HomeMy WebLinkAboutBuffer Zone Protection ProgramRESOLUTION 2011-766
ADOPTED
DOC ID: 7237
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 2011-766 WAS
ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON
NOVEMBER 9, 2011:
RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs
Supervisor Scott A. Russell to execute the Agreement between the Town of Southold and
the New York State Division of Homeland Security and Emergency Services in connection
with the FY09 Buffer Zone Protection Program regarding grant funds in the sum of $194,000.00
for equipment to enhance the security of critical infrastructure and key resource assets, to be
implemented by the Southold Town Police Department, for the period from April 1, 2009
through March 31, 2012, subject to the approval of the Town Attorney.
Elizabeth A. Neville
Southold Town Clerk
RESULT: ADOPTED [UNANIMOUS]
MOVER: Vincent Orlando, Councilman
SECONDER: Albert Krupski Jr., Councilman
AYES: Ruland, Orlando, Talbot, Krupski Jr., Evans, Russell
~TATE AGENCY: NYS COMPTROLLER'S NUMBER: C150996
New York State Division of Homeland Security and (Contract Number)
Emergency Services
1220 Washington Avenue
Albany, NY 12242 ORIGINATING AGENCY CODE: 01077
GRANTEE/CONTRACTOR: (Name & AddresS) TYPE OF PROGRAM(S'~: WM2009 BZPP
Southold, Town of CFDA# 97.078
53095 Rt. 25
POBox 1179 DHSESNUMBER(S): WM09150996
$outhold, NY 11971
?EDEKAL TAX IDENTIFICATION NO: 11-600193! INITIAL CONTRACT PERIOD:
MUNtCIPALgI'YNO(ifavtflicable): 47037900000( FROM: 04/01f2009 TO: 03/31/2012
FUNDING AMOUNT FOR INITIAL PERIOD: $194,000.00
STATUS; Contractor is not a sectarian enti~. MULTI-YEAR TERM (if applicable):
Contractor is not a not-for-profit organization FROM: TO:
CHARITIES REGISTRATION NO: APPENDICES ATFACNED AND PART OF THIS AGREEMENT
X APPENDIX A Standard Clauses required by the Ai~orney General for all State contracts
Contractor has / has not__ X
timely filed with the A6omey General's APPENDIX A-I Agency-Specific Clauses
Charities Bureau all required periodic or
annual written reports. X APPENDIX B Budget
If'Exempt' is entered above, X
reason for exemption:__ -- APPENDIX C Payment and Reporting Schedule
X
__ APPENDIX D Program Workplan and Special Conditions
__ APPENDIX X Modification of Agreement Form (to accompany modified appendicies
for changes in terms or considerations on an existing'period or for renewal periods
DHSES-55 Budget Amendment/Grant Extension Request
__ Other -- Certification Regarding Debarment, Suspension, IneligibiIRy and Voluntary Exclusi0n
IN WITNESS THEREOF. thc parties hereto have executed or approved this AGREEMENT on the dates indicated below.
NYS DIVISION OF HOMELAND SECURITY AND EMERGENCY SERVICES
By: Date:
F. David Shcppard, Acting Assistant Director
State Agency Certification: "n add on to the acceptance &this contract I also certi~ that original copies of this signature page will be
~ aRachcd to all other exact copies of this contract."
G NTEE://
By,: Sco~/~,us?all, Southold Town Supervisor Date: [ / ~ {~'--~ ~_ [
MARTIN D, FINNEGAN
Notary Public, State of New York
STATE OF NEW YORK No. 01FI6056707
-- Qualified in Suffolk County .~-
Coun~ of~~ / ~ -- Commission Expires March 26, 20
On this/~_~'day of 4~..~gt~/,L before mc, p~rsonally came ~to me known.~ho be~g, dulv sw, orn,
did depose and say that ~)he resides in ('~.A.s,.'lc'=.~/x.O et'~,.~ that (~he is the~.~f the~,oo.J~ t~,~,~eC'~r~'~e° fog
described in a~d which~.~9~th~regoing instmm~?r{; that it was so executed []y the~utho[ity of the Grantee, and that (~)he signed
hisP~ name hereto b~ like~er.~...~
(Notmy) ~ e'~! APPROVED:
ATTORNEY GENERAL'S SIGNATURE
THOMAS P. DINAPOLI,
STATE COMPTROLLER
Title:
By_
Date:
Date:
APPENDIX A
STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS
TABLE OF CONTENTS
1. Executory Clause
2. Non-Assignment Clause
3. Comptroller's Approval
4. Workers' Compensation Benefits
5. Non-Discrimination Requirements
6. Wage and Hours Provisions
7. Non-Collusive Bidding Certification
8. International Boycott Prohibition
9. Set-Off Rights
10. Records
11. Identifying Information and Privacy Notification
12. Equal Employment Opportunities For Minorities and Women
13. Conflicting Terms
14. Governing Law
15. Late Payment
16. No Arbitration
17. Service of Process
18. Prohibition on Purchase of Tropical Hardwoods
19. MacBride Fair Employment Principles
20. Omnibus Procurement Act of 1992
21. Reciprocity and Sanctions Provisions
22. Compliance with New York State Information Security Breach and Notification Act
23. Compliance with Consultant Disclosure Law
24. Procurement Lobbying
25. Certification of Registration to Collect Sales and Compensating Use Tax by Certain
State Contractors, Affiliates and Subcontractors
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2 June 2011
STANDARD CLAUSES FOR NYS CONTRACTS
The patties to the attached contract, license, lease,
an~endment or other agreement of any kind ('hereinafter,
"the contract" or "this contract") agree to be bound by
the following clauses which are hereby made a part of
the contract (the word "Contractor" herein refers to any
party other than the State, whether a contractor, licenser,
licensee, lessor, lessee or any other party):
1. EXECUTORY CLAUSE. In accordance with
Section 41 of the State Finance Law, the State shall have
no liability under this contract to the Contractor or to
anyone else beyond funds appropriated and available for
this contract.
2. NON-ASSIGNMENT CLAUSE. In accordance
with Section 138 of the State Finance Law, this contract
may not be assigned bythe Contractor or its right, title
or interest .therein assigned, transferred, conveyed, sublet
or otherwise disposed of without the State's previous
written consent, and attempts to do so are null and void.
Notwithstanding the foregoing, such prior written
consent of an assignment of a contract let pursuant to
Article XI of the State Finance Law may be waived at
the discretion of the contracting agency and with the
concurrence of the State Comptroller where the original
contract was subject to the State Comptroller's approval,
where the assignment is due to a reorganization, merger
or consolidation of the Contractor's business entity or
enterprise. The State retains its right to approve an
assignment, and to require that any Contractor
demonstrate its responsibility to do business with the
State. The Contractor may, however, assign its right to
receive payments without the State's prior written
consent unless this contract concerns Certificates of
Participation pursuant to Article 5-A of the State Finance
Law.
3. COMPTROLLER'S APPROVAl,. In accordance
with Section 112 of the State Finance Law (or, if this
contract is with the State University or City University
of New York, Section 355 or Section 6218 of the
Education Law), if tiffs contract exceeds $50,000 (or the
minimum thresholds agreed to by the Office of the State
Comptroller for certain S.U.N.Y. and C.U.N.Y.
contracts), or if this is an amendment for any amount to
a contxact which, as so amended, exceeds said statutory
amount, or if, by this contract, the State agrees to give
something other than money when the value or
reasonably estimated value of such consideration
exceeds $10,000, it shall not be valid, effective or
binding upon the State until it has been approved by the
State Comptroller and filed in his office. Comptroller's
approval of contracts let by the Office of General
Services is required when such contracts exceed $85,000
(State Finance Law Section 163.6.a).
4. WORKERS' COMPENSATION BENEFITS. In
accordance with Section 142 of the State Finance Law,
this contract shall be void and of no force and effect
unless the Contractor shall provide and maintain
coverage during the life of tlfis contract for the benefit of
such employees as are required to be covered by the
provisions of the Workers' Compensation Law.
5. NON-DISCRIMINATION REQUIREMENTS.
To the extent required by Article 15 of the Executive
Law (also known as the Human Rights Law) and all
other State and Federal statutory and constitutional non-
discrimination provisions, the Contractor will not
discriminate against any employee or applicant for
employment because of race, creed, color, sex, national
origin, sexual orientation, age, disability, genetic
predisposition or cart/er status, or marital status.
Furthermore, in accordance with Section 220-e of the
Labor Law, if this is a contract for the construction,
alteration or repair of any public building or public work
or for the manufacture, sale or distribution of materials,
equipment or supplies, and to the extent that this contract
shall be performed within the State of New York,
Contractor agrees that neither it nor its subcontractors
shall, by reason of race, creed; color, disability, sex, or
national origin: (a) discriminate in hiring against any
New York State citizen who is qualified and available to
perform the work; or (b) discriminate against or
intimidate any employee hired for the performance of
work under this contract. If this is a building service
contract as defined in Section 230 of the Labor Law,
then, in accordance with Section 239 thereof, Contractor
agrees that neither it nor its subcontractors shall by
reason of race, creed, color, national origin, age, sex or
disability: (a) discriminate in hiring against any New
York State citizen who is qualified and available to
perform the work; or (b) discriminate against or
intimidate any employee hired for the performance of
work under this contract. Contractor is subject to fines
of $50.00 per person per day for any violation of Section
220-e or Section 239 as well as possible termination of
3 June 2011
this contract and forfeiture of all moneys due hereunder
for a second or subsequent violation.
6. WAGE AND HOURS PROVISIONS, If this is a
public work contract covered by Article 8 of the Labor
Law or a building service contract covered by Article 9
thereof, neither Contractor's employees nor the
employees of its subcontractors may be required or
pemUtted to work more than the number of hours or
days stated in said statutes, except as otherwise provided
in the Labor Law and as set forth in prevailing wage and
supplement schedules issued by the State Labor
Department. Furthermore, Conh'actor and its
subcontractors must pay at least the prevailing wage rate
and pay or provide the prevailing supplements, including
the premium rates for overtime pay, as determined by
the State Labor Department in accordance with the
Labor Law. Additionally, effective April 28, 2008, if
this is a public work contract covered by Article 8 of the
Labor Law, the Contractor understands and agrees that
the filing of payrolls in a manner consistent with
Subdivision 3-a of Section 220 of the Labor Law shall
be a condition precedent to payment by the State of any
State approved sums due and owing for work done upon
the project.
7. NON-COLLUSIVE BIDDING CERTIFICATION.
In accordance with Section 13941 of the State Finance
Law, if this contract was awarded based upon the
submission of bids, Contractor affirms, under penalty of
perjury, that its bid was arrived at independently and
without collusion aimed at restricting competition.
Contractor further affirms that, at the time Contractor
submitted its bid, an authorized and responsible person
executed and delivered to the State a non--collusive
bidding certification on Contractor's behalf.
8. INTERNATIONAL BOYCOTT pROHIBITION.
In accordance with Section 220-f of the Labor Law and
Section 139-h of the State Finance Law, if this contract
exceeds $5,000, the Contractor agrees, as a material
condition of the contract, that neither the Cuntmctor nor
any substantially owned or affiliated person, firm,
partnership or corporation has participated, is participa-
ting, or shall participate in an international boycott in
violation of the federal Export Administration Act of
1979 (50 USC App. Sections 2401 et seq.) or regulations
thereunder. If such Contractor, or any of the aforesaid
affiliates of Contractor, is convicted or is otherwise
found to have violated said laws or regulations upon the
final determination of the United States Commerce
Department or any other appropriate agency of the
United States subsequent to the contract's execution,
such contract, amendment or modification thereto shall
be rendered forfeit and voi'd. The Contractor shall so
notify the State Comptroller within five (5) business
days of such conviction, determination or disposition of
appeal (2NYCRR 105.4).
9. SET-OFF RIGHTS. The State shall have all of its
common law, equitable and statutory rights of set-off.
These rights shall include, but not be limited to, the
State'o option to withhold for the purposes of set-off any
moneys due to the Contractor under this contract up to
any amounts due and owing to the State with regard to
this contract, any other contract with any State
department or agency, including any contract for a term
commencing prior to the term of this contract, plus any
amounts due and owing to the State for any other reason
including, without limitation, tax delinquencies, fee
delinquencies or monetary penalties relative thereto.
The State shall exercise its set-off rights in accordance
with normal State practices including, in cases of set-off
pursuant to an audit, the finalization of such audit by the
State agency, its representatives, or the State
Comptroller.
10. RECORDS.. The Contractor shall establish and
maintain complete and accurate books, records,
documents, accounts and other evidence directly pertinent
to performance under this contract (hereinafter,
collectively, "the Records"). The Records must be kept for
the balance of the calendar year in which they were made
and for six (6)additional years thereafter. The State
Comptroller, the Attorney General and any other person or
entity authorized to conduct an examination, as well as the
agency or agencies involved in this contract, shall have
access to the Records during normal business hours at an
office of the Contractor within the State of New York or, if
no such office is available, at a mutually agreeable and
reasonable venue within the State, for the term specified
above for the purposes of inspection, auditing and copying.
The State shall take reasonable steps to protect from public
disclosure any of the Records which are exempt from
disclosure under Section 87 of the Public Officers Law
(the "Statute") provided that: (i) the Contractor shall
timely inform an appropriate State official, in writing, that
said records should not be disclosed; and (ii) said records
shall be sufficiently identified; and (iii) designation of said
records as exempt under the Statute is reasonable. Nothing
contained herein shall diminish, or in any way adversely
4 June 2011
affect, the State's right to discovery in any pending or
future litigation.
11. IDENTIFYING INFORMATION AND
PRIVACY NOTIFICATION, (a) FEDERAL
EMPLOYER IDENTIFICATION NUMBER and/or
FEDERAL SOCIAL SECURITY NUMBER. All
invoices or New York State standard vouchers
submitted for payment for the sale of goods or services
or the lease of real or personal property to a New York
State agency must include the payee's identification
number, i.e., the seller's or lessor's identification
number. The number is either the payee's Federal
employer identification number or Federal social
security number, or both such numbers when the payee
has both such numbers. Failure to include this number
or numbers may delay payment. Where the payee does
not have such number or numbers, the payee, on its
invoice or New York State standard voucher, must give
the mason or reasons why the payee does not have such
number or numbers.
(b) PRIVACY NOTIFICATION. (1) The authority to
request the above personal information from a seller of
goods or services or a lessor of real or personal prope~ecy,
and the authority to maintain such information, is found
in Section 5 of the State Tax Law. Disclosure of this
information by the seller or lessor to the State is
mandatory. The principal purpose for which the
information is collected is to enable the State to identify
individuals, businesses and others who have been
delinquent in filing tax returns or may have understated
their tax liabilities and to generally identify persons
affected by the taxes administered by the Commissioner
of Taxation and Finance. The information will be used
for tax administration purposes and for any other
purpose author/zed by law. (2) The personal
information is requested by the purchasing unit of the
agency contracting to purchase the goods or services or
lease the real or personal property covered by this
contract or lease. The information is maintained in New
York State's Central Accounting System by the Director
of Accounting Operations, Office of the State
Comptroller, 110 State Street, Albany, New York 12236.
12. EQUAL EMPLOYMENT OPPORTUNITIES
FOR MINORITIES AND WOMEN. In accordance
with Section 312 of the Executive Law and 5 NYCRR
143, if this contract is: (i) a written agreement or
purchase order instrument, providing for a total
expenditure in excess of $25,000.00, whereby a
contracting agency is comrmtted to expend or does
expend funds in retum for labor, services, supplies,
equipment, materials or any combination of the
foregoing, to be performed for, or rendered or fumished
to the contracting agency; or (ii) a written agreement in
excess of $100,000.00 whereby a contracting agency is
conUratted to expend or does expend funds for the
acquisition, construction, demolition, replacement, mai or
repair or renovation of real property and improvements
thereon; or (iii) a written agreement in excess of
$100,000.00 whereby the owner of a State assisted
housing project is cormmtted to expend or does expend
funds for the acquisition, construction, demolition,
replacement, major repair or renovation of real property
and improvements thereon for such project, then the
following shall apply and by signing this agreement the
Contractor certifies and affirms that it is Contractor's
equal employment opportunity policy that:
(a) The Contractor will not discriminate against
employees or applicants for employment because of
race, creed, color, national origin, sex, age, disability or
marital status, shall make and document its
conscientious and active efforts to employ and utilize
minority group members and women in its work force
on State contracts and will undertake or continue
existing programs of affirmative action to ensure that
minority group members and women are afforded equal
employment opportunities without discrimination.
Affirmative action shall mean recnfitment, employment,
job assignment, promotion, upgradings, demotion,
transfer, layoff, or terrmnation and rates of pay or other
forms of compensation;
(b) at the request of the contracting agency, the
Contractor shall request each employment agency, labor
union, or authorized representative of workers with
which it has a collective bargaining or other agreement
or understanding, to furnish a written statement that such
employment agency, labor union or representative will
not discriminate on the basis of race, creed, color,
national origin, sex, 'age, disability or marital status and
that such union or representative will affirmatively
cooperate in the implementation of the Contractor's
obligations herein; and
(c) the Contractor shall state, in all solicitations or
advertisements for employees, that, in the performance
of the State contract, all qualified applicants will be
afforded equal employment opportunities without
5 June 2011
discrimination because of race, creed, color, national
origin, sex, age, disability or marital status.
Contractor will include the provisions of "a", "b", and
"c" above, in every subcontract over $25,000.00 for the
construction, demolition, replacement, major repair,
renovation, planning or design of real property and
improvements thereon (the "Work") except where the
Work is for the beneficial use of the Contractor. Section
312 does not apply to: (i) work, goods or services
unrelated to this contract; or (ii) employment outside
New York State. The State shall consider compliance by
a contractor or subcontractor with the requirements of
any federal law concerning equal employment
opporttmity which effectuates the purpose of this
section. The contracting agency shall determine whether
the imposition of the requirements of the provisions
hereof duplicate or conflict with any such federal law
and if such duplication or conflict exists, the contracting
agency shall waive the applicability of Section 312 to
the extent of such duplication or conflict. Contractor
will comply with all duly promulgated and lawful roles
and regulations of the Department of Economic
Development's Division of Minority and Women's
Business Development pertaining hereto.
13. CONFLICTING TERMS. In the event of a
conflict between the terms of the contract (including any
and all attachments thereto and amendments thereof) and
the terms of this Appendix A, the terms of this Appendix
A shall control.
14. GOVERNING LAW. This contract shall be
governed by the laws of the State of New York except
where the Federal supremacy clause requires otherwise.
15. LATE PAYMENT. Timeliness of payment and any
interest to be paid to Contractor for late payment shall be
governed by Article 11-A of the State Finance Law to
the extent required by law.
16. NO ARBITRATION. Disputes involving this
contract, including the breach or alleged breach thereof,
may not be submitted to binding arbitration (except
where statutorily authorized), but must, instead, be heard
in a court of competent jurisdiction of the State of New
York.
17. SERVICE OF PROCESS. In addition to the
methods of service allowed by the State Civil Practice
Law & Rules ("CPLR"), Contractor hereby consents to
service of process upon it by registered or certified mail,
return receipt requested. Service hereunder shall be
complete upon Contractor's actual receipt of process or
upon the State's receipt of the return thereof by the
United States Postal Service as refused or undeliverable.
Contractor must promptly notify the State, in writing, of
each and every change of address to which service of
process can be made. Service by the State to the last
known address shall be sufficient. Contractor will hav~
thirty (30) calendar days after service hereunder is
complete in which to respond.
18. PROHIBITION ON PURCHASE OF
TROPICAL HARDWOODS. The Contractor certifies
and warrants that all wood products to be used under thi.s
contract award will be in accordance with, but not
limited to, the specifications and provisions of Section
165 of the State Finance Law, (Use of Tropical
Hardwoods) which prohibits purchase and use of
tropical hardwoods, unless specifically exempted, by the
State or any governmental agency or political
subdivision or public benefit corporation. Qualification
for an exemption under this law will be the
responsibility of the contractor to establish to meet with
the approval of the State.
In addition, when any portion of this contract involving
the use of woods, whether supply or installation, is to be
performed by any subcontractor, the prime Contractor
will indicate and certify in the submitted bid proposal
that the subcontractor has been informed and is in
compliance with specifications and provisions regarding
use of tropical hardwoods as detailed in {}165 State
Finance Law. Any such use must meet with the approval
of the State; otherwise, the bid may not be considered
responsive. Under bidder certifications, proof of
qualification for exemption will be the responsibility of
the Contractor to meet with the approval of the State.
19. MACBRIDE FAIR EMELOYMENT
PRINCIPLES. In accordance with the MacBride Fair
Employment Principles (Chapter 807 of the Laws of
1992), the Contractor hereby stipulates that the
Contractor either (a) has' no business operations in
Northern Ireland, or (b) shall take lawful steps in good
faith to conduct any business operations in Northern
Ireland in accordance with the MacBride Fair
Employment Principles (as described in Section 165 of
the New York State Finance Law), and shall permit
independent monitoring of compliance with such
principles.
6 June 2011
20. OMNIBUS PROCUREMENT ACT OF 1997 It
is the policy of New York State to maximize oppor-
tunities for the participation of New York State business
enterprises, including minority and women-owned
business enterprises as bidders, subcontractors and
suppliers on its procurement contracts.
Information on the availability of New York State
subcontractors and suppliers is available from:
NYS Department of EcOnomic Development
Division for Small Business
30 South Pearl St -- 7th Floor
Albany, New York 12245
Telephone: 518-292~5220
Fax: 518-292-5884
http://www.empire.state.ny.us
A directory of certified minority and women-owned
business enterprises is available from:
NYS Department of Economic Development
Division of Minority and Women's Business
Development
30 South Pearl St -- 2nd Floor
Albany, New York 12245
Telephone: 518-292-5250
Fax: 518-292-5803
http://www.empire.state.ny.us
The ommbus Procurement Act of 1992 requires that by
signing this bid proposal or contract, as applicable,
Contractors certify that whenever the total bid mount is
greater than $1 million:
(a) The Contractor has made reasonable efforts to
encourage the participation of New York State Business
Enterprises as suppliers and subcontractors, including
certified minority and women-owned business
enterprises, on this project, and has retained the
documentation of these efforts to be provided upon
request to the State;
(b) The Contractor has complied with the Federal Equal
Opportunity Act of 1972 (P.L. 92-261), as emended;
(c) The Contractor agrees to make reasonable efforts to
provide notification to New York State residents of
employment oppommities on this project through listing
uny such positions with the Job Service Division of the
New York State Department of Labor, or providing such
notification in such manner as is consistent with existing
collective bargaining contracts or agreements. The
Contractor agrees to document these efforts and to
provide said documentation to the State upon request;
and
(d) The Contractor acknowledges notice that the State
may seek to obtain offset credits from foreign countries
as a result of this contract and agrees to cooperate with
the State in these efforts.
21. RECIPROCITY AND SANCTIONS
PROVISIONS. Bidders are hereby notified that if their
principal place of business is located in a country,
nation, province, state or political subdivision that
penalizes New York State vendors, and if the gOods or
services they offer will be substantially produced or
performed outside New York State, the Omnibus
Procurement Act 1994 and 2000 emendments (Chapter
684 and Chapter 383, respectively) require that they be
denied contracts which they would otherwise obtain.
NOTE: As of May 15, 2002, the list of discriminatory
jurisdictions subject to this provision includes the states
of South Carolina, Alaska, West Virginia, Wyoming,
Louisiana and Hawaii. Contact NYS Department of
Economic Development for a current list of jurisdictions
subject to this provision.
22. COMPLIANCE WITH NEW YORK STATE
INFORMATION SECURITY BREACH AND
NO'I'II~'ICATION ACT. Contractor shall comply with
the provisions of the New York State Information
Security Breach and Notification Act (General Business
Law Section 899-aa; State Technology Law Section
208).
23. COMPLIANCE WITH CONSULTANT
DISCLOSURE LAW. If this is a contract for
consulting services, defined for purposes of this
requirement to include analysis, evaluation, research,
training, data processing, computer programmang,
engineering, environmental, health, and mental health
services, accounting, auditing, paralegal, legal or similar
services, then, in accordance with Section 163 (4-g) of
the State Finance Law (as emended by Chapter 10 of the
Laws of 2006), the Contractor shall timely, accurately
and properly comply with the requirement to submit an
annual employment report for the contract to the agency
that awarded the contract, the Department of Civil
Service and the State Comptroller. '
7 June 2011
24. PROCUREMENT LOBBYING. To the extent
this agreement is a "procurement contract" as defined by
State Finance Law Sections 139~j and 139-k, by signing
this agreement the contractor certifies and affirms that
all disclosures made in accordance with State Finance
Law Sections 139-j and 139-k are complete, tree and
accurate. In the event such certification is found to be
intentionally false or intentionally incomplete, the State
may terminate the agreement by providing written
notification to the Contractor in accordance with the
terms of the agreement.
25. CERTIFICATION OF REGISTRATION TO
COLLECT SALES AND COMPENSATING USE
TAX BY CERTAIN STATE CONTRACTORS~
AFFILIATES AND SUBCONTRACTORS.
To the extent this agreement is a contract as defined by
Tax Law Section 5-a, if the contractor fails to make the
certification required by Tax Law Section 5-a or if
during the term of the contract, the Department of
Taxation and Finance or the covered agency, as defined
by Tax Law 5-a, discovers that the certification, made
under penalty of perjury, is false, then such failure to file
or false certification shall be a material breach of this
contract and tiffs contract may be terminated, by
providing written notification to the Contractor in
accordance with the terms of the agreement, if the
covered agency detenmnes that such action is in the best
interest of the State.
8 June 2011
Appendix A~I Rev. 02/26/2010
APPENDIX A-1
New York State Division of Homeland Security and Emergency Services
AGENCY-SPECIFIC CLAUSES
3.
4.
5.
GENERAL TERMS AND CONDITIONS
This contract (Agreement) is hereby made by and between the Division of Homeland
Security and Emergency Services (DHSES), on behalf of the State of New York (State) and
the Grantee.
Appendix A (Standard Clauses as required by the Attorney General for all State contracts)
takes precedence over all other parts of this Agreement.
This Agreement incorporates the face pages attached, this Appendix and all of the marked
Appendices identified on the face page hereofi
Funding for the entire Agreement Period shall not exceed the funding amount specified as
"Funding Amount for the Initial Period" on the face page hereof.
The period of this Agreement shall be as specified on the face page hereof. Should funding
become unavailable, this Agreement may be suspended until funding becomes available. In
such event DHSES shall notify the Grantee immediately of learning of such unavailability of
funds, however, any such suspension shall not be deemed to extend the term of this
Agreement beyond the end date specified on the face page hereof.
To modify the Agreement, the parties shall revise or complete the appropriate appendix
form(s). Any change in the amount of consideration to be paid, change in scope, or change in
the term, is subject to the approval of the NYS Office of the State Comptroller. Any other
modifications shall be processed in accordance with DHSES guidelines as stated in this
Agreement.
The Grantee must meet the program objectives summarized in the Program Work Plan and
Special Conditions (Appendix D) to the satisfaction of DHSES in accordance with provisions
of the Agreement, relevant laws, rules and regulations, administrative and fiscal guidelines
and, where applicable, operating certificates for facilities or license for an activity or
program.
If the Grantee enters into subcontracts for the performance of work pursuant to this
Agreement, the Grantee shall take full responsibility for the acts and omissions of its sub-
grantees. Nothing in the subcontract shall impair the rights of the State under this Agreement.
No contractual relationship shall be deemed to exist between the sub-grantee and neither
DHSES nor the State of New York.
If this Agreement exceeds $50,000, it shall not take effect until it is executed by the parties
hereto and approved by both the Offices of the NYS Attorney General and State Comptroller.
If this Agreement is $15,000 or less, it shall not take effect until it is executed by both parties.
If this Agreement ranges in dollar amount from $15,000.01 to $50,000, execution is
contingent upon the appropriation. If the Agreement utilizes funds appropriated prior to
10.
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Appendix A- I Rev. 02/26/2010
April 1, 2006, it shall not take effect until it is executed by the parties hereto and approved by
both the Offices of the NYS Attorney General and State Comptroller. If the Agreement
utilizes funds appropriated on or after April 1, 2006, it shall not take effect until it is
executed by both parties.
The failure of a party to enforce a contractual obligation shall not eliminate the other party's
obligation to perform such contractual obligation.
In the event that any provision of this Agreement is determined to be null and void, all
remaining provisions shall continue to be in full force and effect.
If applicable, the Grantee agrees to obtain not-for-profit status, a federal identification
number, and a charitable registration number (or a declaration of exemption) and to furnish
DHSES with this information as soon as it is available.
The Grantee agrees, as a material condition of the Agreement, to comply with all applicable
provisions of the Hatch Act (5 U.S.C. 1501 et seq.), as amended.
The Grantee shall comply with the provisions of the New York State Information Security
Breach and Notification Act (General Business Law Section 889-aa; State Technology Law
Section 208). The Grantee shall be liable for the costs associated with such breach if caused
by the Grantee's negligent or willful acts or omissions, or the negligent or willful actions or
omissions of Grantee's agents, officers, employees or sub-grantees.
Consistent with the NYS Office of State Comptroller Bulletin No. G-221, all non-
governmental (non-profit and commercial) organizations scheduled to receive grant funding
from DHSES must comply with Vendor Responsibility requirements.
BUDGET, PAYMENT, REIMBURSEMENT AND REPORTING REQUIREMENTS
The Grantee is not permitted to make any changes to the Agreement budget without the
written approval of DHSES. Furthermore, any proposed modification to the Agreement
which results in a change of greater than 10 percent to any budget category, must be
submitted to NYS Office of State Comptroller for approval.
To be eligible for payment, the Grantee shall submit to the DHSES' designated payment
office (identified in Appendix C) any appropriate documentation as required by the Payment
and Reporting Schedule (Appendix C) and by agency fiscal guidelines, in a manner
acceptable to DHSES.
DHSES shall make payments and any reconciliation in accordance with the Payment and
Reporting Schedule (Appendix C). DHSES shall pay the Grantee for completed, approved
projects, a sum not to exceed the amount noted on the face page hereof. The Grantee must
not seek or accept reimbursement from any other sources for Grantee costs and services
pursuant to this Agreement.
Grantee shall provide complete and accurate vouchers to the Agency in order to receive
payment. Vouchers submitted to DHSES must contain all information and supporting
documentation required by the Agreement, DHSES and the State Comptroller. Payment for
vouchers submitted by the Grantee shall only be rendered electronically, unless a paper check
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Appendix A- l Rev. 02/26/2010
is expressly authorized by the Director of DHSES, at the Director's sole discretion, due to
extenuating circumstances. Such electronic payment shall be made in accordance with the
ordinary State procedures and practices. The Grantee shall comply with the State
Comptroller's procedures to authorize electronic payments. Authorization forms are available
at the State Comptroller's website at www.osc.state.ny.us/epa¥/index.htm, by email at
epunit(~osc.state.ny, us, or by telephone at (518) 474-4032. Grantee acknowledges that it will
not receive payment on any vouchers submitted under this Agreement if it does not comply
with the State Comptroller's electronic payment procedures, except where the Director has
expressly authorized payment by paper check as set forth above.
The Grantee shall meet all audit requirements of the federal government and State of New
York.
Space rental provided by this Agreement must be supported by a written lease, maintained on
file and made available by the Grantee upon request.
The Grantee's request for travel, meals or lodging reimbursement shall be in accordance with
Appendix B, Budget, and, unless written authorization has been received from DHSES, shall
not exceed rates authorized by the NYS Office Of State Comptroller (Audit and Control).
Rates may be viewed online at: htt~://www.osc.state.ny.us/agencies/travel/travel.htm.
The Grantee's employment of a consultant must be supported by a written agreement
executed by the Grantee and the consultant. A consultant is defined as an individual or
organization hired by the Grantee for the stated purpose of accomplishing a specific task
relative to the funded project. All consultant services must be obtained in a manner that
provides for fair and open competition. The Grantee shall retain copies of all solicitations
seeking a consultant, written agreements and documentation justifying the cost and selection
of the consultant, and make them available to DHSES upon request. The Grantee further
agrees that it shall assume sole and complete responsibility for fulfilling all the obligations
set forth in the Agreement and the Grantee must guarantee the work of the consultant as if it
were its own.
a) Unless a special condition applies to this Agreement, the rate for consultant services shall
be reasonable and consistent with the amount paid for similar services in the marketplace.
Time and effort reports are required for consultants.
b) Grantee must adhere to the following guidelines at a minimum when obtaining consultant
services.
Consultant services that cost up to $15,000 may be obtained by proving
reasonableness of price. One method of proving reasonableness of price is to
obtain three quotations from responsible vendors, on the vendor's letterhead.
A description of the selection process must be maintained, as well as a record
of the quotations.
ii.
Consultant services that cost over $15,000 up to $50,000 may be obtained by
advertising the opportunity in a reasonable manner and in an appropriate
venue for a reasonable period of time. Reasonableness of price must be
proven; obtaining three quotations as in (i.) above may be used. A record
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10.
Appendix Ad Rev. 02/26/2010
must be maintained of the advertisement, the quotations, and the selection
process.
iii.
Consultant services that cost over $50,000 must use a formal competitive
bidding process. Guidance may be obtained from DHSES. At a minimum,
the competitive bidding process must incorporate the following: open, fair
advertisement of the opportunity to provide services; equal provision of
information to all interested parties; reasonable deadlines; establishment of
the methodology of evaluating bids before the bids are opened; sealed bids
opened at one time before a committee who will certify the process; and
maintenance of a record of the competitive procurement process.
c) A Grantee that is a local government must contract for consultants in accordance with
General Municipal Law Article 5-A and any other applicable regulations.
d)
A Grantee who proposes to obtain consultant services from a particular vendor without
competitive bidding must obtain the prior written approval of DHSES. The request for
approval must be in writing and set forth, at a minimum, a detailed justification for
selection and the basis upon which the price was determined to be reasonable. Further,
such consultant services must be in accordance with the guidelines, bulletins and
regulations of the NYS Office of the State Comptroller, State Procurement Council; and
the U.S. Department of Homeland Security. A copy of DHSES' approval must also be
submitted with the voucher for payment.
Equipment means tangible, nonexpendable, personal property having a useful life of more
than one year and an acquisition cost of $5,000 or more per unit. A Grantee may use its own
definition of equipment provided that such definition would at least include all equipment
defined above. A copy of the property record(s) or equipment inventory report(s) with
relevant purchasing and supporting documentation must be made available to DHSES upon
request. Property records or equipment inventory reports must be maintained, by award, that
include a description of the property, a serial number or other identification number, the
source of property, who holds title, the acquisition date, and cost of the property, percentage
of federal participation in the cost of the property, the location, use and condition of the
property, and any ultimate disposition data including the date of disposal and sale price of the
property. The Grantee must document receipt of all applicable equipment purchased with
grant funds. A physical inventory of the property must be taken and the results reconciled
with the property records at least once every two years.
Upon completion of all contractual requirements by the Grantee, DHSES will consider a
request for continued use and possession of the equipment purchased with grant funds
provided the equipment continues to be used in connection with a public security program.
When disposing of equipment purchased with homeland security grant funding, a State
agency must dispose of equipment in accordance with State Laws and procedures. All other
Grantees shall dispose of equipment as follows:
Items of equipment with a current per unit market value of less than $5,000 may be
retained, sold or otherwise disposed of with no further obligation to the awarding
agency.
b) Items of equipment with a current per unit fair market value of $5,000 or more may
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Appendix A- I Rev. 02/26/2010
be retained or sold. If sold, the awarding agency shall have a right to an amount
calculated by multiplying the proceeds from the sale by the awarding agency's
share of the equipment. If retained, the current market value is to be used in the
calculation. To remit payments, award recipients should contact DHSES at 1-866-
837-9133 for guidance.
The Grantee further agrees that, when practicable, any equipment pumhased with grant
funding shall be prominently marked as follows:
"Purchased with funds provided by the U.S. Department of Homeland Security."
Written justification and documentation for all procurements must be maintained on file, and
made available to DHSES upon request. All procurements must be made in a fair and open
manner and in accordance with the pre-determined methodology established for evaluating
bids (e.g., lowest responsible bidder or best value).
a) Grantee must also make all procurements as noted below:
If the Grantee is eligible to purchase an item or service from a government
contract or is able to purchase such item or service elsewhere at a lower than
or equal price, then such purchase may be made immediately.
ii.
A Grantee purchasing any single piece of equipment, single service or
multiples of each that cost up to $15,000 may do so by proving
reasonableness of price. One method of proving reasonableness of price is to
obtain three quotations from responsible vendors, on the vendor's letterhead.
A description of the selection process must be maintained, as well as a record
of the quotations.
iii.
Goods or services or multiples of each that have an aggregate cost between
$15,000 up to $50,000 may be obtained by advertising the opportunity in a
reasonable manner and in an appropriate venue for a reasonable period of
time. Reasonableness of price must be proven; obtaining three quotations as
in (ii) above may be used. A record must be maintained of the advertisement,
the quotations, and the selection process.
iv.
A Grantee expending over $50,000 must use a formal competitive bidding
process. Guidance may be obtained from DHSES. At a minimum, the
competitive bidding process must incorporate the following: open, fair
advertisement of the opportunity to prox~ide the goods or services; equal
provision of the information to all interested parties; reasonable deadlines;
establishment of the methodology for evaluating bids before the bids are
opened; sealed bids opened at one time before a committee who will certify
the process; and maintenance of a record of the competitive procurement
process.
A Grantee who proposes to purchase from a particular vendor without
competitive bidding must obtain the prior written approval of DHSES. The
request for approval must be in writing and set forth, at a minimum, a detailed
justification for selection and the basis upon which the price was determined
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Appendix A-I Rev. 02d26/2010
to be reasonable. Further, such procurement must be in accordance with the
guidelines, bulletins and regulations of the NYS Office of the State
Comptroller, State Procurement Council, and the U.S. Department of
Homeland Security. A copy of DHSES' approval must also be submitted
with the voucher for payment.
b) A Grantee that is a State entity must make all procurements in accordance with
State Finance Law Article 11, and any other applicable regulations.
c) A Grantee that is a local government must make procurements in accordance with
General Municipal Law Article 5-A, and any other applicable regulations.
The Grantee shall submit detailed itemization forms or a form deemed acceptable to
DHSES for personal service, fringe benefit and non-personal service expenditures with
any voucher and fiscal cost report requesting reimbursement. Grant-related expenditures
shall be reported on Fiscal Cost Reports approved by DHSES. These reports must be
prepared periodically and as defined in Appendix C of this Agreement. All reported
expenditures must reconcile to the program accounting records and the approved budget.
Prior period adjustments shall be reported in the same accounting period that the
correction is made.
The Grantee must submit program progress reports and final reports as specified in
Appendix C.
Where advance payments are approved by DHSES, the Grantee agrees to expend the advance
payments in accordance with the purposes set forth in Appendix D and consistent with
Appendix B. The advanced funds must be placed in an interest-bearing account and are
subject to the roles outlined in 44 CFR Part 13, (Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Govemments) and 2 CFR 215
(Unifom~ Administrative Requirements for Grants and Agreements with Institutions of
Higher Education, Hospitals, and Other Non-Profit Organizations), which require Grantees to
promptly remit back to the federal government, through New York State Division of
Homeland Security and Emergency Services, any interest earned on these advanced funds.
The Grantee may keep interest earned up to $100 per federal fiscal year if a local unit of
government and $250 per federal fiscal year if a not-for-profit for administrative expenses.
This maximum limit is not per award; it is inclusive of all interest earned as the result of all
federal grant program funds received per year. Interest must be reported on Fiscal Cost
Reports and remitted to DHSES quarterly.
ACCOUNTING FOR GRANT EXPENDITURES
Grant funds may be expended only for purposes and activities set forth in this Agreement.
Accordingly, the most important single requirement of accounting for this grant is the
complete and accurate documentation of grant expenditures. If the Grantee receives funding
from two or more sources, all necessary steps must be taken to ensure that grant-related
transactions are not commingled. This includes, but is not limited to, the establishment of
unique budget codes, a separate cost center, or a separate chart of accounts. Expenditures
must be cross-referenced to supporting source documents (purchase orders, contracts, mai
estate leases, invoices, vouchers, timesheets, mileage logs, etc.).
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Appendix A-I Rev. 02/26/2010
Grantee agrees that it shall maintain adequate intemal controls and adhere to Generally
Accepted Accounting Principles fo~ Government or Generally Accepted Accounting
Principles for Not-fur-Profit Organizations.
This Agreement may be subject to fiscal audits by DHSES, NYS Office of State Comptroller,
pertinent federal agencies, and other designated entities to ascertain financial compliance
with federal and/or State laws, regulations, and guidelines applicable to this Agreement.
Such audits may include review of the Grantee's accounting, financial, and reporting
practices to determine compliance with the Agreement and reporting requirements;
maintenance of accurate and reliable original accounting records in accordance with
governmental accounting standards as well as generally accepted accounting principles; and
specific compliance with allowable cost and expenditure documentation standards prescribed
by applicable federal, State, and DHSES guidelines.
None of the goals, objectives or tasks, as set forth in Appendix D, shall be sub-awarded to
another organization without specific prior written approval by DHSES. Where the intention
to make sub-awards is clearly indicated in th~ application, DHSES approval is deemed given,
if these activities are funded as proposed.
If this Agreement makes provisions for the Grantee to sub-grant funds to other recipients, the
Grantee agrees that all sub-grantees shall be held accountable by the Grantee for all terms
and conditions set forth in this Agreement. The Grantee further agrees that it shall assume
sole and complete responsibility for fulfilling all the obligations set forth in the Agreement
and the Grantee must guarantee the work of any sub-grantee as if it were its own.
The Grantee agrees that all sub-grantee arrangements shall be formalized in writing between
the parties involved. The whting must, at a minimum, include the following information:
· Activities to be performed;
· Time schedule;
· Project policies;
· Other policies and procedures to be followed;
· Dollar limitation of the Agreement;
· Appendix A, Appendix A-l, Appendix C, Certified Assurances for Federally
Supported Projects, Certification Regarding Lobbying, Debarment and Suspension
and any special conditions set forth in the Agreement;
· Applicable federal and/or State cost principles to be used in determining allowable
costs; and
· Property Records or Equipment Inventory Reports.
The Grantee will not be reimbursed for sub-granted funds unless all expenditures by a sub-
grantee are listed on detailed itemization forms or a form deemed acceptable to DHSES.
Backup documentation for such expenditures must be made available to DHSES upon
request. All expenditures must be programmatically consistent with the goals and objectives
of this Agreement and with the Budget set forth in Appendix B.
PROPERTY
Any equipment, furniture or supplies or other property purchased pursuant to this Agreement
is deemed to be the property of the State, except as may otherwise be governed by federal or
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Appendix A- I Rev 02~26/2010
State laws, roles or regulations or stated in this Agreement.
Upon completion of all contractual requirements by the Grantee under this Agreement,
DHSES shall accept a request for continued use and possession of the equipment pumhased
with grant funds providing the equipment continues to be used in accordance with the
contracted activities and guidelines in this Agreement.
The Grantee must conduct a physical inventory of property records at least once every two
years to verify the existence, current utilization and continued need for the property. In the
event the property is no longer required by the Grantee, this fact should be reported to
DHSES as soon as possible and appropriate guidelines followed, as specified in this
Appendix.
If Grantee disposes of any equipment pumhased under this Agreement during the active
lifespan of said equipment, Grantee must reinvest any proceeds from the disposal into
additional equipment items to continue Grantee's organization's activities subject to the
guidelines of this Agreement. If the Grantee does not reinvest proceeds to continue activities
subject to this Agreement, the percentage of the proceeds equal to the proportion of the
original purchase price paid by funds for the Agreement must be repaid to the State of New
York.
FEDERAL REQUIREMENTS
The Grantee must comply with the most recent version of the Administrative Requirements,
Cost Principles, and Audit requirements.
A list of regulations commonly applicable to United States Department of Homeland Security
(DHS) grants are listed below, including the guidance:
a) Administrative Requirements:
1. 44 CFR Part 13, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments
2. 2 CFR Part 215, Institutions of Higher Education, Hospitals, and Other Non-
Profit Organizations (OMB Circular A-110)
b) Cost Principles:
1. 2 CFR Part 225, State and Local Governments (OMB Circular A-87)
2. 2 CFR Part 220, Educational Institutions (OMB Cimular A-21)
3. 2 CFR Part 230, Non-Profit Organizations (OMB Circular A-122)
4. Federal Acquisition Regulation Sub-part 31.2, Contracts with Commercial
Organizations
c) Audit Requirements:
1. OMB Circular A-133, Audits of States, Local Governments, and Non-Profit
Organizations
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Appendix A-I Rev. 02/26/2010
The Grantee shall ensure it is aware of and complies with all applicable taws, regulations and
program guidance. It is the responsibility of the Grantee to become familiar with and comply
with all terms and conditions associated with acceptance of funds.
The Grantee must ensure full compliance with all cost documentation requirements,
including specific personal service documentation, as applicable directly to the Grantee, sub-
recipient or collaborative agency/organization. The Grantee must maintain specific
documentation as support for project related personal service expenditures as this Agreement
is supported by federal funds. Depending upon the nature or extent of personal service
provided under this Agreement, the Grantee shall maintain semi-annual (or more frequent)
personal service certifications and/or an after-the-fact personnel activity reporting system (or
equivalent) which complies with all applicable laws, regulations and program guidance.
Failure to do so may result in disallowance of costs.
In accordance with federal requirements, a Grantee that receives during its fiscal year
$500,000 or more of federal funds from all sources, including this Agreement, must agree to
have an independent audit of such federal funds conducted in accordance with the federal
Office of Management and Budget (OMB) Circular A-133. OMB Circular A-133 further
requires that the final report for such audit be completed within nine months of the end of the
Grantee's fiscal year.
The Grantee must provide one copy of such audit report to DHSES within nine months of the
end of its fiscal year, or communicate in writing to DHSES that Grantee is exempt from such
requirement.
Program income earned by the Grantee during the grant funding Period must be reported in
writing to DHSES, in addition to any other statutory reporting requirements. Program
income consists of income eamed by the grant recipient that is directly generated by a
supported activity or earned as a result of the grant program. Program income includes, but
is not limited to, income from fees for services performed, the use of rental or real or
personal property acquired under federally-funded projects, the sale of commodities or items
fabricated under an award, license fees and royalties on patents and copyrights and interest
on loans made with federal award funds. For example, if the purpose of a grant is to conduct
conferences, any training fees that are generated would be considered program income.
Interest earned on grant funds is no~t considered program income unless specified in
Appendix D. The Grantee agrees to report the receipt and expenditures of grant program
income to DHSES. Program income (not to include interest earned), generated by the use of
these grant funds will be used to enhance the grant project.
Any creative or literary work developed or commissioned by the Grantee with grant support
provided by DHSES shall become the property of DHSES, entitling DHSES to assert a
copyright therein, unless the parties have expressly agreed otherwise in a written instrument
signed by them.
a)
If DHSES shares its right to copyright such work with the Grantee, DHSES
reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish
or otherwise use, and to authorize others to use: (a) the copyright in any work
developed under a grant, sub-grant, or contract under a grant or sub-grant; and (b)
any rights of copyright to which a Grantee, sub-grantee, or a contractor purchases
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Appendix A-I Rev. 02/26/2010
ownership with grant support.
h)
If the grant support provided by DHSES is federally-sponsored, the federal
awarding agency also reserves a royalty-free, nonexclusive, and irrevocable license
to reproduce, publish or otherwise use, and to authorize others to use: (a) the
copyright in any work developed under a grant, sub-grant or contract under a grant
or sub-grant; and (b) any rights of copyright to which a Grantee, sub-grantee, or a
contractor purchases ownership with such grant support.
e)
The Grantee shall submit one copy of all reports and publications resulting from
this Agreement to DHSES. Any document generated pursuant to this grant must
contain the following language:
"This project was supported by a grant administered by the New York State
Division of Homeland Security and Emergency Services and the U.S.
Department of Homeland Security. Points of view in this document are those
of the author and do not necessarily represent the official position or policies
of the New York State Division of Homeland Security and Emergency
Services or the U.S. Department of Homeland Security."
SAFEGUARDS FOR SERVICES AND CONFIDENTIALITY
Services performed pursuant to this Agreement must be secular in nature and shall be
performed in a manner that does not discriminate on the basis of religious belief, or promote
or discourage adherence to religion in general or particular religious beliefs.
Funds provided pursuant to this Agreement shall not be used for any partisan political
activity, or for activities that may influence legislation or the election or defeat of any
candidate for public office.
Information relating to individuals who may receive services pursuant to this Agreement
shall be maintained and used only for the purposes intended under the Agreement and in
conformity with applicable provisions of federal and State laws and regulations, or as
specified in this Agreement.
Go
AMENDMENT~ SUSPENSION~ TERMINATION OF AGREEMENT
The Grantee agrees that if the project is not operational within 60 days of the execution date
of the Agreement, it will report by letter to DHSES the steps taken to initiate the project, the
reasons for delay, and the expected starting date. If the project is not operational within 90
days of the execution date of the Agreement, the Grantee will submit a second statement to
DHSES explaining the delay. DHSES may either cancel the project and redistribute the
funds or extend the implementation date of the project beyond the 90-day period when
warranted by extenuating circumstances.
DHSES will be allowed to extend, increase, amend, decrease or terminate this Agreement,
upon appropriate approval of the NYS Offices of Attorney General and/or State Comptroller,
as follows:
Appendix A-1 Rev 02/26/2010
a)
Upon approval by the NYS Office of State Comptroller, the term of this Agreement
may be extended in conjunction with the extension of the federal grant award fi.om
which this Agreement is funded, not to exceed a term of five years fi.om the initial
start date.
b)
Upon approval by the NYS Office of State Comptroller, the amount of this
Agreement may be increased provided the funds are used in accordance with the
guidelines associated with this Agreement grant application kit, as outlined in
Appendix D, and the scope of work has not substantially changed.
c) This Agreement may be terminated at any time upon mutual written consent of
DHSES and the Grantee.
d)
DHSES may decrease the level of funding or terminate the Agreement
immediately, upon written notice of termination to the Grantee, if the Grantee fails
to comply with the terms and conditions of this Agreement and/or with any laws,
rules, regulations, policies or procedures affecting this Agreement.
e) This Agreement may be terminated for convenience upon thirty (30) days' notice
to the Grantee.
DHSES reserves the right to suspend program funds if the Grantee is found to be in
noncompliance with the provisions of this Agreement or other grant agreements between the
Grantee and DHSES or, if the Grantee or principals of the Grantee are under investigation by
a New York State or local law enforcement agency for noncompliance with State or federal
laws or regulatory provisions or, if in DHSES' judgment, the services provided by the
Grantee under the Agreement are unsatisfactory or untimely.
i. DHSES shall provide the Grantee with written notice of noncompliance.
ii. Upon the Grantee's failure to correct or comply with the written notice by
DHSES, DHSES reserves the right to terminate this Agreement, recoup
funds and recover any assets purchased with the proceeds of this
Agreement.
iii. DHSES reserves the right to use approved grant related expenditures to
offset disallowed expenditures from any grant funded through its offices
upon appropriate notification to the Grantee, or upon reasonable
assurance that the Grantee is not in compliance with these terms.
4. All notices permitted or required hereunder shall be in writing and shall be transmitted either:
(a) via certified or registered United States mail, return receipt requested;
(b) by facsimile transmission;
(c) by personal delivery;
(d) by expedited delivery service; or
(e) by e-mail.
5. Any such notice shall be deemed to have been given either at the time of personal delivery
or, in the case of expedited delivery service or certified or registered United States mail, as of
the date of first attempted delivery at the address and in the manner provided here!n, or in the
case of facsimile transmission or email, upon receipt.
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Appendix A-l Rev. 02/26/2010
The parties may, from time to time, specify any new or different address in the United States
as their address for purpose of receiving notice under this Agreement by giving fifteen (15)
days written notice to the other party sent in accordance herewith. The parties agree to
mutually designate individuals as their respective representatives for the purposes of
receiving notices under this Agreement. Additional individuals may be designated in writing
by the parties for purposes of implementation and administration/billing, resolving issues and
problems and/or for dispute resolution.
7. Upon receipt of the notice of termination, the Grantee agrees to cancel, prior to the effective
date of any prospective termination, as many outstanding obligations as possible, and agrees
to not incur any new obligations after receipt of the notice without prior written approval by
DHSES.
8. DHSES shall be responsible for payment on claims pursuant to costs incurred pursuant to
terms of the AGREEMENT. In no event shall DHSES be liable for expenses and obligations
arising from the program(s) in this Agreement after the termination date.
H. AVAILABILITY OF FUNDS
If for any reason the State of New York or the federal government terminates its
appropriation through DHSES or fails to pay the full amount of the allocation for the
operation of this program, this Agreement may be terminated or reduced at the discretion of
DHSES, provided that no such reduction or termination shall apply to allowable costs already
incurred by the Grantee where funds are available to DHSES for payment of such costs.
Upon termination or reduction of this Agreement, all remaining funds paid to the Grantee
that are not subject to allowable costs .already incurred by the Grantee shall be retumed to
DHSES. In any event, no liability shall be incurred by DHSES or by the State of New York
beyond monies available for the purposes of this Agreement. The Grantee acknowledges that
any funds due to DHSES because of disallowed expenditures after audit shall be its
responsibility.
Unless otherwise specified, in accordance with the State Finance Law, the availability of
federal and State funds budgeted as local assistance shall cease on September 15t~ of the year
following the fiscal year in which the funds were appropriated, unless such funds are re-
appropriated in the State Budget by the New York State Legislature. When local assistance
funds are not re-appropriated, vouchers must be received by DHSES by August 1st of the
year following the fiscal year in which the funds were appropriated to ensure reimbursement.
L RETENTION OF RECORDS
Original records must be retained for six years following the submission of the final claim
against this Agreement or the end of the Agreement Period, if later. In cases where litigation,
a claim, or an audit is ongoing, the records must be retained until formal completion of the
action and resolution of issues or the end of the six year Period, whichever is later. In the
event of an audit, the project manager or a designated responsible party must be prepared to
produce soume documents that substantiate claimed expenditures. DHSES requires that all
documentation materials be organized, readily accessible, and cross-referenced to the Fiscal
Cost Reports previously submitted. If fiscal records, such as purchase orders, vouchers,
payroll registers, payroll tax records, property records or equipment inventory records, etc.,
are to be kept in a fisfial office which is separate and apart from the program office, the
-12-
Appendix A-I Rev. 02/26/2010
· project manager must have access to these original records. Such fiscal records must readily
identify the associated project.
INDEMNIFICATION
The Grantee shall be solely responsible and answerable in damages for any and all accidents
and/or injuries to persons (including death) or property arising out of or related to the
services to be rendered by the Grantee or its sub-grantees pursuant to this Agreement. The
Grantee shall indemnify and hold harmless the State of New York and its officers and
employees from claims, suits, actions, damages and costs of every nature arising out of the
provision of services pursuant to this Agreement.
The Grantee is an independent contractor and may neither hold itself out nor claim to be an
officer, employee or subdivision of the State nor make any claim, demand or application to,
or for, any right based upon any different status.
-13-
$outhold, Town of FY09 Buffer Zone Protection Program
C 150996 BZ09- ! 004-D00
Appendix B - Project Budget
Contract Period: 4/I/2009 - 3/31/2012
DESCRIPTION
Southold, Town of
Equipment
Authorized equipment to enhance the security of critical infrastructure and key
assets.
GRANT AMOUNT MATCH AMOUNT
194,000.00 0.00
194~000.00 0.00
Grant Total: 194,000.00 0.00
Rev. 02/26/2010
APPENDIX C
PAYMENT AND REPORTING SCHEDULE
For All Grantees:
1. The Grantee agrees that this is a reimbursement-based contract; an advance may be
provided as specified in Appendix D. All requests for reimbursement must reflect actual
costs that have been disbursed by the Grantee. Items or services not received are not
eligible for reimbursement.
Reimbursement requests need to include the following documents:
· Signed Voucher and Fiscal Cost Report
Detailed Itemization Forms or other forms deemed acceptable by DHSES of any
budgeted category for which reimbursement is requested
· Written documentation of all required DHSES approvals, as appropriate
2. Grantee shall provide complete and accurate vouchers to the Agency in order to receive payment.
Vouchers submitted to DHSES must contain all information and supporting documentation
required by the Agreement, DHSES and the State Comptroller. Payment for vouchers submitted
by the Grantee shall only be rendered electronically, unless a paper check is expressly authorized
by the Director of DHSES, at the Director's sole discretion, due to extenuating circumstances.
Such electronic payment shall be made in accordance with the ordinary State procedures and
practices. The Grantee shall comply with the State Comptroller's procedures to authorize
electronic payments. Authorization forms are available at the State Comptroller's website at
www.osc.state.n¥.us/epa¥/index.htm, by email at epunit(&~0sc.state.ny.us, or by telephone at (518)
474-4032. Grantee acknowledges that it will not receive payment on any vouchers submitted
under this Agreement if it does not comply with the State Comptroller's electronic.payment
procedures, except where the Director has expressly authorized payment by paper check as set
forth above.
Grantees must submit all required fiscal reports, supporting documentation and program
progress reports. Failure to meet these requirements will result in the rejection of
associated vouchers. Final vouchers, reimbursement requests and reports must be
submitted within 30 days of the end of the grant contract period. Failure to voucher
within this period may result in the loss of grant funds. The Grantee must also refund all
unexpended advances and any interest earned on the advanced funds. Property Records
or Equipment Inventory Reports as defined in Appendix A-1, Paragraph 12, must be
available at the conclusion of the grant contract period and submitted to DHSES upon
request.
If at the end of this contract there remain any monies (advanced or interest eamed on the
advanced funds) associated with this contract in the possession of the Grantee, the
Grantee shall submit a check or money order for that amount payable to the order of the
New York State Division of Homeland Security and Emergency Services. Remit the
check along with the final fiscal cost report within 30 days of termination of this grant
contract to:
Rev. 02/26/2010
NYS Division of Homeland Security and Emergency Services
Federal Fiscal Unit
State Campus - Building 7A
1220 Washington Avenue
Albany, NY 12242
Vouchers shall be submitted in a format accei~table to DHSES and the Office of the State
Comptroller. Vouchers submitted for payment shall be deemed to be a certification that
the payments requested are for project expenditures made in accordance with the items as
contained in the Project Budget (Appendix B) and during the contract period. Such
voucher shall also be deemed to certify that: a) the payments requested do not duplicate
reimbursement from other sources of funding; and b) the funds provided herein do not
replace funds that, in the absence of this grant, would have been made available by the
Grantee for this program...
6. Fiscal cost reports must be submitted showing grant expenditures. They must also show
the amount of interest earned to date on any advanced funds.
Ail submitted vouchers will reflect the Grantee's actual expenditures and will be
accompanied by supporting detailed itemization forms or a form deemed acceptable to
DHSES for personal service, fringe benefit and non-personal service expenditures or other
documentation as required, and by a fiscal cost report for the reporting period. In the event
that any expenditure for which the Grantee has been reimbursed by grant funds is
subsequently disallowed, DHSES, in its sole discretion, may reduce the voucher payment
by the amount disallowed. If necessary, the Grantee may be required to submit a final
budget reallocation.
DHSES reserves the right not to release subsequent grant awards pending Grantee
compliance with this Agreement.
For purposes of prompt payment provisions, the Designated Payment Office for the
processing of all vouchers is the Contract Unit of DHSES. Payment of grant vouchers
shall be made in accordance with the provisions of Article XI-A of the State Finance
Law. Payment shall be preceded by an inspection period of 15 business days which shall
be excluded from calculations of the payment due date 'for purposes of determining
eligibility for interest payments. The Grantee must n6tify the Federal Fiscal Unit in
writing of a change of address in order to benefit from the prompt payment provision of
the State Finance Law. When progress reports are overdue, vouchers will not be eligible
for prompt payment.
8. Timely and properly completed New York State vouchers, with supporting
documentation when required, shall be submitted to:
2
Rev. 02/26/2010
NYS Division of Homeland Security and Emergency Services
Attention: Contracts Unit
State Office Building Campus - Bldg. 7A
1220 Washington Avenue, Suite 610
Albany, NY 12242
9. The Grantee will submit program progress reports and one final report to DHSES on a
prescribed form provided by DHSES as well as any additional information or amended data
as required.
Progress reports will be due within 30 days of the last day of each calendar quarter or on
an alternate schedule as proscribed in Appendix D. Progress reports will be due within 30
days of the last day of the calendar quarter from the start date of the program and the final
report will be due upon completion of th¢ project or termination of this Agreement.
Calendar quarters, for the purposes of making program progress reports, shall be as
follows:
Calendar Qnarter Rep~t l~!le
January 1 - March 31 April 30
April 1 - June 30 July 30
July 1 - September 30 October 30
October 1 - December 31 January 30
The final report, or where applicable interim progress reports, will summarize the project's
achievements as well as describe activities for that quarter.
$outhold, Town of FY09 Buffer Zone Protection Program
C! 50996 BZ09-1004-D00
Appendix D - Program Workplan and Special Conditions
This Program will be implemented by: Southold Town Police Department
Project Goal: To increase the preparedness capabilities surrounding high-priority critical infrastructure and key
resource (CI/KR) assets.
Objective # I
To harden/protect critical infrastructure and key assets.
Task # 1
Purchase equipment to enhance the security of critical infrastructure and key assets.
Performance Measure # I
Identify equipment ordered and received. Provide a brief narrative on the training of personnel and the deployment
of equipment. Describe how the project enhanced critical infrastructure protection capabilities in the jurisdiction.
Equipment accountability records are properly maintained.
.Southold, Town of FY09 Buffer Zone Protection Program
Ci 50996 BZ09-1004-D00
Appendix D - Program Workplan and Special Conditions
i. ALL GRANT FUNDS:
Permissible Use of Funding
1. Buffer Zone Protection Program (BZPP) funds must be used in accordance with the guidelines set forth in
the FY 2009 BZPP application kit, which can be located
at <http://www. fema.gov/govemment/grant/bzpp/index09.shtm>.
2. All planning, training and Chemical, Biological, Radiological and Nuclear Explosives (CBRNE) exercises
and/or equipment purchased with FY 2009 BZPP funds must support the prevention, response and/or
recovery goals set forth in New York State's Homeland Security Strategy represented by the list of priorities
included in the grant applications and approved investment justifications. New York State's Homeland
Security Strategy can be located on the NYS Division of Homeland Security and Emergency Services'
(DHSES) website at <http://www.dhses.n¥.gov/plannin~>.
B. Record Requirements
I. Grantees shall keep an agenda and meeting minutes on file for all meetings conducted regarding BZPP
funded activities.
2. Any documents produced as a result of these meetings such as plans, schedules, or procedures, will also be
kept on file and be made available to DHSES, upon request.
C. Equipment Purchases
1. Equipment purchased with grant funds must fall within the allowable equipment categories for the FY 2009
BZPP as listed on the web-based Authorized Equipment List (AEL) on the Responder Knowledge Base
(RKB) (https://www.rkb.us).
2. Grantees are responsible to request a determination of eligibility from the U.S. Department of Homeland
Security (DHS), through DHSES, for any item in question. Unless otherwise stated in the program guidance,
equipment must meet all mandatory regulatory and/or DHS-adopted standards to be eligible for purchase
using FY 2009 BZPP funds.
3. The New York State Communication lnteroperability Plan (SC1P), as well as DHS Grant Guidance for grant
funding, requires that all interoperable communications equipment must be on the Authorized Equipment
List (AEL) and that the use of APCO P-25 compliant equipment is a recommended technology to achieve
emergency interoperable communications.
Training & Exercise Related Activities
t. Any non-DHS approved training courses to be supported by this award must be submitted to DHS, through
DHSES for certification.
2. All exercises conducted must be managed and executed in accordance with the Homeland Security Exercise
and Evaluation Program (HSEEP). An After-Action Report/Improvement Plan (AAR/IP) must be prepared
and submitted to DHSES following every exercise, regardless of type or scope. AAR/IPs must conform to
the HSEEP format and must be submitted within 60 days of completion of the exercise.
3. Grantees are required to be NIMS compliant. DHSES requires that Grantees contact their county point of
contact to determine how the particular county requires reporting. Grantees are expected to complete the web
based NIMSCAST report or provide the county with a completed paper copy of the NIMSCAST report.
E. Law Enforcement Requirements
I. Grantees that are law enforcement agencies agree that such funding shall be utilized for prevention,
preparedness, and response initiatives consistent with the New York State Homeland Security Strategy, and
with Counter Terrorism Zone (CTZ) efforts at the State and local level. This will ensure that fiscal resoumes
are used for seamless and effective counter terrorism planning, training, information sharing, investigation,
equipment acquisition, and response functions~
.Southold, Town of FY09 Buffer Zone Protection Program
C 150996 BZ09-1004-DO
Appendix D - Program Workplan and Special Conditions
2. Particular attention must be paid to equipment and technology acquisitions, and, where similar technology
already exists in the State's law enforcement communities, grantees will ensure that interoperability
between and among existing law enforcement systems, and the New York State Intelligence Center (NYSIC),
is accomplished.
3. Grantees further agree to consult with the NYSIC to ensure agency participation and inclusion in New York
State's Field Intelligence Officer (FIO) Program.
Fo
EHP Requirements
1. Grantees shall comply with all applicable federal, State, and local environmental and historic preservation
(EHP) requirements and shall provide any information requested by FEMA to ensure compliance with
applicable laws including: National Environmental Policy Act, National Historic Preservation Act,
Endangered Species Act, and Executive Orders on Floodplains (11988), Wetlands (I 1990) and
Environmental Justice (I 2898).
2. Failure of Grantees to meet federal, State, and local EHP requirements and obtain applicable permits may
jeopardize federal funding. Grantees shall not undertake any project having the potential to impact EHP
resources without the prior approval of FEMA, including but not limited to communications towers, physical
security enhancements, new construction, and modifications to buildings that are 50 years old or greater.
Grantees must comply with all conditions placed on the project as the result of the EHP review.
3. Any change to the approved project scope of work will require re-evaluation for compliance with these EHP
requirements.
4. If ground disturbing activities occur during project implementation, Grantees must ensure monitoring of
ground disturbance and if any potential archeological resources are discovered, such Grantee will
immediately cease construction in that area and notil~ FEMA and the appropriate State Historic Preservation
Office.
G. Equipment Maintenance Requirements
1. Grantees must track grant funds used for maintenance contracts, warranties, repair or replacement costs and
upgrades, and report such expenditures in fiscal and program reports.
H. Protected Critical Infrastructure Information (PCII)
1. Grantee shall comply with the Protected Critical Infrastructure Information (PCII) Program, part of DHS's
National Protection and Programs Directorate (NPDD), which is an information-protection program that
encourages information sharing between the private sector and the government. This compliance requires
authorized users of infurmafion validated as PCII or derivative products fi'om unauthorized disclosure. An
authorized user must: be engaged in homeland security duties as defined in the CII Act, have a need to
know for that specific information as determined by the holder of the information, complete PCII Authorized
User Training, have signed a Non-Disclosure Agreement (NDA), ifa non-Federal employee and ifa
contractor, be certified by the PCII Program Manager or a PCII Officer and agree by contract to comply with
the PCII Program requirements.
ORIGINAL
Pleas~ attach (6) six signed, notarized originals of this form to the Budget Amendmenl/Crrant Extension (DHSES-55)
Please note: Each original signature requires an original notary.
APPENDIX X
Agency Code: 01077
Contract No.: C150996
Period: 4/1/2009-3/31/2013 .(new contract period, if applicable)
Funding Amount for Period: $ 194,000.00
This is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State
Division of Homeland Security and Emergency Services, having its principal office at 1220 Washington Ave, State
Office Campus, Building 7A, Suite 610, Albany, NY 12242 (hereinafter referred to as the STATE), and Town of
Southold (hereinaRer referred to as the GRANTEE/CONTRACTOR), for modification of Contract Number
C150996 , as amended in attached: DHSES-55
All other provisions of said AGREEMENT shall remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as of the dates appearing next to
their signatures.
GRANTEE SIGNATURE:/~
Name: S IGN"~01~ORY
Title:
State of New York )
County of Suffolk
Onthis 6th dayof June ,2012 , before me personally came Scott A. Russell ,tome
known, who being duly sworn, did depose and say that (s)he resides in ~, that (s)be is the
supervisor of the Town of Southold , the Grantee described in and which
executed the foregoing instrument; that it was so executed by the authority of the Grantee, and that (s)he signed
his/~~er.
momry Publio, Sta~ of NewY~
No. 4894602
Qualified in Suffolk ~
Commission Expires May 11,
STATE ,~....~.CY SIGNATURE:
Michele R. Wahrlich, Conlracts Manager
Date:
State Agency Certification: "In addition to the acceptance of this conlxact, I also certify that original copies of this
signature page will be attached to all other exact copies of this contract."
STATE COMPTROLI
RECEIVED
NY$ Office, nf t-fomeiand Recurib/
~ ~ _.m RECEIVED
~ ,;L,L 0 3 2017
NYS Division of Homeiaad Secdrity & Emergency Se~fces
Federal Fiscal Unit
1. GRANTEE: Town of $ou~old
4. IMPLEMENTING AGENCY: Southold PD
BUDGET AMENDMENT/GRANT EXTENSION
FEDERAL FUNDS
2, COUNTY Suffolk
5. DHSES NUMBER: WM~150996
STATE FUNDS
3. CONTRACT NUMBER: C150~6
START DATE WORK pLAN
6. TYpE OF REQUEST: BUDGET REALLOCATION BUDGET INCREASE BUDGET DECREASE X GRANT EXTENSION
7. PROJECT TITLE: FY~ BZ~P 8. DATE OF REQUEST: 6/~/2012
9. DATE OF LAST APPROVED REQUEST: 10. CONTRACT DURATION 04/01109 TO 03/3tll 2 11. REQUESTED TERMINATION DATE 3/3¶12013
12. REQUESTED BUDGET AMENDMENT 11 a. RE(; JESTED NEW START DATE
A, APPROVED PROJECT BUDGET * B. PROPOSED TRANSFER C. REQU=$ ~ ED OPERATING BUDGET
CATEGORY STATE/FEDERAL CASH/OTHER MATCH STATE/FEDERAL CASH/OTHER MATCH STATE/FEDERAL CASH/OTHER MATCH
A. PERSONNEL
B. FRINGE BENEFITS
C. CONSULTANTS
D. EQUIPMENT
E. SUPPLIES ~ _~-
F. TRAVEL ~' ~ ~.~
G. RENT c
H, ALT · RE VA ,O. ITl
I. ALL OTHER
TOTAL ~ $t~4,~0.~0 80.~ $0.~ ~).00 81~4,~1.~
13. AMENDMENT JUSTIFICATION (attach additional sheets if necessary):
Extension mfy to allow additional time to pumha~ equipment.
t4. This document is submittsd as a request to modE-/current contract: