, as appropriate, activities undertaken to complete the project. For example, some projects would call for visuals that include photographs of volunteers participating in a wetland restoration project (planting Spartina); photographs of historical signs markers, kiosks, etc. being placed; or photographs of an artist's rendering of a waterfront design. Design, planning, and construction projects call for different visual documentation. Therefore, the following guidelines are suggested: 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 format) of the project with a verbal description is desirable ~. The video may be used in a future documentary. Appendix Al, Attachment 3, Grantee Report 1 NYS Department of State · Bureau of Human Resources Management 41 State Street Albany NY 12231-0001 · (518) 474-2752 Minority and Women-owned Business Enterprises (MWBE) Program Coastal Management Program Grantee Report INSTRUCTIONS: 1. Please prepare reports based on calendar quarters, or prepare one annual report. 2. Use a separate Grantee Report sheet for each program area 3. Record the amount paid for each service/product for the time period identified below. 4. Send completed reports to the Bureau of Human Resources Management 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. GRANTEE NAME PROGRAM DOS CONTRACT NUMBER GRANTEE ADDRESS SERVICE AREA of GRANT ( ) NAME and TITLE of CONTACT PERSON (Please Pdnt) i TELEPHONE NUMBER TYPE of DESCRIPTION of AMOUNT PAID VENDOR NAME and ADDRESS VENDOR SERVICE/PRODUCT THIS PERIOD COMMENTS [3 MBE $ [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [] WBE [] MBE [3 WBE DOS801 (Rev.10/98) PAGE 1 of__ APPENDIX B BUDGET SUMMARY A. Salaries & Wages (including Fringe Benefits) B. Travel C. Supplies/Materials D. Equipment E. Contractual Services F. Other $36,600.00 $0.00 $0.00 $0.00 $0.00 $0.00 TOTAL PROJECT COST $36,600.00 Total State Funds (50 % of Total) Total Local Share (50 % of Total) $18,300.00 $18,300.00 Describe the anticipated project costs for each of the above cost categories in detail on the following pages (i.e. the title and pay rate of municipal employees to work on the project, type of consultant to be retained, type of equipment and materials to be purchased). The Total of your BUDGET must equal the sum of the State Share and the Local Share as shown on the Contract Face Page. Appendix B (Budget Detail Sheet) Appendix B-2 A. SALARIES & WAGES TITLE ~ AMOIYNT SALARY CHARGED TO THIS Plarmer/GIS technician [ $36,600.00I $36,600.00 SUBTOTAL $36,600.00 SUBTOTAL $ 0.00 SUBTOTAL $ 0.00 D. EQUIPMENT SUBTOTAL $ 0.00 E. CONTRACTUAL SERVICES SUBTOTAL $ 0.00 IF. OTHER SUBTOTAL $ 0.00 APPENDIX C Payment and Reporting Schedule The Department shall make interim payments for eligible costs incurred up to an amount not to exceed 90% oftbe State Funds Requested. The final payment will be made upon satisfactory completion of the Project. Not more frequently than once every 30 days, a properly executed payment request, on forms as prescribed by the Department, and required work products documenting completion of one or more of the tasks set forth in Appendix D, Program Workplan, and total project costs incurred to date, may be submitted. Payment provided above shall be made to the Contractor upon the submission by the Contractor of properly executed payment request. Such request shall contain the following: (1) "Summary Sheet Documentation Forms" as provided by the Department, for reimbursement of actual and eligible expenditures, (2) the required Detail Study, and (3) a properly executed 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 Funds and Local Share costs in the same proportions as Total State Funds is to Total Local Share as set forth on the Face Page. 4. Interim payments will be issued in amounts equal to the State Funds calculated in 3. above, less all previous payments to date. The final payment will be issued upon receipt and approval of a payment request marked "FINAL" documenting all project costs incurred and tasks completed and submission of the Final Project Summary Report and Measumble Results Forms. Such fmal 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 obhgations 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. Appendix C-2 C. Payment requests shall be submitted to: New York State Department of State Contract Administration Unit - LWRP 41 State Street - 10th Floor Albany, New York, 12231-0001 Claimed expenditures per cost category may not exceed the amounts indicated in the Budget, Appendix B, by ten percent (10%) without approval of the Department, provided that the Total Project Cost as set forth in Appendix B, Budget Summary is not exceeded. Any expenditure in excess of such 10% or that changes the State Share or Local Share funding amount shall require an amendment to the Project Budget submitted in writing by the Contractor and approved by the Department. No expenditures shall be allowed for items not set forth in the Project Budget without written approval of the Department. III. Other 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: Town of Southold Program Contact Person: Valerie Scopaz Phone: (Office) (516) 765-1938 (Fax) (516) 765-3136 GIS Implementation In 1997, the Town of Southold received funding from the Environmental Protection Fund to establish a GIS database for a growth management initiative, Southold 2000. The Town has made substantial progress on this task although limited staff resources and increasing development pressure has lknited the full deployment of the GIS on the Town's growth management initiatives, including the Local Waterfront Revitalization Program. The Town intends to hire a staff person to assist in the implementation of the GIS, to expedite the updating and revising of the databases and to assist in the implementation of the Town's growth management initiatives. The staff person will report to the Town Planner and the work program will be coordinated with the Town's Computer Specialist. The GIS implementation project involves several discrete tasks that are broken out below. Depat hnent of State review is included within these tasks. Sub-contracts must be submitted to the Department of State for review and approval. Task 1: Project Scoping Session The Town of Southold and requirements. the Department of State shall hold an initial meeting to review project The Town of Southold shall prepare a brief meeting summary to clearly indicate the agreements/understandings reached at the meeting. Product: Meeting summary with note of agreements and understandings reached. Task 2: Hiring of Staffperson The Town of Southold initiates the process to hire a staff person to assist in the implementation of the GIS. Product: Staffperson hired. Task 3: Development of work program Appendix D-2 The Town of Southold and Department of State shall develop a work program for the implementation of the GIS for growth management and other tasks related to the implementation of the Town's growth management initiatives, including the LWRP. Product: Work program Task 4: GIS and Growth Management Implementation. The Town of Southold will complete the implementation of the GIS for growth management and other tasks related to the implementation of the Town's growth management initiatives as indicated in the work program. Product: Completed work program. Task 5: Quarterly Reports The Town of Southold shall submit to the Department of State quarterly reports on the form provided, including the extent of work accomplished, any problems encountered, any delays incurred, and any assistance needed. If a quarterly payment request is submitted, the quarterly report may be submitted as part of the payment request. Products: Quarterly reports during the life of the contract. Task 6: Measurable Results The municipality shall complete the Measurable Results form attached to this work program and provide a copy to the Depa~hnent of State. Product: Completed Measurable Results form. Appendix D-3 Recipient started incurring eligible costs for this project on April 1 1998. Task Description 1. Project scoping session Hiring of staffperson 4. GIS and growth manal~ement implementation M M M M M M M M M M M M 11 12 Expected Products ; report Staff person hired 6. Measurable Results Form Completed measurable results APPENDIX X Agency Code: 19000 Contract No.: C005961 Contract Period: Funding for Period: This is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Department of State, having its principal office at 41 State Street, Albany, New York, 12231 (hereinafter referred to as the STATE), and Town of Southold (hereinafter referred to as the CONTRACTOR), for modification of Contract Number C005961, as amended above and in attached Appendice(s) All other provisions of said AGREEMENT shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as of the dates appearing under their signatures. CONTy CTOR SIC /ArU By: ~---(~-- ~e,~-N~.~.~ By: Jean w. Cochran (print name) Title: Super¥isor, Town of Southold Title: Date: 3/1fl/99 Date: (print name) ' ' : "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." GOVERNMENTAL BODY State of New York County of Suffolk ) )SSi On this !~_t~ day of ¥~-rch , 19 99 before me personally came ]jaain W ~'~t~hran to me known, who, being by me duly sworn, did depose and say that_nrc is the ~,H?~.rvi_qor of .~outhold Town the municipality described in and which executed the above instrument; and that ~_he signed his/her name thereto by order of the local legislative body of the above mentioned municipality. ELIZABETH ANN NEVILLE Notary Public, State of New York No. 52-8125850, Suffolk County Term Expires October 31, ;~,:x~ ~-~ NOTARY PUBLIC STATE COIVIPTROLLER'S SIGNATURE Title: Date: IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates below their signatures. Contract No. C005961 CONTRACTOR Town of S~uthold Title: RH~rviqnr. Tnwn ~f ~uthold Date: 3/18/99 STATE AGENCY: New York State Department of State By: Title: Date: "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." GOVF. RNMENTAI, BODY State of New York County of Suffolk' On this Jean W. Cochran ) )SS: 18th day of March ,19 99, before me personally came to me known, who, being by me duly sworn, did depose and say that S_he is the Supervisor of Southold Town the municipality described in and which executed the above instrument; and thats_he signed his/her name thereto by order of the local legislative body of the above mentioned municipality. ELIZABETH Notary Public, State of New York . _ _ No, 52-8125850, SuffoLk County (Y NOTARY PUBLIC Term Expiros October 31,1~ ~ ATTORNEY GENERAL'S SIGNATURE: STATE COMPTROLLER'S SIGNATURE: Title: Title: Date: Date: IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates below their signatures. CONTRACTOR Town of S~hold' Jean W. Cochran (Print Name) Title: Su.oer¥isor. Town of Southold Date: 3/18/99 Contract No. C005961 STATE AGENCY: New York State Department of State By: (Print Name) Title: Date: "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." C_~c}VERNMENTAI, BODY State of New York County of Suffolk S_he is the ) )SS: Onthis 18th dayof March ,19 99 , before me personally came Jean W. Cochran to me known, who, being by me duly sworn, did depose and say that Supervisor of Southold Town the municipality described in and which executed the above instrument; and that_She signed his/her name thereto by order of the local legislative body of the above mentioned municipality. Notary Pub c, State of New York - ~o. 52-~ 25850 Suffo k County 6,' NOT,~R.Y PUBLIC/ 'irerm Ex;o res October 31, ~).x~ ATTORNEY GENERAL'S SIGNATURE: STATE COMPTROLLER'S SIGNATURE: Title: Title: Date: . Date: From: Date: Re: Elizabeth Neville, Town Clerk Valerie Scopaz, Town Planner/~.)~~ 02/25199 GIS Implementation Grant Jean Cochran asked that I send you the original contract for the GIS Implementation Grant for record-keeping. Also attached is a follow-up letter from the NYS Department of State ~psting the Town to either sign the agreement or risk forfeiting the !i~iappreciate you putting this matter on for discussion at the next T/~ :B~ard meeting subject of course to the Supervisor's agreement. ~h~:.~i~dy has received a copy of the February 19th letter. !i~i~St aware that standard policy required unsigned contracts be sent ~:.~b~ and apologize for any inconvenience of difficulty this may have ~ed you.