HomeMy WebLinkAboutTransportation Assistance ProgramRESOLUTION 2011-563
ADOPTED
DOC ID: 7044
THIS 1S TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 2011-563 WAS
ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON
AUGUST 2, 2011:
RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs
Supervisor Scott A. Russell to execute an Agreement between the Suffolk County Office for
the A~ine and the Town of Southold for the AAA Transportation Program, IFMS No.
0000000 No. 001-6806-4980-95285, for the period April 1,2011 through March 31, 2012 with
one extension at the County's option, at no cost to the Town, subject to the approval of the Town
Attorney.
Elizabeth A. Neville
Southold Town Clerk
RESULT: ADOPTED [UNANIMOUS]
MOVER: Christopher Talbot, Councilman
SECONDER: Louisa P. Evans, Justice
AYES: Ruland, Orlando, Talbot, Krupski Jr., Evans, Russell
County of Suffolk
Steve Levy
Suffolk County Executive
Office for the Aging
Holly S. Rhodes-Teague
Director
September 30, 2011
The Honorable Scott A. Russell
Supervisor
Town of Southold
53095 Main Road, PO Box 1179
Southold, New York 11971
RE: AAA Transportation
IFMS No. SC EXE 00000004907
Dear Supervisor Russell:
The fully executed Agreement referenced above is enclosed for your files.
Attached is a copy of All Department Heads Memorandum 30-97 explaining budget
modification requirements. Any budget modification not meeting these requirements may
be delayed or rejected by the Budget Office.
Also enclosed find the Notification of Rights, which must be posted as part of your
compliance with Local Law No. 12-2001, the Living Wage Law.
If you require any further information, please contact Mary-Valerie Kempinski at 853-8209.
Sincerely,
~,~ cncdoe lul n t a n'~E~t
JK:MVK:sal
Enc.
cc: Karen McLaughlin
G tSLEV~MVKformle~fers~tr4Bfullyexec ADH NOR TownCC doc
OCT - 4 2011
H LEE DENNISON BUILDING *~ 100 VETERANS MEMORIAL HIGHWAY * PO BOX 6100 * HAUPPAUGE, N Y. 11788-0099 * (631) 853-8200
FAX 853-8225
OVER 35 YEARS AS THE DESIGNATED AREA AGENCY ON AGING PROVIDING SERVICES FOR OLDER CITIZENS
.This memorndum applies to thoso departments who nav oontmct m~oies from ~,,, r~_
Budget 4770 or 4980 objects. . ,- - -o-..- .-, .-,~-
On August 29,1995, .ADH 47-95 vas issuod to rcsolvo problems ~ hsd dovolopod rogarding
th~ ~ mi mluiremmt~ f°r m°dK~ c°utrect ~mcY budgm- In rely 1997. ther~
we~ q~un pmb~l .~ with timeliness end th~ reesom for modificetio~ for ~ d~mmeuts
iuvol~tg 1996 eontrects.
D~pmm~t~ who'deal with contract agmci~s havo a major rospousibility i~ tho pn~esing of
contract budget modifi~fions. Thoroforo, lira atmohod prooodur~, which Udco of~oc~ ~ all
1997 contncts should bo closoly followed. Pimso distnq~uto th~so procoduros to ell of your
~the~. sro shy questions rogerding this ADH, ploasc contact your
CbiofDeputy County P, xo~utivo
Depar~neni Heads
Attachment
B UDG. ET MODIFICA TION$
Non-equipment requ~ts for contract budget modifications must be receiv,.~
Ex~uttv¢ s Bud~zet O~,'e no later than 45 calendar day~ prior to the and of the contr~~
fuc~l y~u'. F. quipmmt modifications mu~t be ret~ivez190 calendar day~ prior to the end
ofth~ ~ontr~t fi~al year. ·
~ can expenditures for which a budget modification is being
requested be made nrior to the approval of the modification by the Budget Office..
3. An agency will be restricted to thrm approved modifications per year.
Each lino item requested to be modified mu~t. be'fullyju~.'fiod and must b~ directly
related to tho intent of the program
Any transfers to increase s~uy rates of~ontract ea~loyees, ct~te new positions, or
change thc titlo of a position, must bo submitted prior to th~ rat~ iitct~se being given or
the position berg rifled. The Budget Office will not appmvo rc~cactive sal~y increases~
The only ~oepfion appHc~ to a re~oaciive Labor agreement between an qenc~ and their'
. union bargaining unit(s).
6. Budget modifications cannot increase the dollar amount of'the'contract.
~Fo.ur .~. pies.of thc pro~_.~ budget nmdificaflon end one oopy of the justification, .
mcluomg a letter flora me agency roquesthlg the cheng~ shotdd be forMtrded to the
Budget Oflle~ with tl~ depmmmt's reoommezahtion w~h~. f~e~'(l~ calendar
days ofveoelpt of the request by th~ dep~u~ent.
Thejustifieatlon must include tho effect oftl~ modification on {hc program,'&n,,_~es in
the availablo r~nlm~mnmt to ~ County, tfan~, the sdditional dollar amomt which
will'b~ paid to the sgmoy, and tho dollar amount of reimbursement to the County, if'the
modification is approved. ·
If ~ contract is funded under a Fcderal or Statc grant, or State reimbursement, the
Depamnent Head must kdvise in the transmittal memo whether State or Fedml approval
for the modification is required and whether tho aflaohed documentation shoving the
change has been approved by the funding agency.
The budgct modification format must indicate the line item,.th~ current budget amount,
the amount spent year to date. thc new .amount of tho line item end the dollar ~notmt of
the chan e.. ,
NOTIFICATION OF RIGHTS UNDER
THE LIVING WA GE LAW
According to the provisions of Local Law # 12-2001 (the Living Wage law) enacted
by Suffolk County in July of 2001, a living wage rate was established. The Living
Wage shall be adjusted each year in proportion to the increase of the area
Consumer Price Index. Effective January 1,2011, the Living Wage will increase to
$11.01 per hour with health benefits and $12.54 per hour without health benefits
for covered employees of an agency receiving financial compensation through the
County. The law also mandates that full time workers receive at least 12
compensated days off per year through any combination of sick, vacation or
personal leave and includes paid holidays provided by the employer.
The Suffolk County Department of Labor has been designated as the agency to
administer this law and to this end has established a Living Wage Unit. Further
information concerning the parameters of the Living Wage law may be obtained by
contacting this Unit (631-853-3808) or accessing the Suffolk County web page at
www.co.suffolk.n¥.us/labor and following the link to the Living Wage section. All
inquiries will remain confidential.
AAA Transportatiou
IFMS No. 0000000
No. 001-6806-4980-95285-
Contract
This Contract ("the Contract") is between the County of Suffolk ("the County"), a municipal corporation
of the State of New York, acting through its duly constituted Office for the Aging ("Department"), having its
principal office at the H. Lee Dennison Building - 3ra Floor, 100 Veterans Memorial Highway, Hauppauge, New
York (Mailing address: P.O. Box 6100, Hauppauge, New York 11788-0099); and
Town of Southold (Contractor), a New York municipal corporation, having its principal place of business
at 53095 Main Road, P.O. Box 1179, Southold, New York 11971.
The Contractor has been designated to receive funds from the County for a AAA Trausportation Program
("the Services") as set forth in Article I, entitled "Description of Services."
Term of the Contract: April 1,2011 through March 31, 2012 with an option, to be exercised at thc County's
discretion, to September 30, 2012 on the same terms and conditions herein.
Service Levels: 1,150 Units of Transportation Service
130 Elderly Served, Unduplicated
Total Cost of the Contract: Shall not exceed $5,402, as set forth in Article V; and Exhibit 6, attached.
Terms and Conditions: Shall be as set forth in Articles I through VII, attach~[~reto and.made
In Witness Whereof, the parties hereto have executed the Contract as ofthed~a~y,f/~en below./q
Town of Southol~ / /"5 County of Suffolk
By: By:~ ~~~ __
Scott A. Russell
Supervisor
Fed. Taxpayer J~. #/,1_ 1-6001939
Da,e l /,/
~t~O//- ?/- A, R{.,/'55t~'//, hereby certifies
under penalties of perjury that I am an officer of
'70t4/t3 01~ 50(~ho/d, that I have read
and I am familiar with §A5-7 of Article V of the Suffolk
County Code, and that ,
-T'O/,'l/a o7C ~'0/~ lt-~o ]c/ meets all
requirements~~der.
Signature OO~
Date
Approved as to Legality:
Christine Malafl, County Attorney
Name: Kenneth A, Cranne!l
Title: Deputy C;u~/~ecutive
Approved:
Department
Hdlly l~odes-Teague
Director, Office for the Aging
Date
I
Recommended:
a part hereof.
Cynthia Kay Parry
Assistant County Attorney
Date ~
0009898
Page 1 of 28
Law No.
AAA Transportation
IFMS No. 0000000
No. 001-6806-4980-9528~ __
List of Articles
Page #
Article I ............................................................................................................................................................................. 5
Description of Services .......................................................................................................................................................... 5
Article II ............................................................................................................................................................................. 8
Definitions ............................................................................................................................................................................. 8
1. Meanings of Terms ................................................................................................................................ 8
2. Elements of Interpretation ..................................................................................................................... 9
Article III ........................................................................................................................................................................... 10
General Terms and Conditions .......................................................................................................................................... 10
1. Contractor Responsibilities .............................................................................. ~. ......... ~:....'~ ................ 10
a. Duties and Obligations ....................................................................................... : ....... · ................. 10
b. Qualifications, Licenses, and Professional Standards ...................................................................... 10
c. Notifications ................................................................................................................................ 10
d. Documentation of Professional Standards ...................................................................................... 10
e. Credentialing ............................................................................................................................... ~ 0
f. Engineering Certificate ................................................................................................................. 11
2. Termination ......................................................................................................................................... 11
a. Thirty Days Termination .............................................................................................................. 11
b. Event of Default; Termination on Notice ....................................................................................... 11
c. Termination Notice ...................................................................................................................... 11
d. Duties upon Termination .............................................................................................................. 11
3. Indemnification and Defense .............................................................................................................. 11
4. Insurance ............................................................................................................................................. 11
5. Independent Contractor ....................................................................................................................... 12
6. Severability ......................................................................................................................................... 12
7. Merger; No Oral Changes .................................................................................................... · .............. 13
8. Set-Off Rights ..................................................................................................................................... 13
9. Non-Discrimination in Services .......................................................................................................... 13
10. NonsectariarffNonpartisan Declaration ............................................................................................... 13
11. Governing Law ................................................................................................................................... 13
12. No Waiver ........................................................................................................................................... 13
13. Conflicts of Interest ............................................................................................................................. 13
14. Cooperation on Claims ....................................................................................................................... 13
15. Confidentiality .................................................................................................................................... 14
16. Assignment and Subcontracting .......................................................................................................... 14
17. Changes to Contractor ......................................................................................................................... 14
18. No Intended Third Party Beneficiaries ................................................................................................ 15
19. Certification as to Relationships ......................................................................................................... 15
20. Publications and Publicity ................................................................................................................... 15
21. Copyrights and Patents ........................................................................................................................ 15
a. Copyrights .................................................................................................................................. 1 §
b. Patents ........................................................................................................................................ 15
22. Arrears to County ................................................................................................................................ 15
23. Lawful Hiring of Employees Law in Connection with Contracts for Construction or Futm'e
Page 2 of 28
Law No.
AAA Transportation
IFMS No. 0000000
No. 001-6806-4980-95285-
Construction ........................................................................................................................................ 15
24. Notice .................................................................................................................................................. 15
Article IV ........................................................................................................................................................................... 17
Suffolk County Legislative Requirements ......................................................................................................................... i7
1. Contractor's/Vendor's Public Disclosure Statement .......................................................................... 17
2. Living Wage Law ................................................................................................................. ~ .............. 17
3. Use of County Resources to Interfere with Collective Bargaining Activities .................................... 17
4. Lawful Hiring of Employees Law .................................................... , ........................................ 17
5. Gratuities ............................................................................................................................................. 18
6. Prohibition Against Contracting with Corporations that Reincorporate Overseas ............................. 18
7. Child Sexual Abuse Reporting Policy ................................................................................................ 18
8. Non Responsible Bidder ..................................................................................................................... 18
9. Use of Funds in Prosecution of Civil Actions Prohibited ................................................................... 19
10. Youth Sports ................................................................................................................... i ................... 19
11. Work Experience Participation ................................................................................. 2 ......................... 19
12. Suffolk County Local Laws Website Address .................................................................................... 19
Article V ........................................................................................................................................................................... 20
General Fiscal Terms and Conditions ............................................................................................................................... 20
1. General Payment Terms ...................................................................................................................... 20
a. Presentation of Suffolk County Payment Voucher .......................................................................... 20
b. Voucher Documentation ............................................................................................................... 20
c. Payment by County ............................................................. ~ ........................................................ 20
d. Budget Modification .................................................................................................................... 20
e. Budget and/or Services Revisions ................................................................................................. 20
f. Taxes .......................................................................................................................................... 21
g. Final Voucher .............................................................................................................................. 21
2. Subject to Appropriation of Funds ...................................................................................................... 21
3. Personnel Salaries, Pension and Employee Benefit Plans, Rules and Procedures ............................... 21
4. Accounting Procedures ....................................................................................................................... 21
5. Audit of Financial Statements ........................................................................................ } .................... 22
6. Financial Statements and Audit Requirements ................................................................................... 22
7. Furniture, Fixtures, Equipment, Materials, Supplies .......................................................................... 23
a. Pumhases, Rentals or Leases Requiring Prior Approval .................................................................. 23
b. Pumhase Practices/Proprietary Interest of County ........................................................................... 23
c. County's Right to Take Title and Possession .................................................................................. 23
d. Inventory Records, Controls and Reports ....................................................................................... 23
e. Protection of Property in Contractor's Custody ............................................................................... 24
f. Disposition of Property in Contractor's Custody ............................................................................. 24
8. Lease or Rental Agreements ............................................................................................................... 24
9. Statement of Other Contracts .............................................................................................................. 24
10. Miscellaneous Fiscal Terms and Conditions ...................................................................................... 24
a. Limit of County's Obligations ....................................................................................................... 24
b. Duplicate Payment from Other Sources ......................................................................................... 24
c. Funding Identification .................................................................................................................. 94
d. Outside Funding for Non-County Funded Activities ....................................................................... 24
e. Potential Revenue ........................................................................................................................ 25
f. Payments Contingent upon State/Federal Funding .......................................................................... 25
g. Denial of Aid ............................................................................................................................... 25
Page 3 of 28
Law No.
AAA Transportation
IFMS No. 0000000
No. 001-6806-4980-95285-
h. Budget ........................................................................................................................................ 25
i. Payment of Claims ....................................................................................................................... 25
j. Payments Limited to Actual Net Expenditures ................................................................................ 25
k. Travel Costs ................................................................................................................................ 25
1. Attendance at Conferences ........................................................................................................... 25
m. Salaries ....................................................................................................................................... 25
n. Salary Increases ........................................................................................................................... 215
o. Contractor Vacancies ................................................................................................................... 26
p. No Limitation On Rights .............................................................................................................. 215
q. Comptroller's Rules and Regulations ............................................................................................. 215
Exhibits ........................................................................................................................................................................... 27
Exhibit I Public Disclosure not applicable - see cover page ......................................................................................... 27
Exhibit 2 Living Wage ..................................................................................................................................................... 27
Exhibit 3 Union Certification .......................................................................................................................................... 27
Exhibit 4 Lawful Hiring .................................................................................................................................................. 27
Exhibit 5 Certification Regarding Lobbying ................................................................................................................. 27
Exhibit 6 Legislative Designated Funding Applications; Budget ................................................................................. 27
Exhibit 7 Budget Modification Request ......................................................................................................................... 27
Exhibit 8 Budget/Services Revisions Approval .......................................................................................... 27
Exhibit 9 Standard Operating Procedure A-07 Amendment 1 .................................................................................... 27
and Executive Order 4-04 ................................................................................................................................................... 27
Exhibit 10 Comptroller's Rules and Regulations for Consultant's Agreements .......................................................... 27
Exhibit 11 Statement of Other Contracts ......................................................................................................................... 27
Page 4 of 28
Law No. IFMS No. 0000000
AAA Transportation No. 001-6806-4980-95285- --
Article I
Description of Services
Whereas, the Suffolk County Legislature has adopted the Suffolk County Operating Budget through Resolution
No. 980-2010; and
Whereas, the AAA Transportation Program has been designated as a line item in the Suffolk County Operating
Budget to receive funding; and
Whereas, the enhancement of the provision of transportation services is considered to be in the best interest of
the County and the elderly residents of Suffolk County for the best possible outcomes;
Now therefore, in consideration of the mutual provisions and covenants hereafter set forth, the parties hereto
agree as follows:
1. Conflicting Provisions
In the event of any conflict between this Article I and any other provision to this Contract, such other
provision shall prevail unless it is expressly stated that this Article I shall prevail.
Description of Services - AAA Transportation Program
2. Goals of Program
The Contractor shall expand essential transportation services for the elderly as part of the required
supportive services of the IIIC Nutrition Program and/or the Supplemental Assistance Program or other
such programs for the elderly that provide transportation services, through the "AAA Transportation
Program", which makes additional funding available to the Contractor to help meet the transportation
operation expenses related to serving the elderly.
3. General
In general, but without limitation, the Contractor shall be required to meet the criteria listed below:
a. Have, and maintain throughout the term of this Contract, an existing agreement to provide a
service or services for the elderly in Suffolk County.
b. Have an owned or contract vehicle available for the Services, either through purchase agreement
or lease agreement.
c. To inform each recipient of the service of the opportunity to make a completely voluntary,
willing and anonymous contribution toward the cost of the service. Service may not be denied,
however, if a person is unable or unwilling to make a contribution. The Contractor must maintain
an audit trail of all incoming contributions and make monthly reports of any contributions
received. Monthly contributions will be deducted from monthly expenditures to arrive at net
reimbursement. All contributions must be used to enhance services. All pririted materials used
for the program must include the sources of funding for the program and must include the
following information:
Contributions to this (these) service(s) are completely voluntary and anonymous.
Services will not be denied because of inability or unwillingness to contribute. Any
Rev. 10-15-10 (2 col);
5 of 28 pages
ARTICLEI
Law No.
AAA Transportation
IFMS No. 0000000
No. 001-6806-4980-95285-
contribution you wish to make will be used to expand the program and will be greatly
appreciated.
Confidentiality
i. The Contractor agrees that no personal information obtained from an individual in conjunction
with this program shall be disclosed in a form in which it is identified with the individual
without such individual's written consent to such disclosure, except to Aging.
ii. In the case of a request by Aging for names and addresses of individuals participating in
the program, the Contractor shall furnish such information as requested. Failure to
comply with a request by Aging for such information shall be deemed a material breach
of this Contract and shall result in a freeze on all monies due and owing to the Contractor
until compliance by the Contractor.
4. Services
The Contractor shall provide the following transportation services:
The Contractor may provide Iransportation other than to and from the nutrition sites on an as needed
basis. This may include, but is not limited to, transportation to medical appointments, shopping,
activities for socialization and other such activities scheduled as part of the Contractor's regular
transportation program activities or by appointment. All transportation services shall be furnished
using licensed drivers and insured and inspected vans and automobiles
Reporting Requirements
a. Monthly Reports
The Contractor shall provide monthly reports to Aging on a form prescribed by Aging. Monthly
reports are due to Aging by the eighth day of the month following the month being reported.
These reports shall contain, at a minimum, the following categories of information:
i. Units of service: one unit is equal to each one-way trip per person.
ii. The number of unduplicated individuals who have received transportation by the
Contractor under this Transportation Program Contract.
iii. A monthly activity schedule showing the specific transportation services the Contractor
will make available to the congregate participants that require transportation
iv. Mileage recordings.
b. Electronic Reporting
i. The Contractor shall maintain electronic records on all program participants using the
most currently approved form provided by Aging and compliant with State and Federal
reporting requirements. Data for all participants must be updated monthly.
ii. In order to comply with electronic reporting requirements, the Contractor must have
adequate computer equipment and software available to support the approved form.
iii. Transportation units and unduplicated number of persons served must be entered
electronically in SAMS 2000 or in subsequent County approved computer systems. All
participant data must be entered completely by the 12th of each month for the previous
month's data.
Rev. 10-15-10 (2 col);
6 of 28 pages
ARTICLE I
Law No.
AAA Transportation
IFMS No. 0000000
No. 001-6806-4980-95285-
Promotions and Advertisements
Any references to transportation services provided under this Contract must include due recognition to
New York State Office for the Aging. The Contractor must include the express acknowledgement as
follows:
"This service has been provided with financial assistance, in whole or in part through a grant
from the New York State Office for the Aging."
b. The provisions of this paragraph shall prevail over any conflicting provisions of Article III,
paragraph 20.
Administration
Overall administration of this program will be the responsibility of the Contractor. The Contractor shall
insure proper implementation and direction of the service, act as liaison between Aging and the actual
service and insure accuracy and timeliness of submission of all reporting forms and expenditures.
Program staff shall attend meetings and training as requested by Aging.
Monitoring
a. Program
The Contractor agrees to permit Aging's staff and staff of the New York State Office for the
Aging to review programmatic records at any time.
b. Fiscal
As required, Aging's fiscal staff may examine or review evidence regarding the existence, time and
classification of financial Iransactions, which are charged to the program for reimbursement. To obtain
this evidence, the fiscal staffwill examine documentary evidence including financial verification by
actually observing or counting certain assets (e.g. case, food inventory, equipment and supplies) to
establish their physical existence.
Incident Reporting
The Contractor shall report at least verbally to Aging, within 24 hours any incidents involving all
instances of claims, costs, damages, and injures to persons or property of whatsoever kind arising out of
services provided under this Contract. A written follow-up of such incidents shall be sent to Aging within
5 days of the occurrence. The Contractor further ages to send Aging copies of all "notices of claim"
relating to the program covered in this Contract.
End of Article I
Rev. 10-15-10 (2 col);
7 of 28 pages
ARTICLE I
Law No. IFMS No. 0000000
AAA Transportation No. 001-6806-4980-95285-
1. Meanings of Terms
Article II
Definitions
process; or
the Contractor's faliure to comply with any
Federal, State or local law, role, or regula[ion,
and County policies or directives; or
As used heroin:
e. the Contractor's bankruptcy or insolvency; or
"Audit of Financial Statements" means the examination by
the Comptroller and any Federal or State auditing authority of
the financial statements of the Contractor resulting in the
publication of an independent opinion on whether or not those
financial statements are relevant, accurate, complete, and fairly
presented.
"Budget" means the Contractor's summary or plan of all
intended revenue, whether received in thc form of fees, grants,
County funding, or any other source, and expenditures necessary to
render the Services.
"Budget Deficiency Plan" means an analysis of the cost of the
Services, changes in fiscal conditions, and required modifications to
the Contract to continue to render the Services.
"Comptroller" means the Comptroller oftbe County of Suffolk.
"Contract" means all terms and conditions of this Contract, forming
all rights and obligations of the Contractor and the County.
"Contractor" moans thc signatory corporation, its officers, officials,
employees, agents, servants, sub-contractors, and any successor or
assign of any one or more of the foregoing performing the Services.
"County" means the County of Suffolk, its departments, and
agencies.
"County Attorney" means the County Attorney of the County of
Suffolk.
"Department" means the signatory department approving the
Contract.
"Engineering Services" means the definition of the practice of
engineering and the definition of practice of land surveying, as the
case may be, under Section 7201 and Section 7203 of the State
Education Law, respectively.
"Event of Default" means
the Contractor's failure to perform any duty
required of it under paragraphs 1 (b)-(e) of
Article Ill of the Contract; or
bo
the Contractor's failure to maintain the amount
and types of insurance with an authorized insurer
as required by the Contract; or
the Contractor's failure to maintain insurance
required by the Contract with an insurer that has
designated the New York Superintendent of
Insurance as its lawful agent for service of
the Contractor's failure to cooperate in an Audit
of Financial Statements; or
the Contractor's falsification of records or
reports, misuse of funds, or malfeasance or
nonfeasance in financial record keeping arising
out of, or in connection with, any contract with
the County; or
ho
thc Contractor's failure to submit, or failure to
timely submit, documentation to obtain Federal
or State funds; or
the inability of the County or the Contractor to
obtain Federal or State funds due to any act or
omission of the Contractor; or
any condition that the County determines, in its
sole discretion, is dangerous.
"Federal" means the United States gnvemmant, its departments, and
agencies.
"Fringe Benefits" means non-wage benefits which accompany, or
are in addition to, a person's salary, such as paid insarancc, sick
leave, profit-shacing plans, paid holidays, and vacations.
"Fund Source" means any direct or indirect sum payable to the
Contractor by the County pursuant to any lawful obligation.
"Legislature" means the Legislature of the County of Suffolk.
"Management Letter" means a letter certified as true by the
Contractor's certified public accountant or chief financial officer of
findings and recommendations for improvements in internal fiscal
control that were identified during an Audit of Financial Statements,
but which were not required to be included in an audit report.
"Municipal Corporation" means a town, village, or school district.
"Services" means all that which the Contractor must do, and any part
thereof arising out of, or in connection with, the Contract as
described in Article I "Description of Services."
"State" means the State of New York.
"Statement of Other Contracts" means a complete list of all other
contracts under which money has been or will be paid to the
Contractor from the County, Federal, or State govemmants, or a
Municipal Corporation, and (i) which are currently in effect or (ii)
which have expired within the past twelve (12) months and have not
been renewed.
8 of 28 pages
ARTICLE II
Law No. IFMS No. 0000000
AAA Transportation No. 001-6806-4980-95285-
"Suffolk County Payment Voucher" means the document
authorized and required by the Comptroller for release of paymant.
"Term" means the time period set forth on page one of the Contract
and, if exercised by the County, the option period.
2. Elements of Interpretation
Words of the masculine gender shall mean and include correlative
words of the feminine and neuter genders and words importing the
singular number shall mean and include the plural number and vice
versa, Words importing persons shall include firms, associations,
partnerships (including limited partnerships), trusts, corporations,
and other legal entities, including public bodies, as well as natural
persons, and shall include successors and assigns.
Capitalized terms used, but not otherwise defined, herein, shall have
the meanings assigned to them in the Contract.
End of Text for Article II
9 of 28 pages
ARTICLE II
Law No.
AAA Transportation
Article IH
General Terms and Conditions
Contractor Responsibilities
a. Duties and Obligations
i.)
It shall be the duty of the Contractor to
discharge, or cause to be discharged, all
of its responsibilities, and to administer
funds received in the interest of the
County in accordance with the
provisions of the Contract.
ii.)
The Contractor shall promptly take ali
action as may be necessary to render
the Services.
iii.)
The Contractor shall not take any
action that is inconsistent with the
provisions of the Contract.
iv.)
Services provided under this Contract
shall be open to all residents of the
County.
bo
Qualifications, Licenses, and Professional
Standards
i.)
The Contractor represents and warrants
that it has, and shall continuously
possess, during the Term, the required
licensing, education, knowledge,
experience, and character necessary to
qualify it to render the Services.
ii.)
The Contractor shall continuously have
during the Term all required
authorizations, certificates,
certifications, registrations, licenses,
permits, and other approvals required
by Federal, State, County, or local
authorities necessmy to qualify it to
render the Services.
c. Notifications
i.)
The Contractor shall immediately
notify the County, in writing, of any
disciplinary proceedings, commenced
or pending, with any authority relating
to a license held by any person
necessary to qualify him, her, or the
Contractor to perform the Services.
ii.)
In the event that a person is no longer
licensed to perform the Services, the
Contractor must immediately notify the
County, but in no event shall such
notification be later than five (5) days
10 of 28 pages
ARTICLE III
IFMS No. 0000000
No. 001-6806-4980-95285-
aRer a license holder has lost the
license required to qualify the license
holder or the Contractor to perform the
Services.
iii.)
In the event that the Contractor is not
able to perform the Services due to a
loss of license, the Contractor shall not
be reimbursed for the Services rendered
aRer the effective date of termination of
such license. Without limiting the
generality of the foregoing, if any pan
of the Contract remains to be
performed, and the termination of the
license does not affect the Contractor's
ability to render thc Services, every
other term and provision of the
Contract shall be valid and enforceable
to the fullest extent permitted by law.
Documentation of Professional Standards
The Contractor shall maintain on file, in one
location in Suffolk County, all records that
demonstrate that it has complied with sub-
paragraphs (b) and (c) above. The address of the
location of the aforesaid records and documents
shall be provided to the County no later than the
date of execution of the Contract. Such
documentation shall be kept, maintained, and
available for inspection by the County upon
twenty-four (24) hours notice.
Credentialing
i.)
In the event that the Department, or any
division thereof, maintains a
credentialing process to qualify the
Contractor to render the Services, the
Contractor shall complete the required
credentialing process. In the event that
any State credential, registration,
certification or license, Drug
Enforcement Agency registration, or
Medicare or Medicaid certification is
restricted, suspended, or temporarily or
permanently revoked, it is the duty of
the Contractor to contact the
Department, or division thereof, as the
case may be, in writing, no later than
three (3) days after such restriction,
suspension, or revocation.
ii.)
Thc Contractor shall forward to the
Department, or division thereof, as the
case may be, on or before July 1 of
each year during the Term, a complete
list of the names and addresses of all
persons providing the Services, as well
as their respective areas of certification,
credentialing, registration, and
licensing.
Law No.
AAA Transportation
Engineering Certificate
In the event that the Contract requires any
Engineering Services, the Contractor shall submit
to the County, no later than the due date for
submission for approval of any engineering work
product, the Certificate of Authorization
('~Certificate"), issued pursuant to
§ 7210 of the New York Education Law, of every
person performing any Engineering Services.
The failure to file, submit, or maintain the
Certificate shall be grounds for rejection of any
engineering work product submitted for approval.
Termination
a. Thirty Days Termination
The County shall have the right to terminate the
Contract without cause, for any reason, at any
time, upon such terms and conditions it deems
appropriate, provided, however, that no such
termination shall be effective unless the
Contractor is given at least thirty (30) days
notice.
b. Event of Default; Termination on Notice
i.)
ii.)
The County may immediately terminate
the Contract, for cause, upon such
terms and conditions it deems
appropriate, in the Event of Default.
If the Contractor defaults under any
other provision of the Contract, the
County may terminate the Contract, on
not less than five (5) days notice, upon
such terms and conditions it deems
appropriate.
c. Termination Notice
Any notice providing for termination shall be
delivered as provided for in paragraph 24 of this
Article Ill.
d. Duties upon Termination
i.)
The Contractor shall discontinue the
Services as directed in the termination
notice.
ii.)
The County shall pay the Contractor
for the Services rendered through the
date of termination.
iii.)
The County is released from any and all
liability under the Contract, effective as
of the date of the termination notice.
11 of 28 pages
IFMS No. 0000000
No. 001-6806-4980-95285-
iv.)
Upon termination, the Contractor shall
reimburse the County the balance of
any funds advanced to the Contractor
by the County no later than thirty (30)
days after termination of the Contract.
The provisions of this subparagraph
shall survive the expiration or
termination of the Contract.
v.)
Nothing contained in this paragraph
shall be construed as a limitation on the
County's rights set forth in paragraph 8
of this Article III.
Indemnification and Defense
The Contractor shall protect, indemnify, and hold
harmless the County, its agents, servants,
officials, and employees from ami against all
liabilities, fines, penalties, actions, damages,
claims, demands, judgments, losses, suits or
actions, costs, and expenses caused by the
negligence or any acts or omissions of the
Contractor, including reimbursement of the cost
of reasonable attorneys' fees incurred by the
County, its agents, servants, officials, and
employees in any action or proceeding arising out
of, or in connection with, the Contract.
The Contractor hereby represents and warrants
that it will not infringe upon any copyright in
performing the Services. Thc Contractor agrees
that it shall protect, indemnify, and hold harmless
the County, its agents, servants, officials, and
employees from and against all liabilities, fines,
penalties, actions, damages, claims, demands,
judgments, losses, suits or actions, costs, and
expenses arising out of any claim asserted for
infringement of copyright, including
reimbursement of the cost of reasonable
attorneys' fees incurred by the County, its agents,
servants, officials, and employees in any action or
proceeding arising out of or in connection with
any claim a~serled for infringement of copyright.
Co
The Contractor shall defend the County, its
agents, servants, officials, and employees in any
proceeding or action, including appeals, arising
out of, or in connection with, the Contract, and
any copyright infringement proceeding or action.
At the County's option, the County may defend
any such proceeding or action and require the
Contractor to pay reasonable attorneys' fees of
salary costs of County employees of the
Depar~ent of Law for the defense of any such
suit.
The Contractor shall continuously maintain,
during the Term of the Contract, insurance in
ARTICLE III
Law No.
AAA Transportation
amounts and types as follows:
i.)
Commercial General Liability
insurance, including contractual
liability coverage, in an amount not
less than Two Million Dollars
($2,000,000.00) per occurrence for
bodily injury and Two Million Dollars
($2,000,000.00) per occurrence for
property damage. The County shall be
named an additional insured.
ii.)
Automobile Liability insurance (if any
vehicles are used by the Contractor in
the performance of the Contract) in an
amount not less than Five Hundred
Thousand Dollars ($500,000.00) per
person, per accident, for bodily injury
and not less than One Hundred
Thousand Dollars ($100,000.00) for
property damage per occurrence.
iii.)
Workers' Compensation and
Employer's Liability insurance in
compliance with all applicable New
York State laws and regulations and
Disability Benefits insurance, if
required by law. The Contractor shall
f~rnish to the County, prior to its
execution of the Contract, the
documentation required by the State of
New York Workers' Compensation
Board of coverage or exemption from
coverage pursuant to §§57 and 220 of
the Workers' Compensation Law. In
accordance with General Municipal
Law §108, the Contract shall be void
and of no effect unless thc Contractor
shall provide and maintain coverage
during the Term for the benefit of such
employees as are required to be
covered by the provisions of the
Workers' Compensation Law.
iv.)
Professional Liability insurance in an
amount not less than Two Million
Dollars ($2,000,000.00) on either a
per-occurrence or claims-made
coverage basis.
The County may mandate an increase in the
liability limits set forth in the immediately
preceding paragraphs (4)(a)(i), (ii), and (iv).
All policies providing such coverage shall be
issued by insurance companies authorized to do
business in New York with an A.M. Best rating
orA- or better.
IFMS No. 0000000
No. 001-6806-4980-95285-
The Contractor shall furnish to the County, prior
to the execution of the Contract, declaration
pages for each policy of insurance, other than a
policy for commercial general liability insurance,
and upon demand, a true and certified original
copy of each such policy evidencing compliance
with the aforesaid insurance requirements. In the
case of commereial general liability insurance,
the Contractor shall furnish to the County, prior
to the execution of the Contract, a declaration
page or insuring agreement and endorsement
page evidencing the County's status as an
additional insured on said policy, and upon
demand, a true and certified original copy of such
policy evidencing compliance with the aforesaid
insurance requirements.
All evidence of insurance shall provide for the
County to be notified in writing thifi3~ (30) days
prior to any cancellation, nonrenewal, or material
change in the policy to which such evidence
relates. It shall be the duty of the Contractor to
notify the County immediately of any
cancellation, nonrenewal, or material change in
any insurance policy.
In the event the Contractor shall fail to provide
evidence of insurance, thc County may provide
the insurance required in such manner as the
County deems appropriate and deduct the cost
thereof from a Fund Source.
If the Contractor is a Municipal Corporation and
has a self-insurance program under which it acts
as a self-insurer for any of such required
coverage, the Contractor shall provide proof,
acceptable to the County, of salf-funded
coverage.
IndependentContractor
The Contractor is not, and shall never be, considered an
employee of the County for any purpose. Notwithstanding
anything contained in this Contract, the Contract shall not
be construed as creating a principal-agent relationship
between the County and the Contractor or the Contractor
and the County, as the case may be.
Severability
It is expressly agreed that if any term or provision of this
Contract, or the application thereof to any person or
circumstance, shall be held invalid or unenforceable to any
extent, the remainder of thc Contract, or the application of
such term or provision to persons or circumstances other
than those as to which it is held invalid or unenforceable,
shall not be affected thereby, and every other term and
provision of the Contract shall be valid and shall be
enforced to the fullest extent permitted by law.
t2 of 28 pages
ARTICLE III
I~aw No.
AAA Transportation
7. Merger; No Oral Changes
It is expressly agreed that the Contract represents the entire
agreement of the parties and that all previous
understandings are herein merged in the Contract. No
modification of the Contract shall be valid unless in written
form and executed by both parties.
8. Set-OffRights
The County shall have all of its common law, equitable,
and statutory rights of set-off. These rights shall include,
but not be limited to, the County's option to withhold from
a Fund Source an amount no greater than any sum due and
owing to the County for any reason. The County shall
exercise its set-offrights subject to approval by the County
Attorney. In cases of set~off pursuant to a Comptroller's
audit, the County shall only exemise such right after the
finalization thereof, and only alter consultation with the
County Attorney.
9. Non-Discrimination in Services
The Contractor shall not, on the grounds of race,
creed, color, national origin, sex, age, disability,
sexual orientation, military status, or marital
status
i.) deny any individual the Services
provided pursuant to the Contract; or
ii.) provide the Services to an individual
that is different, or provided in a
different manner, from those provided
to others pursuant to the Contract; or
iii.) subject an individual to segregation or
separate treatment in any matter related
to the individual's receipt of the
Services provided pursuant to the
Contract; or
iv.) restrict an individual in any way from
any advantage or privilege enjoyed by
others receiving the Services provided
pursuant to the Contract; or
v.) treat an individual differently from
others in determining whether or not
the individual satisfies any eligibility or
other requirements or conditions which
individuals must meet in order to
receive the Services provided pursuant
to the Contract.
The Contractor shall not utilize criteria or
methods of administration which have the effect
of subjecting individuals to discrimination
because of their race, creed, color, national
origin, sex, age, disability, sexual orientation,
military status, or marital status, or have thc
effect of substantially impairing the Contract with
respect to individuals ora particular race, creed,
10.
11.
12.
13.
14.
13 of 28 pages
IFMS No. 0000000
No. 001-6806-4980-95285-
color, national origin, sex, age, disability, sexual
orientation, military status, or marital status, in
determining:
i.) the Services to be provided; or
ii.) the class of individuals to whom, or the
situations in which, the Services will be
provided; or
iii.) the class of individuals to be afforded
an opportunity to receive the Services.
Nonsectarian/Nonpartisan Declaration
The Services performed under the Contract are secular and
nonpartisan in nature. No funds received pursuant to the
Contract shall be used for sectarian purposes or to further
the advancement ofacy religion candidate or partisan
effort. The Services will be available to all eligible
individuals regardless of religious belief or political
affiliation.
Governing Law
The Contract shall be governed by, and construed in
accordance with, the laws of the State of New York,
without regard to conflict of laws. Vanue shall be
designated in the Supreme Court, Suffolk County, the
United States District Court for the Eastern District of New
York, or, if appropriate, a court of thferior jurisdiction in
Suffolk County.
No Waiver
It shall not be construed that any failure or forbearance of
the County to enforce any provision of the Contract in any
particular instance or instances is a waiver of that
provision. Such provision shall otherwise remain in full
force and effect, notwithstanding any such failure or
forbearance.
Conflicts of Interest
The Contractor shall not, during the Term, pursue a course
of conduct which would cause a reasonable person to
believe that he or she is likely to be engaged in acts that
create a substantial conflict between its obligations under
the Contract and its private interests. The Contractor is
charged with the duty to disclose to the County the
existence of any such adverse interests, whether existing or
potential. This duty shall continue as long as the Term.
The d~erminafion as to whether or when a conflict may
potentially exist shall ultimately be made by the County
Attorney afl. er full disclosure is obtained.
Cooperation on Claims
The Contractor and the County shall render diligently to
each other, without compensation, any and all cooperation
that may be required to defend the other party, its
ARTICLE III
Law No.
AAA Transportation
employees and designated representatives, against any
claim, demand or action that may be brought against the
other party, its employees or designated representatives
arising out of, or in connection with, the Contract.
15. Confidentiality
Any document oftbe County, or any document created by
thc Contractor and used in rendering the Services, shall
remain the property oftbe County and shall be kept
confidential in accordance with applicable laws, roles, and
regulations.
16. Assignment and Subcontracting
The Contractor shall not delegate its duties under
the Contract, or assign, transfer, convey, sublet,
or otherwise dispose of the Contract, or any of its
right, title or interest therein, or its power to
execute the Contract, or assign all or any portion
of the monies that may be due or become due
hereunder, (collectively referred to in this
paragraph 16 as "Assignment"), to any other
person, entity or thing without the prior wfittan
consent of the County, and any attempt to do any
of the foregoing without such consent shall be
void ab inifio.
Such Assignment shall be subject to all of thc
provisions of the Contract and to any other
condition the County requires. No approval of
any Assignment shall be construed as enlarging
any obligation of the County under the terms and
provisions of the Contract. No Assignment of the
Contract or assumption by any person of any duty
of the Contractor under the Contra~ shall
provide for, or otherwise be construed as,
releasing the Contractor from any term or
provision of the Contract.
17. Changesto Contractor
The Contractor may, from time to time, only with
the County's written consent, enter into a
Permitted Transfer. For purposes oftbe
Contract, a Permitted Transfer means:
i.)
if the Contractor is a partnership, the
withdrawal or change, whether
voluntary, involuntary or by operation
of law, of the partners, or transfer of
partnership interests (other than the
purchase of partnership interests by
existing partners, by the parntership
itself or the immediate family members
by reason of girl, sale or devise), or the
dissolution of the partnership without
immediate reconstitution thereof, and
ii.)
iftbe Contractor is a closely held
corporation (i.e. whose stock is not
14 of 28 pages
ARTICLE III
bo
Co
IFMS No. 0000000
No. 001-6806-4980-95285-
publicly held and not traded through an
exchange or over the counter):
1. the dissolution, merger,
consolidation or other
reorganization of the Contractor;
and
the sale or other transfer of twenty
percent (20%) or more of the
shares of the Contractor (other
than to existing shareholders, the
corporation itself or the immediate
family members of shareholders
by reason ofgi~ sale or devise).
If the Contractor is a not-for-profit corporation, a
change of twenty percent (20%) or more of its
shares or members shall be deemed a Permitted
Transfer.
Thc Contractor shall notify the County in writing,
which notice (the "Transfer Notice") shall
include:
i.)
the proposed effective date of the
Permitted Transfer, which shall not be
less than thirty (30) days nor more than
one hundred eighty (180) days after the
date of delivery of the Transfer Notice;
ii.)
a summary oftbe material terms of the
pmposad Permitted Transfer;
iii.)
the name and address of the proposed
transferee;
iv.)
such information reasonably required
by the County, which will enable the
County to determine the financial
responsibility, character, and reputation
of the proposed transferee, nature of the
proposed assignec/transferee's business
and experience;
v.)
all executed forms required pursuant to
Article IV of the Contract, that arc
required to be submitted by the
Contractor; and
vi.)
such other information as the County
may reasonably require.
The County agrees that any request for its
consent to a Permitted Transfer shall be granted,
provided that the transfer does not violate any
provision of the Contract, and the transferee has
not been convicted ora criminal offense as
described under Article Il of Chapter 143 of the
Suffolk County Code. The County shall grant or
deny its consent to any request of a Permitted
Law No.
AAA Transportation
Transfer within twenty (20) days aRer delivery to
the County of the Transfer Notice, in accordance
with the provisions of Paragraph 24 of Article
III of the Contract. If the County shall not give
written notice to the Contractor denying its
consent to such Permitted Transfer (and setting
forth the basis for such denial in reasonable
detail) within such twenty (20)-day period, then
the County shall be deemed to have granted its
consent to such Permitted Transfer.
e. Notwithstanding the County's consent,
i.)
the terms and conditions of the
Contract shall in no way be deemed to
have been waived or modified; and
ii.)
such consent shall not be deemed
consent to any further transfers.
18. No Intended Third Party Beneficiaries
The Contract is entered into solely for the benefit of the
County and the Contractor. No third party shall be deemed
a beneficiary of the Contract and no third party shall have
the right to make any claim or assert any right under the
Contract.
19. Certification as to Relationships
The Contractor certifies under penalties of perjury that,
other than through the funds provided in the Contract and
other valid agreements with the County, them is no known
spouse, life partner, business, commercial, economic, or
financial relationship with the County or its elected
officials. The Contractor also certifies that there is no
relationship within the third degree of consanguinity,
between the Contractor, any of its partners, members,
directors, or shareholders owning five (5%) percent or
more of the Contractor, and the County.
20. Publications and Publicity
The Contractor shall not issue or publish any
book, article, report, or other publication related
to the Services without first obtaining written
prior approval from the County. After approval
in writing is obtained, all such printed matter or
other publication shall contain thc following
statement in clear and legible print:
"This publication is fully or partially funded by
the Suffolk County Executive's Office."
The Contractor shall not issue press releases or
any other information to the media, in any form,
concerning the Services, without obtaining prior
written approval from the County.
21.
22.
23.
24.
15 of 28 pages
IFMS No. 0000000
No. 001-6806-4980-95285-
Copyrights and Patents
a. Copyrights
If the work of thc Contractor should result in the
production of original books, manuals, films, or
other materials for which a copyright may be
granted, the Contractor may secure copyright
protection. However, the County reserves to
itself, and the Contractor hereby gives to the
County, and to any other person designated by
the County, a royalty-free, nonexclasive license
to produce, reproduce, publish, translate, or
otherwise use any such materials.
b. Patents
If thc Contractor makes any discovery or
invention during the Term, as a result of work
performed under the Contract, the Contractor
may apply for and secure for itself patent
protection. However, the County reserves to
itself, and the Contractor hereby gives to the
County, and to any other person designated by
the County, a royalty-free, nonexctusive license
to produce or otherwise use any item so
discovered or patented.
Arrears to County
Contractor warrants that, except as may otherwise be
authorized by agreement, it is not in arrears to the County
upon any debt, contract, or any other lawful obligation, and
is not in default to thc County as surety.
Lawful Hiring of Employees Law in Connection
with Contracts for Construction or Future
Construction
In the event that the Contract is subject to the Lawful
Hiring of Employees Law of the County of Suffolk, Suffolk
County Code Chapter 234, as mom fully set forth in thc
Article entitled "Suffolk County Legislative Requirements,"
the Contractor shall maintain the documentation mandated
to be kept by this law on the construction site at all times.
Employee sign-in sheets and register/log books shell be
kept on the construction site at all times and all covered
employees, as defined in thc law, shall be required to sign
such sign-in sheets/register/log books to indicate their
preaence on the construction site during such working
hours.
Notice
Unless otherwise expressly provided, all notices shall be in
writing and shall be deemed sufficiently given if sent by
regular first class mail and certified mail, or personally
delivered during business hours as follows: l.) to the
Contractor at the address on page I of the Contract and 2.)
to thc County at the Department, or as to either of thc
ARTICLE III
Law No.
AAA Transportation
foregoing, to such other address as the addressee shall have
indicated by prior written notice to the addressor. All
notices received by the Contractor relating to a legal claim
shall be immediately sent to the Department and also to the
County Attorney at H. Lee Dennison Building, 100
Veterans Memorial Highway, P.O. Box 6100, (Sixth
Floor), Hauppauge, New York, 11788-0099.
IFMS No. 0000000
No. 001-6806-4980-95285-
End of Text for Article III
16 of 28 pages
ARTICLE III
Law No.
AAA Transportation
Article IV
Suffolk County Legislative Requirements
Contractor's/Vendor's Public Disclosure Statement
It shall be the duty of the Contractor to read, become
familiar with, and comply with the requirements of section
A5-7 of Article V of the Suffolk County Code.
Unless certified by an officer of the Contractor as being
exempt from the requirements of section A5-7 of Article V
of the Suffolk County Code, the Contractor represents and
warrants that it has filed with the Comptroller the verified
public disclosure statement required by Suffolk County
Administrative Code Article V, Section A5-7 and shall file
an update of such statement with the Comptroller on or
before the 31 st day of January in each year of the
Contract's duration. The Contractor acknowledges that
such filing is a material, contractual and statutory duty and
that the failure to file such statement shall constitute a
material breach of the Contract, for which the County shall
be entitled, upon a determination that such breach has
occurred, to damages, in addition to all other legal
remedies, of fifteen pemcot (15%) of the amount of the
Contract.
Required Form:
Suffolk County Form SCEX 22; entitled
"Contractor's/Vendor's Public Disclosure Statement"
Living Wage Law
It shall be the duty of the Contractor to read, become
familiar with, and comply with the requirements of Chapter
347, of the Suffolk County Code.
This Contract is subject to the Living Wage Law of the
County of Suffolk. The law requires that, unless specific
exemptions apply, all employers (as defined) under service
contracts and mcipiants of County financial assistance, (as
defined) shall provide payment of a minimum wage to
employees as set forth in the Living Wage Law. Such rate
shall be adjusted annually pursuant to the terms of the
Suffolk County Living Wage Law of the County of Suffolk.
Under the provisions of the Living Wage Law, the County
shall have the authority, under appropriate cimumstances,
to terminate the Contract and to seek other remedies as set
forth therein, for violations of this Law.
Required Forms:
Suffolk County Living Wage Form LW-1; entitled "Suffolk
County Depar~nent of Labor - Living Wage Unit Notice of
Application for County Compensation (Contract)."
Suffolk County Living Wage Form LW-38; entitled
"Suffolk County Department of Labor - Living Wage Unit
Living Wage Certification/Declaration - Subject To
Audit."
17 of 28 pages
IFMS No. 0000000
No. 001-6806-4980-95285-
Use of County Resources to Interfere with Collective
Bargaining Activities
It shall be the duty of the Contractor to read, become
familiar with, and comply with the requirements of Chapter
466 of the Suffolk County Code.
County Contractors (as defined by section 466-2) shall
comply with all requirements of Chapter 466 of the Suffolk
County Code, including the following prohibitions:
The Contractor shall not use County funds to
assist, promote, or deter union organizing.
No County funds shall be used to reimburse the
Contractor for any costs incurred to assist,
promote, or deter union organizing.
No employer shall use County property to hold a
meeting with employees or supervisors if the
purpose of such meeting is to assist, pmmote, or
deter union organizing.
If the Services are performed on County property, the
Contractor must adopt a reasonable access agreement, a
neutrality agreement, fair communication agreement, non-
intimidation agreement, and a majority authorization card
agreement.
If the Services are for thc provision of human services and
are not to be performed on County property, the Contractor
must adopt, at the least, a neutrality agreement.
Under the provisions of Chapter 466, the County shall have
the authority, under appropriate circumstances, to terminate
the Contract and to seek other remedies as set forth therein,
for violations of this Law.
Required Form:
Suffolk County Labor Law Form DOL-LO 1; entitled
"Suffolk County Department of Labor - Labor Mediation
Unit Union Organizing Certification/Declaration - Subject
to Audit."
Lawful Hiring of Employees Law
It shall be the duty of the Contractor to read, become
familiar with, and comply with the requirements of Chapter
234 of the Suffolk County Code.
This Contract is subject to the Lawful Hiring of Employees
Law of the County of Suffolk. It provides that all covered
employers, (as defined), and the owners thereof, as the case
may be, that are recipients of compansation from the
County through any grant, loan, subsidy, funding,
appropriation, payment, tax incentive, contract,
subcontract, license agreement, lease or other financial
compensation agreement issued by the County or an
awarding agency, where such compensation is one hundred
percent (100%) funded by tho County, shall submit a
completed sworn affidavit (under penalty of parjury), the
form of which is attached, certifying that they have
ARTICLE IV
Law No.
AAA Transportation
complied, in good faith, with the requirements of Title 8 of
the United States Code Section 1324a with respect to the
hiring of covered employees (as defined) and with respect
to the alien and nationality status of the owners thereof.
The affidavit shall be executed by an authorized
representative of the covered employer or owner, as the
case may be; shall be part of any executed contract,
subcontract, license agreement, lease or other financial
compensation agreement with the County; and shall be
made available to the public upon request.
All contractors and subcontractors (as defined) of covered
employers, and the owners thereof, as the case may be, that
are assigned to perform work in connection with a County
contract, subcontract, license agreement, lease or other
financial compensation agreement issued by the County or
awarding agency, where such compensation is one hundred
percent (100%) funded by the County, shall submit to the
covered employer a completed sworn affidavit (under
penalty of perjury), the form of which is attached,
certifying that they have complied, in good faith, with the
requirements of Title 8 of the United States Code Section
1324a with respect to the hiring of covered employees and
with respect to the alien and nationality status of the
ownem thereof, as the case may be. The affidavit shall be
executed by an authorized representative of the contractor,
subcontractor, or owner, as the case may be; shall be part of
any executed contract, subcontract, license agreement, lease
or other financial compensation agreement between the
covered employer and the County; and shall be made
available to the public upon request.
An updated affidavit shall be submitted by each such
employer, owner, contractor and subcontractor no later
than January I of each year for the duration of any contract
and upon the renewal or amendment of the Contract, and
whenever a new contractor or subcontractor is hired under
the terms of the Contract.
The Contractor acknowledges that such filings are a
material, contractual and statutory duty and that the failure
to file any such statement shall constitute a material breach
of the Contract.
Under the provisions of the Lawful Hiring of Employees
Law, the County shall have the authority to terminate the
Contract for violations of this Law and to seek other
remedies available under the law.
The documentation mandated to be kept by this law shall at
all times be kept on site. Employee sign-in sheets and
register/log books shall be kept on site at all times during
working hours and ali covered employees, as defined in the
law, shall be required to sign such sign-in
sheets/register/log books to indicate their presence on the
site during such working hours.
Required Forms:
Suffolk County Lawful Hiring of Employees Law Form
LHE-I; entitled "Suffolk County Department of Labor -
Notice Of Application To Certify Compliance With Federal
Law (8 U.S.C. SECTION 1324a) With Respect To Lawful
18 of 28 pages
IFMS No. 0000000
No. 001-6806-4980-95285-
Hiring of Employees."
"Affidavit Of Compliance With The Requirements Of 8
U.S.C. Section 1324a With Respect To Lawful Hiring Of
Employees" Form LHE-2.
Gratuities
It shall be the duty of the Contractor to read, become
familiar with, and comply with the requirements of Chapter
386 of the Suffolk County Code.
The Contractor represents and warrants that it has not
offered or given any gratuity to any official, employee or
agent of the County or the State or of any political party,
with the purpose or intent of sacuring an agreement or
securing favorable treatment with respect to the awarding
or amending of an agreement or the making of any
determinations with respect to the performance of an
agreement.
Prohibition Against Contracting with Corporations
that Reinearporate Overseas
It shall be the duty of the Contractor to read, become
familiar with, and comply with the requirements of sections
A4-13 and A4-14 of Article IV of the Suffolk County
Code.
The Contractor represents that it is in compliance with
sections A4-13 and A4-14 of Artiale IV of the Suffolk
County Code. Such law provides that no contract for
consulting services or goods and services shall be awarded
by the County to a business previously incorporated within
the U.S.A. that has reincorporated outside the U.S.A.
Child Sexual Abuse Reporting Policy
It shall be the duty of the Contractor to read, become
familiar with, and comply with the requirements of Article
IV of Chapter 577 of the Suffolk County Code.
Thc Contractor shall comply with Article IV of Chapter
577, of the Suffolk County Code, entitled "Child Sexual
Abuse Reporting Policy," as now in effect or amended
hereafter or of any other Suffolk County Local Law that
may become applicable during the term of the Contract
with regard to child sexual abuse reporting policy.
Non Responsible Bidder
It shall be the duty of the Contractor to read, become
familiar with, and comply with the requirements of Article
II of Chapter 143 of the Suffolk County Code.
Upon signing the Contract, the Contractor certifies that it
has not been convicted ora criminal offense within the last
ten (10) years. The term "conviction" shall mean a finding
of guilty after a trial or a plea ofgnilty to an offense
covered under the provision of saction 143-5 of the Suffolk
County Code under "Nonresponsible Bidder."
ARTICLE IV
Law No. IFMS No. 0000000
AAA Transportation No. 001-6806-4980-95285-
10.
11.
12.
Use of Funds in Prosecution of Civil Actions
Prohibited
It shall be the duty of the Contractor to read, become
familiar with, and comply with the requirements of section
590-3 of Article Ill of Chapter 590 of the Suffolk County
Code.
The Contractor shall not use any of the moneys, in part or
in whole, and either directly or indirectly, received under
the Contract in connection with the prosecution of any civil
action against the County in any jurisdiction or any judicial
or administrative forum.
Youth Sports
It shall be the duty of the Contractor to read, become
familiar with, and comply with Article II1 of Chapter 419 of
the Suffolk County Code.
All contract agencies that conduct youth sports programs
are required to develop and maintain a written plan or
policy addressing incidents of possible or actual concussion
or other head injuries among sports program participants.
Such plan or policy must be submitted prior to the award of
a County contract, grant or funding. Receipt of such plan
or policy by the County does not represent approval or
endorsement of any such plan or policy, nor shall the
County be subject to any liability in connection with any
such plan or policy.
Work Experience Participation
If the Contractor is a not-for-profit or governmental agency
or institution, each of the Contractor's locations in the
County at which the Services are provided shall be a work
site for public-assistance clients of Suffolk County pursuant
to Chapter 211 of the Suffolk County Code at all times
during the Term of the Contract. If no Memorandum of
Understanding CMOU") with the Suffolk County
Department of Labor for work experience is in effect at the
beginning of the Term of the Contract, the Contractor, if it
is a not-for-profit or governmental agency or institution,
shall enter into such MOU as soon as possible a~er the
execution of the Contract and failure to enter into or to
perform in accordance with such MOU shall be deemed to
be a failure to perform in accordance with the Contract, for
which the County may withhold payment, terminate the
Contract or exercise such other remedies as may be
appropriate in the circumstances.
Suffolk County Local Laws Website Address
Suffolk County Local Laws, Rules and Regulations can be
accessed on the Suffolk County website by following the
County's Ez link to the Laws of Suffolk County.
End of Text for Article IV
19 of 28 pages
ARTICLE IV
Law No. IFMS No. 0000000
AAA Transportation No. 001-6806-4980-95285-
Article V
General Fiscal Terms and Conditions
1. General Payment Terms
Presentation of Suffolk County Payment
Voucher
In order for payment to be made by the County to
the Contractor for the Services, the Contractor
shall prepare and present a Suffolk County
Payment Voucher, which shall be documented by
sufficient, competent and evidential matter.
b. Voucher Documentation
The Suffolk County Payment Voucher shall list
all information regarding the Services and other
items for which expenditures have been or will be
made in accordance with the Contract. Either
upon execution of the Contract (for the Services
already rendered and expenditures already made),
or not more than thirty (30) days after the
expenditures were made, and in no event after the
31~ day of January following the end of each year
of the Contract, the Contractor shall furnish the
County with detailed documentation in support
of the payment for the Services or expenditures
under the Contract e.g. dates of the Service,
worksite locations, activities, hours worked, pay
rates and all program Budget categories. The
Suffolk County Payment Voucher shall include
time records, cerfified by the Contractor as true
and accurate, of all personnel for whom
expenditures are claimed during the period.
Time and attendance records ora project director,
if any, shall be certified by the Chairperson,
President or other designated member of the
Board of Directors of the Contractor. All Suffolk
County Payment Vouchers must bear a signature
as that term is defined pursuant to New York
State General Construction Law §46 by duly
authorized persons, and certification of such
authorization with certified specimen signatures
thereon must be flied with the County by a
Contractor official empowered t~ sign the
Contract. Disbursements made by the Contractor
in accordance with the Contract and submitted
for reimbursement must be documented and must
comply with accounting procedures as set forth
by the Suffolk County Department of Audit and
Control. Documentation, including any other
form(s) required by County or the Suffolk
County Department of Audit and Control, shall
be furnished to the County pursuant to, and'as
limited by, the Regulations for Accounting
Procedures for Contract Agencies of the Suffolk
County Depa~nent of Audit and Control. In
addition to any other remedies that the County
may have, failure to supply the required
documentation will disqualify the Contractor
20 of 28 pages
ARTICLE V
Co
do
from any further County contracts.
Payment by County
Payment by the County shall be made within
thirty (30) days a~er approval of the Suffolk
County Payment Voucher by the Comptroller.
Budget Modification
i.)
Thc parties shall use the Contract
Budget Modification Request form
("Budget Modification") for revisions
to the Budget and Services not
involving an increase to the total cost
of the Contract. The Contractor shall
submit to the County the Budget
Modification proposed revisions for
either Budget or the Services. Such
request must be made in advance of
incurring any expenditure for which the
revision is needed.
ii.)
When the County and the Contractor
agree as to such revisions, the
Conh'actor shall execute thc Budget
Modification form. The Contractor
shall return it to the County for
execution.
iii.)
Upon complete execution of the Budget
Modification form, the County shall
return a copy to the Contractor. The
revision shall not be effective until the
Budget Modification is completely
executed.
The Budget Modification form may be
submitted only twice per calendar year
and may only be submiRed prior to
November 15th of that year.
Budget and/or Services Revisions
i.)
ii.)
The parties shall use the Contract
Budget/Services Revision Approval
Form (Budget/Services Revisions) for
revisions to the Budget and Services
involving any change to the total cost
of thc Contract due to a resolution of
thc Lcgislatare, changes to thc
County's adopted annual budget, or for
any other reason necessitating revisions
to the Budget or Services.
When the County and the Contractor
agree as to such revisions, the
Contractor shall execute the
Budget/Services Revisions form. The
Contractor shall return it to the County.
Law No.
AAA Transportation
iii.)
Upon complete execution of the form
by the parties, the County shall return a
copy to the Contractor. The revision
shall not be effective until the Budget
/Services Revisions is completely
executed.
The charges payable to the Contractor under the
Contract are exclusive of federal, state, and local
taxes, the County being a municipality exempt
from payment of such taxes.
g. Final Voucher
The acceptance by the Contractor of payment of
all billings made on the final approved Suffolk
County Payment Voucher shall operate as and
shall be a release of the County from all claims
by the Contractor.
2. Subject to Appropriation of Funds
The Contract is subject to the amount of funds
appropriated and any subsequent modifications
thereof by the Legislature, and no liability shall
be incurred by the County beyond the amount of
funds appropriated by the Legislature for the
Services.
If the County falls to receive Federal or State
funds originally intended to pay for the Services,
or to reimburse the County, in whole or in part,
for payments made for the Services, the County
shall have thc sole and exclusive right to:
i.) determine how to pay for the Services;
ii.)
determine future payments to the
Contractor; and
iii.)
determine what amounts, if any, are
reimbursable to the County by the
Contractor and the terms and
conditions under which such
reimbursement shall be paid.
The County may, during the Term, impose a
Budget Deficiency Plan. In the event that a
Budget Deficiency Plan is imposed, the County
shall promptly notify the Contractor in writing of
the terms and conditions thereof, which shall be
deemed incorporated in and made a part of the
Contract, and the Contractor shalI implement
those terms and conditions in no less than
fourteen (14) days.
21 of 28 pages
IFMS No. 0000000
No. 001-6806-4980-95285-
Personnel Salaries, Pension and Employee Benefit
Plans, Rules and Procedures
ao
Upon request, the Contractor shall submit to the
County a current copy, certified by the
Contractor as true and accurate, of its
i.)
salary scale for all positions listed in
the Budget;
ii.) pemonnel roles and procedures;
iii.)
pension plan and any other employee
benefit plans or arrangements.
Thc Contractor shall not be entitled to
reimbursement for costs under any pension or
benefit plan the Comptroller deems commemially
unreasonable.
Notwithstanding anything in this paragraph 3 of
this Article V, the County shall not be limited in
requesting such additional financial information
it deems reasonable.
Accounting Procedures
ao
The Contractor shall maintain accounts, books,
records, documents, other evidence, and
accounting procedures and practices which
sufficiently and properly reflect all direct and
indirect costs of any nature expended in the
performance of the Contract, in accordance with
generally accepted accounting principles and
with rules, regulations and financial directives, as
may be promulgated by the Suffolk County
Department of Audit and Control and the
Department. The Contractor shall permit
inspection and audit of such accounts, books,
records, documents and other evidence by the
Department and the Suffolk County Comptroller,
or their representatives, as often as, in their
judgment, such inspection is deemed necassary.
Such right of inspection and audit as set forth in
subparagraph b. below shall exist during the
Term and for a period of seven (7) years aftar
expiration or termination of the Contract.
The Contractor shall retain all accounts, books,
records, and other documents relevant to thc
Contract for seven (7) years after final payment is
made by the County. Federal, State, and/or
County auditors and any persons duly authorized
by the County shall have full access and the right
to examine any of said materials during said
period. Such access is granted notwithstanding
any exemption from disclosure that may be
claimed for those records which are subject to
nondisclosure agreements, trade secrets and
commercial information or financial information
that is privileged or confidential.
ARTICLE V
Law No.
AAA Transportation
Co
The Contractor shall utilize the acemal basis of
accounting and will submit all financial reports
and claims based on this method of accounting
during the Term.
5. Audit of Financial Statements
All payments made under the Contract are
subject to audit by the Comptroller pursuant to
Article V of the Suffolk County Charter. The
Contractor further agrees that the Comptroller
and the Department shall have access to and the
right to examine, audit, excerpt, copy or
transcribe any pertinent transactions or other
records relating to services under the Contract. If
such an audit discloses overpayments by the
County to the Contractor, within thirty (30) days
after the issuance of an official audit report by the
Comptroller or his duly designated
representatives, the Contractor shall repay the
amount of such overpayment by check to the
order of the Suffolk County Treasurer or shall
submit a proposed plan of repayment to the
Comptroller. If there is no response, or if
satisfactory repayments are not made, the County
may recoup overpayments from any amounts due
or becoming due to the Contractor from the
County under the Contract or otherwise.
The provisions of this paragraph shall survive the
expiration or termination of the Contract.
6. Financial Statements and Audit Requirements
ho
Notwithstanding any other reporting or
certification requirements of Federal, State, or
local authorities, the Contractor shall obtain the
services of an independent licensed public
accountant or certified public accountant (the
"Auditor") to audit its financial statements for
each Contractor's "fiscal year" in which the
Contractor has received, or will receive, three
hundred thousand ($300,000.00) dollars or more
from the County, whether under the Contract or
other agreements with the County, and shall
submit a report to thc County on the overall
financial condition and operations of the
Contractor, including a balance sheet and
statement of income and expenses, attested by the
Auditor as fairly and accurately reflecting the
accounting records of the Contractor in
accordance with generally accepted accounting
principles. The Contractor may solicit requests
for proposals from a number of qualified
accounting firms and review carefully the costs
of, and qualifications for, this type of work before
selecting the Auditor.
Thc Auditor should be required to meet the
following minimum requirements:
22 of 28 pages
ARTICLE V
Co
do
IFMS No. 0000000
No. 001-6806-4980-95285-
i.) a current license issued by
the New York State
Education Department;
ii.) sufficient auditing experience
in the not-for-profit,
governmental or profit-
making areas, as applicable;
and
iii.) a satisfactory peer review
issued within not more than
three (3) years prior to the
date when the Auditor was
selected to conduct the audit.
The audit must be conducted in accordance with
generally accepted governmental auditing
standards. Financial statements must clearly
differentiate between County-funded programs
and other programs that the Contractor may be
operating. The use of subsidiary schedules
should be encouraged for this purpose. The
Auditor must also prepare a Management Letter
based on the audit.
In the event the Contractor is a not-for-profit
organization or unit of local government and
expends five hundred thousand ($500,000.00)
dollars or more of Federal monies, whether as a
recipient expending awards received directly
from Federal awarding agencies, or as a
subrecipient expending Federal awards received
from a pass-through entity, such as New York
State or Suffolk County, during any fiscal year
within which it receives funding under the
Contract, the audit must be conducted, and the
audit report (''Single Audit Report") must be, in
accordance with OMB Cimular No. A-133
(revised June 27, 2003). Single Audit Reports
must also be submitted to the designated
clearinghouse, cognizant agency and/or pass-
through entity, to the extent required by thc OMB
Circular referred to above.
The Contractor must submit to the County a
statement in writing, certified by its chief
financial officer, which states the amount of
Federal funding expended by the Contractor
during such fiscal year. The Contractor must
mail or deliver the certified statement to the
Department and to the Executive Director of
Auditing Services, Suffolk County Department of
Audit and Control, H. Lee Dennison Building,
100 Veterans Memorial Highway, P. O. Box
6100, Hauppauge, New York 11788-0099, as
soon as possible after the end of the Contractor's
fiscal year. The statement must include all
Federal funding received directly from the
Federal govemroent and all Federal funds passed
through from the County and other pass-through
entities.
Law No.
AAA Transportation
f.
Copies of all financial statements, Management
Letters, Single Audit Reports and other audit
reports must be transmitted to the County and to
the Executive Director of Auditing Services at
the address set forth above. The reports must be
submitted within thirty (30) days aRer completion
of the audit, but in no event later than nine (9)
months after the end of the Contractor's fiscal
year, to which the audit relates.
These requirements do not preclude the County,
the Comptroller, or their authorized
representatives, or Federal or State auditors from
auditing all records of the Contractor. Therefore,
the records of the Contractor must be made
available to authorized representatives of Federal,
State and County government for that purpose.
The provisions of this paragraph shall survive the
expiration or termination of the Contract.
7. Furniture, Fixtures, Equipment, Materials, Supplies
ao
Purchases, Rentals or Leases Requiring Prior
Approval
Prior to placing any order to purchase, rent or
lease any furniture, fixtures, or equipment valued
in excess of one thousand dollars ($1,000.00) per
unit for which the Contractor will seek
reimbursement from the County, the Contractor
shall submit to the County a written request for
approval to make such a proposed purchase,
rental or lease, with a list showing the quantity
and description of each item, its intended
location and use, estimated unit price or cost, and
estimated total cost of the proposed order.
Written approval of the County shall be required
before the Contractor may proceed with such
proposed purchase, rental or lease of furniture,
fixtures or equipment. All items purchased must
be new or like new unless specifically described
otherwise in the Budget.
Purchase Practices/Proprietary Interest of
County
i.)
The Contractor shall follow the general
practices that are designed to obtain
furniture, fixtures, equipment,
materials, or supplies at the most
reasonable price or cost possible.
ii.)
The County reserves the right to
purchase or obtain furniture, fixtures,
equipment, materials, or supplies for
the Contractor in accordance with the
programmatic needs of the Contract. If
the County exercises this right, the
amount budgeted for the items so
pumhased or obtained by the County
for the Contractor shall not be available
23 of 28 pages
ARTICLE V
IFMS No. 0000000
No. 001-6806-4980-95285-
to the Contractor for any purpose
whatsoever. Title to any ~uch items
purchased or otherwise obtaixand by the
County for the programs encompassed
by the Contract and entrusted to the
Contractor, shall remain in the County.
iii,)
The County shall retain a proprietary
interest in all furniture, removable
fixtures, equipment, materials, and
supplies pumhased or obtained by the
Contractor and paid for or reimbumed
to the Contractor pursuant to the terms
of the Contract or any prior agreement
between the parties.
iv.)
The Contractor shall attach labels
indicating the County's proprietary
interest or title in all such property.
County's Right to Take Title and Possession
Upon the termination or expiration of the
Contract or any renewal thereof, the
discontinuance of the business of the Contractor,
the failure of the Contractor to comply with the
terms of the Contract, the bankruptcy of the
Contractor, an assignment for the benefit of its
creditors, or the failure of the Contractor to
satisfy any judgment against it within thirty (30)
days of filing of the judgment, the County shall
have the right to take title to and possession of all
furniture, removable fixtures, equipment,
materials, and supplies and the same shall
thereupon become the property of the County
without any claim for reimbursement on the part
of the Contractor.
Inventory Records, Controls and Reports
Thc Contractor shall maintain proper and
accurate inventory records and controls for all
such furniture, removable fixtures and equipment
acquired pursuant to the Contract and all prior
agreements between the parties, if any. Three (3)
months before the expiration date of the Contract,
the Contractor shall make a physical count of all
items of fumitare, removable fixtures and
equipment in its custody, checking each item
against the aforesaid inventory records. A report
setting forth the results of such physical count
shall be prepared by the Contractor on a form or
forms designated by the County, certified and
signed by an authorized official of the
Contractor, and one (1) copy theranf shall be
delivered to the County within five (5) days after
the date s~ for the aforesaid physical count.
Within five (5) days after the termination or
expiration date of the Contract, the Contractor
shall submit to the County six (6) copies of the
same report updated to such date of the Contract,
certified and signed by an authorized official of
Law No.
AAA Transportation
the Contractor, based on a physical count of all
items of furniturn, removable fixtures and
equipment on the aforesaid expiration date, and
revised, if necessary, to include any inventory
changes during the last three (3) months of the
Term.
Protection of Property in Contractor's
Custody
The Contractor shall maintain vigilance and take
all reasonable precautions to protect the furniture,
fixtures, equipment, material or supplies in its
custody against damage or loss by fire, burglary,
theft, disappearance, vandalism, or misuse. In the
event of burglary, thefl, vandalism, or
disappearance of any item of furniture, fixtures,
equipment, material or supplies, the Contractor
shall immediately notify the police and make a
record thereof, including a record of the results of
any investigation which may be made thereon. In
the event of loss of or damage to any item of
furniture, fixtures, equipment, materials, or
supplies from any cause, the Contractor shall
immediately send the County a detailed writtan
report thereon.
Disposition of Property in Contractor's
Custody
Upon termination of the County's funding of any
of the Services covered by the Contract, or at any
other time that the County may direct, the
Contractor shall make access available and render
all necessary assistance for physical removal by
the County or its designee of any or all furniture,
removable fixtures, equipment, materials or
supplies in the Contractor's custody in which the
County has a proprietary interest, in the same
condition as such property was received by the
Contractor, reasonable wear and tear excepted.
Any disposition, settlements or adjustments
connected with such property shall be in
accordance with the rules and regulations of the
County and the State of New York.
8. Lease or Rental Agreements
If lease payments or rentaI costs are included in the Budget
as an item of expense reimbursable by the County, the
Contractor shall promptly submit to the County, upon
request, any lease or rental agreement. If during the Term,
the Contractor shall enter into a lease or rental agreement,
or shall renew a lease or rental agreement, the Contractor
shall, prior to the execution thereof, submit such lease or
rental agreement, to the County for approval.
9. Statement of Other Contracts
Prior to the execution of the Contract, the Contractor shall
submit a Statement of Other Contracts to the County,
10.
24 of 28 pagea
IFMS No. 0000000
No. 001-6806-4980-95285-
which shall be attached as an exhibit to the Contract. If the
Contract is amended during the Term, or if the County
exercises its option right, the Contractor shall attach a then
current Statement of Other Contracts.
Miscellaneous Fiscal Terms and Conditions
a. Limit of County's Obligations
The maximum amount to be paid by the County
is set forth on the first page of the Contract.
b. Duplicate Payment from Other Sources
Payment by the County for the Services shall not
duplicate payment received by the Contractor
from any other source.
c. Funding Identification
The Contractor shall promptly submit to the
County upon request, a schedule for all programs
funded by the County, itemizing for each such
program the sums received, their source and the
total program budget.
Outside Funding for Non-County Funded
Activities
Notwithstanding the foregoing provisions of the
Contract, it is the intent of the County that the
terms and conditions of the Contract shall not
limit the Contractor from applying for and
accepting outside grant awards or from providing
additional educational antivities/services which
may result in the Contractor incurring additional
costs, as long as the following conditions are met:
i.)
ii.)
iii.)
iv.)
The County is not the Fund Source for
the additional services;
Sufficient funding is available for or
can be generated by the Contractor to
cover the cost incurred by the
Contractor to provide these additional
services; and
If sufficiant funding is not available or
cannot be generated, the County shall
not be held liable for any of the
additional costs incurred by the
Contractor in furnishing such
additional services.
Prior to scheduling any such additional
services on County-owned properly,
the Contractor shall obtain written
County approval. The Contractor shall,
to the County's satisfaction, submit any
documentation requested by the
Department reflecting thc change, and
identify the additional services to be
provided and the source of funding that
ARTICLE V
l'~aw No.
AAA Transportation
shall be utilized to cover the
expenditures incurred by the Contractor
in undertaking the additional services.
e. Potential Revenue
The Contractor shall actively seek and take
reasonable steps to secure all potential funding
from grants and contracts with other agencies for
programs funded by the County.
Payments Contingent upon State/Federal
Funding
Payments under the Contract may be subject to
and contingent upon continued funding by State
and/or Federal agencies. In the event payments
are subject to such funding no payment shall be
made until the Contractor submits documentation
in thc manner and form as shall be required by
State and/or Federal agency. If late submission
of claims precludes the County from claiming
State or Federal reimbursement, such late claims
by the Contractor shall not be paid by the County
subject to subparagraph g. below, if, for any
reason, the full amount of such funding is not
made available to the County, the Contract may
be terminated in whole or in part, or the amount
payable to the Contractor may be reduced at the
discretion of the County, provided that any such
termination or reduction shall not apply to
allowable costs incurred by the Contractor prior
to such termination or reduction, and provided
that money has been appropriated for payment of
such costs.
g. Denial of Aid
Ifa State or Federal government agency is
funding the Contract and fails to approve aid in
reimbursement to the County for payments made
hereunder by the County to the Contractor for
expenditures made during the Term because of
any act, omission or negligence on the part of the
Contractor, then the County may deduct and
withhold from any payment due to the Contractor
an amount equal to the reimbursement denied by
the state or federal government agency, and the
County's obligation to the Contractor shall be
reduced by any such amounts. In such an event,
if there should be a balance due to the County
afl. er it has made a final payment to the
Contractor under the Contract, on demand by the
County, the Contractor shall reimburse the
County for the amount of the balance due the
County, payable to the Suffolk County Treasurer.
The provisions of this subparagraph shall survive
the expiration or termination of the Contract.
25 of 28 pages
ARTICLE V
IFMS No. 0000000
No. 001-6806-4980-95285-
Budget
The Contractor expressly represents and agrees
that the Budget lists all revenue, expenditures,
personnel, personnel costs and/or ail other
relevant costs necessary to provide the Services.
Payment of Claims
Upon receipt of a Suffolk County Payment
Voucher, the County, at its discretion, may pay
the Contractor during the Term, in advance, an
amount not to exceed one sixth (1/6) of the
maximum amount to be paid by the County set
forth on the first page of the Contract.
Payments Limited to Actual Net Expenditures
The Contractor agrees that if, for any mason
whatsoever, the Contractor shall spend during the
Term for the purposes set forth in the Contract an
amount less than, or receive amounts more than,
provided in the Budget, the total cost oftbe
Contract shall be reduced to the net amount of
actual Contractor expenditures made for such
purposes. The total amount to be paid by the
County shall not exceed the lesser of(i) actual
net expenditures or (ii) the total cost of the
Contract on the cover page and in the Budget.
Upon termination or expiration of the Contract, if
the Contractor's total amount of allowable
expenses is less than the total amount of the
payments made during the Term, the Contractor
shall prepare a check payable to the Suffolk
County Treasurer for the difference between thc
two amounts and submit such payment to the
County, along with the final Suffolk County
Payment Voucher.
Travel Costs
Reimbursement to the Contractor for travel costs
shall not exceed amounts allowed to County
employees.
Attendance at Conferences
Ail conferences that are partially or fully funded
by the County that the Contractor's staffwishes
to attend must be pre-approved, in writing, by the
County and must be in compliance with Suffolk
County Standard Operating Procedure A-07 and
Executive Order No. 4-2004.
Salaries
The Contractor shall not be eligible to receive
any salary reimbursement until proof of deposit
or payment of all withholding and payroll taxes
to the Federal/State governments has been
provided to the County.
Law No. IFMS No. 0000000
AAA Transportation No. 001-6806-4980-95285-
n. Salary lncreases
No salary, wage, or other compensation for the
Services shall be increased over the amount
stated in the Budget without the prior written
approval of the County.
o. Contractor Vacancies
The County shall have the right of prior approval
of the Contractor's filling of any vacant position
as of the date of execution of the Contract or as
may thereafter become vacant, and, in the
exercise of that right, the County may promulgate
reasonable regulations involving filling of
vacancies which shall be deemed to be
incorporated by reference in, and be made part
of, the Contract.
p. No Limitation On Rights
Notwithstanding anything in this Article V to the
contrary, the County shall have available to it all
rights and remedies under the Contract and at law
and equity.
q. Comptroller's Rules and Regulations
The Contractor shall comply with the
"Comptroller's Rules and Regulations for
Consultant's Agreements" as promulgated by the
County Department of Audit and Control and any
amendments thereto during the Term. The
County shall provide the Contractor with a copy
of any amendments to the "Comptroller's Rules
and Regulations for Consultant Agreements"
during the Term.
End of Article V
26 of 28 pages
ARTICLE V
~aw No.
AAA Transportation
Exhibit 1
Exhibit 2
Exhibit 3
Exhibit 4
Exhibit 5
Exhibit 6
Exhibit 7
Exhibit 8
Exhibit 9
Exhibit 10
Exhibit 11
IFMS No. 0000000
No. 001-6806-4980-95285-
Exhibits
not applicable - see cover page
Public Disclosure
Living Wage
Union Certification
Lawful Hiring
Certification Regarding Lobbying
Legislative Designated Funding Applications; Budget
Budget Modification Request
Budget/Services Revisions Approval
Standard Operating Procedure A-07 Amendment 1
and Executive Order 4-04
Comptroller's Rules and Regulations for Consultant's Agreements
Statement of Other Contracts
27 of 28 pages
~UFPOLK COUNTY DEPARTMENT OF LABOR -LIVING WAGE UNIT
NOTICE OF APPLICABILITY
OF LIVING W/IGE LAW
Living Wage Law, Suffolk County Code, Chapter 347 (2001)
To Be Completed By The Living Wage Unit
DATE: June 30, 2011
TO: Mary-Valerie Kempinski, S.C Office for the Aging
F~i ER~EM~H2~g..a ~s3~g' Direct ° r
VENDOR #: 11-6001939
REF: AAA Transportation Program
You are hereby notified that the response from Town of Southold has been evaluated by the Living Wage Unit
of the Suffolk County Department of Labor.
We find:
X The documents submitted with this contract/proposal are complete and conform to the
requirements of the Living Wage Law (Local Law #12-2001). The Awarding Agency may proceed with
the normal and customary procedure for administering contracts.
The documents submitted with this contract/proposal are not complete, or do not conform to
the requirements of the Living Wage Law (Local Law #12-2001).
Employers who fail to submit documents or information required to demonstrate compliance with the
Law shall be deemed non-responsive and subject to disqualification.
If the employer is presently under contract, the contractor shall be deemed non-compliant and the
appeals process shall be made available to said employer (Chapter 347-5 A & B).
LW~13
~l~°, ~..m~m i° tmlm'm m m to mm'"' cmi~ f~mmdm m m mi jo mmif, Pmmott, er dmmtr
Lqmm fmlm mira thmt h qmE m m C~emfy pmpm~ to.hdd mmmtinim to talK, pmunudm, er
IAmm fbmtbmr mira mm ifmm~ mmpmudimmu er m immmd to mbk/muaumm, er dm#r umdm amBmmhims m minim,
· h Imm m will ndqm4 m~ m mi d'h ~/mUmdm~ m Ilmmir hmmm~mml qmd.mhm&, lo l
h m&~m' mbm~'~--m ~lmmm~ d~ ~ ~ ~ ~' Omm~. IA.. mlnl immlmmb m Iht d'nhl
DOLl.O]
Town of Southold
53095 Main Road, P.O. Box 1179
Southold, NY 11971
Contact Person:
F~~. 11-6001939
Am~dA,m%~ ~ $ 5,402.
Vmk~
Karen McLaughtin, Director 631 298-4460
AAA - Transportation' Assistance Program - Regular Route and
Demand Responsive Transportatiop for Seniors
Scott A. Russell'~ Southold Town Supervisor
SUFFOLK COUNTY DEPARTMENT OF LABOR
NOTICE OF APPLICATION TO CERTIFY COMPLIANCE WITH FEDERAL LAW
(8 U.S.C. SECTION 1324A)
WITH RESPECT TO LA ~FUL H~NG OF EMPLOYEES
VERIFICATION OF SUBMISSION OF LAWFUL HIRING OF EMPLOYEE, V;
Suffolk County Code, Chapter 234 (2006)
To Be Completed By the Lawful Hiring of Employees Unit
DATE: June 30~ 2011
TO: Mary-Valerie Kempinski~ S.C Office for the Agino
FROM: Brenda l~nberg, Director
PHONE #: 853-t3808
EMPLOYER: Town of South#Id
VENDOR 0:11-6001939
REF 0: AAA Transportation Program
You are hereby notified that the submission from Town of Southold has been received by
the Lawful Hiring of Employees Unit of the Suffolk County Depat hnent of Labor. We find
that this submission is complete and is in compliance with the requirements set forth by the
Suffolk County Lawful Hiring of Employees Law (Local Law #52-2006).
LHE-3
(ovo7)
Certification Regarding LobbYing
For Contracts, Grants, Loans and Cooperative Agreements
(2) If anY funds other than: 8tnt~ or Fedl~l ~ fund~ have been paid or.adll
legklab've bodies In cmnectJm w~ mis =ontm~ grant, loan °r eoopmatim agreement,
the undemigr~l dtall metlde~ and nubfnlt Standard Form LLL,.'Dkdmmm Form to
(3) The undemigned~d~hmll require th~tihe inOu~ge of'thb =edillinlJon be irduded in
and contracts under grant~, loam, and coopendive agreements) and that afl
subrectpients shag.certify and disclose
when Ihb tmnee~im m mede or enl~ed into. 8ubmleeion of thb.oeH#imlion be
31, U.S. Code. Fellure to file the required ;e~iflmtion .hell be eubJ~ t~ ~vil peneb/by
the Federal government of not le~ then $10,00e end not more Umn $100,000 for eech
Town of Southold
Name of Grantee
Law No.
AAA Transportation
IFMS No. 0000000
No. 001-6806-4980-95285-
Exhibit 6
Budget
Town of Southold
AAA Transportations Program
April 1, 2011 - March 31, 2012
PERSONNEL
Driver
FRINGE
$6~000
6,000
300
SUBTOTAL
Less Anticipated Income
NET REIMBURSEMENT
$6,300
(898)
28 of 28 pages
COUNTY OFSUFFOLK
OFFICE OF BUDGET AND MANAGEMENT
CONTRACT BUDGET MODIFICATION REQUEST
The program budget contained in the Agreement of
COUNTY OF SUFFOLK and
Program Name
is hereby amended as follows:
~ontre~ No.
LINE
NUMBER $ CHANGE +
(HEADING) DESCRIPTION $ BEFORE $ AFI ~-R OR -
. c.ANGE OI
Except as set forth above, this budget modification shall not be deemed to change any condition or
provision in the said Agreement.
By: By:.
Name: Name: Holly Rhodes-Teague
T~tle: T'~ie: Director
Date: Dept: AGING
Agency: Date:
FOR THE COUNTY OF SUFFOLK
APPROVED BY:
DATE:
BUDGET DIRECTOR
NOTE: This form is not to be used to affect any net increase in the budget.
USE REVERSE FOR SUPPORTING STATEMENTS
Revision No:
Department:
Contract Budget Approval Form
Contractor:
Agreement No~
Agreement Period:
Date last executed/amended:
Budget Pedod to which this revision applies:
Identify the items that are being changed by this revision:
Budget:
Period Adopting
Amount of increase
Amount of decrease
New Budget amount for the period:
Revising
Copies of supporting documentation are attached as follows (check all that apply):
Resolution Budget Other
Approvals:
Department:
By:
Name:
Title:
Date:
Fiscal Unit:
By:
Name:
Title:
Date:
Division:
By:
Name:
Title:
Date:
Contractor:
By:
Name:
Title:
Date:
Federal Tax ID #:
County Executive Budget Office:
Approved __ Disapproved __
By:
Name:
Title:
Date:
Contract Budget Approval Form 2010
STANDARD
OPERATING
PROCEDURE
O~'lqC{ OF TI~ ~OUNTY ~
Numbs. A-O7
Amendment I
App,uved by:
TRAV~.L CONF{it~2MC{. AWl) I~I~TIN~ ATT~ND~
THIS SOP SUPERSEDES THE SHEETS IN THE SOP
MANUAL THAT IS IDENTIFUBD AS "SOP
DATED 4/2/W. HOLDERS OFTHE SOP MANUAL
SHOULD REMOVE AND DISCARD THE CITED
SHEETS AND REPLACE THEM WITH THIS
DOCUIVlENT.
1. ~n~se: This SOP details how employees mm obtain approval for conf~rmee
attendance, travel out of Suffolk County during ~ounty time fur conferences or
seminars, and government related meetings with an ovomi~lt stay.
2. Seon~: This SOP applies to ali County Employees in all county delmrtments,
offices, ~ agencies.
new procedure will require the booking of hotel accommodatirm_*, rmmi cars,
ai~lan¢ mlvel, nd AMTRAK bc handiccl through a designated Uuvel qmcy.
(1) A ~fe~en~ is defined as a ~ group of people assemblin~ together to
discuss a wide range of topics. The Anntml New York Sta~e Association of
Counties Conference is an example ofa confem~e.
(2) A Meetinn is defined as a one day, regularly scheduled or impromptu,
ga~ of people for a specific purpose. A meeting of the Legislaliv~
Subcommittee of the New York State Association of Counties is an example
ora meeting.
(3) A Sem~ is defined as a group of people assemblin~ for education or
mtining related to performance of a one's.job duties as a county employee.
A. Conreretces
1) No more lhan two (2) persons from a depanmcm will be perm' ~ff~__ to Mlmd a
conference, meeting, or seminar. Certain excel~inos will be granted if
conforencen meeting or mninor his propams with coaflJcting hours, if it
mtmdces (e.g, mandated training).
2) No rcimbm3emmt will be made for an ovcmight my in New York City, Nassau
or Suffolk County. Employees will be required to commute to cmifmmcaws
meetings, md s~ninars in tbesc locations. Rebnbursement for meals shall be
IL*nJted to those instances in which it is required by binding in,al obli~ttJm.
3) An application for conference sq_,~dance, and travel, Executive Foul 10, must be
submittod so that it mrives at the County Execufive*s Budget Office at lcef two
weeks prior to thc confcrmce d~ If an mcrgo~cy nmi to attmi a ccnfmn~ce
IVbne~me~ for epprov~l. Any applicmiom submitted inn than two (2)
prior to the conference date ehall be eutomefically denied, ~min~ a docemaeed
emergency ~ by m unfore~m event beyood the consol of the applic~n~ has
In no circumstsnces should en employee ene~d a conference before tbe
conference attc~dmce forms submitted after the date of the canfermce for
Attendance Fern and a pemmal day ~- vacatim day will have to be ~ by
such employee in thc ~ of such ~oval.
4) All travel ncedin~ hotel ~ccommodeflons, airline travel, car rental, snd AMTRAK
shall be en'an~ed through a desi~mued travel qcncy.
~) Supporting informatino such as brochures, pro.mn descripticos, itincmlcs,
Bxe~u~;ve Form # 10.
6) ..The Rules and Rogul~om ~ovm-nin~ ~rmvel ordm and ~-c-~:o~ts, promulpted by
7) Tbe box indicating "Total Cost of this Conference- md the section at tbe bottom
indicetln~_g "Travel Cost" and "Total Cost" should be filled in m~ all copies.
All applicafims for conference at~ will be returned to the respective department,
office or agency if any of the above procedures have not bcen adhered to.
COUNTY OF SUFFOLK
SteVe Levy
loo Vedmum Mmmmid ~llmu~
Bags 61~
HalqlpmillB Z~ IlTSe..N~9
EXECUTIVE ORDER NO. 4-2004
FROM:
RE:
NI Department Heads
Hon. Steve Levy, 8ulfolk County Executive
Travel Vouchers
Pursuant to Section 3-2 of the SUFFOLK COUNTY CHARTER, please be advised that any
requests for.approval or payment for travol wider Sections 2-16 and 3-2 of the SUFFOLK
COUNTY ADMINISTRATIVE CODE shall not be epprovod by the County F. xo~ive unless
it secures tho approval of tho Chief .Deputy County Executive .,nd Deputy County
Executivo for Finance and Menagemer~
All requests far such approvals sha~ be tiled with the Chief Deputy Courdy Executive.
/
cc: Henry L. Barton, Jr., Clerk of the Legislature
r:O4mvot-vouehers~l-2O04
COUNTY OF SUFFOLK
OFFICE OF TI~ CO[~fY gXI~OTIVE
ORDER NO. 1---'~ .~UPND~NG EXECUTIVE ORDER NO. 4-2004
TO:
FROM:
RE:
All Department Heads
Steve Lew, County Executive of Suffolk County
Travel Vouchers - Update
Please be advised that Executive Order No, 4-2004, Travel Vouchers, is hereby amended
to read as follows:
Pursuant to Section 3-2 of the SUFFOLK COUNTY CHARTER, please be
advised that any requests for approval or payment for travel under Seclions
2-16 and 3-2 of the SUFFOLK COUNTY ADMINISTRATIVE CODE shall not
be approved by the County Executive unless it secures the approval of:
[the] Chief Deputy County Executive.; and
[Deputy County Executive for Finance and Management]
Jeffrey R~ho, Deputy County Executive and Chief of Staff.
This Executive Order supersedes Executive Order No. 4-2004, Travel Vouohem.
DATED: Maroh f~.2005.
COUNTY EXECUTIVE OF SUFFOLK COUNTY
] Brackets denote deletion of existing language.
UndmiJning denotes addition of new language.
cc: Henry L. Barton, Jr,, Clerk of the Legislature
Kevin S. Law, Esq., Chief Deputy County Executive for Administration and
General Counsel
Paul Sat)atino II, Esq., Chief Deputy County Executive
Frederick B: Pollert, Deputy County Executive for Rnance and
Management
Jeffrey Szabo Deputy County Executive and Chief of Staff ·
Jeanine Dillon, Aa~ietant Deputy County Executive
Adam Santiago, County Executive Assistant, Intergovernmental Relations Divieion
Amy Engel, County Executive A~sistant
· Executive's Technology Unit
EO-1.200~Travel-Vo~em-updated
COLTNTY OF SUFFOLK
OFFI~ Olr THg COUNI~ ~
ORDER NO. 1A-_~9~-- -A-U=NDING _mtFCL~IlYE ORDER NO. 4-2004
FROM:
RE:
All Department Heads
Steve Levy, County Executive of Suffolk County
Travel Vouchers - Update
Please be advised that Executive Order No..4-2004, Travel Vouc, l~m, is hereby amended
to read aa follows:
Pumuant to Sectio~ 3-2 of the SUFFOLK COUNTY CHARTER, p~ea~e be
advised that any requem for approval or payment for travel and related.
expenses and'attendance under Sectioms [2-16 and 3-2] ~ of the
SUFFOLK COUNTY ADMINISTRATIVE CODE 8hall [not] ~lv be approved
by the County Executive [unless it secures tho o~3proval of] or I~.
1.) Paul SabatJno II, Chief Deputy County Executive; and
2.) Jeffrey Szabo, Deputy County Executive and Chief of Staff.
This Executive Order supersedes Executive Order No. 4-2004, Travel Vou~hem.
COUNTY EXECUTIVE OF SUFFOLK
COUNTY
[ ]Braekets denote deletion of existing language.
Underlining denotes addition of new language.
Hemy L Breton, Jr., Clerk of the Legislature
Kevin S. Law, Esq., Chief Deputy County Executive for Administration and
General Counsel
Paul 8abatino II, Escl., Chief Deputy County ExectJthm
Frederick B. Poilert, Deputy County Executive for Rnance and
Management
Jeffrey S:,,,ho Deputy County ExacutNe and Chief of Staff
Jeanine Dillon, Assistant Deputy County Executive
Adam Santiago, County Executive Assbtant, Intergovernmental Relations Division
Amy Engef, County Executive A~slstant
Ex~'$ Technology Unit
EO,1A-2OO~-Tmvei-Vou~sm-up~ 1A
COUNTY OF SUFFOLK
OFFICE OF THE COUNTY COMPTROLLER
JOSEPH SAWICKI, JR.
Comptroller
DEPARTMENT OF AUDIT AND CONTROL
Comptroller's Rules and Regulations
for Consultant's Agreements
Revised 12/2009
TABLE OF CONTENTS
Purpose ....................................................................................... 1
Scope .......................................................................................... I
Definitions .................................................................................... 1
Allowable Claims ........................................................................... 1
Clan Submission ........................................................................... 2
Out of Pocket Expenses ................................................................... 3
Sub-Contractor Claims ..................................................................... 5
Certified Statements ........................................................................ 6
EXHIBITS
EXHIBIT A
EXHIBIT B
EXHIBIT C
County of Suffolk, Standard Payment Voucher
FORM PV ...................................................... 8
Consultant's Time Summary
- FORMA&C108 ............................................. 9
Consultant's Expense Summary
FORM A & C 109 ............................................ 10
1
1. Purpose - This manual es~ablisbes procedures for the reimbursement of
expenditures for consultants under contract with the County.
2. Scope - These instructions apply to all County departments and agencies utilizing
consultant services.
3. Definitions
a. Consultant - An individual or firm engaged to provide outside
professiomd services to Suffolk County departments and agencies.
b. Consultant's Agreement- A written contract describing the specific
services to be rendered by the consultant and the amount and temm of
payment for the services to be made by the County. The consultant's
agreement shall constitute the sole authorization for payment of claims.
The consultant's agreement shall be prepared in accordance with the
County Executive's Operating Procedures, SOP # 1-05. Non-specific
general purpose or lump sum payment agreements are not recommended.
4. Allowable Claims - Only claims which are submitted for expenditures
specifically identified in the agreement will be approved for payment. Generally,
the agreement will stipulate a maximum fee for services rendered which is based
upon a rate per day or per hour. Accordingly, a rate schedule is an integral part of
each consultant's agreement. Increases will be allowed only by amendment to the
agreement. Out-of-pocket exponditures are reimbursable ifil is so stipulated in
the consultant's agreement.
2
Claim Submission- Consultants should submit their claims for reimbursement
through the County department or agency responsible for the consultant's
assi~ment, using appropriate forms, as indicated below:
a. Claim Voucher- A County of Suffolk Stand~wd Payment Voucher Form
(Exhibit A) must accompany each consultant claim. The claim voucher
should refer to the consultant's agreement under which payment is
requested and indicate the category of expenses or contract covenant
applicable to the claim voucher. It should be initialed by the departmental
unit representative under whose supervision or jurisdiction the work was
performed, signifying that the consultant has complied with all the terms
and conditions of the agreement under which the payment is requested.
The voucher must then be signed by the department head or his duly
authorized representative and forwarded to the Depaxtment of Audit and
Control for payment.
b. Consultant's Time Summary. FORM A&C 108 (Exhibit B) - The
Consultant's Time Summary should be used to record daily hours worked
by each staff member of the consultant working on the project. Space is
provided to record and extend the hours and wages of each staff member
assigned to the project on one form. The completed FORM A&C 10g
must be signed by and authorized individual of the consultant's firm. It
should then be attached to the County of Suffolk Standard Payment
3
voucher form. A copy of the consultant's payroll register with a cover
letter indicating the individuals charged to the project for the claim period
will be accepted as a substitute for the Consultant's Time Summary.
c. Consultant's Expense Summary, FORM A&C 109 (Exhibit C)- The
Consultant's Expense Summary should be used to detail expenses for
travel, meals, lodging or other necessary and reasonable out-of-pocket
expenditures incurred on the project. Each expense item should be
documented by a receipted bill, sales slip or invoice which totals the daffy
expenditures shown on the form. The completed FORM A&C 109 must be
signed by an authorized individual of the consultant's fum. It should then
be attached to the Couuty of Suffolk Standard Payment Voucher Form.
6. Ou~-of-Pocket Expenses - If these expenses are reimbursable under the
consultant's agreement, the following rules and guidelines should be considered
before incurring such expenses and submitting claims:
a. Meals- Meals are reimbursable under a consultant's contract only if the
purpose of the meal is valid, that is, authorized under the conlract as
sustenance while traveling. Effective October 1, 2009, the per diem meal
allowance shall be in accordance with the current maximum
reimbursement rate for food as established by the U.S. C,~neral Services
Administration for the New York region. As published in 1RS Publication
1542 (rev. October 2009), the 2009 per diem meal and incidental rote is
4
$71.00 per diem including tax. Audit and Control should be contacted for
allowable rates for future fiscal periods. (Gratuities, at a reasonable and
customary rate, shall be reimbursed over and above the state limits).
The County will not honor claims for the reimbursement of "business
meals" submitted by members of the consultant's firm who are not
traveling out of town (overnight) in performance of the contract. Where a
consultant meets the.necessary criteria to be reimbursed for meals, no
receipts will be necessary but a certified statement will be required.
b. Lod£in~ - Effective October 1,2009, claims for lodging will be
reimbursed at a rate not to exceed the current maximum reimbursement
rate for lodging as established by the U.S. General Services
Administration for the New York region as published in the IRS
Publication'1542 (rev. October12009). The 2009 per diem rate for
lodging is $130.00 including taxes. Claims for lodging must be
accompanied by paid receipts. Audit and Control should be contacted for
the allowable rate for future fiscal periods.
c. Airfare - Airfare will only be reimbursed at the economy coach rate and a
receipt will be necessary. Individuals choosing to fly first class will not be
reimbursed for the p~eafum expenses incmxecl.
d. Mileage - The County will reimburse mileage claims in accordance with
the applicable current rate allowed by the U.S. Internal Revenue Service.
As of January 1, 2009 the rate is $.55 per mile and January 1, 2010 the
5
rate is $.50 per mile. The consultant must provide origin, destination and
miles traveled for each trip. Audit and Control should be contacted for the
allowable rate for f~ture fiscal periods.
e. Taxis - Taxi fares up to $25.00 will be reimbursed based on actual receipt
or certified statement. Any taxi expenses in excess of $25.00 per trip will
require receipts. Receipts and certified statements shall include origin and
destination, as well as the purpose of the ~p.
f. Subways and Buses (local~ - A certified statement will be adequate
documentation for these expenses.
g. Tolls - Receipts or certified statement will be adequate documentation for
these expenses.
h. Telenhone Exvenses - Telephone expenses up to $25.00 per month will be
reimbursed based on a receipt or certified statement. Telephone expenses
totalin4~ over $25.00 will require copies of the telephone company bills
with the appropriate calls circled.
i. Photocopies - In lieu of a specific contract for photocopies, the CounVy
will reimburse at a cost not to exceed $.15 per copy, including labor. A
certified statement will be adequate documentation for reimbursement.
Sub-Contractor Claims - When the consultant is authorized in the Consultant's
Agreement to hire a sub-con~'actor, the Comptroller's Office should be supplied a
copy of the sub-contractor's agreement. Claims will not be processed if they are
6
not in compliance with the contract between the Consultant and the County. The
reporting requirement of thc sub-contractor will be the same as that of the
Consultant. Details of all expenditures claimed must be documented in the same
manner. If the sub-contractor's agreement with the Consultant is a lump-sum
payment agreement, detailed documentation r~porting requirements are waived.
Certified Statements - When the consultant incurs minor ffavel or other out-of-
pocket expenses for which receipts are not available, he shall prepare an itemized
statement detailing the type and amount of expense, including the time, date, and
place incurred. After summarizing expenses claimed, the consultant mint add and
sign the following certification terminology:
"The above expenses are true and just and are a result of business
conducted in accordance with the terms of the contract with Suffolk County,
and have not be been previously paid."
Signature of Authorized P~n~on
EXHIBITS
~]msofMMf~nbe~ 17 18 19 ~0 21 ~2 ~3 ~ ~S ~6 ~7 Z8 ~9 JO ~1 ~ ~SJ~H~ ~
$
E,YImuT C
CONTRACTOR NAME
ADDRESS
CONTACT
STATEMENT OF OTHER CONTRACTS
Town of Southold Senior Services
750 Pacific Street, P.O. Box 85, Mattimck, New York
~ McLau~hlin~ Director
11952
PHONE NUMBER 631 298-4460
AGREEMENT TERM OF
PROGRAM NUMBER CONTRACT WITH AGRP. EMENT AMOUNT
III-C-I Congregate No-001-6790/6796/6774- Suffolk County Office for 01/01/11 - 12/31/11
Nutrition Program 4 980 the A~n~ Fourth Amendment $ 76,075.00
HI-C-2 Home Delivered No-001-6776-3330-95284- Suffolk County Office for 01/01/11 - 12/31/I 1
Meal Pmsram 1792 the A~n~ Fourth Amendmem $ 166,038.00
Transl,,tuition Assistance 1%-001-6806 4980-95285 Suffolk County Office for
Pt'osram 1389 the A$in$ 04/01/10 - 3/31/11 $ 4,986.00
CSE Residential Repair No-001-6777-4980 Suffolk County Office for
Prolgam 95285-4680 the A$ing 04/01/11 - 03/31/12 $ 20,400.00
Indicate (a) type of organization - County, State, Federal or Other and (b) name of Department, Agency or Organization.
6/2011 STATEMENT OF OTHER CONTRACTS 05
COUNTY OF SUFFOLK
OFFICE OF THE COUNTY COMPTROLLER
JOSEPH SAWICKI, JR.
Comptroller
June 25, 2012
Ms. Karen McLaughlin
Town of Southold
53095 Main Road, P.O. Box 1179
Southold, NY 11971
Dear Ms. McLaughlin:
In accordance with Suffolk County Local Law No. 9-2001, "A Charter Law To Reqmre
Annual Expenditure Disclosure For Contract Agency Funding," your agency is required to
complete the attached Contract Agency Disclosure Form(s).
Instructions for the completion of the form are attached for your convenience. Each form
includes agency and program data that was entered based on information provided by the County
department responsible for the oversight of your contract. A separate form should be completed
for each of your contracts with Suffolk County. Please be aware that you are now required to
provide a listing of all employee salaries for 2011 with your Disclosure Form. If you have any
questions regarding completion of the form, please call 631-853-5061.
Please complete and return the Disclosure Form(s), along with a copy of your agency's
most recent audited financial statements, IRS Form 990 or a Profit/Loss Statement and Balance
Sheet to the following address, no later than July 31, 2012.
Attn: Contract Compliance Unit
Suffolk County Comptroller's Office
H. Lee Dennison Building
100 Veterans Memorial Highway
P. O. Box 6100
Hauppauge, NY 11788
Failure to comply with this request will result in a suspension of payments and
recommendation to eliminate funding for your program(s) in the County's 2013 operating budget.
Thank you for your anticipated cooperation.
Very truly yours,
Frank Bayer, CPA
Executive Director of Auditing Services
H. LEE DENNISON BUILDING · 100 VETERANS MEMORIAL HIGHWAY · P.O. BOX 6100 · HAUPPAUGE, NY 11788-0099
(631) 853-5040 Fax (631) 853-5057
KAREN McLAUGHLIN
Town Dir~tor of Human
Services
Town of Soulhold
750 Pacific Street
P.O. Box 85
Mattitucl~ NY 11952
T~L (63 !) 298-4460
Fax (631) 2984462
Nutrition Program
Home l~liv~md M~mls
Cas~ Management
Esamtial Transportation
Sealor Adult Day Care
Kat/nka House
Telephone Reassurance
R~idonfi~l R~ir
July 19, 2012
Frank Bayer, CPA
Executive Director of Auditing Services
Contract Compliance Unit
Suffolk Couuty Compi~ollar's Office
P.O. Box 6100
Hauppauge, New York 11788
Dear Mr. Bayer:
Enclosed please find the completed Contract Agency Disclosure Forms for Southold Town for
the following programs:
,-, Transportation/lssistance Program for the Elderly
r, CSE-Residential Repair for Seniors
llI-CNutrition Programs for the Elderly
Also, included is a listing of salaries for employees of the Town of Southold and the Town's
most recent financial statement (2011) per your request. Please contact me at 2984460 should
you have any questions or need additional information. Thank you.
Very truly yours, ~
Town Dire~t0r of Human Services
CONTRACT AGENCY DISCLOSURE FORM
(For 2013 Budget Process)
Contract Agency Information Page 1 of 4
Before completing this form, please read the instructions in order to ensure that accurate,
relevant and consistent information is provided. If you have any questions regarding
completion of this form, please refer to the contact information in the attached letter.
Please Note: In addition to completing this form, please be sure to provide a copy of your
Agency's Financial Statements, IRS Form 990 or a Profit/Loss Statement and Balance Sheet
for your most recent fiscal year. Please also provide a listing of all salaries paid to your
employees for the 2011 calendar year (Ex: Year end payroll repot0.
Control Number 120476 ]
Activity Code
Suffolk County Office Use Only
Entered By ~ Reviewed By ~ Date Received
Financial Statement Type: ] ......... ] Notes I
Department
Division
Fund ~
IOffice for the Aging
Agency ~'~ Org 168061 Object 14980 ]
If any of the information below has changed, you may cross out the printed information and fill
in the correct information.
Contract Amount: 2011 Actual: l
$5,402 ] 2012 Estimate: l
$5,402
Contractor Name:
Program Name:
Contractor Phone Number:
Contractor Contact Name:
Contractor Street Address:
Contractor City Address:
Contractor State Address:
Contractor Zip Code:
Town of Southold
Transportation Assistance Program
~631)298-4460
I Extension:
[Karen McLaughlin [
[53095 Main Road, P.O. Box 1179
[.s?~[hold
[11971 I
."Control Number ] 20476 Activity Code
Contract Program Revenues.
Part I - ~overnment Grants
I) Total mnount of revenue received fi'om Suffolk County for Contract
Program.
l"a§e 2 ol q.
~011 Actual 2012 Estimated
5,402 ] 5,400
2) Total revenue m*,eived directly fi'om State Oovermnent for the
Contract Program. Please identify names and amounts of grant(s):
3) Total reve~me rex~ived directly from Federal Government for the ]
Contract Program. Please identify names and amounts of grant(s}:
4,1 Total revenue received directly from all other Municipalities for the
Contract Program, Please identify names and amounts of grant(s):
Town of Southold
12,108 14,883
Part 2 - Medie~re/Medicaldt Fundralsinv and All Other Revenues
5) Total revenne received fi'om Medicare/Medicaid for the Contract I'
Program.
0 I 0
6) Total Fund Raising revenue received for the Contract Progrmn. 0 J 0
7) Total amount of other t~evenues received for the Contract Program.
Please identify types of revenues and amounts below:
2,203 I 3,200
8) Total Contract Program Revenue (&ad ],t.c~ ~.?~ 19,713 I 23,483
Control Number Page
20476 Activity Code I "
Contract Program Expenses
.p.art 3 - Direct Contract Program Expenses
9) Direct Contract Program Salaries '
10) Direct Contract Program Fringe Benefits
1 I) Direct Contract Program Fee for Service
12) Direct Othe,' Contract Program Expenses
13) Total Direct Gourmet Program Expenses
(Add L~nes 9 through [2)
2011 Actual 2012 Estimated
i 191~1'~ .... i 23483
Part 4 - Administrative Contract Program Expenses 201! Actual 2012 Estimated
4 Adm'nist,,,i eCout,'a tProg mSala ies i 0 "'i" 0 '"
15) Administrative Contmnt Program Fringe Benefils 0 0
16) Administrative Contract Program Fees I 0 { 0
17) Other Administrative Contract Program Expenses I' ' 0 I 0
18) Total Administrative Contract Program Expenses I 0 I 0
(Add Lines 14 (hrot~gh 17)
19) Total Contract Program Expenses
(Add t,h~es 13 and 18)
20) Please provide a short description of your Direct Contract Program Expenses:
Direct Contract expenses include a percentage of the salary and fi-inge benefits
for a part-time Driver in operating AAA Transportation Program
,.,Part 5 - Top 5 Agency Employee Salari~
[*.i All Volunteers [] No Salaries lfi0K+, Ha~l copy available
Emnlovee Nqme Emnlovee Title
Carlisle E. Cochran, Jr. I Police Chief 'j 339,726.37
2'['"KeVinJ. Lynch t Police Sergeant '[' 258,976.85
4' [ Martin Flatley [ Voli~ 'C~ef I 175,891.09
Amount of Salary
Charged to the
Contract Program
' .00 '
l, .00
[ .00
[" .00
'[ .00
Control Number ] '20476 Aetivily Code ] '
Agency Information
Part 6 - Financial and Other Agency Information
21) Total Agency Support and Revennes
22) Total Agency Program Expenses
23) Total Agency Administrative Expenses
24) Total Agency Expenses (Line 22 ~.* Ll,, esi
25) Total Agency Net Income/(Loss) (u,,e 2i ,.is.$ Line 24)
26) Please indicate your fiscal year if it is not the calendar year:
27a) Is your agency affiliated with any other corporations ? (Yes / N
27b) If yes. name corporation(s), and explain your agency's affiliation:
Page 4 of 4
2011 Actual 2012 Estimated
37,180,606.13 37,298,915.00
iL,269.91 t 33,423,995.0°
5,274,774.74 t ' 6.211,777.00
39,635,772.00
~i (2,336,857.00)
[] Yes [] No
28) Does your Agency: (Check all that apply, if none apply please check the box marked not applieabl~)
[] Administer a corps of volunteers [] Administer the collection and distribution of food lo
[] Admini~er federal, stale or other pass through funding the needy
[] Not Applicable for my Agency
[] Disseminate educational materials ~or a public purpose
29) ! certify that enclosed herein, along with my disclosure form, is my Agency's most recent
financial report (audited or unaudited Financial Statements, IRS form 990 or Prefit/Lesa
Statement); and a listing of all 2011 salaries paid to my Agency's employees.' I understand that if
the required financial reports are not enclosed my Agency will be deemed Non-Compliant until 1
have submitted the required report to the Comptroller's Offles.
Form Prepared By Title Phone Number
[ KarenMcLat~hlin ~ i TownDirectorofHumanServi[es 631-298-4460
Ageoey Program Contact Title Phone Number
If you would prefer to be contacted via E-mail, please enter an E-mail address whe~e we may contact you in
the event that we have any questions t~garding the completion of this form (Optional):
I eet'ti~to the best of my knowledge and belief, fha! all of the information provided on this fon~ is true and
correct/
~~ Supervisor July 13. 2012
Activity Code
EXECUTIVE
Department I
Division I Oaice for the Ag!ng I
~u~d 1001 I ^gency
CONTRACT AGENCY DISCLOSURE FORM
(For 2013 Budget Process)
Contract Agency Information Page 1 of 4
Before completing this form, please read the instructions in order to ensure that accurate,
relevant and consistent information is provided. If you have any questions regarding
completion of this form, please refer to the contact information in the attached letter.
Please Note: In addition to completing this form, please be sure to provide a copy of your
Agency's Financial Statements, IRS Form 990 or a Profit/Loss Statement and Balance Sheet
for your most recent fiscal year. Please also provide a listing of all salaries paid to your
employees for the 2011 calendar year (Ex: Year end payroll repor0.
Suffolk County Office Use Only
Control Number 120477 ] ~ntered By ['~ Reviewed By ['~ Date Received I
I Notes [
If any of the information below has changed, you may cross out the printed information and fill
in the correct information.
2011 Actual: I
ITown of Southold
ICSE
- Residential Repair
Contract Amount:
Contractor Name:
Program Name:
Contractor Phone Number:
Contractor Contact Name:
Contractor Street Address:
Contractor City Address:
Contractor State Address: '
Contractor Zip Code:
1(631) 298-4460
$18,274
[Karen McLaughlin
2012Estimate: [_ $16,381 ]
]Extension:
53095 Main Road, P.O. Box 1179
[S~u~0ld
Il 1971 ~
· ~ Control Number t'age ;z ol '~
20477 Activity Code
Contract Program Revenues
Part I - Government Grants
I) Total amount of revenue received fi~om Suffolk County for Coalraet
ProgmnL
~011 Actual 2012 Estimated
[ 17,691 I 20,400
2) Total revenue received directly fi'om State Oovernmenl for the
Contract Program, Pleas~ identify names and amounts of grant(s):
3) Total revenue received directly from Federal Government for the
Contract Program. Please identify ~mmes and amounts of grant(s):
4) Total revenue received directly from all other Municipalities for the
Contract Program. Please identify names and amounts of grant(s):
Town of Southold
Part 2 - Medicare/Medicaid, Fundraising and All Other Revenues
5) Total revenue received fi'om Medicate/Medicaid for the Contract
Program.
6) Total Fund Raising revenue received for the Contract Program.
0
0
7) Total amount of other t~ovenues received for the Contract Program. I 968
Please identify types of revenues and amouuts below:
1,100
8) Total Contract Program Revenue tsaa~a.est.?~ {' 28,525 { 28,259
· ~ .. Page 3 of 4
Control Numbea' [ 19680 Activity Code I
Contract Program Expenses
Part 3 - Direct Contract Program Expenses ~01 i Actual
9) Direct Contract Program Salaries '
10) Direct Contract Program Fringe Benefits
1 I) Dire, et Contract Program Fee for Service
12) Direct Other Contract Program Expenses
13) Total Direct Contract Program Expenses
(Add Lines 9 through 12)
569,311
170,793
o
213,212
953,316
2012 Estimated
600,002
180,001
0
243,850
1,023,853
Part 4 - Administrative Contract Program Expenses 20/1 Actual
14) Administrative Contract Program Salaries
15) Administrative Contract Program Fringe Benefits
16) Administrative Contract Program Fees
17) Other Administrative Contract Program Expenses
18) Total Administrative Contract Program Expenses
(Add I,ines 14 through 17)
19) Total Contract Program Expenses
[ o,
2012 Estimated
..... 0"
0
o
o
953,316 '[ ' 1,023,853 ' '
20) Please provide a short description of your Direct Contract Prograt~ Expenses:
Part 5 - Top 5 Agency Employee Salaries
I',] All Volutl oor$ [] No $~lartes I§0K+, Hard oopy available
Employee Name Employee Title 2,011 Sa!ar¥
~.1 Carlisle E. Cochran, Jr. I Police Chief ] 339,726.37
2, I'""Kevin J. Lynch I Police Sergeant 258,976.85
3, I' James D. Franke I Police Officer [ 211,7')n,69
4' i- M&rtin Flatley I Polic'e ~h'i~ f 175,891.09
5. t' Oinks I Po"ce Set,can, fi6 .77 '.i2
Amount of Salary
Charged to the
Contract Program
i .00
I. .00
[ .00
' I .00
[ .00
Page 4 of 4
Control Number 119680 Activity Code i '
Agency Information
Part 6 - Financial and Other Agency Information
21) Total Agency Support and Revenues
22) Total Agency Program Expenses
23) Total Agency Administrative Expenses
24) Total Agency Expenses ~Li.~: pt., Un. ~Sl
25) Total Agency Net Ineomed(Loss) tu.e :J el.us u.e :41
26) Please indicate your riseal year if it is not the calendar y~ar:
27a) Is your agency affiliated with any other corporations ? (Yes / N
27b) If yes, name corporation(s), and explain your agency's affiliation:
201,,1 Actual 2012 Estimated
37,180,606.13 137,298,915.00
31,124,269.91 33,423,995.00
5,274,774.74 6,211,777.00
~[ (2,336,857.00)
[] Yes S] No
28) Does your Agency: (Check all that apply, if none apply please check the box marked not applicable)
[] Administer a corps of volunteers [] Administer the collection and distribution of fuod to
[] Administer federal, state or other pass through funding the needy
[] Not Applicable for my Agency
[] Disseminate educational materials for a public purpose
29) i certify that enclosed herein, along with my disclosure form, is my Agency's most recent
financial report (audited or unaudited Financial Statements, IRS form 990 or Profit/Loss
Statement); and a listing of all 2011 salaries paid to my Agency's employees. 'I understand that if
the required financial reports are not enclosed my Agency will be deemed Non-Compliant until !
have submitted the required report to the Comptroller's Office.
Initials
Form Prepared By Title Phone Number
IKaren McLaughlin Director of Human Services 631-298-4460
Agency Program Contact Title Phone Number
sam; I I
If you would prefer to be contacted via E-mail, please enter an E-mail address where we may contact you in
the event that we have any questions regarding the completion of this form (Optional):
karen.mclaughlin~town.southold.ny.us
I certi~/]o the best of my knowledge and belief, that all &the information provided on this form is true and
corre~./
_~_a~O~t~~ Supervisor July 13, 2012
CONTRACT AGENCY DISCLOSURE FORM
(For 2013 Budget Process)
Contract Agency Information Page 1 of 4
Before completing this form, please read the instructions in order to ensure that accurate,
relevant and consistent information is provided. If you have any questiogs regarding
completion of this form, please refer to the contact information in the atthched letter.
Please Note: In addition to completing this form, please be sure to provide a copy of your
Agency's Financial Statements, IRS Form 990 or a Profit/Loss Statement and Balance Sheet
for your most recent fiscal year. Please also provide a listing of all salaries paid to your
employees for the 2011 calendar year (Ex: Year end payroll report).
Activity Code
Suffolk County Office Use Only
Control Number 119680 ] Entered By [--~ Reviewed By [--~ Date Received
[ J Financial Statement Type: I l Notes [
Department IEx cu E I
Division [Office for the Aging' [
Fund [001 [ Agency ~ Org ~ Object [4980
If any of the information below has changed, you may cross out the printed information and fill
in the correct information.
Contract Amount: 2011 Actual: [ $224,248 ] 2012Estimate: [ $249,353
Program Name: [IIIC Nutrition
Contractor Phone Number: [(631)298-4460
Contractor Contact Name:
Contractor Street Address:
Contractor City Address:
Contractor State Address:
Contractor Zip Code:
[Karen McLaughlin
Extension: 1_ __ ]
53095 Main Road, P.O. Box 1179
[S_°uth°ld~
I.!1971
~ControlNumber
9680 Activity Code [
Contract Program Revenues
Part 1 - Government Grants ,2011 Actua,!
i '
l) Total amount of revenue received from Suffolk County for Contract 224,248
Program.
2) Total revenue received directly from State Government for the
Contract Program. Please identify names and amounts &grant(s):
Page 2 ol ,~
2012 Estimated
242,000
3) Total revenue received directly from Federal Government for the
Contract Program. Please identify names and amounts &grant(s):
I 0 [ 0
4) Total revenue received directly from all other Municipalities for the
Contract Program. Please identify names and amounts of grant(s):
Town of Southold.
Part 2 - Medicare/Medicaid, Fundraising and All Other Revenues
5) Total revenue received from Medicare/Medicaid for the Contract [' 0 I 0
Program.
6) Total Fund Raising revenue received for the Contract Program.
7) Total amount of other revenues received for the Contract Program.
Please identify types of revenues and amounts below:
South Oaks Hospitak - Community Integration Grant
Participant Contributions III-C Nutrition Programs for the Elderly
i 119,242 [ 119,000
9,000 0
110,242 119,000
8) Total Contract Program Revenue {naa~,es~-TI i 953,316 [ 1,023,853
Control Number Page 3 of 4
I 19680 Activity Code ] .....
Contract Program Expenses
Part 3 - Direct Contract Program Expense~ 2011 Actual
9) Direct Contract Program Salaries ' i 569,311
I0) Direct Contract Program Fringe Benefits 170,793
I I) Direct Contract Program Fee for Service J' 0
12) Direct Other Contract Program E×penses I 213,212
13) Total Direct CoHtract Program Expenses [ .... ¢~31316
(Add Lines 9 through 12)
2012 Estimated
600,002
180,001
0
243,850
1,023,853
Part 4 - Administrative Contract Program Expensea 2011 Actual
2012 Estimated
ministmtive Coqtract Program Salaries 0 0
15) Administrative Contract Program Fringe Benetlts i ..... 0 } 0
16) Administrative Contract Program Fees I ' 0 - ['" ' ' 0
17) Other Administrative Contrac! Program Expenses J' 0 I 0
18) Total Administrative Contract Program Expenses I' 0 i' 0
(Add I,{ncs 14 thmug,~ 17}
19) Total Contract Program Expenses
(Add t.in~s 13 and 181
953,316 I ..... 1,023,'853''
20) Please provide a short description of your Direct Contract Program Expenses:
Part 5 - Top 5 A~encv Employee Salarie-~
I.} All Volunloers E} No Salaries lfiOK+, Hard copy available
Emolovee Name gmnlovee Title ~
I. i Carlisle E. Cochran, Jr. I Police Chief ] 339,726.37
3'1 JamesD. Franke I PoliceOfficer I"' 211,7')4.69
4.] Martin Flatley [ Police Chief f 175,891.09
5. [ 'James'A. Ginas [ Police Sergeant C i65,774'. 12
Amount of.Salary
Charged to the
Contract Program
.00
I. .00
.00
.00
.00
Control Number J 19680 Activity Code } '
Agency Information
Part 6 - Financial and Other Apenev Information
2 I) Total Agency Suppert sod Revennes
22) Total Agency Program Expenses
23) Total Agency Administrative Expenses
24) Total Agency Expenses (Li.e :: ~,~., U.c :al
25) Total Agency Net Income/(Loss) (u.e :l m~.us u.e z4)
26) Please indicate your fiscal year if it is nol the calendar year:
27a) Is your agency affiliated with any other corporations ? (Yes / N
27b) If yes, name corporation(s), and explain your agency's affiliation:
Page 4 of 4
2011 Actual 2012 Estimated
137,180,606.13 137,298,915.00
I 31,124,269.91 'i 33,423,9~:07
I 781,561.48 1(21336,857.00)
[] Yes [] No
28) Does your Agency: (Check all that apply, if none apply please check the box marked not applicable)
[] Administer a corps of volunteers [] Administer the collection and distribution of food lo
[] Administer federal, state or other pass through funding the needy
[] Not Applicable for my Agency
[] Disseminate educational materials for a public purpose
29) I certify that enclosed herein, along with my disclosure form, is my Agency's most recent
financial report (audited or unaudited Financial Statements, IRS farm 990 or Profit/Loss
Statement); and a listing of all 2011 salaries paid to my Agency's employees,' I understand that if
the required financial reports are not enclosed my Agency will be deemed Non-Compliant until !
have submitted the required report to the Comptroller's Office.
Initials
Form Prepared By Title Phone Number
jKar;nMcLaughlin ~i~ .... ~~S;~C~S" I' 631-~;8-4460
Agency Program Contact Title Phone Number
isa;; ................ l'""" ....... I
If you would prefer to be contacted via E-mail, please enter an E-mail address where we may contact you in
the event that we have any questions regarding the completion of this form (Optional):
J' karen.mclaughlin~i0~vn.sot~th0id.x~y, us .........
l certi~.~o the best of my knowledge and belief, that all of the info,'mation provided on this form is true and
COrreCt,/
~_a. to' ./~--~/~ Supervisor Julv 13. 2012
Sign Name Title Dale
Town of Southold - Year End Payroll Report (2011)
Employee Name
SAUTKULIS/MARGARET H
DEUEL/MARIE
TAYLOR/BARBARA D
REIDY/MARGAUX J
5CHROEDER/ROBERT R
TAYLOR/LYN DSIE J
FAULKNER/PATRICIA J
SALZMANN/DENIS M
CONROY/MICHAEL L
WHYARD/SEAN M
DOROSKI/JORDAN P
ALLEN/DEBORAH M
BARRY/ROBERT J
METZ/EMILY H
COMANDO/DAVID
ATKINSON/PHYLLIS
MCCONLOGUE/DANIEL J
SCHULTHEIS/GERARD H
WELLS/CARA J
WIGGINS/JONATHAN
WORTHINGTON/BRETON S
METZ JR/KEVIN D
GOLDING/AGNIESZKA
GRAMAZIO/RICK A
5TROMSKI/SARAH L
GADOMSKI/HEATHER M
QUINTANA/ARTHUR
RUDDER/BARBARA A
HORN/SUSAN E
TULLY/PAUL H
FARRELL/RYAN S
PARMA/KEVIN E
CHYLINSKI/EMMA A
YUELYS/MARGARITE M
MCDONNELL/JESSICA L
5COTT/KATHRYN P
SKINNER/MATTHEW R
DELLAQUILA/MAI-rHEW C
HALLOCK/MATTHEW L
KUMJIAN/CLAUDE L
MEGEY JR/MICHEL V
KNOTE/BRITrANY E
ROSS/MEGAN N
NORBERG/SEAN C
Employee Title
LIFEGUARD TRAINER
DETENTION ATFENDANT
DETENTION ATFENDANT
LIFE GUARD
AEO
LIFE GUARD
SENIOR CITIZEN AIDE II
SCHOOL CROSSING GUARD
PUMP-OUT BOAT OPERATOR
LIFE GUARD
LIFE GUARD
HOME HEALTH AIDE
PUMP-OUT BOAT OPERATOR
BEACH ATTENDANT
PUMP-OUT BOAT OPERATOR
BOARD OF ASSESSMENT RVW
BOARD OF ASSESSMENT RVW
BOARD OF ASSESSMENT RVW
BOARD OF ASSESSMENT RVW
BOARD OF ASSESSMENT RVW
LIFE GUARD
BEACH ATTENDANT
CLERK TYPIST PT
BEACH ATTENDANT
8EACH ATTENDANT
BEACH ATTENDANT
BEACH MANAGER
ADMIN ASSISTANT (ACCT)
SCHOOL CROSSING GUARD
SCHOOL CROSSING GUARD
LIFE GUARD
LIFE GUARD
RECREATION SPECIALIST
BEACH ATTENDANT
RECREATION SPECIALIST
LIFE GUARD
PUMP-OUT BOAT OPERATOR
LIFE GUARD
LIFE GUARD
PUB. SAFETY DISPATCH. I
LIFE GUARD
LIFE GUARD
LIFE GUARD
LIFE GUARD
2011 Gross Earnings
253.84
356.18
379.92
632.84
711.79
711.95
752.50
775.53
816.00
1,077.96
1,120.86
1,183.08
1,192.00
1,204.14
1,276.00
1,389.00
1,389.00
1,389.00
1,389.00
1,389.00
1,443.04
1,481.56
1,550.25
1,701.38
1,836.90
1,907.31
1,968.59
2,000.00
2,074.44
2,154.50
2,232.36
2,232.36
2,405.26
2,474.70
2,539.82
2,563.08
2,592.00
2,886.08
2,991.82
3,193.88
3,197.08
3,219.14
3,294.48
3,315.26
Page 1 of 8
Town of Southold - Year End Payroll Report (2011)
Employee Name
MARRON/CHRISTIANA C
CROTEAU/IVY J
WOOD/MAEGHAN A
SCHWARTZ/KEVlN J
STAVROPOUS/ANDREAS K
WlLCENSKI/WINSTON D
BRODERICK/THOMAS F
G RZESlK/MA'I-fHEW J
ORLANDO/J ESSICA L
MC ELROY/TIMOTHY F
BRUST/EDWARD J
SILE0/DONALD R
TRAMONTANA/JOHN T
BANKS/ANN K
WILLIAMS/SHAWN A
MAGUIRE-BURNS/AMY D
JACOBS/DAWN M
DOYLE/SEAN P
BURDY/THOMAS R
CAPPABIANCA/DONATO
ROMANELLI/ETHAN A
SCOI-I'/BONNIE L
MCCARTHY/DANIEL J
PONTINO/SUSAN N
THOMAS/MARIA
DZENKOWSKI/PEGGYLEE
FAHRBACH/GEORGE W
SAWICKI/ASHLEY A
BORN/SABRINA M
CASSIDY/ERIC M
BELLOMO/DEBRA A
RICHERT/THEODORE A
NIELSEN/THOMAS S
PISCATELLI/HEATHER K
WlNSER/KRISTY M
GREBE/ALFRED R
CROSSER/JOHN M
TASCA/LESLIE A
MCCLEERY/JUDITH B
HYDELL/MARY F
BOERGESSON/ROBERT E
HAASE JR/ROBERT J
BURKE/CHRISTOPHER
ZUREK/STANLEY J
Employee Title
LIFE GUARD
LIFE GUARD
LIFE GUARD
LIFE GUARD
LIFE GUARD
LIFE GUARD
FOOD SERVICE WORKER
LIFE GUARD
LIFE GUARD
LIFE GUARD
MINI BUS DRIVER
COURT OFFICER
PT SCALE OPERATOR
SCHOOL CROSSING GUARD
TRAFFIC CONTROL OFFICER
CLERK
PUB. SAFETY DISPATCH. I
ASSISTANT COOK
GUARD
COURT OFFICER
TRAFFIC CONTROL OFFICER
SCHOOL CROSSING GUARD
CLERK TYPIST PT
CLERK TYPIST PT
JUST CT CLRK(SPNSH SPK)
DETENTION ATTENDANT
MINI BUS DRIVER
TRAFFIC CONTROL OFFICER
TAX CASHIER
TRAFFIC CONTROL OFFICER
HOME HEALTH AIDE
TRAFFIC CONTROL OFFICER
HOME HEALTH AIDE
SENIOR CITIZEN AIDE II
SITE PLAN REVIEWER
HIGHWAY LABOR CREW LDR
SEASONAL PO (TOWN&VlLL)
CLERK TYPIST PT
CLERK TYPIST PT
CLERK TYPIST PT
SCHOOL CROSSING GUARD
SEASONAL PO (TOWN&VlLL)
FOOD SERVICE WORKER
GUARD
2011 Gross Earnings
3,536.46
3,555.24
3,557.84
3,559.73
3,720.60
3,800.42
3,874.77
3,885.96
4,085.37
4,618.51
4,692.71
5,174.48
5,193.95
5,271.74
6,090.60
6,139.68
6,156.64
6,290.72
6,45~..20
6,558.48
6,561.54
6,733.19
6,748.59
7,532.64
7,570.08
8,471.32
8,783.00
9,262.70
9,857.70
9,895.74
9,939.48
10,123.31
10,392.52
10,587.38
10,943.13
11,292.58
11,513.26
11,686.24
11,853.65
11,928.05
12,025.35
12,091.06
12,099.28
12,199.20
Page 2 of 8
Town of Southold - Year End Payroll Report (2011)
Employee Name
ARZT/'FAMARA S
CREMERS/WILLIAM J
DINIZIO/JAMES
EDWARDS/KENNETH
GOEHRINGER/GERARD P
HORNING/GEORGE E
RICH Ill/JAMES H
SCHNEIDER/KENNETH
WlLCENSKI/DONALD J
SAKARELLOS/ELIZABETH
GATZ/DIANE K
GRATHWOHL/KRISTIN L
WlLKE/JEAN NE'I-rE P
WHITECAVAGE/DIANA V
SCHMIDTCHEN/DOROTHY
WALL/ROBERT
BROCK/PETER J
DOUBRAVA/JOSEPH E
DEFRIEST/VlCKIE
SlDOR/MARTIN H
WEISMAN/LESLIE K
BOGDEN/JACOB J
CHITUK/DOROTHY
BERGEN/DAVID R
BREDEMEYER Ill/JOHN M
GHOSIO JR/ROBERT
KING/JAMES F
DICKERSON/BRIAN L
SUGLIA/ROSINA
BELL/FREDERICK D
INGARRA/FRANK V
STEPNOSKI/JEAN T
DAVlDS/SANDRA E
DOHERTY/JILL M
CAPPABIANCA/LUCILLE
RAY/ANNETfE E
DEVlTO/MICHAEL J
EDWARDS/JEFFREY D
HORN/LAWRENCE
BOOTH/ANTONIA
KLAHRE/LAURA E
AUGUSTINE/GEORGE T
FISHER/ROBERT A
SABATINO/ALYXANDRA K
Employee Title
PLANNER
PLANNING BOARD MEMBER
ZONING BD OF APPEALS MB
PLANNING BOARD MEMBER
ZONING BD OF APPEALS MB
ZONING BD OF APPEALS MB
PLANNING BOARD MEMBER
ZONING BD OF APPEALS MB
PLANNING BOARD MEMBER
SENIOR CLERK TYPIST
HOME HEALTH AIDE
SCHOOL CROSSING GUARD
SCHOOL CROSSING GUARD
ACCOUNT CLERK
HOME HEALTH AIDE
BUILDING INSPECTOR
CONSTABLE FISHERS ISLAN
MINI BUS DRIVER
TAX CASHIER
PLANNING BOARD MEMBER
ZONING BD OF APPEALS MB
SEASONAL PO (TOWN&VlLL)
TAX CASHIER
TRUSTEE
TRUSTEE
TRUSTEE
TRUSTEE
MINI BUS DRIVER
TAX CASHIER
SCHOOL CROSSING GUARD
MAINTENANCE MECHANIC I
CUSTODIAL WORKER I (PT)
FOOD SERVICE WORKER
TRUSTEE
LEGAL STENOGRAPHER
SCHOOL CROSSING GUARD
SENIOR COOK
CONSTABLE FISHERS ISLAN
CONSTABLE FISHERS ISLAN
TOWN HISTORIAN
LAND MANAGEMENT SPEC II
SCHOOL CROSSING GUARD
FIRE MARSHALL 1
PLANNER TRAINEE
2011 Gross Earnings
12,351.97
12,500.02
12,500.O2
12,500.02
12,500.02
12,500.02
12,500.02
12,500.02
12,500.02
12,557.34
12,576.35
12,591.90
12,744.44
12,878.83
12,914.44
13,299.78
13,381.37
13,514.35
13,644.53
14,100.06
14,100.06
14,270.29
15,458.24
15,484.04
15,484.04
15,484.04
15,484.04
15,777.94
16,214.13
16,267.54
16,573.92
16,602.14
16,940.97
17,084.08
17,318.17
17,350.82
17,606.45
17,841.72
17,841:72
18,387.20
19,423.55
21,714.12
24,784.93
28,554.51
Page 3 of 8
Town of Southold - Year End Payroll Report (2011)
Employee Name
CUMMINGS/BRIAN A
RICHERT/ROGER F
KRUPSKI/ALBERT J
ORLANDO~VINCENT M
RULAND/WILLIAM P
TALBOT/CHRISTOPHER M
RICHARDS/MIRIAM L
OI-SEN/DEBORAH
LESSARD/DIANE E
SULLIVAN/GEORGE R
LASKEY Ill/DONALD H
FOOTE/NANCY L
NUNEMAKER/AMANDA M
RAICO/IRENE
NORKELUN/BEVERLY J
DRAKE/MICHELE C
VAN DUZER/DIANA C
SCHNEIDER/TERRY E
ANDERER/ROSEANN
OSTROSKI/GARY
O. UILLIN/MICHAEL T
CANTRELL/ELIZABETH A
STROMSKI/LORETTA J
KNIGHT/MARVIN S
WOLSERT/STEVEN C
VISSER/FREDRIC J
8YRNES/SHAWN P
ZUCCHERO/STEPHANIE
HYDELL/CAROL A
HAAS/ERICK R
CRUZ/ROXANA L
EVANS/LOUISA P
MILLER/KIMBELL
DELORME/JEAN T
WEINGART/JEFFREY L
WELCH/DANIEL P
HUBBARD/MICHAEL L
DROSKOSKI/CHRISTINE M
ATKINSON/DANIA M
MARKOPOULOS/PHYLLIS
WADLINGTON/KENDRA M
TOTH/VICKI R
SALMON/CHRISTOPHER W
FLISS/AMY L
Employee Title
PLANNER TRAINEE
ELECTRICAL INSPECTOR
TOWN BOARD COUNCIL MEMB
TOWN BOARD COUNCIL MEM8
TOWN BOARD COUNCIL MEM8
TOWN BOARD COUNCIL MEMB
REC. PROGRAM CORD. PT
MINI BUS DRIVER
CLERK TYPIST (PD)
TOWN TAX RECEIVER
AEO
CLERK TYPIST
CLERK TYPIST
HOME HEALTH AIDE
FOOD SERVICE WORKER
JUSTICE COURT CLERK
JUST CT CLRK(SPNSH SPK)
SENIOR CITIZEN AIDE II
MINI 8US DRIVER
SENIOR COOK
AEO
CLERK TYPIST
CLERK TYPIST (HWY)
MINI BUS DRIVER
AUTO MECHANIC
CEO
CUSTODIAL WORKER I
SCALE OPERATOR
ACCOUNT CLERK
CUSTODIAL WORKER I
CLERK(SPANISH SPEAKING)
TOWN JUSTICE/COUNCILWOM
DATA ENTRY OPERATOR
ADULT DAYCARE PROG SUPV
DRIVER/MESSEGER
SCALE OPERATOR
CUSTODIAL WORKER I
CLERK TYPIST
JUSTICE COURT CLERK
CASEWORKER
JUSTICE COURT CLERK
SECRETARY
PO (TOWNS AND VILLAGES)
PUB. SAFETY DISPATCH. I
2011 Gross
Earnings
28,774.15
29,364.32
30,066.92
30,066.92
30,066.92
30,066.92
32~738.16
34,261.24
34,390.98
34,674.12
37,368.69
37,696.62
37,696.62
39,137.28
39,284.18
39,714.22
39,714.22
40,531.40
40,674.66
40,817.19
40,927.60
41,465.51
42,126.50
42,708.38
43,859.86
43,895.37
43,903.34
45,248.43
45,847.88
45,861.69
46,350.72
47,161.92
47,173.10
47,804.12
48,026.47
48,386.58
48,531.60
48,928.88
49,288.70
49,804.05
49,822.24
49,859.94
51,163.00
51,349.52
Page 4 of 8
Town of Southold - Year End Payroll Report (2011)
Employee Name
MCBRIDE/FRANK H
BUNCH/CONNIE D
GARCIA/ANDREW R
KASWELL/CHERYL A
TOMASZEWSKI/MICHELLE L
DICANDIA/PETER J
DOROSKI/DAVID A
5WEENEY JR/MICHAEL J
DE JESUS/DONALD J
FANNON/WILLIAM F
SAYRE JR/DONALD R
LILLIS/DANIEL J
8EDNOSKI/JAYME L
ZEBROSKI/WILLIAM
EDSTROM/JANE
KESSLER/SCOTT A
FOSTER/CHRISTINE L
ROGERS/JAMES S
DOROSKI/BONNIE J
BERLINER/SANDRA L
ROGERS/ROBERT B
SCHWEITZER/GREGORY C
JEROME/JOHN
CORWlN/EVERETT C
RANDOLPH/LINDA P
ACKROYD/RUSSELL A
DE FIO/VALERIE A
CAPRISE/MICHAEL A
COUGHLIN/DAVlD
VAN HOY/COLLEEN S
KIRINCIC/JONN P
STULSKY/CHRISTINE
BONDARCHUK/JOSEPH W
SINRAMM/JOAN E
MCCAFFERY/ROBERT A
KAPUSTKA/PAUL A
LANE/DONNA L
GEIER/CRAIG J
ADDAMO/JOHN M
CONKLIN/PATRICIA
TABOR/ROGER M
GRILLI/JOHN D
KALIN/CAROL A
ORIENTALE/MICHAEL C
Employee Title
LABORER (SOLID WASTE)
SENIOR CLERK TYPIST
PO (TOWNS AND VILLAGES)
ACCOUNT CLERK TYPIST
SECRETARIAL ASSIST (PD)
PO (TOWNS AND VILLAGES)
AEO
AEO
AEO
PUB. SAFETY DISPATCH. I
AEO
PO (TOWNS AND VILLAGES)
AEO
CUSTODIAL WORKER I
SENIOR CLERK TYPIST
MAINT MECHANIC III
SECRETARIAL ASSISTANT
HIGHWAY LABOR CREW LDR
ADMINISTRATIVE ASSIST.
SECRETARY TO SUPERVISOR
AEO
SCALE OPERATOR
CUSTODIAL WORKER II
AEO
SECRETARIAL ASSISTANT
MAINT MECHANIC III
SENIOR ACCOUNT CLERK
SCALE OPERATOR
AEO
PUB. SAFETY DISPATCH. I
BAY CONSTABLE
SENIOR JUSTICE CT CLK
HEO
SECRETARY
LABORER (SOLID WASTE)
HEO
PUB, SAFETY DISPATCH. I
AEO
GROUNDSKEEPER II
BUILDING PERMITS EXAM
HEO
HEO
SECRETARIAL ASSISTANT
HEO
2011 Gross Earnings
51,850.58
52,152.56
52,616.03
52,907.14
52,988.52
53,644.11
53,879.33
54,071.71
54,170.68
54,189.27
54,422.77
54,614.51
55,447.29
55,638.36
55,758.30
56,107.71
56,294.16
56,521.26
56,744.68
56,878.90
57,148.52
57,360.46
57,607.55
57,995.54
57,995.97
58,138.23
58,656.77
58,749.14
59,116.88
59,917.43
60,031.08
60,291.40
60,366.30
60,382.66
60,701.84
60,707.67
6:~,327.17
6:~,812.80
61,881.38
61,894.82
62,255.30
62,713.35
62,791.82
63,139.82
Page 5 of 8
Town of Southold - Year End Payroll Report (2011)
Employee Name
GLEW/CLAIRE L
FRIEDBERG/FREDERICK W
ABRAMS/TIMOTHY F
BRUER/RUDOLPH H
PRICE/WILLIAM H
TARPEY/MARTIN J
DOROSKI/MELANIE
REEVES/KENNETH J
SKABRY/THOMAS M
ZUHOSKI/EDWARD A
FOSTER/ROGER T
NORKLUN/STACEY A
MARTINEZ/JACQU ELINE
HULSE/LORI M
ANASAGASTI/MICHAEL
RALLIS/DAMON P
DEFIO/BRUCE W
DUFFY/DARLINE J
WEBSTER/KEVl N
DOHERTY/PETER J
GATZ/PETER H
SCOTT/ROBERT I
SALMON/WILLIAM F
MELLAS/RICHARD G
FOG LIA/JANICE L
FISH/GARY J
GILLEN/GEORGE J
BOKEN/MICHAEL C
KALIN/LLOYD A
WEINGART/HOLLY A
KUMJIAN/DEBORA L
GLOVER/EVERE'I-D B
GAFFGA/WlLLIAM
GRATTANfrAMMY J
RUDDER/LYNDA M
KRAUZA/LYNNE M
HUZSEK/ANDREW H
WELLS/RANDALL A
ECKHARDT/MICHAEL C
VOLINSKI/MICHAEL C
EPPLE/ANDREW
STANDISH/LAUREN M
RICHTER/JAM ES A
ZALESKI/MARK A
Employee Title
SR ASSESSMENT ASSISTANT
MAINTENANCE MECH II
MAINT MECHANIC III
JUSTICE
JUSTICE
CEO
SENIOR ADMIN ASSISTANT
RECREATION SUPERVISOR
HEO
CEO
HEO
RECORDS MANAGEMENT ASST
SENIOR CIT CENT MANAGER
ASSISTANT TOWN AI-fORNEY
CEO
ZONING INSPECTOR
DIESEL MECHANIC
BD OF ASSESSORS MEMBER
BD OF ASSESSORS MEMBER
GROUNDSKEEPER II
GROUNDSKEEPER II
BD OF ASSESSORS MEMBER
MAINT MECHANIC III
CEO
PRINCIPAL ACCOUNT CLERK
BUILDING INSPECTOR
BUILDING INSPECTOR
PUB. SAFETY DISPATCH. I
HIGHWAY LABOR CREW LDR
PUB. SAFETY DISPATCH. I
PUB. SAFETY DISPATCH. I
HEO
MAINT MECHANIC III
PUB. SAFETY DISPATCH. I
PRINCIPAL ACCOUNT CLERK
SECRETARY TOWN ATTORNEY
CEO
AUTO MECHANIC III
MAINT MECHANIC III
HIGHWAY LABOR CREW LDR
BAY CONSTABLE
SECRETARIAL ASSISTANT
ENGINEERING INSPECTOR
PUB. SAFETY DISPATCH. I
2011 Gross Earnings
63,220.42
64,053.19
64,068.38
64,118.08
64,118.08
64,128.90
64,563.46
64,678.90
64,966.42
65,117.97
65,311.90
65,536.31
65,580.58
65,592.24
65,930.00
66,095.90
66,149.03
66,213.94
66,213.94
66,409.32
66,892.74
67,813.98
68,402.65
68,579.59
69,189.38
69,200.82
69,605.90
69,897.57
70,161.55
70,362.19
70,520.70
70,803.01
70,957.48
71,046.13
71~208.28
71,468.54
71,771.68
71,977.56
72,324.45
73,134.27
73,227.53
73,405.85
73,710.78
74,646.60
Page 6 of 8
Town of Southold - Year End Payroll Report (2011)
Employee Name
AVENT/AARON
WEINGART/BRYAN R
WOODHULL/RUTHANNE
ROHRBACH/GEORGE
KLOS/SHEILA
SMITH/THOMAS
TERRY/MARK B
BELTZ/BRUCE P
STANDISH/JEFFERY T
SOLOMON/CONNIE D
TOMASZEWSKI/ZACHARY T
ZUHOSKI/DAVlD
COOPER/LINDA J
RUSSELL/SCOTT
BLADOS/DAVlD
SEPENOSKI/JOHN P
NEVILLE/ELIZABETH
SPIRO/ME/ISSA A
FLATLEY/RORY M
HELF JR/JOHN M
WlTZKE/STEVEN J
ANDALORO/JENNIFER A
JERNICK Ill/RICHARD E
DAVIDS/CURTIS F
HARRIS/PETER W
DZENKOWSKI/DONALD
SIMMONS/GREGORY J
REISENBERG/LLOYD H
MCLAUGHLIN/KAREN
HUNSTEIN/DAVlD C
LANZA/HEATHER M
CONLAN/LAURA L
JACOBS/PETER J
ALLEN/MARIANNE
WYSOCKI/JOSEPH S
MCNAMARA/BRIAN P
BUNCHUCK/JAMES
GILLAN/SEAN M
BUONAIUTO/RICHARD J
GRA~DAN/STEVEN M
OKULA/DAVID M
MCGOWAN/TIMOTHY J
WlLINSKI/ROMAN S
FINNEGAN/MARTIN D
Employee Title
GROUNDSKEEPER III
PUB SAFETY DISPATCHER 2
SENIOR STENOGRAPHER
AUTO MECHANIC 4
PUB. SAFETY DISPATCH. I
HIGHWAY LABOR CREW LDR
PRINCIPAL PLANNER
SPEC PROJ COORDINATOR
TOWN MAIN CREW LEADER
DEPUTY TOWN COMPTROLLER
TECHNICAL COORDINATOR I
SANIT. SITE CREW LEADER
SENIOR ADMIN ASSISTANT
SUPERVISOR
SANIT. SITE CREW LEADER
TECHNICAL COOR II
TOWN CLERK
PRINCIPAL PLANNER
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
ASSISTANT TOWN A'I-I'ORN EY
PO (TOWNS AND VILLAGES)
DEPUTY SUP OF HWYS
SUPERINTENDENT OF HWYS
SENIOR BAY CONSTABLE
PO (TOWNS AND VILLAGES)
NETWORK & SYSTEMS ADMIN
TWN DIRECTOR/HUMAN SERV
PO (TOWNS AND VILLAGES)
TOWN PLANNING DIRECTOR
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
SOLID WASTE COORDINATOR
PO (TOWNS AND VILLAGES
PO (TOWNS AND VILLAGES
PO (TOWNS AND VILLAGES
PO (TOWNS AND VILLAGES
PO (TOWNS AND VILLAGES
PO (TOWNS AND VILLAGES
TOWN A-i-I'OR NEY
2011 Gross Earnings
75,064.18
75,624.10
75,806.86
75,819.O6
75,870.99
76,214.56
77,128.74
80,091.70
80,765.71
83,484.70
84,267.04
85,505.32
86,092.40
86,992.10
87,144.17
89,307.65
90,275.12
90,703.06
9:1,343.61
91,826.41
92,079.14
92,820.00
93,747.14
95,543.33
95,857.06
97,618.21
100,697.14
101,438.94
103,482.60
104,462.96
105,742.OO
106,015.46
107,272.56
107,377.54
112,849.11
112,999.42
113,267.94
114,070.S0
114,102.35
:114,164.48
114,339.34
1~4,387.47
115,470.86
116,693.98
Page 7 of 8
Town of Southold ~ Year End Payroll Report (2Oll)
Employee Name
MCMAHON/JAMES
JERNICK JR/RICHARD E
HELINSKI/WILLIAM E
BREWER/WILLIAM A
CUSHMAN/JOHN A
SPRINGER/RYAN L
LYBURD Ill/FRANK
MACKEY/DANIEL A
ZUHOSKI/STEVEN
MELE/FRANK J
RICHERT/KENNETH D
HARNED/STEVEN L
ONUFRAK/PETER C
BOPP/ROBERT
LATHAM/SCOTT
PERKINS/RICHARD A
VE RITY/M ICHAEL J
GRATHWOHL/EDWARD D
ROGERS/FRANCIS J
H UDOCK/'I'HOMAS F
CONWAY/JOSEPH A
SAWlCKI/HOWARD W
SINNING/JOHN D
BEEBE/THEODORE O
KRUSZESKI/FRANK R
SANTACROCE/HENRY F
GINAS/JAMES A
FLATLEY/MARTIN
FRANKE/JAMES D
LYNCH/KEVlN J
COCHRAN JR/CARLISLE E
GRAND TOTALS
Employee Title
EXECUTIVE ASSISTANT
PO (TOWNS AND VILLAGES}
SERGEANT:POLICE TOWN &
PO (TOWNS AND VILLAGES)
TOWN COMPTROLLER
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES}
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
SERGEANT:POLICE TOWN &
SERGEANT:POLICE TOWN &
CHIEF BLD INSPECTOR
PO (TOWNS AND VILLAGES)
PO (TOWNS AND VILLAGES)
SERGEANT:POLICE TOWN &
PO (TOWNS AND VILLAGES)
LIEUTNANT:POLICE TOWN &
POLICE DETECTIVE SGT
SERGEANT:POLICE TOWN &
LIEUTNANT:POLICE TOWN &
SERGEANT:POLICE TOWN &
SERGEANT:POLICE TOWN &
POLICE CHIEF(TOWN&VILL)
PO (TOWNS AND VILLAGES)
SERGEANT:POLICE TOWN &
POLICE CHIEF(TOWN&VILL)
2Oll Gross Earnin§s
117810.21
118150.81
118 517.45
118736.38
122 010.27
122 847.16
122 937.29
123 431.30
125 937.28
126 115.20
128,166.50
131,019.29
131,188.36
131,190.10
134,512.73
139,004.87
139,522.54
143,334.4!
144,589.05
145,793.70
149,592.65
152,907.34
154,456.91
157,066.33
160,981.73
165,486.23
165,774.12
175,891.09
211,774.69
258,976.85
339,726.37
17,337,690.46
Page 8 of 8
STATEMENT
OF
ANNUAL FINANCIAL AND OPERATING INFORMATION
TOWN OF SOUTHOLD
SUFFOLK COUNTY, NEW YORK
DATED: JUNE 1, 2011
TOWN OF SOUTHOLD
SUFFOLK COUNTY, NEW YORK
Town Hall
PO Box 1179
Southold, NY 11971
Telephone: (631) 765-4333
Fax: (631) 765-4157
TOWN BOARD
Scott A. Russell, Supervisor
Louisa P. Evans
Albert J. Krupski, Jr.
Vincenl M. Orlando
William P. Ruland
Christopher M. Talbot
Elizabeth A. Neville, Town Clerk
Peter W. Harris, Superintendent of Highways
John A. Cushman Il 'Town Comptroller
Martin D. Finnegan, Esq., Town Attorney
George Sullivan, Receiver of Taxes
BOND COUNSEL
Hawkins Dolafield & Wood LLP
New York, New York
FINANCIAL ADVISOR
MUNISTAT SERVICES, INC.
Municipal Finance Advisory Service
12 Roosevelt Avenue
Po~l Jefferson Station, N.Y. 11776
(631) 331-8888
E-mail: info@munistat.com
Website: http://www.munistat.com
STATEMENT OF ANNUAL FINANCIAL
AND OPERATING INFORMATION
TOWN OF SOUTHOLD
SUFFOLK COUNTY, NEW YORK
The mar'erin] set forth he~,'~in in.eluding the cover page. has been prepared by the Town of Soutlold,
Suffolk County, New York (the Town ', the "County", and the "State", respectively) in connection with its
obligation toprepare and sub,nil such material in accordance with the Cunt lung D s~losure Undertakings and
.the Official Statements having been prepared in connect on w th the sa e and issuance of the following bond
Issues:
2,380,000
3,000,000
4,650,000
8,850.000
5,283,000
2,125,000
Refunding Serial Bonds - 2005
Fishers Island Ferry District Serial Bonds - 2005
Public Improvement Serial Bonds - 2007
Public Improvement Serial Bonds - 2008
Public Improvement Serial Bonds - 2009
Refunding Serial Bonds ~ 2009
THE TOWN
There follows in this Statement a brief description of the Town, together with certain information concerning
its economy andgovemmental organization, its indebtedness, current major revenue sources and expenditures and
general and specific fonds.
General Information
The Town, with a land area of 54.5 square miles, is located in eastern Suffolk County. on the north fork of
Long Island, Settlement took place in {640. The ,~Village of Greenpon s Geared wholly ?th n the Town. The
Town also includes the area of Fishers Island which is located approximately twelve m les east of the main and
Fishers Island is accessible only by water or air. There is also ferry serv ce operating between Orient Point and New
London, Connecticut.
The Town is primarily a rural resort area with sub.s, tantia shopp ng fac lit es a.v, ailable at Greenport, at
various shopping centers within the Town and at Riverhead just to the west. Some commercial services are available
within the T6wn in the hamlets of Sou]hold, Cutchogue and Mattituck.
· .Agriculture has been a major industry n the Town since its origins In recent years, farm crops have
granuahy evolved from basic production to nursery crops inc ud ng shrubs, sod, potted giants and other ornamentals,
3, substantial portion of these products are shipped by ,i'~rry across Long Island Sound for distribution throughout
New England. A ,lumber of vineyards have,been estab']ished and wine-making is an important industry. Fishing and
fish pro~ssing are now .growing industries due to improved transportation facilities. The Town is also a major
summer resort area, utilizing bays, inlets and Long Island and Block Island Sounds.
The main highways in the Town are New York State Route 25 and the North Road. Rail transportation is
provided by the Long Island Rail Road with stations at Mattituck, Sou]ho d and Oreenpor/. Ferry service is also
available b~ween Orient Point, east of Gre~nport, and New London, Connecticut as well as from Oreenport to
Shelter
Electric service is provided by the Long Island Power Authority; gas service is provided by National Grid,
Fire pr.otection is the responsibility of volunteer fire and fire protection districts. The T6wn provides its own po{ice
protect,on. In the Village of Oreenport, electric service and fire protection are provided by the Village.
.Subject to tile provisions of the State Constitut on the Town operates pu 'suant to the Town Law, the
Generat Municipal Law the Loca F lance Law, other laws genera y applicable to the Town, and any special
laws specifically applicable to the Town. Under such laws, there is no authority for the Town to have a charter,
but pursuant to the Town Law and other laws general y applicable to home rule, tle Town may from time to time
adopt local laws which do not conflict w th ex~sting laws as enacted by the State.
The legislative p~wer of the Town is vested in the Town Board which consists of f ye members, elected
for a term of four years, ',a, nd the Supervisor, who is the chief executive officer of the Town, elected for a term of
foul' years. Such terms are staggered such that two or three councilmen are e ected every two years. All the
Town Board members are electe~at large and there is no limitation to the number of terms each may serve.
Six independently governed sc ~oo districts are ocated wholly or partially within the Town. which rel~
on their own taxing powers granted by the S!ate to raise revenues. The school districts use the Towns
assessment roll as their basis for taxation of property located within the Town.
Employees
The Town provides services through approximately 204 full-time, 51 part-time, and 14 seasonal
employees, some of whom are represented by orgamzed labor.
The following table presents the number of employees' represented by organized labor, name of union
and contract expiration dates.
Approximate Date Contract
Name of Union Membership Expires
Civil Service Employees Asset ....................................... 142 12-31 ~ 12
Police Benevolent Asset ................................................. 49 12-31-09'
*Contracl in ncgotialion
ECONOMIC AND DEMOGRAPHIC INFORMATION
Population Characteristics
The Town has had a population trend, as compared to the County and the State, as indicated below:
Town of Suffolk New York
Southold County State
1970 ........................................................................... 16,804
1980 ........................................................................... 19,172
1990 ..... 19,836
2000 ............. 20,599
Source: U.S. Bureau oflhe Census.
1,127,030 18,241,391
1,284,231 17,557,288
1,321,977 17,990,455
1,419,369 18,976,457
1,518,475 19,541,453
2
Income Data
Per Capita Money Income
990 2000 2009*
Town of Southold $19,037 $27,619 $ 40,137
County of Suffolk 18,481 26,577 30,062
State of New York 16,501 23,389 30,634
Median Houshold Income
1990 2000 2009*
Town of Southold $35,392 $49,898 $ 72,899
County of Suffolk 49,128 65,288 84,530
State of New York 32,965 43,393 55,233
Source: Uni(cd Slales Bureau of thc Census
*Note: Bas~ on American Community Survey 4-Year Estimates (2005-2009)
Unemployment Rate Statistics
Unemployment statistics are not ava able for the Town as such. The smallest area for which
such statistics are available (which inc udes the Town) is the County of Suffolk. The information set
forth below with respect to such County is included for informat on purposes only.. It should not be
i!npl~ied from the inclusion of such data in this Statement that the Town is necessarily representative of
the uounty or vice versa.
Annual Averages:
Suffolk New York
County State
2006 ............................................................
2007 ...........................................................
2009 ............................................................
2010 ............................................................
2011 (2 months) .........................................
4,0% 4.6%
3,9 4.5
4,9 5.4
7.3 8.4
7.6 8.9
8.2 8.7
Source: Deparlra~nl of Labor, State of New York
Selected Listing of Larger Employers
Name
Eastern Long Is sod Hospital .....
lure Island ADC ....................................................
Mattituck-Cutchogue UFSD ................................................
Town of Southold- ................................................................
Peconic Landing ........................................................
Southo d UFSD ....................................................................
San Simeon by the Sound ....................................................
Oreenport UFSD ..................................................................
Apl~,rox.
lNG.
Type of Emnlovee~
Hospital 390
U.S. Govt. Facility 330
Public School 380
Local Government 276
Life Care Community 210
Public School 198
Nursing Home 175
Public School 120
*Note: As of Ihe date of this Official Sla(emenl, the U.S. General Services Administration is undcrlaking measurers Io study the
decommission and polemial sala of Ihe Plum Island and PIADC faciliries pending ¢omplalion of the replaccmenl National Bio
and Agro-Defcnse Facility ("NBAF") in Manhattan, Kansas, anticipated in 2014.
Fiscal Year
Ending
December 31:
INDEBTEDNESS OF THE TOWN
The following pages set forth ce~ain details with respect to the Indebtedness of the Town.
Computation of Debt
Limit and Calculation of Net Debt Contracting Margin
(As of June 1,2011)
State
Assessed Equalization
Valuation Rate
2007 ................................................................ $106,950,027
2008 ................................................................ 108,292,749
2009 ................................................................ 108,991,562
2010 ................................................................. 109,089,429
2011 ................................................................. 108,465,500
Full
Valuation
1.04% $10,283,656,442
0.95 11,399,236,736
1.05 10,380,148,761
1.06 10,291,455,566
1.09 9.950.963,303
Total Five Year Full Valuation ................................................................................................ $52,305,460,810
Average Five Year Full Valuation ........................................................................................... 10,461,092,162
Debt Limit - 7% of Average Full Valuation ............................................................................. 732,276,451
Inclusions:
Outstanding Bonds:
General'Purposes ........................................................................................................... 31,400,000~
Other ......................................................................................................................... -0-
Sub-Total ......................................................................................................................... 31,400~000
Bond Anticipation Notes ........................................................................................................... 7,081,000
Total Inclusions ................................................................................................................... 38.481.000
Exclusions:
Appropriations for Outstanding Bonds ................................................................................ 190,000
Appropriations for Outstanding Notes ................................................................................. 681,000
Other Exclusions ................................................................................................................. -O-
Total Exclusions .................................................................................................................. 871.000
Total Net Indebtedness ............................................................................................................... 37.610,000
Net Debt Contracting Margin .................................................................................................... 694.666.45~1
Percent of Debt Limit Exhausted ............................................................................................... 5.13%
a. Includes $20,024,100 issued for thc preservation of open space. Sen "Community Preservation Fund" hurcin.
Trend of Town Indebtedness
The following table represents the outstanding indebtedness of the Town at the end of the last five
preceding fiscal years.
Fiscal Year Ending December 31:
2006 2007 2008
Debt Outstanding End of Year:
Bonds ...................................... $11,349,098
Bond Anticipation Notes ......... 8,244,000
Total Outstanding Debt .................. ~
$25,020,000 $32,175,000
6,224,000 6,579,100
2009 2010
$35,418,000 $33,375,000
9,150,800 6,218,000
$41.568.800 $39.593.000
Details of Short-Term Indebtedness Outstanding
Bond Anticipation Notes
Maturity Purpose Amount
04-12-12 Various Capital Projects ............................................................... $ 307,000
09-02-11 Various Capital ProJects .......................................................................... 5,224,000u
04-12-12 New London Wharf and Open Space Presentation .................................. 1,550.000
Total ................................................................................................. L7~
a, A porlion of such notes in (he amounl 0£$3,275,000 will be convened lo long len~ bonds on June 29, 2011. The balance ~f such amounl wilt be paid
for by appmpria0ons and renewal notes.
Debt Service Requirements - Outstanding Bonds
Fiscal Year
Ending
Decem§er 31: Principal
$2,165,000
2,130,000
1,965,000
2012 ................................................
2013 ................................................
2014 ................................................ 1,980,000
2015 ................................................ 2,000.000
2016 ................................................ 1,935,000
2017 ................................................ 1,200,000
2018 ................................................ 2,055,000
2019 ................................................ 1,620,000
2020 ................................................ 1,515,000
2021 ................................................. ! ,550,000
2022 ................................................. 1,360,000
2023 ................................................. 1,420,000
2024 ................................................. 1,465,000
2025 ................................................. 1,475.000
2026 ................................................. 1,310,000
2027 ................................................. !,325,000
2028 ................................................. 1,355,000
2029 ................................................. 1,370,000
2030 ................................................ 1.380.000
Totals .........................................
Interest Total
,312,972 $3,477,972
,233,976 3,363,976
1,159,162 3,124,162
,084,704 3,064,704
,006,994 3,006,994
929,416 2,864,416
848,289 2,848,289
762.012 2,817,012
685,501 2,305,501
621,800 2,136,800
559,213 2,109,213
495,325 1,855,325
437,975 1,857,975
378,463 1,843,463
317,381 1,792,381
258,863 1,568,863
203,063 1,528,063
146,113 1,501,113
88,207 1.458,207
29,547 1,409.547
$12.558,9~ ~
b. Includes $20,024,100 for thepmsenlationofopcn apace, Se¢"Conmlunily Preservation Fund"herein. Doesnm rcflcc(payments made to date.
5
Calculation of Estimated Overlapping and Underlying Indebteduess
Overlapping
Units
Couaty of Suffolk ............................................
Village of Greenport ........................................
Applicable Ap.i~licable
Date of Percentage Total met
Reporl Applicable Indebtedness Indebtedness
12/09/l 0 3.71% $55,366,601 48,635,45 I
I 1/30/I 0 100.00% 8,899,400 8,262,700
School Districts:
Fishers Island ............................ 06-30-11 100.00 180,000
Greenpm~ .................................... 06-30- I 1 100.00 0
Mattituck-Cutchogue ................ 12-15-10 98.49 29,015,154
New Suffolk Common .............. 06-30-I I I00.00 0
Oyster Ponds .............................. 06-30-11 100.00 0
Southold .................................... 12-03- l 0 100,00 7,702,681
Fim Districts:
Cutchogue ................................... 12-31-09 100.00 0
East Marion ................................. 12-31-09 100.00 127,476
Fishers Island .............................. 12-31~09 100.00 0
Mattituck ..................................... 12-31-09 100.00 1,527,932
Orient .......................................... 12-31-09 100.00 0
Southold ...................................... 12-31-09 100.00 1.150.000
180,000
0
26,548,866
0
0
7,702,681
0
127,426
0
1,527,932
0
1.150.000
Sources: Annual Financial Reports on file with the Office of Iht State Complroller, or more reconlly published Official
Statement.%
Authorized But Unissued Items
The following Bonds are authorized but unissued:
Date
,Authorized Purpose
A. mount
02-25-03
02-27-07
08-28-07
Mattituck Inlet Erosion Study .............................................................................. $ 82,750
Open Space PreservationI Including Non-Agricultura Lands ..........................10,000,000
Open Space Preservation. Agrieu rural Lands .................................................... 3,100.000
Total ................................................................... ~
a. To be financed by the issuance of serial bonds ~cheduled to close m~ June 29, 201 I.
Capital Program
The Town annually adopts a three year Cap?al Improvem?~t P an. Projects may
Federal aid, reserves, proceeds of obligations property taxes or a combination thereof. A
Budget for 20 -20 3 is set forth below:
.D..epa~tment 2011
General Town .......................................................................... $1,422,807
Highway Dept .......................................................................... 284,000
Solid Waste District ................................................................ 8,000
Total ........................................................................................
Sources
Appropriations ......................................................................... $159,807
Grants ................................................................................ 4)-
Town Debt .................................................................... 1,555,000
Total ........................................................................................
be funded by State and
summary of the Capital
2012 20 3
$129,063 -0-
-0-
-0- 4)-
~ [129.063 ~
$129,063 -0-
-0~ -0-
-0- -0-
Community Preservation Fund
In 1998, the voters of the five East End towns (East Hampton, Riverhead, Shelter I,s, land,,,S, outhampton,
and Southold) approved a referendum creating the Commun ty-Preservation Fund, (the Fund ) which is a
conservation program to preserve open space and farm and n the five towns. The fund is financed by a 2% tax
on real estate sales. This ~s a one-time tax that the buyer &real estate is required to pay when purchasing a new
or used home or vacant property. In 2006, the voters in all five towns approved a referendum to extend the
collection of the tax through 2030.
The Fund facilitates a voluntary program whereby landowners can se their land or the development
rights to the land to the respective towns at fair markeA value. The towns may issue bonds for purchases to be
paid ha? through the life of the Fund with the 2% tax revenues. When a town finances an acquisition through
~he issuance o.f §onds Section 6.4p of Town La~ requires the preparat o ~ of a report by or on behalf of the Town
aupervisor which demonstrates now such indebtedness will be repaid by the Fund; including an estimate of
projected revenues of the Fund durin~ the period of indebtedness, an accounting of all other indebtedness
incurred against the Fund to be repaid for the same period, and a finding that there will be sufficient revenue to
repay such indebtedness in its entirety from the Fund..
As of the date of this Official Statement, there are $20.024,100 in bonds outstanding, the debt service on
which is expected to be paid for by the Fund.
Landfill Closure and Postclosure Care Costs
C The Town owns a landfill on ,a. site in the unincorporated area of Cutchogue, commonly known as the
utchogue Landfill. The Town ceased accepting waste at its Cutchogue Landfill as of October 8, 1993.
Placement of the final cover, referred to as capping,, on the landfill was completed in November 2003. In
addition to placement of the final cover on the landfilY, state and federal regulations presently require the Town to
perform certain maintenance and monitor ng functions at the site for up to thirty years. The Town has and will
continue to comply with said requirements. ~The ongoing post closure costs are estimated to be between $35,000
and $40,000 per year from 2011 through 2013. The Town paid $19,050 for such costs in 2010 and will continue
to pay these costs in the future.
Actual costs associated with the capping totaled $7,681,720. Financing for closure activities was
?,rovided inpart through a grant from the New York State Depa~ment of Environments Conservation in the
amount of $2,000,000. The balance was provided through a State subsidized can reee veal n July, 2004 from the
New York State Environmental Facilities Corporation. Costs associated with postclosure care wi I be paid fi'om
charges to future users &the collection facility and site and future tax revenue.
FINANCES OF THE TOWN
Financial Statements and Accounting Procedures
The Town maintains its financial records in accordance with the Uulform Sys 'em of Accounts for Towns
prescribed by the State Comptroller. The financial records of the Town are auditedby independent accountants,
The last such audit made available for public inspection covers tie fisca year ended December 31, 2009, In
addition, the financial affairs of the Town are subject to per od c compl ance review by the Office of the State
Comptroller to ascertain whether the Town,. has complied with the requirements of various State and Federal
stalutes. A summary of the 2010 unaudited fiuancial results of the Town are presented in Appendix A.
Fund Structure and Accounts
b _ The Town utilizes fund accounting~to record and report its various service activities. A fund represents
otl~ a legal and an accounting entity which segregates the transactions of specific programs in accordance with
special regulations, restrictions or limitations.
There are three basic fund types: (l) governmental funds that are used to account for basic services and
capital projects; (2) proprietary funds that account for operations cfa commercial nature; and, (3) fiduciary funds
that account for assets'held in a trustee capacity. Account groups, which do not represent funds are used to
record fixed assets and long-term obligations that are not aecounted fur in a spec f c fund.
The Town presently maintains the fo ow nggoveromental funds: General Fund, Highway Fund and
Special Districts Funds, and the Capital Projects Fund. Fiduciary funds consist of a Trust and Agency Fund.
There are no proprietary funds. Account g~'oups are maintained for fixed assets and long-term dabt.
Basis of Accotmting
The Town's governmental funds are accounted for on a medil~ed accrual basis of accounting, Under the
.modified,, accrual bas!s, re,v, enues are, recognized when they become susceptible to accrual - that is, when the
oecome measurable and available' to finance expenditures to the current period. Revenues are susceptible toy
accrual include real property taxes, intergovernmental revenues (State and Federal aid) and operating transfers.
Expenditures are generally recogn zed under the modified accrual basis of accounting in which
recognition occurs when the related fund~liability is nourred. An exception to this general rule is unmatured
interest on general long-term debt which is recognizmd when due.
Investment Policy
3' . Pursuan,.t to State l.aw, including Sections 10 and of the General Municipal Law (the "GML"I, the
own ~s generally permittetl to deposit moneys in banks or trust companies located an[I authorized to do business
Ln the State. All such deposits, including special time deposil aecofints and certificates of deposit, in excess of
the amount insured under the Federal Deposit Insurance Act, are required to be secured in accordance with the
provisions of and subject to the limitations of Section I 0 of the GML.
..... The Town may. also tem. porar~ily invest moneys in: (1) obligations of the United States of America; (2)
OO]lgatmns guarantecany ageae~es ct me United States of America where the payment of principal and interest
are guaranteed by the United States of America (3) obligations of the State of New York; (4) w~th the approval
of the New York State Comptro er, in tax antic pat on notes or revenne anticipation notes issued ~6y any
municipality, school district, or district corl?oration, other than those notes issued by the Town, itself (5)
certificates of participation issued in connection with installment purchase agreements entered into by political
subdivisions of the State pursuant to Section 109-b(10) of the GML; (6) obligations cfa New York public benefit
corporation which are deemed lawful investments for municipalities pursuant to the enabling statute of such
public benefit corporation; or (7) in the case of moneys held m certain reserve funds established by the Town
pursuant to law, in obligations of the Town.
All of the foregoing invest nents are required to be payable or redeemable at the option of the owner
within such times as the proceeds w be leeded to meet expenditures for purposes for which the ,,moneys were
provided and. in the case of obligations purchased with the proceeds of bonds or notes, sba be payable or
redeemable in any event at tile opt on of the owne', w t 1 n two years of the date of purchase. Unless registered
or inscribed in the name of the Town, such instruments and investments must be purchased through, delivered to
and held in custody of a bank or trust co npany in the State pursuant to a written custodial agreemenl as provided
by Section I 0 of the GML.
The Town Board has adopted an investmeut policy and such policy confm'ms with applicable laws of the
State governing the deposit and investment of public motleys. All deposits and investments of the Town are
made tn accorffance with such policy.
Budgetary Procedures
The head of each administrative un t of the Town is required to file detailed estimates of revenues (other
than real prope~,~,h taxes) and expenditures for the next fiscal year with the budget officer (Supervisor) on or
before August 15". Estimates for each f re district situated within the Town must also be filed with the budget
officer by this date. After review n,~ these estimates, the budget officer prepares a tentative budget whteh
includes his recommendations. A budget message explaining the main features of the budget is also prepared at
this time. The tentative budget is file(fw th the Town Clerk not later than the 30th of September. Subsequently,
,the, .Town Cler~k presents the tentative budget to the Town Board at the regular or specialhearing which must be
neia on or before Oct'ober 5th. The Town Board reviews the tentative budget and makes such changes as it
deems necessary and that are not inconsistent with the provisions of the law. Following this review process, the
ten. t.a. tiv.e bu. dget and suc~h m.od. ifieation, s, if.' a, ny, as approved by the .B, oard become the pre im nary budget. A
punltc nearing notice et which must t~e amy published in the Town s official newspaper, oa the preliminary
budget is generally required to be held on the~¥hursday immediate y fo lowing the general election. At such
hearing, any person may express his opinion concerning the prell ~a nary budget; l~owever, there is no requirement
orprovision that the preliminary budget or any portion thereof be voted on by members of the public. Afler the
public hearing, the Town Board may further change and rev se the pre iminary budget. The Town Board, by
resolution, ad-opts the preliminary budget as submitted or amended no later than November 20th, at which time,
the preliminary budget becomes the annual budget of the Town for the ensuing fiscal year. Budgetary control
during the year is the responsibility of the Superv sot who s ass sted in this area by the Town Comptroller. Any
changes or modifications to the annual budget, including the transfer of appropriations among line items, must be
approved by .resolution of the Town Boarff. However, the supervisor is authorized to transfer certain budgeted
amounts within departments.
Budget Summaries for the 2010 and 2011 fiscal years may be found in Appendix A.
Financial Operations
The Supervisor functions as the chief fiscal _o, ffieer as l~rovided in Section 2 of the Local Finance Law; in
this role, the Supervisor is responsible for the Town s accounting and financia reporting activities. In addition
the S.up~.rvisor is also the Town% budget officer and must therefore prepare die annual tentative budget
submlsston to the Town Board. Pursuant to Section 30 of the Loeal'Fifianee Law, the .Supervisor ha~
authorized to issue or renew certain speci.f, ic types of notes. As required by law, the Supervtsor must execute an
authorizing certificate which than becomes a matter of public record.
The Town Board, as a whole, serves as the finance board of the Town and is responsible for authorizing,
by resolution, all material financial transactions such as operating and capital budgets and bonded debt.
fFr , Town finances are operated primarily through the General and Special Revenue Funds. The General
uno receives most et its revenue from real property tax and State aid. Current operating expenditures are paid
om these funds subject to available appropriations. The Town also has re,f,~se, sewer and wastewater districts,
which are accounted for within separate funds The primary sources of income for these districts comes from
special assessments levied against district propert es at the same time real estate taxes are levied. Capital
prgjects and equipment purchases are accounted for itl spec/al capita! projects funds. The Town observes a
calendar year (January I through December 31) for operating and reporting purposes.
9
Revenues
The Town receives most of its revenues from a real prope~'ty tax on all taxabl6 property situated within
the Town and from State Aid. A summary of such revenues ffr the five most recently completed fiscal years may
be found in Appendix A.
Real Property Taxea'
See "Real Property Tax Information", herein.
State Aid
The Town receives finane al ass stance from the State. If the State should not adopt its budget in a
timely manner, municipalities and school districts ia the State, includ ng the Town, may be affected by a delay in
the payment of State aid. Additional y, f the State should experience difficulty in borrowing funds in
anticipation of the receipt of State taxes in order to pay State aid to municipalities and school districts in the
State, including the Town in this year or future years, the Town may be affected by a delay n the receipt of State
aid until surf cxent State taxes have been received by the State to make State aid payments.
Based on the unaudited Annual Financ al Report Update Document of the Town, the Town received
approximately 4.3% of its total General Fund operating revenue from State aid in 2010. There is no assurance,
however that State appropriations for aid to municipahties will continue, either pursuant to existing formulas or
in any form whatsoever. The State is not constitutionally ob gated to maintain or continue such aidand, in fact,
the State has drastically reduced funding to municipalities and school districts in the last several years in order to
balance its own budget.
Although the Town cannot predict at this time whether there will be any delays and/or reductions in State
aid in the current year or in future fiscal years or whether there will be additional Federal Stimulus Act monies
made available to pay State aid in future years, the Town may be able to mitigate the impact of any delays or
reductions by reducing expenditures, inereasing revenues appropriating other available fun~ts on hand, and/or by
any combination of the foregoing
Expenditures
T The major categories of expenditure for the Town are General Government Support Public Safety,
ransportation Econmmc Assistance and Opportunity, Home and Community Services, Cu'l[ure and Recreation,
Employee Benefits and Debt Service. A summary of the expenditures for the five most recently completed fiscal
years may be found in Appendix A.
Pension Systems
R" Substantially. .all ~ployees of the Town are members of the New York State and Local Employees'
eurement :System {the ~etirement System" or "ERS"). The Retirement System is a cost-sharing inultiple
public employer retirement system. The obligation of employers and employees to contribute and the benefits to
sempl°yees are .... governed by the New York Slate Retirement System andSocial Securit. Law (the "Retirement
ystem Law ). The Retirement System offers a wide range ofp ans and benefits wh~c~ are related to years of
service and final average salary, vesting of r~tirement benefits, death and disability benefits and optional methods
of benefit payments...~ll beeeI~its generally vest after five years of credited service. The Retirement System Law
generally provides that allparticipeting employers in the Retirement System are jointly and severally liable for
any unfunded amounts. Such amounts are collected through, annualbillings to all participating employers.
Generally, all employees, except certain part-time employees, participate m the Retirement System. The
oRnetoi[e~enrt,~s~ !s,,~n?n-con. tri§t~t.o, ry wi.th respect to m~e.mbers hi/ed prio,r to. July 27, 1976. All members hired
tm .~Uly ,~t ~ ~/o must conmoute tnree percent pt meir gross annual salary towards the costs of retirement
programs untilthey attain ten years in the Retirement System, at such time contributions become voluntary. On
December 10, 2009, the Governor signed into law the creation of a new Tier 5, which is effective for new ERS
emplo~,oes hired after January 1, 2011). New ERS employees in Tier 5 will now contribute 3% of their salaries.
There ~s no provision for these contributions to cease for Tier 5 employees after a certain period of service.
On May 14 2003, the Governor s gned a pension reform bill into law as Chater 4 f
"Chat ........ P 9 o the Law of 2003
( p er 49 ). Chapter 49 changed the b~Ihng cycle for employer contributions to the ERS ret rement system to
match budget cycles of the Town. Under the previous method, the Town was not provided with required
payment until after the budget was implemented. Under the reforms implemented by Chapter 49, the employer
Io
contribution for a given fiscal year will be based on the va ue of t ~e pens on fund on the prior April 1, instead of
the following Aprd 1. As a result the Town is notified of and cai inc ude tie actual cost of the employer
contribution m its budget. Chapter 49 also required a mni hum payment of 4,5% of payroll each year, including
years in which investment perf6rmance of the fund would make a lower employer contribution possible.
C' D~u?..ing. its 2004 Session ~,e, New York ,S. tate Legislature enacted further pens on relief in the form of
napter zou ol the Laws of 2004 ( Chapter 260 ). Chapter 260 changed thepenslon payment date for all local
governments from December 15 to February I and perm ts the legislative body of a nun cipality to establish a
retirement contribution reserve fund l'or the purpose of financing retiremeat contributions in tile future.
The New York State Retirement System has adv sed the Town that munic pa t es can e ect to make
employer contribution payments in the D~ember or the following February, as required. If such payments are
made in the December prior to the scheduled payment date in3~ebruary, such payments may be made at a
discount amount. The Town has prepaid its e np oyer contr but OhS each December since the option was made
available in 2004,
_ As a result of significant capital market dec ines in the recent past, the State's Retirement System
portlolio has experienced negative investment performanee and severe downward trelds, n market earn ngs. As
a result of the foregoing, it is anticipated that the employ, er contribution rate for the State s Ret rement System in
future years may be s~gnificantly higher than the mimmum contribut!on rate estab shed by Chapter 49 To
mitigate the expected increases in the employer contribution rate, le. gislation has been enacted that would permit
local governments and schools districts to bon'ow a portion of their required payments from the State pension
plan at an interest rate of 5% percent. The new legislation also authorizes Iocalgovemmems and school distr ct
to e,§tablish reserve accounts to fund future payment increases that are a result of fluctuations in pension plan
performance.
The Town is required to contribute an actuarlally determined ,r~te, The Town's contributions made to the
System were equal to 100% of the ,contributions required for each year. The required contributions for the five
most recently completed fiscal years are as follows:
Contributions to the Retirement Systems
Fiscal Year Amount
Ending of
December 31: Contribution
2006 ............................................................................... 1,837,992
2007 ................................................................................ 1,947,914
2008 ................................................................................. 1,838,376
2009 ................................................................................. 1,656,415
2010 ................................................................................. 2,222,691
2011 (Budget) .................................................................. 3,101,700
Other Post Employnrent Benefits
The Town provides post-retirement healthcare benefits to various categories of former employees. These
costs may be expected to rise substantially in the future, Accounting rules now require governmental entities,
~.ch..~as~.~e Town~ .to acc~,u~nt ~r pos, t.-retirement health care benefits as its accounts for vested pension benefits.
c,~.on ~tatement No. 45 ( oAot~ ~5 ) described below requires such accounting.
~o OPEB refers to "other post-employment benef ts," meaning benefits other than
pension oenents, ~'~ consists primarily of health care benefits, and may include other benefits such as
disability benefits and life insurance. Before GASB 45, OPEB cost, s were generally accounted for and managed
as current expenses in the year paid and were not reported as a liabihty on governmental financial statements.
GASB 45 requires munlc!palities and school districts to account for OPEB liabilities in the same manner
as they already account forpensmn liabilities. It requires them to adopt the actuarial methodologies used for
pensions, with adjustments for the different characteristics of OPEB and the fact that most municipalities and
school districts have not set aside any funds against this liability. Unlike GASB Statement No, 27, which covers
accounting for pensions, GASB 45 does not require municipalities or school districts to report a net OPEB
obligation at the start.
I1
Under GASB 45, based on actuarial valuation an annual required contribution ("ARC") is determined
for each municipality m' school district. The ARC is the sum of (a) the normal cost for the year (the present value
of future benefits being earned by current employees) plus (h) amortization of the unfunded accrued liability
(benefits already earnedby corrent and former employees but not yet p. rovided for), using an amortization period
of not more than 30 years. If a municipality or school district eonmbutes an amount less than the ARC, a net
OPEB obligation will result, which is required to be recorded as a liability on its financial statements.
As of January 1, 2010, the actuarial accrued liability ("AAL"), the portion of the actaarialpresent value
of the total future benefits bas,~_ on the employees' service rendered tO the measurement date, is $66.6 mil on
The actuarial value of the Plan s assets was $0, resulting in an unfunded actuarial accrued liability ("UAAL"~ of
$66.6 million. The Town's annual OPEB cost was $6.8-million and the ARC was $6.6 million. ~'he Town i~on
a pay-as-you-go funding basis and paid $1 3 million to the Plan fol' the fiscal ear endin December 31, 2010
resulting in a projected year-end Net OPEB'obligation of $13.9 million. There isYno authol~ty in New York State
to establish a reserve fund for the liability at this time.
Actuarial valuation will be required every 2 years for OPEB plans with more than 200 members, every 3
years if there are less than 200 members.
REAL PROPERTY TAX INFORMATION
Real Property Taxes
The Town derives a significant portion of its annual revenue through a direct real property tax.
The following table presents the total tax levy, by purpose, with adjustments and collection performance
for each of the last five fiscal years.
Tax Levy and Collection Record
Fiscal Year Ending December 31:
2007 2008 2009 2010 2011
TotalTaxLevy ................................. $97,216,091 $103,216,661 $108,610,530 $110,942,393 $115,099.433
Amount Collected ............................. 94,288,000 100,030,520 104,970,256 106,195,135 NA
Returned to County
Amount .......................................... 2,928,091 3,186,141 3,640,274 4,747,258 NA
Percentage ..................................... 3,01% 3.09% 3.35% 4.27% NA
Uncollected at End of Year
of Levy ........................................ None None None None NA
Tax Collection Procedure
. Property taxes~or the Town are collected by the Town tax receiver. Such taxes are due and payable in
equm installments on L~ecember I and May 10. but may be pa d without pena ty by January 0 and May 31.
respectively. Tbepenalty added to delinquent taxes is one-twelfth the rate of interest de,trained by the State
Commissioner of Taxation and Finance. The rate is determined each year by July 15 based on the one-year
consta..nt m.aturit}(..yield, index for United States Treasury securities for the quarter-year ending on the immediate y
preceaing June .~o. t'i~e rate is effective for a twelve month period commencing August I each year and in no
event will be less than ten per centum per annum.
The Town receives its full levy before the end of its fiscal year U,n. co coted amounts are not segregated
by the Town tax receiver, and any deficiency in tax collection is the County s liability.
Tax Levy Limit Bill
B ..... ,On ,January 31 2011 the New Y.ork Sta. te Senate adopted Senate Bi I S2706 (the "Se tare Tax Levy Limit
itt ), which p. roposes to medify current law rctatingto the property tax ev es of municipalities. The Senate Tax
Levy Limit Bill would restrict among other th rigs the amount of rea property taxes that may be levied by or o ~
beha f of a municipal ty in a particular year, beginning with fiscal years commencing on or after January 1,2012.
12
Pursuant to the Senate Tax Levy Limit Bill, the tax levy of a municipal ty could ~ot,!ncr~ase by mo~e than the
lesser of (i) tw, o percent (2%) or (ii) the annual increase in the consumer price index ( CPI ), over the amount of
the prior year s tax levy. Each municipalily wou d be notified by the State Coraptroller of ~ts t,ax levy limitation
for the upcoming risc,a? year no later than 120 days prior to the start of such municipality s fiscal year. A
municipality could exceed the tax levy limitation for the coming fiscal year only if the governing body of such
municipality first enacts by at least a two-th rds vote of the total voting sn'ength .,o,t' the board a local aw to
override such limitation for such co n ng fiscal year only. In the ,c, ase ora fire district, the governing board must
adopt a resolution by at least a two-thirds vote ot- the total voting strength of the board, to override such limitation
for such coming fiscal year only. There are .per hiss b e exceptions to the tax levy limitation provided in the
Senate Tax Levy Limit Bill, incl'ud ng expend,utes made on account of certain tort settlements and increases in
Federal and State mandated programs specifically de ~t fled in the bill. However, il is unclear from the text of
the bill whether municipalities wou d be authorized to exclude from their tax levy limitations debt service on
account of all capital projects or just those financed pursuant to a bond resolution that was approved by the voters
at referendum. Municipalit es would also be permitted to carry forward a certain portion of their unused levy
limitation from a prior year. -
On May 24 2011, a simi ar bil was introduced in the New York State Assembly which would impose a
tax levy I mitatmn upon municipalities and School Districts (the "Assembly Tax Limitation Bill")
Neither bill can become law until an identical bill is adopted by the other house and signed by the
Governor. There can be no assurances that the Senate Tax Levy Limit Bill, the Assembly Tax Limit Bill or any
other similar law, if enacted n law, will not come under legal challenge for violating the relevant provisions of
Article VIII, Section 12 of the New York State Constitution, which recognizes, the power of the State Legislature
to re.stric.t local government taxation of Property but also expressly states that the legislature shall not, however,
restrict tt~e power to levy taxes on real estate for the poymeat of interest on or princi al of indebt
theretofore contracted." See "Constitutional Requirement"under "Indebtedness of theTow~~ herein, edness
Tax Rates
(Per $100 Assessed Valuation)
2OO7
General - Town wide .................................. $151.02
General - Outside Village .......................... 3.99
Highway .............................................. 39.63
Fiscal Year Endin£ December 3 I:
2008 2009
2010 201_.__[1
$160.22 $184.44 196.97 $199.96
7.84 6.87 8.69 7.57
41.74 39.75 38.72 44.32
Large Taxable Properties
2010-2011 Assessment Roll"
Name
Peconic Landing at Southold .................................................
LILCO, LIPA, gl'arketspan, Keysuan .....................
Village of Greenport-Power Planfi .........................................
Fishers Island Dev. Cor~ ..................................................
Robins Island Holding tLC ...................................................
Alan Cardinale .......................................................................
North Fork Bank ....................................................................
Damianos, Herodotus .............................................................
New York Telephone ... : ........................................
Levin Family Limited Partnership .........................................
Anderson, Brad ey & Francesca .............................................
Norris, Susan ..........................................................................
Laurel Links & Country Club ................................................
Kimogenor Pt Co ...................................................................
Driftwood Cove .....................................................................
,Type
Commercial
Utility
Utility
_Re, sid'ential Development
l'nvate Lands
Shoupjn~t Center
Bank Building
Vineyard
Utilifv
Motel& Restaurant
Farmland & Private Lands
Various Properties
C~ou~ntry Club
uo-~p
Co-up
a. Assessraenl Roll established in 2010 for levy and collection of taxes during 201 { Fiscal Year.
b. Represents approximal¢ly 5.54% of Ibc total taxable assessed valua0on of Ib~ Town for 201 {,
13
Assessed
1,3~
58 000
45 900
330 500
297 500
234131
234~00
179, g 3
159,~50
120,~00
111
107,700
94,600
90.000
$6.011.800b
LITIGATION
The Town of Southo}d is subject to a number of lawsuits in the ordinary conduct of its affairs. For the
most part, any potential adverse decisions in such su ts, ¢ther individually or in the aggregate, are not likely to
have a material adverse effec! on the Town.
There are certain matters worthy of special mention:
Negro. Ltd, and The Heritage at Cutchogue, LLC v. Scott A. Russel, et al. - This action seeks to nullify
certain actions of the Town Board and/or the Planning Board including the adoption of residential ~ubdivisioa
regulations and certain resolutions pertaining to the State Environmental Quality Review Act, as well as
compensatory damages in the sum of $40,000,000 and punitive damages based upon allegations that the Town
defendants conspired to deprive it of certs n const tutmnal rights Insurance coverage may be available for
potential liability for alleged compensatory damages. The Suffoik County Supreme Court dismissed all actions
against each governmental officer named personally in the su t T~is decision may be appealed to the Second
Department by the plaintiffs. The Town has demed all wrongdoing and intends vigorously to contest these
claims.
East End Resources, LLC v Town of Southold Planning Board, et a ~ This action arises from a
residential site plan application pend ng before the Town of Southold Planning Board, seeking the approval of a
mu]ti-unit planned.retirement commumty (the "Apl~ cation"). Plaintiff/Petitioner alleges that the Town, and its
various agencies, nave systenat ca y oelayed ano sought to defeat the approval of the Application. In this
action, P]'aintiff/Petitioner asserts e ght claims, seek ~g declaratory relief compe lng the approval of the
Application as well as compensatory re ief in the amount of $20 million as a result of alleged federal and state
const tut onai violations. The Town intends vigorously to defend this action and to contest all asserted claims.
Yu, et al. v. Town of Southold, et al. - This actio ~ seeks damages in the sum of $10 million against the
Town and its various agencies. The c aimants allege that the Town and its agencies, beginning in 1985 and
continuing forward, pamcipated in bias, liable and slander, among other action,s? that allegedly vio]-ated plaintiffs
C. iv. il an~d. o~er consfitqtional rights. The Town has filed a motion to dismiss all claims for failure to state a
ctmm. the town intenas to vigorously contest these claims and will deny all wrongdoing.
FINANCIAL ADVISOR
Munistat Services,/nc. has assisted the Town as financial advisor in certain matters with respect to the
preparation of this Statement.
RATING
· ~Moody s Investors Serwc~s has assigned ts rating o~ "Aa2' to the outstanding bonds of the Town. This
ratm.g reflects only the, view of such rating agency, and an exp anation, of.the significance_ . of .such. rating.should. . be
9b!amed f~m Moody s. There. can b.c, no assurance that such rating will no! be rewsed or w~thdrawn. ~f m the
~agment or marzet price and tr~e avaimbili£y of a secondary market for the outstanding bonds and notes of the
14
ADDITIONAL INFORMATION
Additional information may be oblained upon request from the office of the Supervisor, Town of
Southold, 53095 Route 25, P.O. Box 1179 Southold, New York 1197 , telephone number 6317765-1800, or from
the office of Munistat Services Inc., 12 Rooseve t Avenue Port Jeft~rson Stat on, New York 776, telephone
nu nber 63 /331~8888.
Any statements in this Statement involving matters of opinion or estimates, whether or not expressly so
stated, are intended as such and not as representations of fact. No representation is made that any of such
statements will be realized.
This Statement is submitted only in connection with the Towns "Undertakineto Provide Noti
Information"pursuant
to
Rule
15c2-12
aspromulgated by the Securities and Exchange~2ommission and
be reproduced or used in whole or in part for any other purpose.
By: s/s SCOTTA, RUSSELL
Supervisor
Town of Southold
Southold, New York
June 1, 2011
15
TOWN OFSOUTHOLD
APPENDIX A
FINANCIAL INFORMATION
Balance Sheet
General Fund
ASSETS
Cash and Investments
Accounts Receivable
Due From Other Funds
State and Federal Aid Receivables
Due From Other Governments
Supply Inventory
Prepaid Expenses
Total Assets
LIABILITI ,ES AND FUND EQUITY
Accounts Payable
Due to Other Funds
Due to Component Units
Due to Other Governments
Deferred Revenues
Total Liabilities
Fund Balances - Reserved:
Encumbrances
Insurance claims
Supply Inventory
Prepaid Expenses
Fund Balances - Unreserved:
Designated - Ensuing Years Budget
Undesignated
Total Fund Equity
Total Liabilities and Fund Equity
Fiscal Year Ending December 31:
2009 2010
11,202,324 $ 13,276,529
31.579 61,006
469,887
122.184 79,623
1,547,885 1,533,747
1,730 2,637
424,177 420,963
13,329,879 $ 15,844,392
949,814 $ 926,609
2,177,582 2,893,055
513,316
1,766 1,834
5,143,708 4,638,261
8,786,186 8,459,759
26,119 27,961
646,911 1,149,498
1,730
424,177
100,000 1,914,000
3,344,756 4,293,174
4,543,693 7,384,633
$ 13,329,879 $ 15,844,392
Sources: 2009 Audited Financial Reports of the Town
2010 Unaudited Financial Reports of the Town
'Fable itself NOT audited.
Town of Southold
A1
Stalemeni of Revenoes, Expenditures and Cbanges in Fund Balance
General Fund Town Wide
Fiscal Year Ending December 3 I:
Real Properly Taxes
Olher Real Properly Tax hems
Non-Properly Tax Items
Departmental Income
Intergovernmental Charges
Use of Money & Properly
Licenses & Permits
Fines & Forfeitures
Sale of Prop~rty & Comp. for Loss
Mi~ellaneous Local Sources
State Aid
Federal Aid
Expeadilures:
Oeneral Oovernmenl Support
Public Safety
Public Heahh
Transpoflalion
Economic Assi~tm~ce & Opporlunily
Cullum & Recreation
Home & Community Seawices
Employee Beaefils
Debl Service Principal & Interest
Total Enpendilurec
Excess (Deficiency) of Revenues Over
Expendilttres
Operating Transfers In
Operating Transfors Out
Tolal Other b-mancing Sour¢os (Uses)
Excess (Deficieaey) or Revenues and
Other Sources Ovgr 'Expenditures and
Fund Balance Beginning of Year
Fund Balance End of Year
~006 2007 2008 2009 2{) ] 0
14,872,736 $ 16,205.911 $ 17.391,288 $ 20,165,953 $ 21,532,952
85,808 92,606 94, I 13 63.585 84.200
616,670 683.873 751,073 818,273 885.473
477.849 411,790 61 1,598 461,257 416.599
316.049 329.202 262.977 356.548 276.019
684,166 764,912 496.395 223,229 306,952
258,794 253`4 94 244,910 228,699 261.339
171,763 155,477 169,119 210,209 225,31 )
95,057 148,283 159,726 288,425 300,228
146,260 185,945 ) 90.816 I 17,182 369.407
2.725.177 2.412.869 1,656,760 I,! 95,671 1,124,217
228`491 145.568 147,711 165,231 231.419
20,678,820 21,789,930 22,176,486 24,294.262 26,014, I 16
5,177.745 5,234,683 5,479,661 5,548.092 5,125,065
7,371,280 7,816,643 8,398,429 8,599,974 8,626,23 I
32.988 35.238 35.238 35.138 33.788
452.050 550,907 470,797 486,434 424,569
949.740 1,064,904 1,147,293 1,139.753 I.I 18,864
384,983 345,540 452,588 335,993 282,290
530.270 417,654 426,656 401,114 402.959
5,811,868 6,172.279 7,276,770 4.980.929 7,543,281
1,313,234 787.775 973.787 1,053,169 1,21 1,610
22.024.158 22.425.623 24.661.219 22.580.596 24.768.657
(1,345,338) (635,693) (2.484,733) 1,713.666 1,245.459
2,253.944 2,738,349 3,493,057 4.318.203
( 1.531,369) (2,403,563) (2,729,790) (532,299) (2,722,722)
722,575 334,786 763,267 (532,299) 1,595,481
(622,763) (300,907) ( 1,721,466) I, 181.367 2,840,940
6,007.462 5.384,699 5,083,792
5.384.699 $ 5,083,792 $ 3,362,326
3.362.326 4.543,693
$ 4,543,693 $ 7,384.633
Sources: Audited Financial Reports oflhe Town (2006-2009), Unaudited Financial Reports of the Town (2010)
Table ilself NOT audited.
Tow, of Soudlold
A2
Statement of Revenues, Enpeadilurcs and Clmnges itt Fund Balance
ltighway Fund Towu Wide
Fiscld Year Ending Decemher 3 I:
Real Property Taxes
Other Real Properly Tax hems
Depanmelrlal Income
Use of Mor~y & Property
Licenses & Permits
Sale of Properly & Comp. for Loss
Miscellaneous Local Source~q
Stale Aid
Federal Aid
2007 2008 2009 2010
$ 4,095,347 $ 4,027,695 $ 4,316.095 $ 4,137.746 $
12,689 12,722 I 1.777 3.057
140.578 142,501 61,374 6,558
9,484 10.362 13,190 7,788
7,521 29,213 7,416 246
13,703 106
276,337 296,263 326,820 318,906
Bmp!oyea Benefits
Excess (Deficiency) of Revenues Over
Operaling'rransrers In
Operating Transfers Out
F. xcess (Deficiency) of Revenue..{ and
Fund Balance End of Year
4,032,425
6,477
250
5.635
6OI4
1.419
343.024
120,630
4,541,956 4,518,756 4.750,375 4,474,407 4,516.774
135 6,203 6,884
3,028,076 3,437,186 3,543,617 3.132,768 2,959.458
515,106 510,185 498,813 1A33,883 526.106
283,652 17,001 40.228 41.473 {28,070
3,826,834 3,964.372 4,082,793 4,614,327 3,620,518
715,122 554,38~ 667,582 (139.920) 896,256
211
(452.648) (794.696) (823,241 ) (78,917) (958,513)
(452,648) (794,485) (823.241) (78.917) (958,513)
262,474 (240,101) (155.659) (218,837)
1.056,848 1.319,322 1,079.221 923,562
$ 1,319,322 $ ,1,079,221 $ 923,562 $ 704.725 $
Sources: Audited Financial Repons of the Town (2006.2010), Unaudil~d Financial Repons of the Town (2010)
Table itself NOr audited.
(62,257)
704,725
642A68
Statement of RevenGes, I,Zxpeuditnres and Changes in Fund Balance
Non-M~or Governmen! Fonds
Use of Money & Properly
Sale of Property & Comp. for Loss
State Aid
Federal Aid
Public Salary
Public Health
Home & Community Services
fmployee Benefits
Debt Service Principel & interest
Total F. xpendilure~
Excess (Deficiency) of Revenues Over
Expenditures
Operating Transfers ]n
Operating Transfers Out
Total Olher Financing Sources (Uses)
Excess (Deficiency) of Revenues and
Other Sources Over Expendlture,x and
Giber Uses
Fund Balance Beginning of Year
Fund Balance ~nd of Year
Fiscal Year 'l~{ding December 3 l:
2006 2007 20o8 gO0O
2010
$ 2.741,362 $ 2.831,897 $ 2.861.630 $ 2,815.13l $ 3,747,620
4,489 4,581 6,415 3,375 1,825
229,346 234,091 256.296 276,999 300,987
2.275,935 2,147,502 2,387,861 2,105.725 2,CR6.829
1,809 905
95,272 94,361 42,936 7,379 9,004
163,780 169,338 167,760 185,257 144.470
{35,662 216.437 212,655 287,643 288,026
6,652 13,283 889 24,728
127,278 93,135 216.273 [45,768 98,359
41,163, 210,175 144,838 67,974 57,36l
5.822,748 6,015,705 6,297,553 5,895,251 6,769.209
103,654 87,970 267,423 6],807 33.433
869,154 948,311 1,056,786 1,094.034 1,132,102
7.104 7.370 7,370 7,370
3,363,781 3,173,114 3,322,615 3,155,421 3,051,836
470.377 468,989 470,182 1,164.035 490,589
822,590 530,796 651,896 661,125 821,977
5,636,660 5,216,550 5,776,272 6,143.792 5.529,937
186,088 799,155 521,281 {248,541) 1.239,272
(429,145) (874,115) (618.408) (139,031) (703.388)
(429,{45) (874,115) (6{8.408) (139.03{) (703,388)
(243,057) (74.960) (97.127) (387.572) 535,884
1,446,849 ~ 1,203,792 {,t28.832 1,031,705 644,133
$ 1.203,792 $ 1,128,832 $ 1.03{,705 $ 644.133 $ 1.180.017
(I) Includns the following funds: General Fund Part Town, Special Grant Fund, East-West Fire ProleClion Fund, Soulhold
DislricL Fishers Is{and Sewer Dislricl and Solid Wasie Managemenl District,
(2) Difference due to Prior Year Accounting Adjust~nenl
Sources: Audited Financial R~ports of the Town (2005-2009)
Table itself NOT audited.
Town of Southold
A4
Clcnera~-Outsido Vflla§¢
Highway-Townwid=
Community Dev=lopmont
Risk Retcnlkm Fund
Community I~'escr valion P'und
Employoe~ Health Plan
3.750
659.965
2,953,000
4,287,544
237.375
37,200
556,950
80.000
50O
25.000
4,369.900.
3,750
6.900 652.565
750,000
2.184.244
225.000 4.375
7,100 0
150,000 381,950
36.136 0 0 36,136
315.000 0 0 315,00~
142.083 0 12.083 130.000
664.202 29.250 175.000 459.952
1.157.421 et 29.250 $ 187.083 $ 941,088
359,700 3,300 356,400
529.800 6[ .975 467.825
557,952 42.11 I 20.000 495.841
1,760,225 25,000 1.735,225
16,072,726 4,539,036 696,083 10.837,6ff7
59.908,578 $ 16.425,247 $ 6.180,083 $ 37,303.248
OrienI-East Marion Park District
Southold Park DLslrict
Cutchogue-H=w Suffolk Park
Mallituck Park Dfslrlct
Total-A0 Districls
Amounl to Be Raised
by Tax
21,734,453
783.364
4.583.93i
0
0
0
0
27.101.748
3,815 0 850 2.965
714,563 500 1.500 712,563
3.! 82,000 2.400,(I)0 132,000 650.000
3.842.996 1.858.750 107.000 1.877.246
177.385 0 177,385 0
34,800 30JO0 4.700 0
607,660 51,000 40,000 516.660
80,000 0 0 80,000
4.340.350 $ 463.435 $ 3.839.434
0 0 34,250
0 0 315,000
0 12,083 130,000
28.500 106,000 432.360
28,500 $ 118,083 $ 911,610
3.300 0 356,400
1,058,193 $
359,?00
514,300
579.496
1,768,300
1,793,803
6,163,039 $
15,864.451 4.512,649 726,518 10,625,284
Grand Total $ 60,196,573 $
Source: Adopted Budgot of thc Town.
17,160,023 $ 5,309,518 $ 37,727,032
To'am of $outhold
A6