HomeMy WebLinkAboutHamlet Study IIRESOLUTION 2011-57
ADOPTED
DOC ID: 6495
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 2011-57 WAS
ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON
JANUARY 4, 2011:
RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs
Supervisor Scott A. Russell to execute the Grant Agreement between the Town of Southold
and the New York State Department of State regarding Contract No. C-007078
"Implementation of the Town of Southold Hamlet Study II" in connection with updating
the Town's Comprehensive Plan, subject to the approval of the Town Attorney.
Elizabeth A. Neville
Southold Town Clerk
RESULT: ADOPTED [UNANIMOUS]
MOVER: Louisa P. Evans, Justice
SECONDER: Christopher Talbot, Councilman
AYES: Ruland, Orlando, Talbot, Kmpski Jr., Evans, Russell
Town of Southold - Agreement #C007078
Implementation of the Town of Southold Hamlet Study - Phase II
CONTRACT ADMINISTRATION UPDATE FORM
Please update/specify information for up to (3) people to receive contract related correspondence from DOS and indicate which
person should be the primary correspondence recipient, The primary recipient must be an employee of the Town of $outhold and
will receive original DOS correspondence, with attachments. The other individuals listed will receive copies of DOS transmittal
letters, without attachments. NOTE: The Mayor/Supervisor must be listed on this form, but does not need to be the primary
correspondence recipient. ~Please m
No updates necessary ake the following updates:
Honorable Scott A. Russell [] JPrimary recipient of correspondence from DOS Phone Number:
Supervisor [i~' Copy this person on correspondence from DOS
Town of Southold 631-765-1889
PO Box 1179
Southold, NY 11971-~'"~:~
Email Address: Fax Number:
scott.russell~town.southold.ny.us 631-765-1823
~'~0/t/I ("l./-/L~/~/9':t ~ D ~ima~ reeipiant of co~espondence ~om DOS Phone Number:
~~{~ / / ~ Copy this p~rson on eo~espondenee bom DOS ~/_~
'7 J~'~~n~ ~' ~~ FaxNumber:
Please list up to (3} individuals who are attthorized to execute amendments and/or sign payment requests for this project.-
Name: .~y.~_.L A- /~'~.3T. fC~hitle:
Authorized for:
Amendments? ~?
Title:~.~?, /~'/~'0[/~_...~ Amendments? [---~ Payments? ~
Signature of the M ayor/Supervisor:/~//%~'~~"/""~ l}at~: [ q i( ( _
1N WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates below
their signatures.
CONTRACTOR ~t~
Town of ~
By:
Title: _./<'-c.~,_ f)e~ o*~-(O (~
Date: { d-q -- ~'l
Contract No. C007078
STATE AGENCY:
New York State Department of State
By:
Title:
Date:
State Agency Certification
"In addition to the acceptance of this conU'act, I
also certify that original copies of this signature
page will be attached to all other exact copies of
this contract."
ACKNOWLEDGMENT
State of New York )
County of ~' t.~ ~--~ c'9 (/~ )ss:
On this 7 day of ~-'~c~ tx c~c,._ (-~ , in the year 20 [ ( , before me personally appeared
· 5-(' x:v4~ /q. .~t~S; C t [ , to me known, who being by me duly sworn, did depose and say that
he/she is the _5't~c~e~,.'-V~.?O.'~- of ~"70~/~ e:~ ~-~a4'~:,{C~/ , the organization
described in and which executed the above instrument; and that he/sh~has the authority to sign on behalf of
said organization; and that he/ah& executed the foregoing agreement for and on behalf of said organization.
J NOTAI~Y PUBLIC L{NDA J COOPER
NOTARY pUBLiC, State of New York
NO 01004822863 Suffolk
ATTORNEY GENERAL: Approved:
Thomas P. DiNapoli
State Comptroller
Title: By:
Date:
Date:
FACE PAGE
STATE AGENCY (Name and Address):
NYS Department of State
One Commerce Plaza
99 Washington Avenue - Suite 1010
Albany, NY 12231-0001
CONTRACTOR (Name and Address):
Town of Southold
PO Box 1179
Southold, NY 11971 ~ o ~5'-~
FEDERAL TAX IDENTIFICATION NUMBER:
11-6001939
MUNICIPALITY #
NYS COMPTROLLER'S #: C007078
OKIG. AGENCY CODE: 19000
TYPE OF PROGRAM:
Environmental Protection Fund Act - 2009 LWRP
STATE SHARE FUNDING AMOUNT FOR
INITIAL PERIOD $68,568
LOCAL SHARE FUNDING AMOUNT FOR
1NITIAL PERIOD $68,568
INITIAL CONTRACT PERIOD:
FROM: September 1, 2009
TO: August 31, 2012
APPENDICES ATTACHED TO AND PART OF THIS AGREEMENT
APPENDIX A: Standard clauses as required by the Attorney General for all state contracts
APPENDIX A 1:
Including
Agency-specific clauses
Attachment I - Final Project Smmna~ Report
Attachmem 2- Minority and Women-ownod Business Enterprises (MWBE) Program
Quarterly Contractor Report
Attachment 3 - Project Status Form
Attachment 4 - Procurement Certification
APPENDIX B: Budget
APPENDIX C: Payment and Reporting Schedule
APPENDIX D: Prolo'am Work Plan
APPENDIX F: Notices
APPENDIX G: Electronic Payments
APPENDIX X: Modification Agreement Form (to accompany modified appendices for changes in term or
consideration on an existing period or for renewal periods)
STATE OF NEW YORK
AGREEMENT
This AGREEMENT is hereby made by and between the State of New York agency (STATE) and the public or
private agency (CONTRACTOR) identified on the Face Page hereof.
WITNESSETH:
WHEREAS, the STATE has the authority to regulate and provide funding for the establishment and operation of
program services and desires to contract with skilled parties possessing the necessary resources to provide such services;
and
WHEREAS, the CONTRACTOR is ready, willing and able to provide such program services and possesses or can
make available all necessary qualified personnel, licenses, facilities and expertise to perform or have performed the
services required pursuant to the terms of this AGREEMENT;
NOW, THEREFORE, in consideration of the promises, responsibilities and covenants herein, the STATE and the
CONTRACTOR ~gree as follows:
I. Conditions of Agreement
A. This AGREEMENT may consist of successive periods (PERIOD), as specified within the AGREEMENT or
within a subsequent Modification Agreement(s) (Appendix X). Each additional or superseding PERIOD shall be on
the forms specified by the particular State agency, and shall be incorporated into this AGREEMENT.
B. Funding for the first PERIOD shall not exceed the funding amount specified on the Face Page hereof. Funding
for each subsequent PERIOD, if any, shall not exceed the amount specified in the appropriate appendix for that
PERIOD.
C. This AGREEMENT incorporates the Face Page attached and all of the marked appendices identified on the Face
Page hereof.
D. For each succeeding PERIOD of this AGREEMENT, the parties shall prepare new appendices, to the extent that
any require modification, and a Modification Agreement (the attached Appendix X is the blank form to be used).
Any terms of this AGREEMENT not modified shall remain in effect for each PERIOD of the AGREEMENT.
To modify the AGREEMENT within an existing PERIOD, the parties shall revise or complete the appropriate
appendix form(s). Any change in the amount of consideration to be paid, or change in the term, is subject to the
approval of the Office of the State Comptroller. Any other modifications shall be processed in accordance with
agency guidelines as stated in Appendix Al.
E. The CONTRACTOR shall perform all services to the satisfaction of the STATE. The CONTRACTOR shall
provide services and meet the program objectives summarized in the Program Work Plan (Appendix D) in
accordance with: provisions of this AGREEMENT; relevant laws, roles and regulations, administrative and fiscal
guidelines; and where applicable, operating certificates for facilities or licenses for an activity or program.
F. If the CONTRACTOR enters into subcontracts for the performance of work pursuant to this AGREEMENT, the
CONTRACTOR shall take full responsibility for the acts and omissions of its subcontractors. Nothing in the
subcontract shall impair the rights of the STATE under this AGREEMENT. No contractual relationship shall be
deemed to exist between the subcontractor and the STATE.
G. Appendix A. (Standard Clauses as required by the Attorney General for all State contracts) takes precedence over
all other parts of this AGREEMENT.
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II. Payment and Reporting
A. The CONTRACTOR, to be eligible for payment, shall submit to the STATE's designated payment office
(identified in Appendix C) any appropriate documentation as required by the Payment and Reporting Schedule
(Appendix C) and by agency fiscal guidelines, in a manner acceptable to the STATE.
B. The STATE shall make payments and any reconciliations in accordance with the Payment and Reporting
Schedule (Appendix C). The STATE shall pay the CONTRACTOR, in consideration of contract services for a given
PERIOD, a stun not to exceed the amount noted on the Face Page hereof or in the respective Appendix designating
the payment mount for that given PERIOD. This sum shall not duplicate reimbursement from other sources for
CONTRACTOR costs and services provided pursuant to this AGREEMENT.
C. The CONTRACTOR shall meet the audit requirements specified by the STATE.
III. Terminations
A. This AGREEMENT may be terminated at any time upon mutual written consent of the STATE and the
CONTRACTOR.
B. The STATE may terminate this AGREEMENT immediately, upon written notice of termination to the
CONTRACTOR, if the CONTRACTOR fails to comply with the terms and conditions of this AGREEMENT and/or
with any laws, roles, 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 A 1.
D. Written notice of termination, where required, shall be sent by personal messenger service or by certified mail,
return receipt requested. The termination shall be effective in accordance with terms of the notice.
E. Upon receipt of notice of termination, the CONTRACTOR agrees to cancel, prior to the effective date of any
prospective termination, as many outstanding obligations as possible, and agrees not to incur any new obligations
after receipt of the notice without approval by the STATE.
F. The STATE shall be responsible for payment on claims pursuant to services provided and costs incurred pursuant
to terms of this AGREEMENT. In no event shall the STATE be liable for expenses and obligations arising from the
program(s) in this AGREEMENT after the termination date.
IV. Indemnification
A. The CONTRACTOR shall be solely responsible and answerable in damages for any and all accidents and/or
injuries to persons (including death) or property arising out of or related to the services to be rendered by the
CONTRACTOR or its subcontractors pursuant to this AGREEMENT. The CONTRACTOR shall indemnify and
hold harmless the STATE and its officers and employees from claims, suits, actions, damages and costs of every
nature arising out of the provision of services pursuant to this AGREEMENT.
B. The CONTRACTOR is an independent contractor and may neither hold itself out nor claim to be an officer,
employee or subdivision of the STATE nor make any claim, demand or application to or for any right based upon any
different status.
V. Property
Any equipment, furniture, supplies or other property purchased pursuant to this AGREEMENT is deemed to be the
property of the STATE except as may otherwise be governed by Federal or State laws, rules or regulations, or as
stated in Appendix Al.
VI. Safeguards for Services and Confidentiality
A. Services performed pursuant to this AGREEMENT are secular in nature and shall be performed in a manner that
does not discriminate on the basis of religious belief, or promote or discourage adherence to religion in general or
particular religious beliefs.
B. Funds provided pursuant to this AGREEMENT shall not be used for any partisan political activity, or for
activities that may influence legislation or the election or defeat of any candidate for public office.
C. Information relating to individuals who may receive services pursuant to this AGREEMENT shall be maintained
and used only for the purposes intended under this Agreement and in confo~nity with applicable provisions of laws
and regulations, or specified in Appendix A 1.
APPENDIX A
STANDARD CLAUSES FOR NYS CONTRACTS
(JUne 2006)
The parties to the ettached contract, license, lease, amendmcnt 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 (thc word "Contractor" berein refers to any party other than the
State, whether a contractor, licenser, licensee, lessor, lessee or any other
pony):
1. EXECUTORY CLAUSE. In accordance with Section 41 of the State
Finance Law, the State shall have no liability under this contract to the
Cuniractor or to anyone else beyond funds appropriatcd and available for
this contract.
2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of
the State Finance Law, this contract may not be assigned by the Contractor
or its tight, title or interest therein assigned, Wansfened, conveyed, sublet
or otherwise disposed of withunt the previous consent, in writing, of the
State and any altompts to ~esign 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 consant unless this
contract concerns Certificates of Participatiun pursuant to Article 5-A of
the State Finance Law.
3. COMPTROLLER'S APPROVAL. In accordance with Section I 12
of the State Finance Law (or, if this contract is with thc State Uuiversity
or City University of New York, So, ion 355 or Section 6218 of the
Education Law), if this contract exceeds $50,000 (or the minimum
thresholds agreed to by the Office of the State Comptroller for certain
S.U.N.Y. and C.U.N.Y. cunU'acts), 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, thn State agrees to give something other than money
when thc value or reasonably estimated value of such consider~ion
exceeds $10,000, it shall not be valid, effective or binding upon the State
until it has been approved by thc State Comptroller and filed in his office.
Comptroller's approval of contracts let by the Office of Oaneral Services
is required when such contracts exceed $85,000 (State Finance Law
Section 163.6.a).
4. WORKERS' COMPENSATION BENEFITS. In accordance with
Section 142 of the State Finance Law, this cuntract shall be void and of no
force and effect unless the Contractor shall provide and maintain coverage
dining the life of this contract for the benefit of such employees as are
required to be covered by the provisions of the Workers' Compensation
Law.
5. NON-DISCRIMINATION REQUIREMENTS. To thc extent
required by Article 15 of thc Executive Law (also known as the Human
Rights Law) and all other State and Federal statutory and constitutional
non-diseriminatiun provisions, the Conuastor will not discriminate agninst
any employee or applicant for employment because of race, creed, color,
sex, national erigin, sexnal orientation, age, disability, genetic
predisposition or carrier status, or marital status. Furthermore, in
accordance with Section 220-e of the Labor Law, if this is a contract for
the construction, altetatiun or repair of any public building or public work
or for the manufectu~ sale or distribution of ma~als, 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, ereed, color, disability, sex, or national origin: (a)
discriminate in hiring against any New York State citizen who is qualified
and availobl · to perform the work; or (h) discriminate against or intimidate
any en~ployee hired for the performance of work under this conm~ct. If
this is a building service contract as defined in Section 230 of thc Labor
Law, then, in accordance with Seetion 239 thereof, Contractor agrees that
neither it nor its subcontractors shall by reason of race, creed, color,
national origin, age, sex or disability: (a) dise~minate in hiring against
any New York State eitizan who is qualified and available to perform the
work; or (h) discriminate against or intimidate any cmployee 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 Scctiun 220-e or Section
239 as well as possible tc~ninafinn of this contract and forfeiture of all
moneys due hereunder for a second or subsequent violation.
6. WAGE AND HOURS PROVISIONS. If this is a public work
contract covered by A~cle 8 of thc Labor Law or a building service
contract covered by Article 9 thereof, neither Contrnctor's employees nor
the employees of its subcontractors may be required or permitted to work
more than foe number of hours or days stated in said statutes, except as
othctwise provided in the Labor Law and es ~ forth in prevailing wage
and supplement schedules issued by the State Labo~ Deparm~ent.
Furthermore, ConU'ac~r and its subcontractors most pay at least the
prevailing wage rate and pay or pmvids the prevailing supplements,
including the premium rates for ov~in~ pay, as determined by the State
Labor Dcparlmant in accordance with the Labor Law.
7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance
with Section 139-d of the State Finance Law, if this contract was awarded
based upon the submission of bids, Contractor affirms, under penalty of
perjury, that its bid was arrived at independently and without collusion
aimed at r~tricfing compedtion. Contractor fin'ther affirms that, at thc
time Contractor submit~l its bid, an authorized and responsible person
executed and delivered to the State a non-collusive bidding certification
on Contractor's behalf.
8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance
with Section 220-f of the Labor Law and Sectiun 139-h of the State
Finance Law, if this con,act exceeds $5,000, thn Contractor agrees, as a
material condition of the contract, that neither the Contractor nor any
sub~iantialfy owned or affiliated person, finn, partnership or co~orafion
has participated, is participating, or shall participate in an international
boycot! in violation of the federal Export Administration Act of 1979 (50
USC App. Sections 2401 ct seq.) or regulations thereunder. If such
Contractor, or any of the aforesaid affiliates of Contracter, is convicted or
is other, vise found to have violated said laws or regnlatiom upon the final
determination of the United States Commerce DeparUnent or any other
appropriate agency of the United States subsequent to the contract's
execution, such contract, amcndmant or modification thereto shall be
rendered forfeit and void. The ContractOr shall so notify the State
Comptroller within five (5) business days of such conviction,
determination or disposition of appeal (2NYCRR 105.4).
9. SET-OFF RIGHTS. The State shall have all of its common law,
equitable and statutory rights of set-off. These rights shall include, but not
be limited to, the State's option to withhold for the proposes of set-offany
moneys due to the Contractor under this contract up to any amounts due
and owing to the State with regard to this conmlct, any other contract with
any State department or agency, including any contract for a term
commcncing prior to the term of this contract, plus any amounts due and
owing to the State for any other reason including, without limitation, mx
delinquencies, fee delinquencies or monetary penalties relative thel~o.
The State shall cxcreise its set-offrights in accordance with normal State
practices including, in cases of set-offpursuant to an audit, the finalization
June 2006
of such audit by the State agency, its representatives, or the State
Comptroller.
10. RECORDS. The Contractor shall establish and maintain complete
end accurate books, records, documents, accounts end other evidence
directly pertinent to performance under this contract (heleinafter,
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
thc~. Thc 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 on such office is available, at a mutually
agreeable and reasonable venue within thc State, for the term specified
above for the purposes of inspection, auditing and copying. The State
shall take reasonable steps to protect from public disclusu~ 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 dmely
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 haroin 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. (a) FEDERAL EMPLOYER IDENTIFICATION
NUMBER end/or FEDERAL SOCIAL SECURITY NUMBER. All
invoices or New York State standard vouchers submitted for payment for
the sale ofgunds or services or thc lease of reul or personal property to a
New York Statc agency must include the payee's identification number,
i.e., thc sciler's or lessors idenrificetion number. Thc number is either the
payee's Federal employer idcotificetion number or Federal social security
number, or both such numbers when thc payee has both such numbers.
Failure to include this number or numbers may delay payment. Where the
payee does not have such numbur or numbers, the payee, on its invoice or
New York State standard voucher, must give the ~asun or reasons why the
payee does not have such number or numbers.
(b) PRIVACY NOTIFICATION. ( 1 ) The authority to request the above
pe~onal information fiom a seller of goods or services or a lessor of real
or personal property, end the authority to maintain such infommtiun, is
found in Section 5 of the State Tax Law. Disclosure of this information
by the seller or lessor to the State is mendaWry. Thc principal pu~osu 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 proposes end for any other purpose enthodzed by law.
(2) The personal information is requested by the purchasing unit oftbe
agency contracting to purchase the goods or services or lessu the real or
personal property covered by this contract or lease. The information is
maintained in New York State's Central Accounting System by the
Director of Accounting Operations, Office of the State Comptroller, 110
State Street, Albany, New York 12236.
12. EQUAL F~PLOYMENT OPPORTUNITIES FOR MINORIT~g.~
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 com~it~i to expend or does expend funds in return
for labor, services, supplies, equipment, matefieis 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 orS100,000.00
whereby a contracting agency is committed to expend or does expend
funds for the acquisition, construction, demolition, replacement, major
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repair or renovation of real property and improvements thereon; 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, cons~euetion, demolition, replacement, major repair or
renovation of reel property and improvements thereon for such project,
(a) The Contrsctor will not discr/minate against employees or applicants
for employment because of race, creed, color, national origin, sex, age,
disability or marital status, end will undertake or continue existing
programs of affirmative action to ensure that m/notify group members end
women are afforded equal employment opportunities without
d/scrim/nat/un. Affirmative action shall mean recmilment, employment,
job assignment, promotion, upgrsdings, demotion, mmsf~r, layoff, or
termination and rates of pay or other forms of compensarion;
Co) at the request of the con,ranting agency, the Contractor shall request
each employment agency, labor union, or authorized mp~sentarive of
workers with which it has a collective bargaining or other agreement or
understanding, to fitrnish 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 contracter*s obligations herein; and
(c) the Contractor shall state, in all solicitations or advertisements for
employees, that, /n the performance of the State conUact, all qualified
applicants will be afforded equal employmont opportunities without
discrimination because of race, ~ color, national origin, sex, age,
disability or marital status.
Contractor will include the provisions of'a'', "b", and %" above, in every
subcontract over $25,000.00 for the consm~cfion, demolition, replaeement,
major repair, renovation, plenuing or des/gn of ~al property and
improvements thereon (the 'Work") except where tho Work is for the
beneficial use of the Contractor. Sect/on 312 does not apply to: (i) work,
goods or sen4ces unrelated to this contract; or (ii) employment outs/de
New York State; or (iff) banking sendces, insurance polieiee or the sale of
securities. The State shall consider compliance by a co/nnv:ter or
subcontractor with the requ/rements of any federal law concerning equal
employment opporitm/ty which effectuates the purpose of this section.
The con~sachng agency shall determine whether the/mpesition of the
requirements of the provisions hereof duplicate or conflict with any such
federal law end if such duplication or conflict ex/sts, tho contracting
agency shall waive the applicability of Section 312 to the extent of such
duplicarion or conflict. Contn~cter will comply w/th all duly pwmuigeted
and lawful rules and regulations of the Governor's Office of Minoriiy and
Women's Bus/ness Development pertaining hereto.
13. CONFLICTING TERMS. In the event of a conflict bctwee~ the
terms of the conm~ct (including any and all at~aclunents the~tu and
amendments then:o/) and the terms of this Appendix A, the terms of this
Appendix A shall conrail.
14. GOVERNING LAW. This contract shall be governed by the laws of
the State of New York except where the Federal supremacy clause requires
otherwise.
15. LATE PAYMENT. Timeliness of payment end any interest to be
paid to Contractor for Iste payment shall be governed by Article 1 I-A of
the State Finance Law to thc cxteat required by law.
16. NO ARBITRATION. Disputes involving this contract, including the
breach or alleged b~ach thereot; may not be submitted to binding
arbiuation (except whore statotorily authorized), but must, instead, be
heard in a court of competent jurisdiction of thc State of New York.
June 2006
17. SERVICE OF PROCESS. In addition to the methods of service
allowed by the State Civil Practice Law & Rules CCPLR"), Contractor
hereby consents to service of pwcess upon it by registered or ce~flad
mail, retusu 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 Stetes Postal Service as refused or
undeliverable. Contractor must promptly notify the State, in writing, of
each end every change of address to which service ofprocesa can be made.
Service by the State to the las~ known address shall be sufficient.
Contractor will have thiV:y (30) calendar days at,er service he,under is
complete in which to respond.
18. PROHIBITION ON PURCHASE OF TROPICAL
HARDWOODS. The Contractor certifies and warrants that all wood
products to be used under this contract award will be in accordance with,
but not limited to, the specifications and provisions of State Finance Law
§ 165. (Use of Tropical Hardwoods) which prohibits purchase and use of
tropical hardwoods, unless specifically exemp~xl, by the State or any
governmental agency or political subdivision or public benefit corporation.
Qualification for an exemption under this law will bo 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 submit~d bid proposal
that the subcontractor has been informed and is in compliance with
specifications and provisions regarding use of tropicul hardwoods as
detailed in §165 State Finance Law. Any such use mast meet with the
approvalofthe State; otherwise, the bidmay not be cunsidared responsive.
Under bidder cortificetions, proof of qualification for exemption will be
the responsibility offue Contractor to meet with the approval of the State.
19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In accordance
with the MacBride Fair Employment Principles (Clmpte~' 807 of the Laws
of I ~2), the Cont~ctor 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 Northern Ireland in
accordance with the MacBrida Fair Employment Principles (as described
in Section 165 of the New York State Finsuce Law), and shall permit
independent monitoring of compliance with such principles.
20. OMNIBUS PROCUREMENT ACT OF 1992. It is die policy of
New York State to maximize opportunities for the participation of New
York State business enterprises, including minority and women-owned
business onte~prisns as bidders, subcontractors and suppliers on its
procurement contracts.
Information on thc availability of New York State subcontracters and
suppliers is a~,allablc from:
NYS Department of Economic Development
Division for Small Business
30 South Pearl St -- 7~ Floor
Albany, New York 12245
Telephone: 518-292-5220
Fax: 518-292-~884
Intp://www.empire.state.ny.us
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A directory of cenifiad minority end women-owned business enterprises
is available from:
NYS Depaslmeut of Ecenomic Development
Division of Minority end Woman's Business Development
30 South Pearl St -- 2nd Floor
Albany, New York 12245
Telephone: 518-292-5250
Fax: 518-292-5803
http://www.empire.state.ny.us
The Omnibus Procurement Act of 1992 requires that by signing this bid
proposal or contract, as applicable, Con~acters certify that whenever the
total bid amount is greater than $1 million:
(a) The Contractor has made reasonable efforts to encourage the
participation of New York State Businass Enterprises as suppliers and
subcon~actors, including certified minority and women-owned business
enterprises, on this project, and has ret~fmed the documentation of these
efforts to be provided upon request to the State;
Co) The Con,rector has complied with thc Federal Equal Opportunity Act
of 1972 (P.L. 92-261), as amended;
(c) The Contractor agrees to make rnssuanble 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 thc
New York Stste Deparanent of Labor, or providing such notification in
such manns~ as is consistent with existing collective bargaining contracts
or agreements. Thc Contnscter agrees to document ~hese efforts and to
provide said documentation to the State'upon request; and
(d) The Con~ractor acknowledges notice that the State may seek to obtain
off~t credits from foreign court, es as a result of this cunm~ct and agrees
to cooperate with the S~ate in these efforts.
21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are
hereby notified that if their principal place of business is located in a
country, nation, province, state or political subdivision that penalizes New
York State vendors, and if the goods or services they offer will be
substantially produced or perfunned outside New York State, the Omnibus
Procurement Act 1994 and 2000 amendments (Chapter 684 and Chapter
383, respectively) require that they be denied conUacts which they would
otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory
jurisdictions subject to this provision includes die stetes of South Carolina,
Alaska, West Virginia, Wyoming, Louisiana and Hawaii. Contact NYS
Department of Economic Development for a cur~nt list ofjurisdletions
subject to this provision.
22. PURCHASES OF APPAREI~ In accordance with State Finance Law
162 (4-a), the State shall not purchase any apparel from any vender unable
or unwilling to certify that: (i) such apparel was manufactured in
compliance with all applicable labor and occupational safety laws,
including, but not limited to, child labor laws, wage and hours laws and
workplace safety laws, and (ii) vendor will supply, with its bid (or, if not
a bid situation, prior to or at the thne of signing a contract with the Stata~
if known, the names and addresses of each subconffactor and a list of all
manufacturing plants to be utilized by the bidder.
June 2006
II.
APPENDIX A1
AGENCY-SPECIFIC CLAUSES
This Agreement has been entered into pursuant to the following understandings:
A. Title 11 oftheEnvironmentalProtectionFundActprovides for State assistance to municipalities for the
State share of the cost of approved local waterfront revitalization projects as defined in the Act.
B. The Department of State (Department) is authorized by such Act to evaluate and determine eligibility of
applications for funding of projects.
Based upon information, representations and certifications contained in Contractor's application for funding,
including the Program Work Plan as set forth in Appendix D, the Department has made a determination of
eligibility of funding for Contractor's project under such Act.
State funds (Funding Amount set forth on the Face Page) for this Project (Appendix D Program Work Plan)
are provided pursuant to a reappropriation of funds originally made by Title 11 of the Environmental
Protection Fund Act.
E. The Contractor has demonstrated its ability to finance its share of the Project and has agreed to fund its
portion of the cost of the Project.
F. The 2009 "Request for Applications" required the Applicant to budget for costs associated with training for
projects.
Where Contractor is required to attend training session(s) in Appendix D, Program Work Plan, the Contractor
agrees to participate in the designated training session(s). The Department will notify the Contractor when
training session(s) will be held. The Contractor agrees to submit payment for the required registration fee(s)
in accordance with the notification letter from the Department.
Failure of the Contractor to transmit the registration fees or attend the training session(s) will result in the
withholding of payments in the amount of the registration fee(s) and could result in this contract being
terminated. In no case should the funds allocated for training be used for any other purpose without prior
approval of the Department,
General
For the purposes of this Agreement, the terms "State" and "Department" are interchangeable, unless the
context requires otherwise. In addition, the terms "Agreement" and "Contract" are interchangeable, unless the
context requires otherwise.
B. The contract period as set forth on the Face Page is the inclusive period within which the provisions of this
Agreement shall be performed.
C. No liabilities incurred prior to the contract period will be eligible under this Agreement.
No liabilities are to be incurred beyond the contract period and no costs will be reimbursed for such liabilities
unless: 1) funds have been reappropriated for the Project in the subsequent State fiscal year, 2) the
Department determines that it is in the best interest of the Department and the State to provide additional
time to complete the Project and 3) an extension agreement is approved in accordance with Section IA. of the
Agreement.
Subject to the availability of funds, determination by the Department that it is in the best interest of the State,
and upon mutual written consent of the parties, the Initial Contract Period of this Agreement may be
extended by up to two contract periods not to exceed twelve months each. The parties shall revise or
III.
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complete the appropriate appendix form(s), which may be subject to approval of the Office of the State
Comptroller.
F. To modify any terms of this Agreement within an existing period, the parties shall revise or complete the
appropriate appendix form(s), which may be subject to approval of the Office of the State Comptroller.
The Department shall not be liable for expenses of any kind incurred in excess of the State Funds as set forth
on the Face Page, and shall not be responsible for seeking additional appropriations or other sources of funds
for the Project.
The Contractor shall perform all services to the satisfaction of the Department. The Contractor shall provide
all services and meet the program objectives described in Appendix D in accordance with: provisions of this
Agreement; relevant State, federal and local laws, rules and regulations, administrative and fiscal guidelines;
where applicable, operating certificates for facilities or licenses for an activity or program, and conditions of
applicable permits, administrative orders and judicial orders.
I. The Contractor shall submit with its request for final payment a Final Project Summary Report in the format
described in Appendix Al, Attachment.
The Contractor agrees to proceed expeditiously with the Project and to complete the Project in accordance
with the timetable set forth in the Work Plan (Appendix D) as well as with the conditions of any applicable
permits, administrative orders, or judicial orders and this Agreement.
The Contractor shall submit a Quarterly Contractor Report (Appendix Al, Attachment 2) pursuant to the
Department's Minority and Women-owned Business Enterprises Program. In the event Contractor utilizes
Minority and Women-owned Business Enterprises as discussed in Section XVI in Appendix Al, such report
shall be provided to the Department at the address on the Quarterly Contractor Report.
The Contractor shall submit a "Project Status Report" (Appendix Al, Attachment 3) on a six month basis for
the periods ending Jane 30 and December 31. Reports are due no later than 30 days following the end of
each reporting period.
Additional Requirements for Construction Projects
Project design, including preparation of final plans and specifications, and supervision of construction shall
be undertaken by a qualified architect and/or engineer licensed to practice in the State of New York. The
Contractor shall submit final plans and specifications to the Department for its acceptance before initiating
construction work or, if the Contractor intends to subcontract for construction work, before the work is
advertised for bidding. No change to project plans may be made without the prior written approval of the
Department. The Contractor shall also be responsible for erecting a project sign satisfactory to the
Department identifying the Project. The project sign shall remain in place for the useful life of the
improvements undertaken pursuant to this Agreement. Upon completion of the Project, the Contractor shall
submit to the Department a proper certification from a licensed architect or engineer.
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/construction
requirement, the one providing for the greatest degree of accommodation for the disabled shall apply.
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D. 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 waiver statement from the New York State Department of Labor. The Contractor must also obtain from
any contractor or sub-contractor hired to provide a service pursuant to this Agreement, similar proof or
waiver from the contractor or subcontractor, and must maintain such documentation on file for audit.
IV. Reports, Documents and Maps
VI.
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 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, Certificates of
Insurance evidencing compliance with all requirements contained in this Agreement. 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 Agreement.
All insurance required by the Agreement shall be obtained at the sole cost and expense of the Contractor;
shall be maintained with insurance carriers licensed to do business in New York State; shall be primary and
non-contributing to any insurance or self insurance maintained by the Department; shall be endorsed to
provide written notice be given to the Department, at least thirty (30) days prior to the cancellation, non-
renewal, or material alteration of such policies, which notice, evidenced by return receipt of United States
Certified Mail which shall be sent to New York State Department of State, One Commeme Plaza, 99
Washington Avenue, Albany, New York 12231-0001; and shall name the People of the State of New York
and their directors officers, agents, and employees as additional insured thereunder.
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 carrier's rating falls below "A Class "VII", the insurance must be
replaced no later than the renewal date of the policy with an insurer acceptable to the Department and rated at
least "A" Class "VII" in the most recently published Best's Iusumnee Report.
The Contractor shall cause all insurance to be in full force and effect as of the date of this Agreement and to
remain in full fome and effect throughout the term of this Agreement and as further required by this
Agreement. The Contractor shall not take any action, or omit to take any action that would suspend or
invalidate any of the required coverages during the period of time such coverages are required to be in effect.
VII.
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G. Not less than thirty (30) days prior to the expiration date or renewal date, the Contractor shall supply the
Department updated replacement Certificates of Insurance, and amendatory endorsements.
Unless the Contractor is self-insured, Contractor shall, throughout the term of the Agreement or as otherwise
required by this Agreement, obtain and maintain in full force and effect the following insurance with limits
not less than those described below and as required by the terms of this Agreement, or as required by law,
whichever is greater (limits may be provided through a combination of primary and umbrella/excess
policies). Where Contractor is self-insured, the Contractor shall provide suitable evidence of such to the
Department relating to the risks and coverage amounts as provided hereunder.
Comprehensive Liability Insurance with a limit of not less than $1,000,000 each occurrence. Such
liability shall be written on the Insurance Service Office's (ISO) occurrence form CG 00 01, or a
substitute form providing equivalent coverages and shall cover liability arising from premises operations,
independent contractors, products-completed operations, broad form property damage, personal &
advertising injury, owners & contractors protective, cross liability coverage, liability assumed in a
contract (including the tort liability of another assumed in a contract) and explosion, collapse &
underground coverage.
a. If such insurance contains an aggregate limit, it shall apply separately to this location.
b. Products and Completed Operations coverage shall include a provision that coverage will extend for
a period of at least twelve (12) raonths from the date of final completion and acceptance by the
owner of all of contractors work.
2. Where the Project described in Appendix D includes the construction of any structure or building, a
Builder's Risk Policy until the Project is 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 the Department held in their care, custody and/or
control.
6. An Owner's Protective Liability Policy with limits no less than $1,000,000 in the name of the Contractor.
I. Professional consultants retained by the Contractor in connection with the Project shall show evidence of
professional liability insurance with limits no less than $1 million.
Property
A. Pursuant to the provisions set forth in Section V, Page 3 of this Agreement, the ownership of all property
described therein shall reside with the Contractor unless otherwise specified in writing by the Department at
any time during the term of this Agreement and up to thirty (30) days following the issuance of the final
payment.
B. Contractor warrants that it has fee simple or such other estate or interest in the site of the Project, where the
Project is undertaken at a site, including easements and/or rights-of-way sufficient to assure undisturbed use
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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.
VIII. Date/Time Warranty
Contractor warrants that product(s) furnished pursuant to this contract shall, when used in accordance with
the product documentation, be able to accurately process date/time data (including, but not limited to,
calculating, comparing, and sequencing) transitions, including leap year calculations. Where a Contractor
proposes or an acquisition requires that specific products must perform as a package or system, this warranty
shall apply to the products as a system.
Where Contractor is providing ongoing services, including but not limited to: i) consulting, integration, code
or data conversion, ii) maintenance or support services, iii) data entry or processing, or iv) contract
administration services (e.g. billing, invoicing, claim processing), Contractor warrants that services shall be
provided in an accurate and timely manner without interruption, failure or error due to the inaccuracy of
Contractor's business operations in processing date/time data (including, but not limited to, calculating,
comparing, and sequencing) various date/time transitions, including leap year calculations. Contractor shall
be responsible for damages resulting from any delays, errors or untimely performance resulting there from,
including but not limited to the failure or untimely performance of such services.
This Date/Time Warranty shall survive beyond termination or expiration of this Contract through: a) ninety
(90) days or b) the Contractor's or Product manufacturer/developer's stated date/time warranty term,
whichever is longer. Nothing in this warranty statement shall be construed to limit any rights or remedies
otherwise available under this Contract for breach of warranty.
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 winch 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 or public waterfront land, the following additional
provisions apply:
A. The Contractor shall not at any time sell or convey any facility or any portion of the project acquired or
developed pursuant to this Agreement or convert such facility or any portion of the project to other than
public park or public waterfront purposes without the express authority of an act of the Legislature, winch
shall provide for the substitution of other lands of equal fair market value and reasonably equivalent
XI.
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usefulness and location to those to be discontinued, sold or disposed of, and such other requirements as shall
be approved by State.
B. The Contractor agrees to own a property interest sufficient to maintain and operate the project in perpetuity.
The Contractor shall not authorize the operation of the project, or any portion thereof, by any other person,
entity, or organization pursuant to any management agreement, lease or other arrangement without first
obtaining the written approval of the State.
Subcontracting Requirements
A. The Contractor may subcontract for all or any portion of the activities covered by this Agreement as provided
for in Appendix D, subject to prior written approval by the Department of any subcontractor and the terms of
any subcontract. Subcontractors shall comply with all applicable requirements of the Agreement between the
Contractor and the State.
XII. Compliance with Procurement Requirements
All contracts by municipalities for service, labor, and construction involving not more than $35,000 and
goods and equipment involving not more than $10,000 are subject to the requirements of General Municipal
Law § 104-b, which requires such contracts to comply with the procurement policies and procedures of the
municipality involved. All such contracts shall be awarded after and in accordance with such municipal
procedures, subject to any additional requirements imposed by the State as set forth in Appendix D hereof.
The municipal attorney, chief legal officer or financial administrator of the Contractor shall certify to the
Department of State that applicable public bidding procedures of General Municipal Law § 103 were
followed for all service, labor, and construction contracts involving more than $35,000 and all goods and
equipment contracts involving more than $10,000. In the case of contracts by municipalities for service,
labor, and construction involving not more than $35,000 and goods and equipment contracts involving not
more than $10,000, the municipal attorney, chief legal officer or financial administrator shall certify that the
procedures of the municipality established pursuant to General Municipal Law § 104-b were fully complied
with.
All contracts by non-municipal entities such as a community-based organization, shall have its chief legal
officer or financial administrator certify to the State that alternative proposals and quotations for professional
services were secured by use of written requests for proposals through a publicly advertised process to ensure
the prudent and economical use of public funds for professional services of maximum quality at reasonable
cost.
XIII. Requirements for Contract GIS Products (2/04)
A. GENERAL MAP PRODUCT REQUIREMENTS -- The following general cartographic requirements must
be adhered to by the Contractor:
Map Products -- The Department requires delivery of digital map products, unless 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.
Deliverable Format - All digital map and attribute table files must be provided in Maplnfo Tab file
format on Recordable CD or DVD, 3.5" floppy diskette media, external hard drive, via e-mail
attachment (preferably in a WinZ1P file) or downloadable from an flp site on the Internet. Alternatively,
the digital products may be provided in Arclnfo/GIS export format (.e00) or ArcView shape file format
on the same media types upon approval of the Department. All other digital formats require prior
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approval of the Department. Coordination with the Department prior to submission of digital media is
required to ensure compatibility of the delivered materials.
Documentation -- A data dictionary must be included along with the map files describing file contents
and file names, as well as metadata for each file including map projection, horizontal and vertical
datums used, coordinate system, RMS accuracy and log sheet, information sources and dates, the map
maker and date of preparation, and creation methodology. Data provided under federal funds must be
provided in a manner 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".
4. Map Accuracy -- Unless otherwise stated in the RFP, all deliverable map products must conform to
National Map Accuracy Standards for horizontal and vertical accuracy as established by the United
States Bureau of the Budget, June 10, 1941, revised June 17, 1947. For example, for maps at 1:20,000 or
smaller, not more than 10% of the well-defined map points tested must be mom than 1/50 inch (0.508
mm) out of correct position. At 1:24,000, this tolerance translates to a required horizontal accuracy of 40
feet. If by prior agreement with the Department the map product does not conform to National Map
Accuracy Standards, then a statement of actual map accuracy should be included in the Documentation
above. Furthermore, hydrographic surveys and maps should conform to recommended accuracy standard
proposed in the joint USGS, NOS, Coastal Mapping Handbook, 1978, Melvin Ellis editor, U.S.
Government Printing Office, Appendix 6.
5. Datums -- Unless otherwise specified in the RFP, all map products should be referenced to the North
American Horizontal Datum of 1983 (NAD83) and the National Geodetic Vertical Datum of 1988
(NGVD88).
B. ADDITIONAL DIGITAL CARTOGRAPHIC FILE REQUIREMENTS -- The following cartographic
construction requirements must be adhered to by the Contractor:
1. 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 also digitally meet. All confluences of
line and polygon data must be exact; "overshoots", "undershoots", "slivers", or "offshoots" are NOT
permitted.
Line Quality -- A high quality cartographic appearance must be achieved. Transitions from straight lines
to curvilinear elements must be smooth, with angular inflections at the point of intersection. The digital
representation must not contain extraneous data at a non visible level. There should be no jags, hooks, or
zero length segments. Any lines that are straight, or should be straight, should be digitized using only
two points that represent the beginning and ending points of the line.
Polygon Closure -- For area features being digitized, the last coordinate pair must be exactly
(mathematically) equal to the first coordinate pair. No linc 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.
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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.
2. Map Scale -- All maps of a similar series should be created using the same base scale. Unless otherwise
stated by the Department, all maps should be compiled at 1:24,000. If other map scales are approved by
the Department, where possible they will conform to standard map scales such as 1:9600; 1:50,000;
1:75,000; or 1:100,000.
3. Map Registration -- The maps must provide a minimum of four (4) corner and four (4) interior ticks tied
to USGS/NYSDOT quadrangle LatYLong or NYTM coordinates. The maps must be geometrically
correct and should register when overlaid on the appropriate USGS/NYSDOT quadrangle control ticks.
Map Title and Legend -- The maps must provide a title and legend block describing the information
contained on the maps, and including the Documentation and Datums information requested in the
GENERAL MAP PRODUCT REQUIREMENTS above and the map scale.
Cartographic Quality -- The quality of all map line work and symbolization must conform to items 1 - 6
in the map criteria set forth in the ADDITIONAL DIGITAL CARTOGRAPHIC FILE REQUIREMENTS
section outlined above.
D. CONTRACT DATABASE STANDARDS
1. Delivery Media -- All database and tabular files must be provided on digital media as specified above in
Deliverable Format.
Software Format - Database and tabular files can be provided in Corel Quattro, Microsoft Excel or
Microsoft Access format. Other formats that are convertible to one of the aforementioned formats may
be used with prior approval of the Department.
3. Geographic Attributes -- Database and tabular files that contain elements with a geographic reference
must provide a corresponding data field and a geographic coordinate pair for each feature location.
XIV. 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 Contmctor 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
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Contractor shall maintain separate fiscal books and records for all funds received through the Department
pursuant to this Agreement.
C. During the term of this Agreement and for a period of six years after its termination, the Contractor shall
make all such books and records available to the Department and the Office of the State Comptroller, or their
designated representatives, for inspection and audit.
XV. Equal Employment Opportunity
The Contractor hereby assures that it is, and shall be for the duration of this Agreement, in compliance with the
Federal Equal Employment Opportunity Act of 1972 (Public Law 92-261 ), as amended.
XVI. Article 15-A of The New York State Executive Law
The Department of State administers a Minority and Women-owned Business Enterprises (MWBE) Program as
mandated by Article 15-A of the New York State Executive Law. This law supersedes any other provision in
state law authorizing or requiring an equal employment opportunity program or a program for securing
participation by minority and women-owned business enterprises. Under this law, all state agencies must, subject
to certain exceptions, establish goals for minority and women-owned business participation in certain state
contracts and grants. Where MWBE goals are required, even in circumstances where this goal is zero, a
Quarterly Contractor Report is required to be submitted to the Minority and Women-owned Business Program of
the Department on forms provided by the Department, as set forth in Appendix Al, Attachment 2.
Article 15-A requires that roles 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 performed, the total dollar value of the contract, the scope of work to be
performed, and the project size and term.
The contractor will, when required as a part of the bid or proposal, submit a Staffing Plan on the form provided
by the Department. This Plan will detail the work force anticipated in the performance of the state contract,
reported by ethnic background, gender, and Federal Occupational Categories.
After a bid opening and prior to the award of a state contract, the contractor will submit an Equal Employment
Opportunity (EEO) Policy Statement to the Department within the time frame established by the Department.
The law requires that, as a precondition to entering into a valid and binding state contract, the contractor will
agree to the following stipulations and will include them in the EEO Policy Statement:
The contractor will not discriminate against any employee or applicant for employment because of race,
creed, color, national origin, sex, age, disability or marital status.
The contractor will undertake or continue existing programs of affirmative action to ensure that minority
group members and women are afforded equal employment opportunities without discrimination because
of race, creed, color, national origin, sex, age, disability or marital status. For these purposes, affirmative
action applies in areas of recruitment, employment, job assignment, promotion, upgrading, demotion,
transfer, layoff, or termination and rotes 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.
Al- 10
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 DeparUnent, request each employment agency, labor union, or
authorized representative of workers with which it has a collective bargaining or other agreement or
undemtanding, 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% obligations herein.
The contractor will include the provisions regarding the EEO Policy Statement and the Staffing Plan
enumerated above in each and every subcontract of a state contract in such a manner that the
subcontractor is bound by these requirements.
Failure to provide an EEO Policy Statement and a Staffing Plan without reasonable written justification
or commitment to provide these requirements by a specified date will result in rejection of the
contractor's bid or proposal.
After the award of a state contract, the contractor will submit to the Department a Workforce
Employment Utilization Report, on the form supplied by the Department, detailing the work force
actually utilized on the state contract, by ethnic background, gender and Federal Occupational
Categories, as specified on the form. This Report will be submitted to the Department on a quarterly
basis throughout the life of the contract.
The contractor, and any of its subcontractors, may be required to submit compliance reports relating to
their operations and implementation of their affirmative action or equal employment opportunity program
in effect as of the date the state contract is executed.
Questions regarding this program should be directed to the Department's Minority and Women-owned Business
Program by calling (518) 474-5741. Potential contractors can access the NYS Directory of Certified Minority
and Women-owned Business Enterprises on-line through the Empire State Development website at:
http://www.empire.state.ny.us and click on NY q9 BIZ. From the list on the top lefi of the page, click on Small
and Growing Business and, from that drop-down menu, click on: Minority and Women-Owned Business. On the
top of the page click on the heading "MWBE Directory."
The Department makes no representation with respect to the availability or capability of any business listed in the
Directory.
XVI/. Notice of Public Proceedings
XVIII.
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
A. Unless otherwise stated in Appendix D, the Contractor agrees to provide the Department with the required
products in the following formats. All products and shall include the NYS Comptroller's # as i.ndicated on
the Face Page of this Agreement and where applicable, reflect the Task # it relates to in the Appendix D.
1. Draft products: two paper copies of each product must be submitted.
2. Final products: two paper copies of each product must be submitted. In addition all final products
(including reports, designs, maps, drawings, and plans) must be submitted as an electronic copy (in
Adobe® Acrobat® Portable Document Format - PDF), created using 300 dpi scanning resolution, and be
AI-ll
submitted on a labeled CD-R type CD. The CD must be labeled with the contractor name, contract #,
and project title.
Pictures and photographs must be dated and captioned with the location and a brief description of the
activity being documented.
B. Contractor agrees to provide tbe Department with original and one copy of payment request documentation
as described in Appendix C.
XIX. Environmental Review
A. Contractor agrees to provide the Department, in a timely manner, with all documentation, including but not
limited to, permit applications, environmental assessments, designs, plans, studies, environmental impact
statements, findings, and determinations, relating to the Project.
B. Contractor acknowledges that compliance with the State Environmental Quality Review Act is a material
term and condition of this Agreement. In no event shall any payments be made under this Agreement until
Contractor has provided Department with appropriate documentation that contractor has met any
requirements imposed on Contractor by the State Environmental Quality Review Act.
XX. Default and Termination
A. The Department may terminate the Agreement in accordance with the terms and conditions in Section III of
the Agreement.
In addition to whatever other reserved rights it has to terminate the Agreement, the Department may
terminat9 the Agreement when it is in the best interests of the State or (1) for cause, (2) for convenience, or
(3) due to unavailability of funds.
If the Department determines the Contractor has breached a term of the Agreement and if the Department
determines the defect can be remedied, it may issue a written notice providing the Contractor with a
minimum of 30 days to correct the defect and the notice may include a prospective termination date. If the
Contractor fails to correct the defect or fails to make a good faith effort to do so as determined by the
Department to the Department's satigfaction, the Department may terminate the Agreement for cause.
The Department shall also have the right to postpone or suspend the Agreement or deem it abandoned
without this action being a breach of the Agreement. The Department shall provide written notice to the
Contractor indicating the Agreement has been postponed, suspended or abandoned. During any
postponement, suspension or abandonment the Contractor agrees not to do any work under the Agreement
without prior written approval of the Department.
In the event the Agreement is postponed, suspended, abandoned or terminated, the Department shall make a
settlement with the Contractor upon an equitable basis in good faith and under the general compensation
principles and rates established in the Agreement by the Department. This settlement shall fix the value of
the work which was performed by the Contractor to the Department's satisfaction prior to the postponement,
suspension, abandonment or termination of the Agreement.
F. Any funds paid to the Contractor by the DeparUnent which are not expended under the terms of the
Agreement shall be repaid to the Department.
XXI. Fully-Executed Agreement or Amendment Thereto
A. If this Agreement, or nmendments thereto, allocates fimds totaling $50,000 or less, it shall be deemed to be
fully executed when approved and signed by the Contractor and the Department.
B. If this Agreement, or amendments thereto, allocates funds totaling mom than $50,000, it shall be deemed to
be fully executed when approved by the Office of the State Comptroller.
A1 - Attachment 1
FINAL PROJECT SUMMARY REPORT
Final payment of the grant is dependent upon the satisfactory completion and acceptance by the Department of State, Office of Coastal,
Local Government and Community Sustainability of this FINAL PROJECT SUMMARY REPORT along with the requisite documentation.
In addition to the other requirements of the contract, the grant recipient is responsible to relay the importance, the significance and the
value of the completed project to the community, the region and the state through the completion of the report.
The following outline should be used to complete the FINAL PROJECT SUMMARY REPORT:
1. Project Title:
2. Name of Municipality:
3. Actual Project Costs:
a. State funds expended (identify source, eR. 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:
6. Project Background (briefly explain in a short paragraph why this project was necessary, what its value is and/or its importance to the
community):
7. Project Work (briefly describe thc work that was done to complete the project):
8. Project Descriptions (use the following guidelines to describe the project and please be concise in the description):
a. For a Planning Project describe the findings or recommended strategies.
b. For a Design Project describe what is to be built.
c. For a Construction Project describe what was built.
9. Project Measurable Results: To be completed on forms attached.
10. Project Documentation: The Department of State, Office of Coastal, Local Government and Community Sustainability requires a
visual documentation of the Environmental Protection Fund projects. Project products should be visually documented using a
35mm camera or a digital camera. The 35mm color slides and/or digital camera disc should be labeled and dated when submitted
along with the completed FINAL PROJECT SUMMARY REPORT.
Visuals should illustrate the final project product and, as appropriate, activities undertaken to complete the project. For example,
some projects would call for visuals that include photographs of volunteers participating in a wetland restoration project (planting
Spartina); photographs of histurical signs markers, kiosks, etc. being placed; or photographs of an artist's rendering of a waterfront
design.
Design, planning, and constniction 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 projcct.
In addition to the 3Smm color slides/digital camera disc, a video (vhs format) of the project with a verbal description is desirable but
not mandatory. The video may be used in a future documentary.
NYS Department of State · Minority and Women-owned Business Enterprises Program
99 Washington Avenue Albany NY 12231-0001 · ($1g) 474 - 5741
Al - Attachment 2
Minority and Women-owned Business Enterprises (MWBE) Program
Quarterly Contractor Report
INSTRUCTIONS:
1. Please prepare reports based on calendar quarters, or prepare one annual report.
2. Use a separate Report sheet for each contract or program area
3. Record the amount paid for each service/product for the time period identified below.
4. Send completed reports to the Minority and Women-owned Business Enterprises Program at the above address.
RP. PORT 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. .~ .~ ,*
CONTR.4CTOR N.4ME PROGP,.4M DOS CONTRACT NUMBER
CONTP~CTOR .4DDRESS Service .4rea of Contract Work
( )
NAME and TITLE of CONT.4CT PERSON (PleaagPfint) TELEPHONE NUMBER
TYPE of DESCRIPTION of AMOUNT PAID
VENDOR NAME and ADDRESS VENDOR SERVICE/PRODUCT THIS PERIOD COMMENTS
[] MBE $
[] WBE
ca MBE
ca WBE
[] MBE
r~ WBE
ca MBE
C] WBE
[] MBE
ca WBE
[] MBE
[] WBE
ca MBE
ca WBE
[] MBE
ca WBE
ca MBE
ca WBE
PAGE 1 of
Project Status Form
RECIPIENT
PROJECT TITLE
CONTRACT #
A1 - Attachment 3
Status Report Date:
Task Brief Task Date of Percent of
# Description A/T Completion Completion
Task Accomplishments
Product
Submitted
to DOS
ADJUSTMENTS - Please indicate proposed adjustment(s) to work program/schedule, reason(s) for the proposed
adjustment(s), and any other problems encountered durin~ this reoortinu oeriod:
Person to contact if we have questions about the information provided on this form:
Name: Email Address:
Title: Affiliation:
Phone: Fax:
APPENDIX B
BUDGET SUMMARY
A. Salaries & Wages (including Fringe Benefits)
B. Travel
C. Supplies/Materials
D. Equipment
E. Contractual Services
F. Other
$71,828.00
$2,637.0O
$l,230.00
$17,000.00
$37,866.00
$6,575.00
TOTAL PROJECT COST
$137,136.00
Total State Funds $68,568.00
Total Local Share $68,568.00
Appendix B (Budget Detail Sheet)
B-2
A. SALARIES & WAGES
TITLE ANNUAL AMOUNT
SALARY CHARGED TO THIS
PROJECT
Director of Plannin[~ $132,587.00 $31,107.00
LWRP Coordinator/Principal Plalmer $111,930.00 $5,848.00
Special Projects Coordinator $123,050.00 $8,925.00
GIS Coordinator $113,350.00 $14,823.00
Town Engineer $118,719.00 $130.00
Community Development Director $109,291.00 $120.00
Highway Superintendent $98,098.00 $108.00
Planner $81,208.00 $357.00
Town Attorney $121,940.00 $670.00
Assistant Town Attorney $113,259.00 $622.00
Land Preservation Coordinator $103,376.00 $114.00
Director of Town Senior Services $118,300.00 $1,300.00
Director of Data Processing $109,200.00 $720.00
Police Chief $118,300.00 $130.00
Secretarial Assistant $73,000.00 $1,604.00
Student Intern III $15/hour $5250.00
SUBTOTAL $71,828.00
B. TRAVEL
Travel to Stakeholder Meetings .................................................. $387.00
Boat Travel to Fishers Island for data gathering (Ferry Passage) ...................... $1,000.00
Travel to NYS Community Seminar Series training sessions ......................... $1,250.00
SUBTOTAL $2,637.00
B-3
Appendix B (Budget Detail Sheet Continued)
C. SUPPLIES/MATERIALS
Plotter paper for maps ......................................................... $300.00
Ink cartridges for laser color printer .............................................. $912.00
Reams of copier/printer paper .................................................... $18.00
SUBTOTAL $1,230.00
D. EQUI?MENT
Video-Conferencing System for communication between mainland and Fishers Island... $15,000.00
MapInfo GIS Software Update ................................................ $2,000.00
SUBTOTAL $17,000.00
E. CONTRACTUAL SERVICES
Reproduction of data analyses and maps ......................................... $2,300.00
Reproduction, printing, and binding of finished plan ............................... $7,556.00
Data gathering, analysis, comprehensive plan preparation .......................... $28,010.00
SUBTOTAL $37,866.00
F. OTHER
Meeting advertisement in local newspaper ....................................... $1,000.00
Volunteer services to prepare/review draft comprehensive
plan (330 person hours ~ $15 per hour) .................................. $4,950.00
Registration/Attendance at NYS Community Seminar Series training sessions ............. $625.00
SUBTOTAL $6,575.00
II.
A.
APPENDIX C
PAYMENT AND REPORTING SCHEDULE
Payment Schedule
The Department shall make interim payments for eligible costs incurred up to an amount not to exceed 90% of
the State Share Funding ,~anount. The final payment will be made upon satisfactory completinn of the Project.
Not more frequently than once every 30 days, a properly executed payment request, on forms as prescribed by the
Department documenting total project costs incurred to date, may be submitted.
Payment provided above shall be made to the Contractor upon the submission by the Contractor of
properly executed payment request. Such request shall contain the following: (1) "Summary Sheet
Documentation Forms" as provided by the Department, for reimbursement of actual and eligible
expenditures, (2) the required work products, and (3) a properly executed State Voucher.
Payment requests will be reviewed in accordance with the terms and conditions of this Agreement to
determine total allowable project costs incurred and the number and percentage of allowable project
tasks completed to date. For the purpose of determining the level of reimbursement, otherwise allowable
project costs may be reduced if the percentage of task completion is deemed insufficient.
Total allowable project costs, adjusted pursuant to 2. above, will be prorated between State Share and
Local Share costs in the same proportions as Total State Share is to Total Local Share as set forth on the
Face Page.
4. Interim payments will be issued in amounts equal to the State Funds calculated in 3. above.
Thc final payment will be issued upon receipt and approval of a payment request marked "FINAL"
documenting all project costs incurred and tasks completed and submission of the Final Project Summary
Report. Such final payment request shall be submitted within 60 days following the ending date of this
Agreement.
Reporting
Payment requests as described in I.B. above shall be certified by a duly authorized representative of the
Contractor as accurately representing such accomplishments and expenses as recorded in the Contractor's
accounting records, including, where goods or services are provided by third parties not party to this Agreement,
a certification that any payment obligations arising from the provision of such goods or services have been paid
by the Contractor and do not duplicate reimbursement or costs and services received from other sources.
Notwithstanding the above requirements, upon written notification by the Department, the Contractor may be
required to submit source documentation and additional verification of allowable expenditures.
Payment requests shall be submitted to:
New York State Department of State
Office of Coastal, Local Government & Community Sustainability
One Comureree Plaza - Suite 1010
Albany, New York, 12231-0001
Claimed expenditures must be in accordance with the project budget in Appendix B. Any changes to the cost
categories contained in the Budget, Appendix B, in excess of 10% will require prior approval of the
Department. If the total Contract amount is in excess of $50,000, approval will also be required by the Office of
the State Comptroller. No expenditures shall be allowed for items not set forth in the project budget.
III.
A.
Other
Notwithstanding the submission of timely and properly executed payment requests, the Department shall be
under no obligation to make payment for expenditures incurred without the prior Department approvals and/or
amendments required under this Agreement and, further, shall have the right to withhold any such payment
pending the execution of such approval and/or amendment.
Interest income earned on funds received pursuant to this Agreement shall be used to further the purpose of this
Project or shall be deducted from total eligible cost to determine the net eligible costs to be reimbursed by the
Department.
The Department shall have the right to conduct on-site progress assessments and reviews of the Project and
Contractor's books and records during the life of this Agreement and for a reasonable time following issuance of
the final payment. The Contractor shall furnish proper facilities, where necessary or useful, for such access and
inspection.
The Department shall be entitled to disallow any cost or expense, or terminate or suspend this Agreement, if
found that the Contractor has misrepresented any expenditures or project activities in this Agreement, or in any
progress reports or payment requests made pursuant hereto.
The Contractor shall maintain separate fiscal books and records for all funds received through the Department
and project activities conducted pursuant to this Agreement, and shall make all such books and records available
to the Department, the Office of the State Comptroller, or their designated representatives for inspection and
audit for a period of six years following termination of this Agreement.
APPENDIX D
PROGRAM WORK PLAN
Contractor:
Contract Number:
Program Contact Person:
Phone:
Fax:
Town of Southold
C007078
Heather Lanza
(631) 765-1938
(631) 765-3136
Implementation of the Town of Southold Hamlet SIudy II
1. Project Description:
To build upon work done under the previous Hamlet Study and Revitalization Program, funded through a
previous EPF LWRP grant, the Town of Southold (the Contractor) will update its Comprehensive Plan
by updating underlying data and analyses and integrating long-term planning goals identified in the
Hamlet Study and Revitalization Plan. The project will also have an emphasis on community outreach -
including community meetings on the mainland with videoconferancing to Fishers Island- to maximize
community input into the development of the Comprehensive Plan. The result of the project will be a
cohesive Comprehensive Plan that will serve as the mechanism to implement goals identified in both the
Hamlet Study and the Local Waterfront Revitalization Program.
2. Project Attribution and Number of Copies
The Contractor must ensure that all materials printed, constructed, and/or produced, including all draft
produets, aclmowledge the con~butions of the Department to the project. The materials must include
the following acknowledgment:
"This (document, report, map, etc.) was prepared for the New York State Department of State
with funds provided under Title 11 of the Environmental Protection Fund."
The Contractor must submit to the Department all required products, clearly labelled with the NYS
Comptroller's Contract # as indicated on the Face Page of this Agreement and where applicable, the
related Task # from this Work Plan. The Contractor shall submit:
Draft products: two paper copies of each product.
Final products: two paper copies of each product. In addition, all final products (including
reports, designs, maps, drawings, and plans) must be submitted as an electronic copy (in
Adobe® Acrobat® Portable Document Format - PDF), created using 300 dpi scanning
resolution, and be submitted on a labeled CD-R type CD. The CD must be labeled with the
contractor name, contract #, and project title.
Pictures and photographs must be dated and captioned with the location and a brief description of
the activity being documented.
D-2
The contributions of the Department must also be acknowledged in community press releases issued for
the project. Project press releases shall be submitted to the Department for review and approval prior to
release to ensure appropriate attribution.
3. Compliance with Procurement Requirements
The municipal attorney, chief legal officer or f'mancial administrator of the municipality shall certify in
writing to the Department that applicable provisions of General Municipal Law were fully complied with
(Appendix A I-XII).
4. Training
A required component of the Title 11 Environmental Protection Fund program is Contractor participation
in a training session or sessions focused on developing and implementing revitalization strategies
(Appendix Al-I). The purpose of these training sessions is to build knowledge and provide support to
community leaders to advance revitalization efforts and advance grant priorities. The specific training
session(s) to be attended will be determined during the project kick-off meeting.
5. Project Components
Task 1:
Project Kick-Off Meeting
The Contractor, the Department, project partners and any other appropriate entities shall hold an
initial meeting to review the project scope, project requirements, roles and responsibilities of
project partners, the selection process for procuring consultants, State Environmental Quality
Review Act (SEQRA) compliance requirements, the number of public meetings and techniques
for public involvement proposed for the project, attendance at NYS Community Seminar Series
training sessions, and any other information which would assist in project completion. In
addition, the composition of a project advisory committee shall be discussed during the project
kick-offmeeting. The Contractor, or a designated project partner, shall prepare and distribute to
all project partners a brief meeting summary clearly indicating the agreements/understandings
reached at the meeting. Work on subsequent tasks shall not proceed prior to Department
approval of the proposed approach as outlined in the meeting summary, information on
developing and refining a waterfront vision is contained in chapters 2 and 5 of the Department's
guidebook "Making the Most of Your Waterfront: Enhancing Waterfronts to Revitalize
Communities" http://www.nyswaterfronts.com/communities_guidebook_lwrp.asp
Products:
Project kick-offmeeting held with appropriate parties..Written meeting
summary outlining agreements/understandings reached.
Task 2:
Community Training
The Contractor will participate in the Community Training Program as stated in Section 4 above.
Product:
Copy of transmittal letter submitting payment for registration fees. Participation
in training session(s).
D-3
Task 3:
Project Advisory Committee
The Contractor shall establish a project advisory committee to oversee all aspects of the project
in cooperation with municipal officials and the project consultant(s), if applicable. The
committee shall be representative of project stakeholders, including representatives of State,
county, and municipal agencies with jurisdiction over project activities or the project area, and
non-governmental and community based organizations. A draft list of proposed members shall
be circulated to the Department for review and approval prior to establishment of the committee.
Products:
Draft and final list of proposed members of project advisory committee. Project
advisory committee established.
Task 4:
Request for Proposals (if applicable)
The Contractor shall draft a Request for Proposals (RFP) including a complete project
description with site conditions, expected final results, a schedule for completion, and criteria for
selecting a preferred proposal. The Contractor shall submit the RFP to the Department for
review and approval prior to release for solicitation of proposals.
Products:
Approved RFP released through advisement in local papers, the New York State
Contract Reporter, and other appropriate means.
Task 5:
Consultant Selection and Compliance with Procurement Requirements
In consultation with the Department, the Contractor and an appropriate review committee shall
review all proposals received as a result of the RFP. At a minimum, the following criteria are
suggested for use in evaluating consultant responses:
Quality and completeness of the response.
Understanding of the proposed scope of work.
Applicability of proposed alternatives or enhancements to information requested.
Cost-effectiveness of the proposal.
Qualifications and relevant experience with respect to the tasks to be performed.
Reputation among previous clients.
Ability to complete all project tasks within the allotted time and budget.
Incomplete proposals that do not address all of the requested components should not be accepted
for review and consideration.
For preparation/certification of final designs and construction documents, and for supervision of
construction, a licensed professional engineer or licensed professional architect/landscape
architect is required.
The municipal attorney, chief legal officer or financial administrator of the municipality shall
certify in writing to the Department that applicable provisions of General Municipal Law were
fully complied with.
D--4
The Contractor's procurement record and consultant selection is subject to approval by the
Department.
Products:
Consultant(s) selected and approved by the Department. Written certification of
procurement procedures.
Task 6:
Subcontract Preparation and Execution
The Contractor shall prepare a draft subcontract or subcontracts to conduct project work with the
consultant(s) selected. The subcontract(s) shall contain a detailed work plan with adequate
opportunity for review at appropriate stages of project completion, a payment schedule
(payments should be tied to receipt of products), and a project cost. The subcontract(s) shall
specify the composition of the entire consultant team, including firm name and ama of
responsibility/expertise, and those professionals from the consultant team or consulting firm that
will be directly involved in specific project tasks. The Contractor shall submit the draft
subcontract(s) to the Department for review and approval, and shall incorporate the Department's
comments in the final subcontract(s). A copy of the final, executed subcontract shall be
submitted to the Department.
Products: Draft and final, executed consultant subcontracts.
Task 7:
Second Project Meeting
In consultation with the Department, the Contractor shall hold a second project meeting, that
includes the consultant(s) and other project partners as appropriate, to review project
requirements, site conditions, and roles and responsibilities; identify new information needs and
next steps; and transfer any information to the consultant(s) which would assist in completion of
the project. The consultant(s) shall prepare and distribute a brief meeting summary clearly
indicating the agreements/understandings reached at the meeting. Work on subsequent tasks
shall not proceed prior to Department approval of the proposed approach as outlined in the
meeting summary.
Products:
Project meeting held with appropriate parties. Written meeting summary
outlining agreements/understandings reached.
Task 8:
Preparation of a Commtmity Outreach Process and Plan and purchase of
videoconferencing equipment.
The Contractor, the Project Advisory Committee, the consultant(s), and other partners as
appropriate, shall prepare a method and process to encourage community participation in the
planning process. During the preparation of a community participation plan, the contractor will
also purchase videoconferencing equipment to enable a greater level of pasticipation by Fisher's
Island residents - due to the prohibitive cost and time commitment to travel to Southold mainland
by ferry via New London, Connecticut.
At a minimum, the process shall include at least two community meetings to be conducted as part
of the consensns-building process. The community outreach process and plan shall identify key
individuals, organizations, and entities to be involved, and shall identify the visioning process
D-5
and the roles and responsibilities in coordinafmg the entire outreach process, logistics, and the
proposed schedule of public meetings. All community meetings will be publicized in the
community through press releases, announcements, individual mailings, and any other
appropriate means. The Contractor shall submit to the Department, the community outreach
process and plan, and proof of purchase of videoconfemncing equipment. A summary of each
public outreach session will be made available in written form and through other appropriate
means, such as websites. The outreach process and plan is subject to approval by the
Department.
Product:
Community outreach process and plan. Proof of purchase of videoconferencing
equipment.
Task 9:
Review Existing Plans and Studies and Compile Existing Data and Inventories
In an effort to understand the issues and opportunities of the municipality, the Contractor or its
consultant(s) shall identify and review existing planning documents, including, but not limited to,
the 1985 Comprehensive Plan, the 2004 Local Waterfront Revitalization Program (LWRP) and
the 2005 Hamlet Study and Revitalization Plan, and existing inventories and data sources. The
Contractor, or its consultant(s), shall develop a written findings report describing and assessing
existing planning documents, including the issues and opportunities identified in each. The
Contractor or its consultant(s) shall also compile existing data and inventories, including but not
limited to, demographics, housing, and social and economic characteristics, as well as any
pertinent Geographical Information Systems (GIS) data. The Contmctur or its consultant(s) shall
prepare a findings report sunnnarizing existing plans and studies and describing data soumes.
The findings report shall be submitted to the Department for review and approval.
Product:
Written findings report with identification of preliminary issues and
opportunities and data soumes.
Task 10: Inventory and Analysis
Based on the review of existing studies and planning documents and appropriate additional
research and analysis, the Contractor or its consultant(s) shall develop an inventory and analysis
of existing conditions, including narrative, maps and relevant data. This inventory will be used
to assist in the identification of issues and opportunities for the municipality and to develop a
"build-out analysis" based on current zoning. The inventory and analysis of existing conditions
shall include, but is not limited to, the following:
-- Existing land use
-- Existing water use
-- Existing zoning and other relevant local development controls
-- Land ownership patterns, including underwater lands
-- Public access and recreational resources
-- Infrastructure (i.e. water supply, sewage disposal, solid waste disposal, and transportation
systems)
-- Historic resources (National Register sites and districts, locally designated resources,
archaeological resources)
-- Scenic resources
D-6
-- Topography and geology
-- Water quality (point and nonpoint sources)
-- Natural resoumes (habitats, wetlands, steep slopes, minerals, etc.)
-- Flooding and erosion
-- Important agricultural lands
-- Environmental issues (hazardous waste sites, solid waste, etc.)
Products:
Inventory and analysis, including written narratives, maps and relevant data and
information.
Task 11: Comprehensive Plan Outline
Based upon compiled inventories, data, and analyses, the Contractor or its consultant(s) shall
prepare a draft outline for the Comprehensive Plan to be presented to the community. The
outline will guide the development of the Comprehensive Plan itself. The drafi Comprehensive
Plan outline shall be submitted to the Department for review and approval.
Products: Draft Comprehensive Plan Outline.
Task 12: First Community Meeting
The Contractor, its consultant(s), and the Project Advisory Committee shall conduct the first of
at least two community meetings. The community meeting will present an inventory and
analysis of existing conditions, preliminary issues and opportunities identified, assembled data
and inventories and will present the draft Comprehensive Plan Outline. Community meeting
activities shall be designed to solicit public input and help participants provide feedback on
products developed under earlier tasks - including videoconferencing with residents on Fishers
Island.
Product: Community meeting held. Written summary of the first community meeting.
Task 13: Draft Comprehensive Plan
The Contractor or its consultant(s) shall prepare a draft Comprehensive Plan based upon the
developed and vetted outline. The document shall include a culmination of findings from
existing plans, studies and inventories and will also include the build-out analysis based upon
current zoning. The draft Comprehensive Plan shall include written narrative, maps and other
relevant data as appropriate. The draft Comprehensive Plan will also describe the long term
plannIng goals and implementation projects identified during earlier planning processes. The
draft Comprehensive Plan shall be submitted to the Department for review and approval.
Product: Draft Comprehensive Plan.
Task 14: Environmental Quality Review
The Contractor or its consultant(s) shall prepare all documents necessary to comply with the
State Environmental Quality Review Act (SEQRA) through determination of significance.
D-7
If a positive declaration is made, a Draft Environmental Impact Statement shall be prepared.
Copies of all SEQRA documents shall be provided to the Department.
Products: SEQRA documents and, if necessary, a Draft Environmental Impact Statement.
Task 15: Second Community Meeting
Following completion of the draft Comprehensive Plan SEQRA documentation, the Contractor,
its consultant(s), and the Project Advisory Committee shall conduct a final community meeting
to present the draft Comprehensive Plan and to solicit public input regarding its completeness
and accuracy - including videoconferencing with residents on Fishers Island. In addition, the
participants will identify and discuss strategies for continuing public participation in the
implementation process and discuss next steps.
Product: Community meeting held. Written summary of the community meeting.
Task 16: County Planning Board Review
The Contractor shall submit the draft comprehensive plan to the Suffolk County Planning Board
for review and recommendations pursuant to Section 239-m of the New York State General
Municipal Law.
Products:
Recommendations received fi.om the County Planning Board on the draft
comprehensive plan shall be forwarded to the Department.
Task 17: Final Comprehensive Plan
The Contractor and its consultant(s) shall prepare the Final Comprehensive Plan reflecting the
ideas and views expressed at the second community meeting and the County's recommendations.
The Final Comprehensive Plan shall be submitted to the Department for review and approval.
The Final Comprehensive Plan shall reflect any Department revisions requested to the
satisfaction of the Department prior to finalization, publication and distribution.
Product: Final Comprehensive Plan.
Task 18: Semi-annual Reporting
The Contractor or its consultant(s) shall submit to the Department semi-annual reports (every six
months) on the form provided, including a description of the work accomplished, any problems
encountered, and any assistance needed.
Products: Semi-annual reports during the life of the contract.
Task 19: Final Project Summary Report and Measurable Results forms
The Contractor or its consultant(s) shall work with the Department project manager to complete
the Final Project Summary Report and Measurable Results forms.
D-8
Final payment shall not be authorized until these forms have been completed and filed with
project deliverables.
Products: Completed Final Project Summary Report and Measurable Results forms.
6. Project Management Responsibilities
The Contractor shall administer the grant, execute a contract with the Department, and ensure the
completion of work in accordance with the approved Work Plan. Unless otherwise specified in the
Project Description or under Project Components, the Contractor and/or its approved consultant(s) or
subcontractor(s) shall conduct all work as described in the component tasks.
The Contractor:
will be responsible for conducting all project work in conformance with the Work Plan included
in the executed contract with the Department.
will be responsible for all project activities including drafting request for proposals and
managing subcontracts with consultants and subconsultants.
will certify to the Department that the procurement record for project consultants and
subcontractors complies with the applicable provisions of General Municipal Law.
will receive approval from the Department for any and all consultant subcontracts before
beginning project work.
will be responsible for submission of all products and payment requests.
will be responsible for coordinating participation and soliciting comments from local government
personnel, project volunteers, and the public.
will keep the Department informed of all important meetings for the duration of this contract.
will receive approval from the Department before purchase of any equipment.
will secure all necessary permits and perform all required environmental reviews.
will ensure that all materials printed, constructed, and/or produced reflect the Department logo,
feature the Secretary of State and the Governor, and acknowledge the contributions of the
Department to the project.
will ensure that all products prepared as a part of this agreement shall include the NYS
Comptroller's Contract # as indicated on the Face Page of this Agreement.
will ensure the project objectives are being achieved.
will ensure that comments received from the Department and the project advisory committee, or
other advisory group, are satisfactorily responded to and reflected in subsequent work.
will recognize that payments made to consultants or subcontractors covering work carried out or
products produced prior to receiving approval from the Department will not be reimbursed unless
and until the Department finds the work or products to be acceptable.
will participate, if requasted by the Department, in a training session or sessions focused on
developing and implementing revitalization strategies. The purpose of the training session(s) is
to build knowledge and provide support to community leaders to advance revitalization efforts
and complete priority projects.
D-9
The Department:
will review and approve or disapprove of subcontracts between the Contractor and consultant(s)
and any other subcontractor(s).
will participate in the project kick-off meeting and attend meetings that are important to the
project.
will review all draft and final products and provide comments as necessary to meet the
objectives.
must approve or disapprove any and all design, site plan, and preconstmction documents before
construction may begin.
APPENDIX E
NOTICES
All notices pertained or required hereunder shall be in writing and shall be transmitted either:
(a)
(b)
(c)
(d)
(e)
via certified or registered United States mail, return receipt requested;
by facsimile transmission;
by personal delivery;
by expedited delivery service; or
by e-mail.
Such notices shall be addressed as follows or to such different addresses as the parties may from time-to-time
designate:
State of New York Department of State
Nflnle~
Title:
Address:
Telephone Number:
Facsimile Number:
E-Mail Address:
Laurissa Parent
Secretary 1
99 Washington Avenue, Suite 1010
Albany, NY 12231
518-486-9540
518-473-2464
laurissa.parent~dos.state.ny.us
Town of Southold
Name:
Title:
Address:
Telephone Number:
Facsimile Number:
E-Mall Address:
Scott A. Russell
Supervisor
POBox 1179
Southold, NY 11971
631-765-1889
631-765-1823
scott.mssell~town.southold.ny, us
Any such notice shall be deemed to have been given either at the time of personal delivery or, in the case of
expedited delivery service or certified or registered United States mail, as of the date of first attempted delivery at
the address and in the manner provided herein, or in the case of facsimile transmission or email, upon receipt.
The parties may, from time to time, specify any new or different address in the United States as their address for
purpose of receiving notice under this Agreement by giving fifteen (15) days written notice to the other party sent
in accordance herewith. The parties agree to mutually designate individuals as their raspeetive representatives
for the purposes of receiving notices under this Agreement. Additional individuals may be designated in writing
by the parties for purposes of implementation and administration/billing, resolving issues and problems and/or
for dispute resolution.
APPENDIX G
ELECTRONIC PAYMENTS
Contractor shall provide complete and accurate billing invoices to the Agency in order to receive payment. Billing
invoices submitted to the Agency must contain all information and supporting documentation required by the Contract,
the Agency and the State Comptroller. Payment for invoices submitted by the Contractor shall only be rendered
electronically unless payment by paper check is expressly authorized by the Commissioner, in the Commissioner's sole
discretion, due to extenuating circumstances. Such electronic payment shall be made in accordance with ordinary State
procedures and practices. The Contractor shall comply with the State Comptroller's procedures to authorize electronic
payments. Authorization forms are available at the State Comptroller's website at www.osc.state.ny.us/epay/index.htm,
by email at epunit(~,osc.state.ny.us, or by telephone at 518-4744032. Contractor acknowledges that it will not receive
payment on any invoices submitted under this Contract if it does not comply with State Comptroller's electronic payment
procedures, except where the Commissioner has expressly authorized payment by paper check as set forth above.
APPENDIX X
MODIFICATION AGREEMENT FORM
Agency Code: 19000 Contract No.: C007078
Contract Period: Funding for Period: $68,568
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 99 Washington Avenue, 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 C007078, as amended above and in attached Appendice(s)
Terms and conditions of this amendment are subject to continued availability of funds for this contract.
All other provisions of said AGREEMENT shall remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as &the dates appearing under their
signatures.
CONTRACTOR SIGNATURE NYS DEPARTMENT OF STATE
By: By:
(print name) (print name)
Title: Title:
Date: Date:
ACKNOWLEDGMENT
State of New York
County of
On this day of
)
)SSi
, in the year 20 _, before me personally appeared
_, to me known, who being by me duly sworn, did depose and say that he/she is the
of , the organization described in and which
executed the above instrument; and that he/she has the authority to sign on behalf of said organization; and that he/she
executed the foregoing agreement for and on behalf of said organization.
NOTARY PUBLIC
Approved:
Thomas P. DiNapoli
State Comptroller
By:
Date:
A1 - Attachment 4
Certification to New York State Department of State that ali State and Local and Private
Procurement Requirements }lave Been Met
(Check the paragraph that applies)
I hereby certify that I am the m_.~Emici.nal attarney, chief legal officer or financial administrator for the
t~/_~tJ/7 a9 t~L ~O 64~ (4 O~ dd and that the contract/procurement with
./~] (a~t, i Vc:~T I/C _f..~'/e .I~_~//~ rv'42 ~ g"-_'~--wf.-e~ ,appendedheretopursuantinwholeorinparttoNYS
Department of State Contract No. 0__~ ~Oq~'was awarded in accordance all requirements of law and the following
provisions:
For Municipal Entities (except NYC or Borough):
Applicable public bidding procedures of General Municipal Law § 103 relating to the procurement for
service, labor, and/or construction involving more than $35,000 or goods and equipment involving more than
$10,000.
__ Procedures established by this municipality pursuant to the General Municipal Law § 104-b relating to the
procurement for service, labor, and/or construction involving not more than $35,000 or goods and equipment
involving not more than $10,000.
2. For New York City or Borough:
__ Applicable public bidding procedures of General Municipal Law § 103 and regulations of the Procurement
Policy Board relating to the procurement for service, labor, and/or construction involving more than $35,000
or goods and equipment involving more than $10,000.
Procedures established by the municipality pursuant to the General Municipal Law § 104-b and regulations
of the Procurement Policy Board relating to the procurement for service, labor, and/or construction involving
not more than $35,000 or goods and equipment involving not more than $10,000.
3. For Not-for-Profit Organization or other entities not listed above:
By:
Title:
Date:
__ All requirements of law, including the NYS Not-for-Profit Corporation Law, the bylaws of this organization,
and pursuant to a publicly advertised process to ensure the prudent and economical use of public funds to
obtain maximum quality at a reasonable cost.
Attached - Executed Contract between Contractor and Subcontractor Revised: January 21, 2010