HomeMy WebLinkAboutGoldsmith Inlet Restoration(~ .~)'<~'~ ~ RESOLUTION 2012-418
· ~ ADOPTED DOC ID: 7857
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 2012-418 WAS
ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON
MAY 8, 2012:
RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs
Supervisor Scott A. Russell to execute Contract #C007079 between the Town of Southold
and the New York State Department of State in connection with the restoration of Goldsmith
lnlet, at a cost orS111,441.00 to the Town, subject to the approval of the Town Attorney.
Elizabeth A. Neville
Southold Town Clerk
RESULT: ADOPTED IUNANIMOUS]
MOVER: Jill Doherty, Councilwoman
SECONDER: Louisa P. Evans, Justice
AYES: Ruland, Talbot, Doherty, Krupski Jr., Evans, Russell
IN WITNESS TItEREOF, the parties hereto have executed or approved this AGREEMENT on the dates below their
signatures.
Contract No. C007079
CONTRACTOR
STATE AGENCY
New York State Department of State
By:
Title:
Date:
ACKNOWLEDGMENT
State of New York )
County of_~,~ t~__f~__~'O~-',-/~ )ss:
On this __ (.0~__ day of__~_ , in the year 20 ~ , before me personally appeared
.~C'~c ~ ~_C2~c_ ~ (~__, to me know2 and known to me to ~e the person who is the
~_~_t~¢~__?_c.5~_c2_C_ of__~7_~___ ..~d ~L~/~ t/d ,the organization described in and which
executed the above instrument; and that he/ah*has the authority to sign on behalf of said organization; and that he/sl~
executed the foregoing agreement for and on behalf of said organization.
NOTARY PUBLIC-STATE OF NEW YORK
NO. 01TO6156671
Qualified In Suffolk County
ATTORNEY GENERAL'S SIGNATURE:
By:
Date:
By: .............
Date:
FACE PAGE
STATE AGENCY (Name and Address):
NYS Department of State
One Commerce Plaza
99 Washington Avenue - Suite 1010
Albany, NY 12231-0001
CONTRACTOR (Name and Address):
Town of Southold
54375 State Route 2~
Southold, NY 11971
STATE SHARE FUNDING AMOUNT:
$ I 11,441.00
LOCAL SHARE FUNDING AMOUNT:
$111,441.00
INITIAL CONTRACT PERIOD
NYS CONTRACT NUMBER: C007079
ORIGINATING AGENCY CODE: 19000/DOS0!
TYPE OF PROGRAM: Environmental Protection Fund
Title 11 - Local Waterfront Revitalization Program
VENDOR 1D NUMBER:
FEDERAL TAX ID NUMBER:
I 1-6001939
MUNICIPALITY NUMBER:
CONTRACTOR STATUS:
Sectarian Entity Yes No
Not-for-Profit Organization Yes____ No
CHARITIES REGISTRATION NUMBER:
.... - .... -____/(E-l)-____
Estates, Powers and Trusts Laws Reporting (E-2) - _ _
FROM: April 1,2010
TO: March 31, 2013
If you did not claim an exemption to both of the items
above, you must circle appropriate response in the
following statement:
Contractor [has/has not] timely filed with the Attorney
General's Charities Bureau all required periodic or annual
written reports.
APPENDICES ATTACHED TO AND PART OF THIS AGREEMENT
APPENDIX A: Standard Clauses for NYS Contracts
APPENDIX At: Agency-Specific Clauses
APPENDIX B: Budget
APPENDIX C: Payment and Reporting Schedule
APPENDIX D: Program WorkPlan
APPENDIX F: Notices
APPENDIX X: Modification Agreement Form
Town of Southold - Agreement C007079
Restoration of Goldsmith Inlet
CONTRACT ADMINISTRATION UPDATE FORM
Please update/specify information Jbr up to (3} people to receive contract related correspondence from DOS. ldea lly we would want
to see the CEO, grant administrator, and project manager listed on this form.
Changes/Additions/Corrections
Official mailing address Town of Southold
(including City, State 54375 State Route 25~,
and Zip) of the Town of
Southold Southold, NY 11971
CEO of the Town of Name: Scott A. Russell
Southold
Title: Supervisor
Email: scott.russell~town.southold.ny.us
Phone: 631-765-1889
Fax: 631-765-1823
Contact Person #1 Name: John Cushman
Title: Town Comptroller
Affiliation: Town of Southold
Email: j ohn.cushman~town.southold.ny.us
Phone: 631-765-4333
Fax: 631-765-1366
Contact Person #2 Name: Mark Terry
Title: Principal Planner
Affiliation: Town of Southold
Email: mark.terry~town.southold.ny.us
Phone: 631-765-1938
Fax: 631-765-3136
Please list up to (3) individuals who are authorized to execute amendments and/or sign payment requests for this project:
Authorized for:
Name: Title:
Signature of the Supervisor:
Amendments? [~-'-~a~Payments?
Amendments? Payments?
Amendments? [-~ Payments?
STATE OF NEW YORK
AGREEMENT
]'his AGREEMENT is hereby made by and between the State of New York agency (STATE) and the public or private agency
(CONTRACTOR) identified on the Face Page hereoK
WITNESSETH:
WHEREAS, the STATE has the authority to reguIate and provide funding for the establishment and operation of program services
and desires to contract with skilled parties possessing the necessary resources to provide such services; and
WttEREAS, the CONTRACTOR is ready, willing and able to provide such program services and possesses or can make available
all necessary qualified personnel, licenses, facilities and expertise to perform or have performed the services required pursuant to the
terms of this AGREEMENT;
NOW, THEREFORE, in consideration of the promises, responsibilities and covenants herein, the STATE and the
CONTRACTOR agree as follows:
1. Conditions of Agreement
A. This AGREEMENT may consist of successive periods (PERIOD), as specified within the AGREEMENT or within a
subsequent Modification Agreement(s) (Appendix X). Each additional or superseding PERIOD shall be on the forms specified by
the particular State agency, and shall be incorporated into this AGREEMENT.
B. Funding for the first PERIOD shall not exceed the funding amount specified on the Face Page hereof. Funding for each
subsequent PERIOD, if any, shall not exceed the amount specified in the appropriate appendix for that PERIOD.
C. This AGREEMENT incorporates the Face Page attached and all of the marked appendices identified on the Face Page hereof.
D. For each succeeding PERIOD of this AGREEMENT, the parties shall prepare new appendices, to the extent that any require
modification, and a Modification Agreement (the attached Appendix X is the blank form to be used). Any terms of this
AGREEMENT not modified shall remain in effect for each PERIOD of the AGREEMENT.
To modify the AGREEMENT within an existing PERIOD, the parties shall revise or complete thc appropriate appendix form(s).
Any change in the amount of consideration to be paid, or change in the term, is subject to the approval of the Office of the State
Comptroller. Any other modifications shall be processed in accordance with agency guidelines as stated in Appendix Al.
E. The CONTRACTOR shall perform all services to thc satisfaction of the STATE. The CONTRACTOR shall provide services
and meet the program objectives summarized in the Program Work Plan (Appendix D) in accordance with: provisions of this
AGREEMENT; relevant laws, rules and regulations, administrative and fiscal guidelines; and where applicable, operating
certificates for facilities or licenses for an activity or program.
F. If the CONTRACTOR enters into subcontracts for the performance of work pursuant to this AGREEMENT, the
CONTRACTOR shall take full responsibility for the acts and omissions of its subcontractors. Nothing in the subcontract shall
impair the rights of the STATE under this AGREEMENT. No contractual relationship shall be deemed to exist between the
subcontractor and the STATE.
G. Appendix A. (Standard Clauses as required by the Attorney General for all State contracts) takes precedence over all other
parts of this AGREEMENT.
I1. Payment and Reporting
A. The CONTRACTOR, to be eligible for payment, shall submit to the STATE's designated payment office (identified in
Appendix C) any appropriate documentation as required by the Payment and Reporting Schedule (Appendix C) and by agency
fiscal guidelines, in a manner acceptable to the STATE.
B. The STATE shall make payments and any reconciliations in accordance with thc Payment and Reporting Schedule (Appendix
C). The STATE shal] pay the CONTRACTOR, in consideration of contract services for a given PERIOD, a sum not to exceed the
amount noted on the Face Page hereof or in the respective Appendix designating the payment amount for that given PERIOD.
This sum shall not duplicate reimbursement from other sources for CONTRACTOR costs and services provided pursuant to this
AGREEMENT.
C. The CONTRACTOR shall meet the audit requirements specified by the STATE.
III. Terminations
A. This AGREEMENT may he terminated at any time upon mutual written consent of the STATE and the CONTRACTOR.
B. The STATE may terminate this AGREEMENT immediately, upon written notice of termination to the CONTRACTOR, if the
CONTRACTOR fails to comply with the terms and conditions of this AGREEMENT and/or with any laws, rules, regulations,
policies or procedures affecting this AGREEMENT.
C. The STATE may also terminate this AGREEMENT for any reason in accordance with provisions set forth in Appendix Al.
D. Written notice of termination, where required, shall be sent by personal messenger service or by certified mail, return receipt
requested. The termination shall be effective in accordance with terms of the notice.
E. Upon receipt of notice of termination, the CONTRACTOR agrees to cancel, prior to the effective date of any prospective
termination, as many outstanding obligations as possible, and agrees not to incur any new obligations afl.er receipt of the notice
without approval by the STATE.
F. The STATE shall be responsible for payment on claims pursuant to services provided and costs incurred pursuant to terms of
this AGREEMENT. In no event shall the STATE be liable for expenses and obligations arising from the program(s) in this
AGREEMENT afl, er the termination date.
IV. Indemnification
A. The CONTRACTOR shall be solely responsible and answerable in damages for any and all accidents and/or injuries to
persons (including death) or property arising out of or related to the services to be rendered by the CONTRACTOR or its
subcontractors pursuant to this AGREEMENT. The CONTRACTOR shall indemnify and hold harmless the STATE and its
officers and employees from claims, suits, actions, damages and costs of every nature arising out of the provision of services
pursuant to this AGREEMENT.
B. The CONTRACTOR is an independent contractor and may neither hold itself out nor claim to be an officer, employee or
subdivision of the STATE nor make any claim, demand or application to or for any right based upon any different status.
V. Property
Any equipment, furniture, supplies or other property purchased pursuant to this AGREEMENT is deemed to be the property of the
STATE except as may otherwise be governed by Federal or State laws, rules or regulations, or as stated in Appendix A 1.
Vi. Safeguards for Services and Confidentiality
A. Services performed pursuant to this AGREEMENT are secular in nature and shall be performed in a manner that does not
discriminate on the basis of religious belief, or promote or discourage adherence to religion in general or particular religious
beliefs.
B. Funds provided pursuant to this AGREEMENT shall not be used for any partisan political activity, or for activities that may
influence legislation or the election or defeat of any candidate for public office.
C. Information relating to individuals who may receive services pursuant to this AGREEMENT shall be maintained and used only
for the purposes intended under this Agreement and in conformity with applicable provisions of laws and regulations, or specified
in Appendix Al.
APPENDIX A
STANDARD CLAUSES FOR NYS CONTRACTS
The parties to the attached contract, license, lease, amendment or other agreement of any kind (hereinafier, "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 by the
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 he 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 this contract exceeds $50,000 (or the
minimum thresholds agreed to by the Office of the State Comptroller for certain S.U.N.Y. and C.U.N.Y. contracts), or if this is an
amendment for any amount to a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the State agrees to
give something other than money when the value or reasonably estimated value of such consideration exceeds $10,000, it shall not be valid,
effective or binding upon the State until it has been approved by the State Comptroller and filed in his office. Comptroller's approval of
contracts let by the Office of General Services is required when such contracts exceed $85,000 (State Finance Law Section 163.6.a).
4. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract shall be void
and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such
employees as are required to be covered by the provisions of the Workers' Compensation Law.
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 carrier 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 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 o fits subcontractors may be required or permitted
to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in
prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay
at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined
by the State Labor Department in accordance with the Labor Law. 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.
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7.NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of the State Finance Law, if this contract was
awarded based upon the submission of bids, Contractor affirms, under penalty of perjury, that its bid was arrived at independently and
without collusion aimed at 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-fofthc Labor Law and Section 139-h of the State
Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a material condition of the contract, that neither the Contractor nor
any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or shall participate in an
international boycot~ in violation of thc 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 void. The Contractor
shall so notify thc State Comptroller within five (5) business days of such conviction, determination or disposition of appeal (2NYCRR
105.4).
9. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory rights of set-off. These rights shall include, but
not be limited to, the State's option to withhold for the 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-offpursuant to an audit, the finalization of such audit by the State
agency, its representatives, or the State Comptroller.
10. RECORD S. 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
o f said records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the State's
right to discovery in any pending or future litigation.
11. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION.
(a) Identification Number(s). Every invoice or New York State Claim for Payment submitted to a New York State agency by a payee, for
payment for the sale of goods or services or for transactions (e.g., leases, easements, licenses, etc.) related to real or personal property must
include the payee's identification number. The number is any or all of the following: (i) the payee's Federal employer identification number,
(ii) the payee's Federal social security number, and/or (iii) the payee's Vendor Identification Number assigned by the Statewide Financial
System. Failure to include such number or numb ers may delay payment. Where the payee does not have such number or numbers, the payee,
on its invoice or Claim for Payment, must give the reason 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 property, and thc 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. Thc 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 authorized 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 the Storewide Financial System by the Vendor Management Unit within the
Bureau of State Expenditures, Office of the State Comptroller, I l0 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 committed to expend or does expend funds in return for labor, services, supplies,
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equipment, materials or any combination of the foregoing, to be performed for, or rendered or furnished to the contracting agency; or (ii)
a written agreement in excess of $100,000.00 whereby a contracting agency is committed to expend or does expend funds for the
acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon; or (iii) a written
agreement in excess ors 100,000.00 whereby the owner of a State assisted housing project is committed to expend or does expend funds
for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvements thereon for such
project, then the 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 again st 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
recruitment, employment,job assignment, promotion, upgradings, demotion, transfer, layoff, or termination and rates of pay or other forms
of compensation;
(b) at the request of the contracting agency, 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 aflbrded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age,
disability or marital status.
Contractor will include the provisions of"a", "b", and "c" above, in every subcontract over $25,000.00 for the construction, demolition,
replacement, major repair, renovation, planning or design 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
opportunity which effectuates the purpose of this section. The contracting agency shall determine whether the imposition of the
requirements of the provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the
contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict. Contractor will comply with
all duly promulgated and lawful rules and regulations of the Department of Economic Development's Division of Minority and Women's
Business Development pertaining hereto.
13. CONFLICTING TERM S. In the event ora 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 b e 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. N O 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 have 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 this contract award will be in accordance with, but not limited to, the specifications and provisions of Section 165 of the
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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 hid 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 EMPLOYMENT 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.
20. OMNIBUS PROCUREMENT ACT OF 1992. It is the policy of New York State to maximize opportunities for the participation of
New York State business enterprises, including minority and women-owned business enterprises as bidders, 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:
N Y S Department of Economic Development
Division of Minority and Women's Business Development
30 South Pearl St -- 2nd Floor
Albany, New York 12245
Telephone: 518-292-5250
Fax: 518-292-5803
http://www.empire.state.ny.us
The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that
whenever the total bid amount is greater than $1 million:
(a) The Contractor has made reasonable efforts to 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;
(h) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended;
(c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on
this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such
notification in such manner as is consistent with existing collective bargaining contracts or agreements. The Contractor agrees to document
these efforts and to provide said documentation to the State upon request; and
(d) The Contractor acknowledges notice that the State may seek to obtain offset credits from foreign countries as a result of this contract
and agrees to cooperate with the State in these efforts.
21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are hereby notified that if their principal place of business is located
in a country, nation, province, state or political subdivision that penalizes New York State vendors, and if the goods or services they offer
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will be substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter
684 and Chapter 383, respectively) require that they be denied contracts which they would otherwise obtain. NOTE: As of May 15, 2002,
the list of discriminatory jurisdictions subject to this provision includes the states of South Carolina, Alaska, West Virginia, Wyoming,
Louisiana and Hawaii. Contact NYS Department of Economic Development for a current list of jufisdictions subject to this provision.
22. COMPLIANCE WITH NEW YORK STATE INFORM ATION SECURITY BREACH AND NOTIFICATION ACT. ContTactor
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
o fthis requirement to include analysis, evaluation, research, training, data processing, computer programming, 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 amended 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 thc contract, the Department of Civil
Service and the State Comptroller.
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, true 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 thc 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 this contract may be
terminated, by providing written notification to the Contractor in accordance with the terms of the agreement, if the covered agency
determines that such action is in the best interest of the State.
Revised December 2011
APPENDIX A1
AGENCY-SPECIFIC CLAUSES
This Agreement has been entered into pursuant to the following understandings:
A. Title I I of the Environmental Protection Fund Act provides for State assistance to municipalities for the State share of the cost
of approved local waterfront revitalization projects as defined in the Act.
B. The Department of State (Department) is authorized by such Act to evaluate and determine eligthility of applications for funding
of projects.
C. Based upon information, representations and certifications contained in Contractor's application for funding, including the Program
Work Plan as set forth in Appendix D, the Department has made a determination of eligibility of f~nding for Contractor's project
under such Act.
State funds (Funding Amount set forth on the Face Page) for this Project (Appendix D Program Work Plan) are provided pursuant
to a reappropriation of funds originally made by Title I 1 of the Environmental Protection Fund Act.
The Contractor has demonstrated its ability to finance its share of the Project and has agreed to fund its portion of the cost of the
Project.
11. General
For the purposes of this Agreement, the terms "State" and "D epartment" are interchangeable, unless the context requires otherwise.
In addition, the terms "Agreement" and "Contract" are interchangeable, unless the context requires otherwise.
The contract period as set forth on the Face Page is the inclusive period within which the provisions of this Agreement shall be
performed.
No liabilities incurred prior to the contract period will be eligible under this Agreement.
No liabilities are to be incurred beyond the contract period and no costs will be reimbursed for such liabilities unless: 1) funds
have been reappropriated for the Project in the subsequent State fiscal year, 2) the Department determines that it is in the best
interest of the Department and the State to provide additional time to complete the Project and 3) an extension agreement is
approved in accordance with Section IA. of the Agreement.
Subject to the availability of funds, determination by the Department that it is in the best interest of the State, and upon mutual
written consent of the parties, the State may provide a no-cost time extension for up to two contract periods not to exceed twelve
months each. The parties shall revise or complete the appropriate appendix form(s), which may be subject to approval of the
Office of the State Comptroller.
To modify any terms of this Agreement within an existing period, the parties shall revise or complete the appropriate appendix
form(s), which may be subject to approval of the Office of the State Comptroller.
The Department shall not be liable for expenses of any kind incurred in excess of the State Funds as set forth on the Face Page,
and shall not be responsible for seeking additional appropriations or other sources of funds for the Project.
The Contractor shall perform all services to the satisfaction of the Department. The Contractor shall provide all services and meet
the program objectives described in Appendix D in accordance with: provisions of this Agreement; relevant State, federal and
local laws, rules and regulations, administrative and fiscal guidelines; where applicable, operating certificates for facilities or
licenses for an activity or program, and conditions of applicable permits, administrative orders and judicial orders.
Thc Contractor shall submit with its request for final payment a Final Proj eot Summary Report (Appendix C - Attachment 1) and
a final Project Status Report (Appendix C - Aitachmont 2).
The Contractor agrees to proceed expeditiously with the Project and to complete the Project in accordance with the timetable set
forth in the Work Plan (Appendix D) as well as with the conditions of any applicable permits, administrative orders, or judicial
orders and this Agreement.
Ili.
IV.
VI.
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The Contractor shall submit a Quarterly Contractor Report (Appendix C - Attachment 4) pursuant to the Department's Minority
and Women-owned Business Enterprises Program. In the event Contractor utilizes Minority and Women-owned Business
Enterprises as discussed in Section XVI in Appendix Al, such report shall be provided to the Department at the address on the
Quarterly Contractor Report.
L. The Contractor shall submit a Project Status Report (Appendix C - Attachment 2) on a 6-month basis for the periods ending June
30 and December 31. Reports are due no later than 30 days following the end of each reporting period.
Additional Requirements for Construction Projects
Project design, including preparation of final plans and specifications, and supervision of construction shall be undertaken by a
qualified architect and/or engineer licensed to practice in the State of New York. The Contractor shall submit final plans and
specifications to the Department for its acceptance before initiating construction work or, if the Contractor intends to subcontract
for construction work, before the work is advertised for bidding. No change to project plans may be made without the prior
written approval of the Department. The Contractor shall also be responsible for erecting a project sign satisfactory to thc
Department identifying the Project. The project sign shall remain in place for the useful life of the improvements undertaken
pursuant to this Agreement. Upon completion of the Project, the Contractor shall submit to the Department a proper certification
from a licensed architect or engineer.
The State shall make periodic inspections of the project both during its implementation and after its completion to ensure
compliance with this Agreement. The Contractor shall allow the State unrestricted access to work during the preparation and
progress of the work, and provide for such access and inspection by the State in all construction contracts relating to the project.
The Contractor shall be responsible for ensuring that the project is designed and constructed in conformance with the Uniform
Federal Accessibility Standards (U FAS - Appendix A to 41 C RFp art 101-19.6), the Americans with Disabilities Act Accessibility
Guidelines (ADAAG - Appendix A of Title 9 NYCRR). Where there are discrepancies among the sets of standards with regard
to a particular design/construction requirement, the one providing for the greatest degree of accommodation for the disabled shall
apply.
It is the Contractor's responsibility, pursuant to Section 57 of the Workers' Compensation Law, to maintain for State audit and
review either proof that they have Workers' Compensation coverage for any employees, or a waiver statement from the New York
State Department of Labor~ The Contractor must also obtain from any contractor or sub-contractor hired to provide a service
pursuant to this Agreement, similar proof or waiver from the contractor or subcontractor, and must maintain such documentation
on file for audit.
Report% Documents and Maps
The Contractor shall, where appropriate, identify documents, reports, and maps produced in whole or in part under this Agreement
by endorsing on said documents, reports, and maps the following:
"This (document. report, map. etc.) was prepared for the New York State Department of State with funds provided under Title
11 of the Environmental Protection Fund Act."
By acceptance of this Agreement, Contractor transfers to the Department a nonexclusive license to use, reproduce in any medium, and
distribute any work prepared for or in connection with the Project, including but not limited to reports, maps, designs, plans, analysis,
and documents regardless of the medium in which they are originally produced. Contractor warrants to the Department that it has
sufficient title or interest in such works to license pursuant to this Agreement. Such warranty shall survive the termination of this
agreement. Contractor agrees to provide the original of each such work, or a copy thereof which is acceptable to the Department, to
the Department before payments shall be made under this Agreement.
Contractors Insurance Requirements
A. Prior to the commencement of the work, the Contractor shall file with the Department of State, Certificates of Insurance
evidencing compliance with all requirements contained in this Agreement. Such certificate shall be of form and substance
acceptable to the Department.
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B. Acceptance and/or approval by the Department does not and shall not be construed to relieve Contractor of any obligations,
responsibilities or liabilities under the Agreement.
C. All insurance required by the Agreement shall be obtained at the sole cost and expense of the Contractor; shall be maintained with
insurance carriers licensed to do business in New York State; shall be primary and non-contributing to any insurance or self
insurance maintained by the Department; shall be endorsed to provide written notice be given to the Department, at least thirty
(30) days prior to the cancellation, non-renewal, or material alteration of such policies, which notice, evidenced by return receipt
of United States Certified Mail which shall be sent to New York State Department of State, One Commerce Plaza, 99 Washington
Avenue, Albany, New York 12231-0001; and shall name the People of the State of New York and their directors officers, agents,
and employees as additional insured thereunder.
D. The Contractor shall be solely responsible for the payment of all deductibles to which such policies are subject.
E. Each insurance carrier must be rated at least "A" Class "VII" in the most recently published Best's Insurance Report. If, during
the term of the policy, a carrier's rating falls below "A Class "Vii", the insurance must be replaced no later than the renewal date
of the policy with an insurer acceptable to the Department and rated at least "A" Class "VII" in the most recently published Best's
Insurance Report.
The Contractor shall cause all insurance to be in full force and effect as of the date of this Agreement and to remain in full force
and effect throughout the term of this Agreement and as further required by this Agreement. The Contractor shall not take any
action, or omit to take any action that would suspend or invalidate any of the required coverages during the period of fime such
coverages are required to be in effect.
Not less than thirty (30) days prior to the expiration date or renewal date, the Contractor shall supply the Department updated
replacement Certificates of Insurance, and amendatory endorsements.
H. Unless the Contractor is self-insured, Contractor shall, throughout the term of the Agreement or as otherwise required by this
Agreement, obtain and maintain in full force and effect the following insurance with limits not less than those described below
and as required by the terms of this Agreement, or as required by law, whichever is greater (limits may be provided through a
combination of primary and umbrella/excess policies). Where Contractor is self-insured, the Contractor shall provide suitable
evidence of such to the Department relating to the risks and coverage amounts as provided hereunder.
Comprehensive Liability insurance with a limit of not less than $1,000,000 each occurrence. Such liability shall be written
on the Insurance Service Office's (ISO) occurrence form CG 00 01, or a substitute form providing equivalent coverages and
shall cover liability arising from premises operations, independent contractors, products-completed operations, broad form
property damage, personal & advertising injury, owners & contractors protective, cross liability coverage, liability assumed
in a contract (including the tort liability of another assumed in a contract) and explosion, collapse & underground coverage.
a. If such insurance contains an aggregate limit, it shall apply separately to this location.
b. Products and Completed Operations coverage shall include a provision that coverage will extend for a period of at least
twelve (12) months from the date of final completion and acceptance by the owner of all of contractors work.
2. Where the Project described in Appendix D includes the construction of any structure or building, a Builder's Risk Policy
until the Project is completed and accepted in the amount of the total project cost.
3. Workers Compensation, Employers Liability, and Disability Benefits as required by New York State. Workers Compensation
Policy shall include the U.S. Longshore & Harbor Workers' Compensation Act endorsement.
4. Comprehensive Automobile Liability insurance with a limit of not less than $1,000,000 each accident. Such insurance shall
cover liability arising out of any automobile including owned, leased, hired and non owned automobiles.
Commercial Property insurance covering at a minimum, the perils insured under the ISO Special Clauses of Loss Form (CP
10 30), or a substitute form providing equivalent coverages, for loss or damage to any owned, borrowed, leased or rented
capital equipment, tools, including tools of their agents and employees, staging towers and forms, and property of the
Department held in their care, custody and/or control.
6. An Owner's Protective Liability Policy with limits no less than $1,000,000 in the name of the Contractor.
A.
VIii.
A.
IX.
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Professional consultants retained by the Contractor in connection with the Project shall show evidence of professional liability
insurance with limits no less than $1,000,000.
Property
Pursuant to the provisions set forth in Section V, Page 3 of this Agreement, the ownership of all property described therein shall
reside with the Contractor unless otherwise specified in writing by the Department at any time during the term of this Agreement
and up to thirty (30) days following the issuance of the final payment.
Contractor warrants that it has fee simple or such other estate or interest in the site of the Project, where the Project is undertaken
at a site, including easements and /or rights-of-way sufficient to assure undisturbed use and possession for the purposes of
construction and operation for the estimated life of the Project. Contractor further acknowledges that where such project is
undertaken on or involves the use of lands for active or passive recreational use, it is a material term of this Agreement that such
lands shall be available for such recreational use by the People of the State of New York. Additionally, Contractor shall not limit
access or discriminate on the operation of the facilities against any person on the basis of place of residence, race, creed, color,
national origin, sex, age, disability or marital status.
Date/Time Warranty
Contractor warrants that product(s) furnished pursuant to this contract shall, when used in accordance with the product
documentation, be able to accurately process date/time data (including, but not limited to, calculating, comparing, and sequencing)
transitions, including leap year calculations. Where a Contractor proposes or an acquisition requires that specific products must
perform as a package or system, this warranty shall apply to the products as a system.
Where Contractor is providing ongoing services, including but not limited to: i) consulting, integration, code or data conversion,
ii) maintenance or support services, iii) data entry or processing, or iv) contract administration services (e.g. billing, invoicing,
claim processing), Contractor warrants that services shall be provided in an accurate and timely manner without interruption,
failure or error due to the inaccuracy of Contractor's business operations in processing date/time data (including, but not limited
to, calculating, comparing, and sequencing) various date/time transitions, including leap year calculations. Contractor shall be
responsible for damages resulting from any delays, errors or untimely performance resulting there from, including but not limited
to the failure or untimely performance of such services.
This Date/Time Warranty shall survive beyond termination or expiration of this Contract through: a) ninety (90) days or b) the
Contractor's or Product manufacturer/developer's stated date/time warranty term, whichever is longer. Nothing in this warranty
statement shall be construed to limit any rights or remedies otherwise available under this Contract for breach of warranty.
Fees
The Contractor may charge a reasonable fee for the use of any facility which is part of the project.
Except for the imposition of a differential fee schedule for non-residents of the municipality in which the project is located, the
establishment of any preferential user fee for any person or entity is prohibited. Fees charged to non-residents shall not exceed
twice those charged to residents.
B. Where there is no charge for residents but a fee is charged to non-residents, non-resident fees cannot exceed fees charged for
residents at comparable State or local public facilities.
C. Reservation, membership or annual permit systems available to residents must also be available to non-residents and the period
of availability must be the same for both residents and non-residents.
D. This provision does not apply to non-residents' fishing and hunting license fees.
Alienation
Where the project is undertaken on or involves parklands or public waterfront land, the following additional provisions apply:
A. The Contractor shall not at any time sell or convey any facility or any portion of the project acquired or developed pursuant to
this Agreement or convert such facility or any portion of the project to other than public park or public waterfront purposes without
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the express authority of an act of the Legislature, which shall provide for the substitution of other lands of equal fair market value
and reasonably equivalent usefulness and location to those to be discontinued, sold or disposed of, and such other requirements
as shall be approved by State.
The Contractor agrees to own a property interest sufficient to maintain and operate the project in perpetuity. The Contractor shall
not authorize the operation of the project, or any portion thereof, by any other person, entity, or organization pursuant to any
management agreement, lease or other arrangement without first obtaining the written approval of the State.
X1.
Subcontracting Requirements
The Contractor may subcontract for all or any portion of the activities covered by this Agreement as provided for in Appendix
D, subject to prior written approval by the Department of any subcontractor and the terms of any subcontract. Subcontractors shall
comply with all applicable requirements of the Agreement between the Contractor and the State.
A.
Compliance with Procurement Requirements
The municipal attorney, chief legal officer or financial administrator of the Contractor shall certify to the State (Appendix C -
Attachment 3) that applicable public bidding procedures of Oeneral Municipal Law § 103 were followed for all public work
involving an expenditure of more than $35,000 and purchase contracts involving an expenditure of more than $20,000.
The municipal attorney, chief legal officer or financial administrator of the Contractor shall certify to the State (Appendix C -
Attachment 3 ) that the procedures o fthe municipality established pursuant to General Municipal Law § 104-b were fully complied
with for all public work and purchase contracts which are not applicable to the public bidding procedures of General Municipal
Law §103.
For non-municipal entities such as community-based organizations, the chief legal officer or financial administrator of the
Contractor shall certify to the State (Appendix C - Attachment 3) that alternative proposals and quotations for professional services
were secured by use of written requests for proposals through a publicly advertised process, to ensure the prudent and economical
use of public funds for professional services of maximum quality at reasonable cost.
Xlll. Requirements for Contract GIS Products
A. GENERAL MAP PRODUCT REQUIREMENTS The following general cartographic requirements must be adhered to by the
Contractor:
1. Map Products -- The Department requires delivery of digital map products, unless otherwise specified in the Request for
Proposal (RFP), that meet the specifications outlined in this GENERAL MAP PRODUCT REQUIREMENTS section and
the ADDITIONAL DIGITAL CARTOGRAPHIC FILE REQUIREMENTS section. If analog map products are required
by the RFP, they must meet specifications outlined in this GENERAL MAP PRODUCT REQUIREMENTS section and the
ADDITIONAL DIGITAL-READY MAP PRODUCT REQUIREMENTS section.
2. Deliverable Format -- All digital map and attribute table files must be provided in Maplnfo Tab file format on Recordable
CD or DVD, 3.5" floppy diskette media, external hard drive, via e-mail attachment (preferably in a WinZIP file) or
downloadable from an fip site on the lnternet. Alternatively, the digital products may be provided in Arclnfo/GIS export
format (.e00) or ArcView shape file format on the same media types upon approval of the Department. All other digital
formats require prior approval of the Department. Coordination with the Department prior to submission of digital media is
required to ensure compatibility of the delivered materials.
Documentation -- A data dictionary must be included along with the map files describing file contents and file names, as well
as metadata for each file including map projection, horizontal and vertical datums used, coordinate system, RMS accuracy
and log sheet, information sources and dates, the map maker and date of preparation, and creation methodology. Data
provided under federal funds must be provided in a manner which meets Digital GeospatiaI Federal Geographic Data
Committee Metadata Standard as executed by Executive Order 12906, April 1 I, 1994, "Coordinating Geographic Data
Acquisition and Access: the National Spatial Data Infrastructure".
Map Accuracy -- Unless otherwise stated in the RFP, all deliverable map products must conform to National Map Accuracy
Standards for horizontal and vertical accuracy as established by the United States Bureau of the Budget, June 10, 1941,
revised June 17, 1947. For example, for maps at 1:20,000 or smaller, not more than 10% of the well-defined map points
tested must be more than 1/50 inch (0.508 mm) out of correct position. At 1:24,000, this tolerance translates to a required
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horizontal accuracy of 40 feet. lfby prior agreement with the Department the map product does not conform tu National Map
Accuracy Standards, then a statement of actual map accuracy should be included in the Documentation above. Furthermore,
hydrographic surveys and maps should conform to recommended accuracy standard proposed in the joint USGS, NOS,
Coastal Mapping Handbook, 1978, Melvin Ellis editor, U.S. Government Printing Office, Appendix 6.
5. Datums -- Unless otherwise specified in the RFP, all map products should be referenced to the North American Horizontal
Datum of 1983 (NAD83) and the National Geodetic Vertical Datum of 1988 (NGVD88).
B. ADDITIONAL DIGITAL CARTOGRAPLIIC FILE REQUIREMENTS The following cartographic construction requirements
must be adhered to by the Contractor:
I. Edge-matching -- All map sheets must be both visually and coordinate edge-matched with adjacent map sheets. No edge-
match tolerance will be allowed. Attributes for splitable features must also be identical.
2. Common Boundaries -- All features that share a common boundary, regardless of map layer, must have exactly the same
coordinate position of that feature in all common layers.
3. Point Duplication -- No duplication of points that occur within a data string is permitted.
4. Connectivity -- Where graphic elements visually meet, they must also digitally meet. All confluences of line and polygon
data must be exact; "overshoots", "undershoots", "slivers", or "offshoots" are NOT permitted.
Line Quality -- A high quality cartographic appearance must be achieved. Transitions from straight lines to curvilinear
elements must be smooth, with angular inflections at the point of intersection. The digital representation must not contain
extraneous data at a non visible level. There should be no jags, hooks, or zero length segments. Any lines that are straight,
or should be straight, should be digitized using only two points that represent the beginning and ending points of the line.
Polygon Closure -- For area features being digitized, the last coordinate pair must be exactly (mathematically) equal to the
first co ordinate pair. No line or polygon must cross itself except to join at an actual confluence. All digitized features across
map boundaries must be edited to effect smooth and continuous lines.
7. Graphic Precision -- Positional coordinates for all digital graphic elements should not be reported to a level of precision
greater than one thousandth (.001) of a foot.
8. Digitizer Accuracy -- The required RMS error for digitizer accuracy must be 0.003 or better for digital map registration.
ADDITIONAL DIGITAL-READY MAP PRODUCT REQUIREMENTS The following requirements for large scale, non-
digital map products must be followed to facilitate the future conversion of the maps to digital map products. All large format,
non-digital map products must be provided on stable base material at a scale stipulated in the RFP. The map products must include
an index map to all map sheets and thorough descriptions of all the cartographic elements portrayed on the maps.
I. Base Map Media -- All maps must be created on mylar or other stable base material.
2. Map Scale -- All maps of a similar series should be created using the same base scale. Unless otherwise stated by the
Department, all maps should be compiled at 1:24,000. If other map scales are approved by the Department, where possible
they will conform to standard map scales such as 1:9600; 1:50,000; 1:75,000; or 1:100,000.
3. M ap Registration -- The maps must provide a minimum of four (4) corner and four (4) interior ticks tied to USGSfNYSDOT
quadrangle Lat/Long or NYTM coordinates. The maps must be geometrically correct and should register when overlaid on
the appropriate USGS/NYSDOT quadrangle control ticks.
Map Title and Legend -- The maps must provide a title and legend block describing the information contained on the maps,
and including the Documentation and Datums information requested in the GENERAL MAP PRODUCT REQUIREMENTS
above and the map scale.
5. Cartographic Quality -- The quality of all map line work and symbolization must conform to items I - 6 in the map criteria
set forth in the ADDITIONAL DIGITAL CARTOGRAPHIC FILE REQUIREMENTS section outlined above.
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D. CONTRACTDATABASESTANDARDS
1. Delivery Media AIl database and tabular files must be provided on digital media as specified above in Deliverable Format.
2. Software Format Database and tabular files can be provided in Corel Quattro, Microsoft Excel or Microsoft Access format.
Other formats that are convertible to one of the aforementioned formats may be used with prior approval of the Department.
3. Geographic Attributes -- Database and tabular files that contain elements with a geographic reference must provide a
corresponding data field and a geographic coordinate pair for each feature location.
XIV. Payment and Records Retention
A. Payments shall be made as set forth in Appendix C.
The Contractor shall maintain, at its principal place of business, detailed books and accounting records supported by original
documentation relating to the incurring of all expenditures, as well as payments made pursuant to this Agreement. The Contractor
shall make such records available for review by the Department upon request at any time. The Department shall have the right
to conduct progress assessments and review books and records as necessary. The Department shall have the right to conduct an
on-site review of thc Project and/or books and records of thc Contractor prior to, and for a reasonable time following, issuance
of the final payment. The Department shall be entitled to disallow any cost or expense, and/or terminate or suspend this
Agreement, if the Contractor has misrepresented any expenditures or Project activities in its application to the Department, or in
this Agreement, or in any progress reports or payment requests made pursuant hereto. The Contractor shall maintain such books
and accounting records in a manner so that reports can be produced therefrom in accordance with generally accepted accounting
principles. The Contractor shall m aintain separate fiscal books and records for all funds received through the Department pursuant
to this Agreement.
During the term of this Agreement and for a period of six years after its termination, the Contractor shall make all such books and
records available to the Department and the Office of the State Comptroller, or their designated representatives, for inspection
and audit.
XV. Equal Employment Opportunity
The Contractor hereby assures that it is, and shall be for the duration of this Agreement, in compliance with the Federal Equal
Employment Opportunity Act of 1972 (Public Law 92-261), as amended.
XVI. Article 15-A of The New York State Executive Law
Article ! 5-A of the New York State Executive Law, as amended, authorized the creation of a division of Minority and Women's
Business Enterprise Development to promote employment and business opportunities on state contracts for minorities and women.
This law supersedes any other provision in state law authorizing or requiring an equal employment opportunity program or a program
for securing participation by minority and women-owned business enterprises. Under this statute, State agencies are charged with
establishing business participation goals for minorities and women. The Department of State administers a Minority and
Women-owned Business Enterprises (MWBE) Program as mandated by Article I5-A.
A. General Provisions
The Department of State is required to implement the provisions of New York State Executive Law Article 15-A and 5
N YCRR Parts 142-144 ("M WBE Regulations") for all State contracts as defined therein, with a value ( 1 ) in excess of $25,000
for labor, services, equipment, materials, or any combination of the foregoing or (2) in excess of $100,000 for real property
renovations and construction.
The Contractor to the subject contract (the "Contractor" and the "Contract," respectively) agrees, in addition to any other
nondiscrimination provision of the Contract and at no additional cost to the New York State Department of State (the
"Agency"), to fully comply and cooperate with the Agency in the implementation of New York State Executive Law Article
15-A. These requirements include equal employment opportunities for minority group members and women ("EEO") and
contracting opportunities for certified minority and women-owned business enterprises ("MWBEs"). Contractor's
demonstration of"good faith efforts" pursuant to 5 NYCRR § 142.8 shall be a part of these requirements. These provisions
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shall be deemed supplementary to, and not in lieu o f, the nondiscrimination provisions required by New Y o rk State Executive
Law Article 15 (the "Human Rights Law") or other applicable federal, state or local laws.
Failure to comply with all of the requirements herein m ay result in a finding o fnon-responsiveness, non-responsibility and/or
a breach of contract, leading to the withholding of funds or such other actions, liquidated damages pursuant to Section VII
of this Appendix or enforcement proceedings as allowed by the Contract.
Contract Goals
For purposes of this procurement, the Agency hereby establishes an overall goal of 20% for Minority and Women-Owned
Business Enterprises ("MWBE') participation, 10% for Minority-Owned Business Enterprises ("MBE") participation and
10% for Women-Owned Business Enterprises ("WBE") participation (based on the current availability of qualified MBEs
and WBEs).
For purposes of providing meaningful participation by MWBEs on the Contract and achieving the Contract Goals established
in Section II-A hereof, Contractor should reference the directory of New York State Certified MBW Es found at the following
internet address: http://www.esd.n¥.gov/mwbe.html.
Additionally, Contractor is encouraged to contact the Division of Minority and Woman Business Development (518) 292-
5250; (212) 803-2414; or (716) 846-8200) to discuss additional methods of maximizing participation by MWBEs on the
Contract.
Where MWBE goals have been established herein, pursuant to 5 NYCRR § 142.8, Contractor must document "good faith
efforts" to provide meaningful participation by MWBEs as subcontractors or suppliers in the performance of the Contract.
In accordance with Section 316-a of Article 15-A and 5 N YCRR § 142.13, the Contractor acknowledges that if Contractor
is found to have willfully and intentionally failed to comply with the MWBE participation goals set forth in the Contract, such
a finding constitutes a breach of contract and the Contractor shall be liable to the Agency for liquidated or other appropriate
damages, as set forth herein.
C. Equal Employment Opportunity (EEO)
Contractor agrees to be bound by the provisions of Article I5-A and the MWBE Regulations promulgated by the Division
of Minority and Women's Business Development of the Department of Economic Development (the "Division"). if any of
these terms or provisions conflict with applicable law or regulations, such laws and regulations shall supersede these
requirements.
2. Contractor shall comply with the following provisions of Article 15-A:
a. Contractor and Subcontractors shall undertake or continue existing EEO programs to ensure that minority group members
and women are afforded equal employment opportunities without discrimination because of race, creed, color, national
origin, sex, age, disability or marital status. For these purposes, EEO shall apply in the areas of recruitment, employment,
job assignment, promotion, upgrading, demotion, transfer, layoff, or termination and rates of pay or other forms of
compensation.
The Contractor shall submit an EEO policy statement to the Agency within seventy two (72) hours after the date of the
notice by Agency to award the Contract to the Contractor.
c. If Contractor or Subcontractor does not have an existing EEO policy statement, the Agency may provide the Contractor
or Subcontractor a model statement (see Form A - Minority and Women-Owned Business Enterprises Equal Employment
Opportunity Policy Statement).
d. The Contractor's EEO policy statement shall include the following language:
(1) The Contractor will not discriminate against any employee or applicant for employment because of race, creed,
color, national origin, sex, age, disability or marital status, will undertake or continue existing EEO programs to
ensure that minority group members and women are afforded equal employment opportunities without
discrimination, and shall make and document its conscientious and active efforts to employ and utilize minority
group members and women in its work force.
(2) The Contractor shall state in all solicitations or advertisements for employees that, in the performance of the
contract, all qualified applicants will be afforded equal employment opportunities without discrimination because
of race, creed, color, national origin, sex, age, disability or marital status.
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(3) The Contractor shall request each employment agency, labor union, or authorized representative o f 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.
(4) The Contractor will include the provisions of Subdivisions (a) through (c) of this Subsection 4 and Paragraph "E"
of this Section lit, which provides for relevant provisions of the Human Rights Law, in every subcontract in such
a manner that the requirements of the subdivisions will be binding upon each subcontractor as to work in connection
with the Contract.
3. Form B - Staffing Plan
To ensure compliance with this Section, the Contractor shall submit a staffing plan to document the composition of the
proposed workforce to be utilized in the performance of the Contract by the specified categories listed, including ethnic
background, gender, and Federal occupational categories. Contractors shall complete the Staffing plan form and submit it
as part of their bid or proposal or within a reasonable time, but no later than the time of award of the contract.
4. Form C - Workforce Employment Utilization Report ('Workforce Report")
a. Once a contract has been awarded and during the term of Contract, Contractor is responsible for updating and providing
notice to the Agency of any changes to the previously submitted Staffing Plan. This information is to be submitted on
a quarterly basis during the term of the contract to report the actual workforce utilized in the performance of the contract
by the specified categories listed including ethnic background, gender, and Federal occupational categories. The
Workforce Report must be submitted to report this information.
b. Separate forms shall be completed by Contractor and any subcontractor performing work on the Contract.
c. In limited instances, Contractor may not be able to separate out the workforce utilized in the performance of the Contract
from Contractor's and/or subcontractor's total workforce. When a separation can be made, Contractor shall submit the
Workforce Report and indicate that the information provided related to the actual workforce utilized on the Contract.
When the workforce to be utilized on the contract cannot be separated out from Contractor's and/or subcontractor's total
workforce, Contractor shall submit the W orkforce Report and indicate that the information provided is Contractor's total
workforce during the subject time frame, not limited to work specifically under the contract.
Contractor shall comply with the provisions of the Human Rights Law, all other State and Federal statutory and constitutional
non-discrimination provisions. Contractor and subcontractors shall not discriminate against any employee or applicant for
employment because of race, creed (religion), color, sex, national origin, sexual orientation, military status, age, disability,
predisposing genetic characteristic, marital status or domestic violence victim status, and shall also follow the requirements
of the Human Rights Law with regard to non-discrimination on the basis of prior criminal conviction and prior arrest.
D. MWBE Utilization Plan
1. The Contractor represents and warrants that Contractor has submitted an M WBE Utilization Plan (Form D) either prior to,
or at the time of, the execution of the contract.
Contractor agrees to use such MWBE Utilization Plan for the performance of MWBEs on the Contract pursuant to the
prescribed M WB E goals set forth in Section III-A of this Appendix.
Contractor further agrees that a failure to submit and/or use such MWBE Utilization Plan shall constitute a material breach
of the terms of the Contract. Upon the occurrence of such a material breach, Agency shall be entitled to any remedy provided
herein, including but not limited to, a finding of Contractor non-responsiveness.
E. Waivers
1. For Waiver Requests Contractor should use Form E - Waiver Request.
If the Contractor, after making good faith efforts, is unable to comply with MWBE goals, the Contractor may submit a
Request for Waiver form documenting good faith efforts by the Contractor to meet such goals. If the documentation included
with the waiver request is complete, the Agency shall evaluate the request and issue a written notice of acceptance or denial
within twenty (20) days of receipt.
Al- 10
If the Agency, upon review of the MWBE Utilization Plan and updated Quarterly MWBE Contractor Compliance Reports
determines that Contractor is failing or refusing to comply with the Contract goals and no waiver has been issued in regards
to such non-compliance, the Agency may issue a notice of deficiency to the Contractor. The Contractor must respond to the
notice of deficiency within seven (7) business days of receipt. Such response may include a request for partial or total waiver
of MWBE Contract Goals.
Liquidated Damages - MWBE Participation
Where Agency determines that Contractor is not in compliance with the requirements of the Contract and Contractor refuses
to comply with such requirements, or if Contractor is found to have willfully and intentionally failed to comply with the
MWBE participation goals, Contractor shall be obligated to pay to the Agency liquidated damages.
2. Such liquidated damages shall be calculated as an amount equaling the difference between:
a. All sums identified for payment to MWBEs had the Contractor achieved the contractual MWBE goals; and
b. All sums actually paid to MWBEs for work performed or materials supplied under the Contract.
In the event a determination has been made which requires the payment of liquidated damages and such identified sums have
not been withheld by the Agency, Contractor shall pay such liquidated damages to the Agency within sixty (60) days after
they are assessed by the Agency unless prior to the expiration of such sixtieth day, the Contractor has filed a complaint with
the Director of the Division of Minority and Woman Business Development pursuant to Subdivision 8 of Section 313 of the
Executive Law in which event the liquidated damages shall be payable if Director renders a decision in favor of the Agency.
Questions regarding this program should be directed to the Department's Minority and Women-owned Business Program by
calling (518) 473-2507. Potential contractors can access the NYS Directory of Certified Minority and Women-owned Business
Enterprises on-line through the Empire State Development website at: http://www.esd.ny.gov/MWBE.html.
The Department makes no representation with respect to the availability or capability of any business listed in the Directory. See
Appendix C - Attachment 4, for additional requirements of this program.
XVII. Notice of Public Proceedings
]'he Contractor agrees to provide the Department with prompt and timely written notice at least two weeks in advance of all public
proceedings, including, but not limited to; public meetings or hearings, relating to the Project.
XVIII. Submission of all correspondence and documentation
Unless otherwise stated in Appendix D, the Contractor agrees to provide the Department with the required products in the
following formats. All products and shall include the NYS contract number as indicated on the Face Page of this Agreement
and where applicable, reflect the task number it relates to in Appendix D.
I. Drafi products: two paper copies of each product must be submitted.
2. Final products: two paper copies of each product must be submitted. In addition all final products (including
reports, designs, maps, drawings, and plans) must be submitted as an electronic copy (in Adobe® Acrobat® Portable
Document Format - PDF), created using 300 dpi scanning resolution, and be submitted on a labeled CD-R type CD.
The CD must be labeled with the contractor name, contract number, and project title.
3. Pictures and photographs must be dated and captioned with the location and a brief description of the activity being
documented.
B. Contractor agrees to provide the Department with original and one copy of payment request documentation as described in
Appendix C.
XIX. Environmental Review
A. Contractor agrees to provide the Department, in a timely manner, with all documentation, including but not limited to, permit
applications, environmental assessments, designs, plans, studies, environmental impact statements, findings, and
determinations, relating to the Project.
B. Contractor acknowledges that compliance with the State Environmental Quality Review Act is a material term and condition
XX.
A.
B.
XXI.
A.
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of this Agreement. In no event shall any payments be made under this Agreement until Contractor has provided Department
with appropriate documentation that contractor has met any requirements imposed on Contractor by the State Environmental
Quality Review Act.
Default and Termination
The Department may terminate the Agreement in accordance with the terms and conditions in Section 111 of the Agreement.
In addition to whatever other reserved rights it has to terminate the Agreement, the Department may terminate the Agreement
when it is in the best interests of the State or (1) for cause, (2) for convenience, or (3) due to unavailability of f~nds.
If the Department determines the Contractor has breached a term of the Agreement and if the Department determines the
defect can be remedied, it may issue a written notice providing the Contractor with a minimum of 30 days to correct the defect
and the notice may include a prospective termination date. If the Contractor fails to correct the defect or fails to make a good
faith effort to do so as determined by the Department to the Department's satisfaction, the Department may terminate the
Agreement for cause.
The Department shall also have the right to postpone or suspend the Agreement or deem it abandoned without this action
being a breach of the Agreement. The Department shall provide written notice to the Contractor indicating the Agreement has
been postponed, suspended or abandoned. During any postponement, suspension or abandonment the Contractor agrees not to
do any work under the Agreement without prior written approval of the Department.
In the event the Agreement is postponed, suspended, abandoned or terminated, the Department shall make a settlement with
the Contractor upon an equitable basis in good faith and under the general compensation principles and rates established in
the Agreement by the Department. This settlement shall fix the value of the work which was performed by the Contractor to
the Department's satisfaction prior to the postponement, suspension, abandonment or termination of the Agreement.
Any funds paid to the Contractor by the Department which are not expended under the terms of the Agreement shall be repaid
to the Department.
Fully-Executed Agreement or Amendment Thereto
If this Agreement, or amendments thereto, allocates funds totaling $50,000 or less, it shall be deemed to be fully executed
when approved and signed by the Contractor and the Department.
If this Agreement, or amendments thereto, allocates funds totaling more than $50,000, it shall be deemed to be fully executed
when approved by the Office of the State Comptroller.
APPENDIX B
BUDGET SUMMARY
A. Salaries & Wages (including Fringe Benefits)
B. Travel
C. Supplies/Materials
D. Equipment
E. Contractual Services
F. Other
$49,000.00
$0.00
$7,254.00
$2,599.00
$104,032.00
$59,997.00
TOTAL PROJECT COST
Total State Funds
Total Local Share
$222,882.00
$111,441.00
$111,441.00
B-2
Appendix B (Budget Detail Sheet)
A. SALARIES & WAGES
TITLE ANNUAL SALARY AMOUNT
CHARGED TO THIS
PROJECT
Principal Planner $111,930.00 $30,627.00
Town Engineer $104,049.00 $4,345.00
Highway Superintendent $119,938.00 $2~834.00
Technical Cpordinator II $113,349.00 $8,719.00
Land Preservation Coordinator $114,732.00 $189.00
Secretarial Assistant ._$59,708.00 $562.00
Highway Clew Leader $59,708.00 $5 l 9.00
Hear Equi ment O erator
y .pme p $53,102.0~0 $462.00
Auto Equipment Operator $40,480.00 - $43,277.00 $743.00
SUBTOTAL $49,000.00
B. TRAVEL
SUBTOTAL $0.00
C. SUPPLIES/MATERIALS
Supplies for debris and invasive species removal including personal protection
equipment (gloves, glasses, ear-muffs etc), hip-waders, oil and gas ...................... $918.00
Supplies for the installation of catch basins including drainage rigs, drainage covers,
drainage frames, cement, sand, block, filter cloth, stone blend and top soil .............. $6,336.00
SUBTOTAL $7,254.00
Appendix B (Budget Detail Sheet Continued)
B-3
D. EQUIPMENT
2 Stihl brush cutter/clearing saw ............................................... $1,899.00
2 Toro 12 Amp Electric Blower/Vacuum with metal impeller .......................... $180.00
2 Stihl MS 181 chain saws ...................................................... $520.00
SUBTOTAL $2,599.00
E. CONTRACTUAL SERVICES
Consultant services for DNA Source Tracking Analysis and Flushing Rate Analysis ..... $44,250.00
Consultant services for watershed drainage analysis, bathymctry study, water quality
modeling and community workshops .......................................... $59,782.00
SUBTOTAL $104,032.00
F. OTHER
Value of equipment usage for debris and wrack removal ............................ $8,292.00
Volunteer Services
Volunteer services for the organization of Project Advisory Committee,
public communications, education ............................................ $12,600.00
Volunteer services to coordinate with Suffolk County Park and Recreation and
Suffolk County Vector Control to address stormwater prevention issues, review
and prepare appropriate documents, and conduct research ........................... $2,400.00
Volunteer services for the design and implementation of watershed watch program
related to the Stormwater Prevention Pollution Plan ............................... $13,575.00
Volunteer services for the development of homeowner best management practices
related to the Stormwater Pollution Prevention Plan .................................. $630.00
Volunteer services to plan and implement the restoration of littoral zone clean up
and debris/wrack removal ................................................... $22,500.00
SUBTOTAL $59,997.00
1I.
APPENDIX C
PAYMENT AND REPORTING SCHEDULE
Payment Schedule
A. The Department shall make interim payments for eligible costs incurred up to an amount not to exceed 90% of the State Share
Funding Amount. The final payment will be made upon satisfactory completion of the Project.
B. A properly executed payment request is to be submitted quarterly (included with every project status report), on forms
prescribed by the Department documenting total project costs incurred to date.
Payment shall be made to the Contractor upon the submission by the Contractor of a properly executed payment request.
Such request shall contain the following: (I) Summary Sheet Documentation Forms, (2) a properly executed State
Voucher, and (3) the required work products.
Payment requests will be reviewed in accordance with the terms and conditions of this Agreement to determine total
allowable project costs incurred and the number and percentage of allowable project tasks completed to date. For the
purpose of determining the level of reimbursement, otherwise allowable project costs may be reduced if the percentage of
task completion is deemed insufficient.
3. Total allowable project costs, adjusted pursuant to 2. above, will be prorated between State Share and Local Share costs
in the same proportions as State Share Funding Amount is to Local Share Funding Amount as set forth on the Face Page.
4. Interim payments will be issued in amounts equal to the State Funds calculated in 3. above.
The final payment will be issued upon receipt and approval of (1) a payment request marked "FINAL", (2) a final Status
Report, and (3) Final Project Summary Report. Such final payment request shall be submitted within 60 days following
the ending date of this Agreement.
Reporting
Payment requests as described in i.B. above shall be certified by a duly authorized representative of the Contractor as
accurately representing such accomplishments and expenses as recorded in the Contractor's accounting records, including,
where goods or services are provided by third parties not party to this Agreement, a certification that any payment obligations
arising from the provision of such goods or services have been paid or will be paid by the Contractor and do not duplicate
reimbursement or costs and services received from other sources.
B. Notwithstanding the above requirements, upon written notification by the Department, the Contractor may be required to
submit source documentation and additional verification of allowable expenditures.
C. Payment requests shall be submitted to:
New York State Department of State
Division of Coastal Resources
One Commerce Plaza - Suite 1010
Albany, New York, 12231-0001
D. Claimed expenditures per cost category may not exceed the amounts indicated in the Appendix B (Budget), without prior
written approval of the Department. Changes to the cost categories in excess of 10% will require prior approval by the Office
of the State Comptroller for contracts greater than $50,000 in addition to the approval of the Department. No expenditures
shall be allowed for items not set forth in the Project Budget.
E. Progress reports are to be submitted on a 6-month basis (June 30 and December 31) on a form prescribed by the Department.
III.
C-2
Other
Notwithstanding the submission of timely and properly executed payment requests, the Department shall be under no
obligation to make payment for expenditures incurred without the prior Department approvals and/or amendments required
under this Agreement and, further, shall have the right to withhold any such payment pending the execution of such approval
and/or amendment.
Interest income earned on funds received pursuant to this Agreement shall be used to further the purpose of this Project or
shall be deducted from total eligible cost to determine the net eligible costs to be reimbursed by the Department.
The Department shall have the right to conduct on-site progress assessments and reviews of the Project and Contractor's
books and records during the life of this Agreement and for a reasonable time following issuance of the final payment. The
Contractor shall furnish proper facilities, where necessary or usefuI, for such access and inspection.
The Department shall be entitled to disallow any cost or expense, or terminate or suspend this Agreement, if found that the
Contractor has misrepresented any expenditures or project activities in this Agreement, or in any progress reports or payment
requests made pursuant hereto.
Thc Contractor shall maintain separate fiscal books and records for all funds received through the Department and project
activities conducted pursuant to this Agreement, and shall make all such books and records available to the Department, the
Office of the State Comptroller, or their designated representatives for inspection and audit for a period of six years following
termination of this Agreement.
The Contractor shall provide complete and accurate billing invoices to the Agency in order to receive payment. Billing
invoices submitted to the Agency must contain all information and supporting documentation required by the Contract, the
Agency and the State Comptroller. Payment for invoices submitted by the Contractor shall only be rendered electronically
unless payment by paper check is expressly authorized by the Secretary of State, in the Secretary's sole discretion, due to
extenuating circumstances. Such electronic payment shall be made in accordance with ordinary State procedures and
practices. The Contractor shall comply with the State Comptroller's procedures to authorize electronic payments.
Authorization forms are available at the State Comptroller's website at www.osc.state.n¥.us/epa¥/index.htm, by email at
epunit(~osc.state.ny.us, or by telephone at 5 t 8-474-4032. Contractor acknowledges that it will not receive payment on any
invoices submitted under this Contract if it does not comply with State Comptroller's electronic payment procedures, except
where the Secretary has expressly authorized payment by paper check as set forth above.
Appendix C - Attachment I
Final Project Summary Report
Final payment of the grant is dependent upon the satisfactory completion and acceptance by the Department of State of this Final
Project Summary Report along with the requisite documentation. In addition to the other requirements of the contract, the grant
recipient is responsible to relay the importance, the significance and the value of the completed project to the community, the region
and the state through the completion of the report.
The lbllowing outline should be used to complete the Final Project Summary Report:
Project Title:
2. Name of Municipality:
Actual Project Costs:
a. State funds expended (identify source, eg. EPF, Clean Water/Clean Air
Bond Act, etc.):
b. Local funds expended:
c. Other funds expended:
Title:
Mailing address:
Tel. number: ( )
Fax number: ( )
E-mail address:
5. Federal Tax Identification Number:
6. Project Background (briefly explain in a short paragraph why this project was necessary, what its value is and/or its importance to
the community):
7. Project Work (briefly describe the work that was done to complete the project):
Project Descriptions (use the following guidelines to describe the project and please be concise in the description):
a. For a Planning Project describe the findings or recommended strategies.
b. For a Design Project describe what is to be built.
c. For a Construction Project describe what was built.
9. Project Measurable Results: To be completed on forms attached.
I 0. Project Documentation: The Department of State requires a visual documentation of the Environmental Protection Fund projects.
Project products should be visually documented using a 35mm camera or a digital camera. The 35mm color slides and/or digital
camera disc should be labeled and dated when submitted along with the completed Final Project Summary Report.
Visuals should illustrate the final project product and, as appropriate, activities undertaken to complete the project. For example,
some projects would call for visuals that include photographs of volunteers participating in a wetland restoration project
(planting Spartina); photographs of historical signs markers, kiosks, etc. being placed; or photographs of an artist's rendering of a
waterfront design.
Design, planning, and construction projects call for different visual documentation. Therefore, the following guidelines are
suggested:
· For design projects, visuals of renderings and/or graphics that depict the final product.
· For planning projects, visuals of any graphics, where appropriate, that illustrate the final product.
· For construction projects, visuals of work in progress and the finished project.
in addition to the 35mm color slides/digital camera disc, a video (vhs format) of the project with a verbal description is desirable
but not mandatory. The video may be used in a future documentary.
RECIPIENT
PROJECT TITLE
Project Status Form
CONTRACT#
Appendix C - Attachment 2
Status Report Date:
Task Brief Task Date of Percent of
# Description A/T Completion Completion
Task Accomplishments
Product Submitted
to DOS
ADJUSTMENTS - Please indicate proposed adjustment(s) to work program/schedule, reason(s) for the proposed
adjustment(s), and any other problems encountered during this reporting period:
Person to contact if we have questions about the information provided on this form:
Name: Email Address:
Title: Affiliation:
Phone: Fax:
Appendix C - Attachment 3
Procurement Certification
I hereby certify that I am the municipal attorney, chief legal officer or financial administrator for the
.......................... and that the contract/procurement with
~ appended hereto pursuant in whole or in part to NYS
Department of State Contract No. _ ......... was awarded in accordance all requirements of law and the following provisions:
For Municipal Entities (except NYC or with Borough):
Applicable public bidding procedures of GeneraI Municipal Law § 103 relating to the procurement for service, labor, and/or
construction involving more than $35,000 or goods and equipment involving more than $20,000.
Procedures established by this municipality pursuant to the General Municipal Law § 104-b relating to the procurement for
service, labor, and/or construction involving not more than $35,000 or goods and equipment involving not more than
$20,000.
_ Procedures established pursuant to General Municipal Law Section 104-b relating to the procurement for professional
2. For New York City or Borough:
Applicable public bidding procedures of General Municipal Law § 103 and regulations of the Procurement Policy Board
relating to the procurement for service, labor, and/or construction involving more than $35,000 or goods and equipment
involving more than $20,000.
Procedures established by the municipality pursuant to the General Municipal Law § 104-b and regulations of the
Procurement Policy Board relating to the procurement for service, labor, and/or construction involving not more than $35,000
or goods and equipment involving not more than $20,000.
Procedures established pursuant to General Municipal Law Section 104-b relating to the procurement for professional
services.
3. Not-for-Profit Organization or other entities not listed above are first subject to all requirements of law, including the NYS
Not-for-Profit Corporation Law, the organization's bylaws, and:
a formal competitive process to secure professional services involving not more than $35,000 was used to solicit price quotes
from no less than three qualified vendors to ensure the prudent and economical use of public funds to obtain maximum quality
at reasonable cost; or
a formal competitive process to secure professional services involving more than $35,000 was used to solicit price proposals
and quotations, through use of written request(s) for proposals through a publicly advertised process, to ensure the prudent
and economical use of public funds to obtain maximum quality at reasonable cost; or
a method of procurement that was previously reviewed and approved by the Department of State, which furthers the purpose
of this contract.
Title:
Date:
Attached - Executed Contract between Contractor and Subcontractor
Appendix C - Attachment 4
(10 pages total)
FORM A
MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES - EQUAL
EMPLOYMENT OPPORTUNITY POLICY STATEMENT
MNVBE AND EEO POLICY STATEMENT
I, , the (awardee/contractor)
following policies with respect to the project being developed or services rendered at
agree to adopt the
MNVBE This organization will and will cause its
contractors and subcontractors to take good
faith actions to achieve the MNVBE contract participations goals set
by the State for that area in which the State-funded project is
located, by taking the following steps:
(1) Actively and affirmatively solicit bids for contracts and
subcontracts from qualified State certified MBEs or WBEs,
including solicitations to MNVBE contractor associations.
(2) Request a list of State-certified M/WBEs from AGENCY
and solicit bids from them directly
(3) Ensure that plans, specifications, request for proposals
and other documents used to secure bids will be made
available in sufficient time for review by prospective
MNVBEs.
(4) Where feasible, divide the work into smaller porfions to
enhanced participations by MNVBEs and encourage the
formation of joint venture and other partnerships among
MNVBE contractors to enhance their participation,
(5) Document and maintain records of bid solicitation,
including those to M/~NBEs and the results thereof,
Contractor will also maintain records of actions that its
subcontractors have taken toward meeting MNVBE
contract participation goals,
(6) Ensure that progress payments to MNVBEs are made on a
timely basis so that undue financial hardship is avoided,
and that bonding and other credit requirements are waived
or appropriate alternatives developed to encourage
MNVBE participation.
Agreed to this
By
day of
EEO (a) This organization will not discriminate
against any employee or applicant for
employment because of race, creed, color, national origin, sex,
age, disability or marital status, will undertake or continue existing
programs of affirmative action to ensure that minodty group
members are afforded equal employment opportunities without
discrimination, and 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.
(b)This organization shall state in all solicitation or advertisements
for employees that in the performance of the State contract all
qualified applicants will be afforded equal employment
opportunities without discrimination because of race, creed, color,
national origin, sex disability or marital status.
(c) At the request of the contracting agency, this organization
shall request each employment agency, labor union, or
authorized 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 this organization's obligations
herein,
(d) Contractor shall comply with the provisions of the Human
Rights Law, all other State and Federal statutory and
constitutional non~Jiscdmination provisions. Contractor and
subcontractors shall not discriminate against any employee or
applicant for employment because of race, creed (religion), color,
sex, national origin, sexual orientation, military status, age,
disability, predisposing genetic characteristic, madtal status or
domestic violence victim status, and shall also follow the
requirements of the Human Rights Law with regard to non-
discrimination on the basis of prior criminal conviction and prior
arrest
(e) This organization will include the provisions of sections (a)
through (d) of this agreement in every subcontract in such a
manner that the requirements of the subdivisions will be binding
upon each subcontractor as to work in connection with the State
contract
,2.
Print: Title:
(Name of Designated Liaison)
is designated as the Minority Business Enterprise Liaison
responsible for administering the Minority and Women-Owned Business Enterprises- Equal Employment
Oppodunity (MANBE-EEO) program.
M/VVBE Contract Goals
20% Minority and Women's Business Enterprise Participation
% Minority Business Enterprise Participation
% Women's Business Enterprise Participation
EEO Contract Goals
% Minority Labor Force Padicipation
% Female Labor Force Participation
(Authorized Representative)
Title:
Date:
FORM B
STAFFING PLAN
Submit with Bid or Proposal - Instructions on page 2
Solicitation No.: Reporting Entity: Report includes Contractor's/Subcontractor's:
~ Work force to be utilized on this contract
[] Total work force
Offeror's Name:
Offeror's Address:
Offeror
Subcontractor
Subcontractor's name
Enter the total number of em classification in each of the EEO-Job Cateqories identified
· Work force by Work~orce by
Gender Race/Ethnic Identification
EEO-Job Category Total Total Tota~ Native
Work Male Female White Black Hispamc Asian American Disabled Veteran
force (M) (F) (M) (F) (M) (F) (M) (F) (M) (F) (M) (F) (M) (F) (M) (F)
Officials/Administrators
Professionals
Technicians
Sales Workers
Office/Clerical
Craft Workers
Laborers
Service Workem
Temporary
/Apprentices
Totals
PREPARED BY (Signature):
TELEPHONE NO.:
EMAIL ADDRESS:
DATE:
NAME AND TITLE OF PREPARER (Print or Type): Submit completed with bid or proposal
General instructions: All Offerors and each subcontractor identified in the bid or proposal must complete an EEO Staffing Plan (FORM B) and submit it as part of
the bid or proposal package. Where the work fome to be utilized in the performance of the State contract can be separated out from the contractor's and/or
subcontractor's total work force, the Offeror shall complete this form only for the anticipated work force to be utilized on the State contract. Where the work force
to be utilized in the performance of the State contract cannot be separated out from the contractor's and/or subcontractor's total work force, the Offeror shall
complete this form for the contractor's and/or subcontractor's total work force.
Instructions for completing: 1. Enter the Solicitation number that this report applies to along with the name and address of the Offeror.
2. Check off the appropriate box to indicate if the Offeror completing the report is the contractor or a subcontractor.
3. Check off the appropriate box to indicate work force to be utilized on the contract or the Offerors' total work force.
4. Enter the total work force by EEO job category.
5. Break down the anticipated total work force by gender and enter under the heading 'Work force by Gender'
6. Break down the anticipated total work rome by race/ethnic identification and enter under the heading 'Work force by Race/Ethnic Identification'. Contact
the DOS Permissible contact(s) for the solicitation if you have any questions.
7. Enter information on disabled or veterans included in the anticipated work force under the appropriate headings.
8. Enter the name, title, phone number and email address for the person completing the form. Sign and date the form in the designated boxes.
RACE/ETHNIC IDENTIFICATION
Race/ethnic designations as used by the Equal Employment Opportunity Commission do not denote scientific definitions of anthropological origins. For the
purposes of this form, an employee may be included in the group to which he or she appears to belong, identifies with, or is regarded in the community as
belonging. However, no person should be counted in more than one race/ethnic group. The race/ethnic categories for this survey are:
· WHITE (Not of Hispanic origin) All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East.
· BLACK a person, not of Hispanic origin, who has origins in any of the black racial groups of the original peoples of Africa.
· HISPANIC a person of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race.
· ASIAN & PACIFIC a person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent or the Pacific Islands.
ISLANDER
NATIVE INDIAN (NATIVE
AMERICAN/ALASKAN
NATIVE)
a person having origins in any of the original peoples of North America, and who maintains cultural identification through tribal
affiliation or community recognition.
OTHER CATEGORIES
· DISABLED INDIVIDUAL
any person who:
has a physical or mental impairment that substantially limits one or more major life activity(les)
has a record of such an impairment; or
is regarded as having such an impairment.
· VIETNAM ERA VETERAN
a veteran who served at any time between and including January 1, 1963 and May 7, 1975.
· GENDER Male or Female
FORM C
WORK FORCE EMPLOYMENT UTILIZATION
Contract No.: Reporting Entity: Reporting Period:
~ Contractor [] January 1, 20 - March 31,20__
[] Subcontractor [] April 1, 20 - June 30, 20__
[] July 1, 20 - September 30, 20__
[] October 1,20 - December 31,20.
Contractor's Name:
Report includes:
Contractor's Address: ~ Work force to be utilized on this contract
[] Contractor/Subcontractor's total work rome
Enter the total number of err ' each classification in each of the EEO-Job Cateqories identified
· Work force by Wor~force by
Gender Race/Ethnic Identification
EEO-Job Category Total Male Female White Black Hispanic Asian Native Disabled Veteran
Work (M) (F) (M) (F) (M) (F) (M) (F) (M) (F) American (M) (F) (M) (F)
force (M) (F)
Officials/Administrators
Professionals
Technicians
Sales Workers
Office/Clerical
Craft Workers
Laborers
Service Workers
Temporary
/Apprentices
Totals
PREPARED BY (Signature):
NAME AND TITLE OF PREPARER (Print or Type):
TELEPHONE NO.: DATE:
EMAIL ADDRESS:
Submit completed form to:
NYS Department of State
Office of Affirmative Action Programs
99 Washington Ave, Ste. 1150
Albany, NY 12231
General Instructions: The work force utilization (FORM C) is to be submitted on a quarterly basis during the life of the contract to report the actual work force
utilized in the performance of the contract broken down by the specified categories. When the work force utilized in the performance of the contract can be
separated out from the contractor's and/or subcontractor's total work force, the contractor and/or subcontractor shall submit a Utilization Report of the work force
utilized on the contract. When the work force to be utilized on the contract cannot be separated out from the contractor's and/or subcontractor's total work force,
information on the total work force shall be included in the Utilization Report. Utilization reports are to be completed for the quarters ended 3/31,6/30, 9/30 and
12/31 and submitted to the MWBE Program Management Unit within 15 days of the end of each quarter. If there are no changes to the work force utilized on the
contract during the reporting period, the contractor can submit a copy of the previously submitted report indicating no change with the date and reporting period
updated.
Instructions for completing: 1. Enter the number of the contract that this report applies to along with the name and address of the Contractor preparing the report.
2. Check off the appropriate box to indicate if the entity completing the report is the contractor or a subcontractor.
3. Check off the box that corresponds to the reporting period for this report.
4. Check off the appropriate box to indicate if the work force being reported is just for the contract or the Contractor's total work force.
5. Enter the total work force by EEO job category.
6. Break down the total work force by gender and enter under the heading 'Work force by Gender'
7. Break down the total work force by race/ethnic background and enter under the heading 'Work force by Race/Ethnic Identification'. Contact the Office of
Affirmative Action Programs at (518) 473-2507 if you have any questions.
8. Enter information on any disabled or vf~teran employees included in the work force under the appropriate heading.
9. Enter the name, title, phone number and email address for the person completing the form. Sign and date the form in the designated boxes.
RACE/ETHNIC IDENTIFICATION
Race/ethnic designations as used by the Equal Employment Opportunity Commission do not denote scientific definitions of anthropological origins. For the
purposes of this report, an employee may be included in the group to which he or she appears to belong, identifies with, or is regarded in the community as
belonging. However, no person should be counted in more than one race/ethnic group. The race/ethnic categories for this survey are:
· WHITE (Not of Hispanic origin) All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East.
· BLACK a person, not of Hispanic origin, who has origins in any of the black racial groups of the original peoples of Africa.
· HISPANIC a person of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race.
· ASIAN & PACIFIC a person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent or the Pacific Islands.
ISLANDER
OTHER CATEGORIES
· DISABLED INDIVIDUAL
AMERICAN/ALASKAN affiliation or community recognition. NATIVE)
· VIETNAM ERAVETERAN
· GENDER
any person who: has a physical or mental impairment that substantially limits one or more major life activity(les)
has a record of such an impairment; or
is regarded as having such an impairment.
a veteran who served at any time between and including January 1, 1963 and May 7, 1975.
Male or Female
FORM D
M/WBE UTILIZATION PLAN
This form must be submitted with any bid, proposal, or proposed negotiated contract or within a reasonable time thereafter but prior to contract award. This Utilization Plan
INSTRUCTIONS: must conta n a detailed description of the supplies and/or services to be provided by each certified Minority and Women-owned Business Enterprise (M/WBE) under the
contracL Attach additional sheets if necessa~.
Offeror's Name: Federal Identification No.:
Address: Project/Contract No.:
City, State, Zip Code:
Telephone No.: M/WBE Goals in the Contract: MBE 10% WBE 10%
Region/Location of Work:
I. Certified M/WBE Subcontractors/Suppliers 2. Classification 3. Federal ID No. 4. Detailed Description of Work 5, Dollar Value of Subcontracts/
Name, Address, Email Address, Telephone No. (Attach additional sheets, if necessary) Supplies/Services and
intended performance dates of
each component of the contract.
A. NYS ESD CERTIFIED
[] MBE
[] WBE
B, NYS ESD CERTIFIED
[] MBE
[] WBE
6. IF UNABLE TO FULLY MEET THE MBE AND WBE GOALS SET FORTH IN THE CONTRACT, OFFEROR MUST SUBMIT A REQUEST FOR WAIVER FORM C.
TELEPHONE NO.: I
PREPARED BY (Signature): EMAIL ADDRESS:
DATE: FOR M/WBE USE ONLY
REVIEWED BY: I DATE:
NAME AND TITLE OF PREPARER (Print or Type):
I
SUBMISSION OF THIS FORM CONSTITUTES THE OFFEROR'S ACKNOWLEDGEMENT AND AGREEMENT TO
COMPLY WITH THE MNVBE REQUIREMENTS SET FORTH UNDER NYS EXECUTIVE LAW, ARTICLE 15-A. 5 UTILIZATION PLAN APPROVED: [] YES [] NO Date:
NYCRR PART 143, AND THE ABOVE-REFERENCED SOLICITATION. FAILURE TO SUBMIT COMPLETE AND Contract No.: Project No. (if applicable):
ACCURATE INFORMATION MAY RESULT IN A FINDING OF NONCOMPLIANCE AND POSSIBLE
TERMINATION OF YOUR CONTRACT.
Contract Award Date:
Estimated Date of Completion:
Amount Obligated Under the Contract:
Description of Work:
NOTICE OF DEFICIENCY ISSUED: [] YES [] NO Date:
NOTICE OF ACCEPTANCE ISSUED: [] YES [] NO Date:
FORM E
REQUEST FOR WAIVER
INSTRUCTIONS: SEE PAGE 2 OF THIS ATTACHMENT FOR REQUIREMENTS AND DOCUMENT SUBMISSION INSTRUCTIONS.
Offeror/Contractor Name: Federal Identification No.:
Address: Solicitation/Contract No.:
City, State, Zip Code: M/WBE Goals: MBE 10% WBE 10%
By submitting this form and the required information, the offeror/contractor certifies that every Good Faith Effort has been taken
to promote M/WBE participation pursuant to the M/WBE requirements set forth under the contract.
Contractor is requesting a:
1. [] MBE Waiver- A waiver of the MBE Goal for this procurement is requested. [] Total [] Partial
2. [] WBE Waiver - A waiver of the WBE Goal for this procurement is requested. [] Total [] Partial
3. [] Waiver Pending ESD Certification - (Check here if subcontractors or suppliers of Contractor are not certified M/WBE, but an application for
certification has been filed with Empire State Development.) Date of such filing with Empire State Development:
PREPARED BY (Signature):
SUBMISSION OF THIS FORM CONSTITUTES THE OFFEROR/CONTRACTOR'S
ACKNOWLEDGEMENT AND AGREEMENT TO COMPLY WITH THE M/~NBE REQUIREMENTS
SET FORTH UNDER NYS EXECUTIVE LAW, ARTICLE 15-A AND 5 NYCRR PART 143.
FAILURE TO SUBMIT COMPLETE AND ACCURATE INFORMATION MAY RESULT iN A
FINDING OF NONCOMPLIANCE AND/OR TERMINATION OF THE CONTRACT.
Date:
Name and Title of Preparer (Printed or Typed): Telephone Number:
Email Address:
Submit with the bid or proposal or if submitting after award
submit to:
New York State Department of State
Office of Affirmative Action Programs
99 Washington Ave., Ste. 1150
Albany, New York 12231
******************** FOR M/WBE USE ONLY ********************
REVIEWED BY:
Waiver Granted: [] YES
L DATE:
MBE:I I WBE:[]
[] Total Waiver [] Partial Waiver
[] ESD Certification Waiver []*Conditional
[] Notice of Deficiency Issued
*Comments:
REQUIREMENTS AND DOCUMENT SUBMISSION INSTRUCTIONS
When completing the Request for Waiver Form please check all boxes that apply. To be considered, the Request for Waiver Form must
be accompanied by documentation for items 1 - 11, as listed below. If box # 3 has been checked above, please see item 11. Copies of the
following information and all relevant supporting documentation must be submitted along with the request:
1. A statement setting forth your basis for requesting a partial or total waiver.
2. The names of general circulation, trade association, and MNVBE-oriented publications in which you solicited certified MNVBEs for the
purposes of complying with your participation goals.
3. A list identifying the date(s) that all solicitations for certified M/VVBE participation were published in any of the above publications.
4. A list of all certified MNVBEs appearing in the NYS Directory of Certified Firms that were solicited for purposes of complying with your
certified MANBE participation levels.
5. Copies of notices, dates of contact, letters, and other correspondence as proof that solicitations were made in writing and copies of such
solicitations, or a sample copy of the solicitation if an identical solicitation was made to all certified MNVBEs.
6. Provide copies of responses made by certified M/VVBEs to your solicitations.
7. Provide a description of any contract documents, plans, or specifications made available to certified MANBEs for purposes of soliciting their
bids and the date and manner in which these documents were made available.
8. Provide documentation of any negotiations between you, the OfferodContractor, and the MNVBEs undertaken for purposes of complying
with the certified MNVBE participation goals.
9. Provide any other information you deem relevant which may help us in evaluating your request for a waiver.
10. Provide the name, title, address, telephone number, and email address of offerodcontractor's representative authorized to discuss and
negotiate this waiver request.
1 1. Copy of notice of application receipt issued by Empire State Development (ESD).
Note:
Unless a Total Waiver has been granted, Offeror/Contractor will be required to submit all reports and documents pursuant to
the provisions set forth in the Contract, as deemed appropriate by DOS, to determine M/WBE compliance,
SUBMIT TO:
New York State Department of State
FORM F Office of Affirmative Action Programs
MWBE Quarterly Report 99 Washington Ave., Ste. 1150
Albany, New York 12231
NYS DOS Contract No.
The following information indicates the payment amounts made by the grantee/contractor to the NYS Certified MNVBE subcontractor on this project.
']'he payments as shown made are in compliance with contract documents for the above referenced project.
Contractors Name and Address Federal ID# Goals/$ Amt. ( )
MBE 10 %=
WBE 10%= Telephone Number
Program Work Location Reporting Period:
1 '" Quarter (4/1 ~6/30) __ 3rd Quarter (10/1-12/31)
2n~ Quarter (7/1-9/30) 4th Quarter (1/1-3/31)
MWRE Description of Total Subcontractor Payments this Quarter Comments
Subcontractor/Vendor Service/Product Contract Amount
MBt= WBE MBE WBE
Name:
FED ID#
Name:
FED ID#
Name:
FED ID#
Name:
FED ID#
Total
Date Name Title Signature
Failure to submit this form will result in non-compliance
APPENDIX D
PROGRAM WORK PLAN
Contractor:
Contract Number:
Program Contact Person:
Phone:
Fax:
Town of Southold
C007079
Mark Terry
631.765.1938
631.765.3136
Restoration of Goldsmith Inlet
1. Project Description:
The Town of Southold (Contractor) will assess, mitigate and restore the ecological functions and values
of Goldsmith Inlet off the Long Island Sound to address the accretion of sand, loss of use due to degraded
water quality, loss of littoral habitat and loss of low and high marsh habitat. The Town will undertake a
pollution source tracking analysis; a flush rate analysis; restoration of the littoral zone; non-native
species removal; development of a Storm Water Pollution Plan; design and implementation of storm
water volume reduction measures between the Town and the County; and installation of four catch basins
as stormwater control retrofits.
Goldsmith Inlet has experienced high levels of pathogens resulting in temporary and now, year -round
water quality closure. Water quality closures include areas that have failed to meet the National Shellfish
Sanitation Program's (NSSP) standards for open shellfish areas. The Inlet is listed on the NYS Priority
Waterbodies List as precluded for shellfishing. Sources of pollutants include urban runoffand failing
onsite wastewater treatments systems. It is noted in the PWL narrative that Goldsmith Inlet is a good
candidate for pathogen source identification by coliform DNA library. The PWL also notes that the inlet
experiences limited flushing which could exacerbate water quality problems.
This project will cmnplete the following components:
Water quality and flushing rate analysis
Littoral zunc restoration
Exotic species removal
Stormwater Pollution Prevention Plan
Stormwater Design and Implementation
The goal of this project is to assess, mitigate, and restore the functions and values of the Inlet by
addressing thc root causes of the ecological degradation experienced in Goldsmith Inlet. The
assessments and implementation strategies will assist in restoring the ecological health of the Inlet by
focusing on water quality and stormwater and wetland restoration, which will further the policies of the
Town of Southold's Local Waterfront Revitalization Program.
D-2
2. Project Attribution and Number of Copies
The Contractor must ensure that all materials printed, constructed, and/or produced acknowledge the
contributions of the Department to thc project. The materials must include the following
acknowledgment:
"This (document, report, map, etc.) was prepared for the New York State Department of State
with funds provided under Title 11 of the Environmental Protection Fund."
The Contractor must submit to thc Department all required products, clearly labelled with the NYS
Comptroller's Contract # as indicated on the Face Page of this Agreement and where applicable, the
related Task # from this Work Plan. The Contractor shall submit:
Draft products: two paper copies of each product.
Final products: two paper copies of each product. In addition, all final products (including
reports, designs, maps, drawings, and plans) must be submitted as an electronic copy (in
Adobe® Acrobat® Portable Document Format - PDF), created using 300 dpi scanning
resolution, and be submitted on a labeled CD-R type CD. The CD must be labeled with the
contractor name, contract #, and project title.
Pictures and photographs must be dated and captioned with the location and a brief description of
the activity being documented.
The contributions of the Department must also be acknowledged in cotmnunity press releases issued for
the project. Project press releases shall be submitted to the Department for review and approval prior to
release to ensure appropriate attribution.
3. Compliance with Procurement Requirements
The municipal attorney, chief legal officer or financial administrator of the municipality shall certify in
writing to the Department that applicable provisions of General Municipal Law were fully complied with
(Appendix A 1-XXI).
4. Project Components
Task 1:
Project Kick-Off Meeting
The Contractor, the Department, project partners and any other appropriate entities shall hold an
initial meeting to review the project scope, project schedule, project requirements, roles and
responsibilities of project partners, the selection process for procuring consultants, State
Environmental Quality Review Act (SEQRA) compliance requirements, the number of public
meetings and techniques for public involvement proposed for the project, attendance at NYS
Community Seminar Series training sessions, and any other information which would assist in
project completion, in addition, the composition ora project advisory committee shall be
discussed during the project kick-off meeting. The Contractor, or a designated project partner,
shall prepare and distribute to all project partners a brief meeting summary clearly indicating the
agreements/understandings reached at the meeting.
D-3
Work on subsequent tasks shall not proceed prior to Department approval of the proposed
approach as outlined in the meeting summary.
Products:
Project kick-off meeting held with appropriate parties. Written meeting
sunm~ary outlining agreements/understandings reached. Finalized project
schedule.
Task 2:
Project Advisory Commitlee
The Contractor shall establish a project advisory committee to oversee all aspects of the project
in cooperation with municipal officials and the project consultant(s), if applicable. The
committee shall be representative of project stakeholders, including representatives of State,
county, and municipal agencies with jurisdiction over project activities or the project area, and
non-governmental and community based organizations. A draft list of proposed members shall
be circulated to the Department for review and approval prior to establishment of the committee.
Products:
Draft and final list of proposed members of project advisory cormnittee. Project
advisory committee established.
Task 3:
Request for Proposals
The Contractor shall draft a Request for Proposals (RFP) including a complete project
description with site conditions, expected final results, a schedule for completion, and criteria for
selecting a preferred proposal. The Contractor shall submit the RFP to the Department for
review and approval prior to release for solicitation of proposals.
Products:
Approved RFP released through advisement in local papers, the New York State
Contract Reporter, and other appropriate means.
Task 4:
Consultant Selection and Compliance with Procurement Requirements
In consultation with thc Department, the Contractor and an appropriate review conmfittee shall
review all proposals received as a result of the RFP. At a minimum, the following criteria are
suggested for use in evaluating consultant responses:
Quality and completeness of the response.
Understanding of the proposed scope of work.
Applicability of proposed alternatives or enhancements to information requested.
Cost-effectiveness of the proposal.
Qualifications and relevant experience with respect to the tasks to be performed.
Reputation among previous clients.
Ability to complete all project tasks within the allotted time and budget.
Incomplete proposals that do not address all of the requested components should not be accepted
for review and consideration.
D-4
For preparation/certification of final designs and construction documents, and for supervision of
construction, a licensed professional engineer or licensed professional architect/landscape
architect is required.
The municipal attorney, chief legal officer or financial administrator of the municipality shall
certify in writing to the Department that applicable provisions of General Municipal Law were
fully complied with.
The Contractor's procurement record and consultant selection is subject to approval by the
Department.
Products:
Consultant(s) selected and approved by the Department. Written certification of
procurement procedures.
Task 5:
Subcontract Preparation and Execution
The Contractor shall prepare a draft subcontract or subcontracts to conduct project work with thc
consultant(s) selected. The subcontract(s) shall contain a detailed work plan with adequate
opportunity for review at appropriate stages of project completion, a payment schedule
(payments should be tied to receipt of products), and a project cost. The subcontract(s) shall
specify the composition of the entire consultant team, including firm name and area of
responsibility/expertise, and those professionals from the consultant team or consulting firm that
will be directly involved in specific project tasks. The Contractor shall submit the draft
subcontract(s) to the Department for review and approval, and shall incorporate the Department's
comments in the final subcontract(s). A copy of the final, executed subcontract shall be
submitted to the Department.
Products: Draft and final, executed consultant subcontracts.
Task 6:
Second Project Meeting
In consultation with the Department, the Contractor shall hold a second project meeting, that
includes the consultant(s), and other project partners as appropriate, to review project
requirements, site conditions, and roles and responsibilities; identify new information needs and
next steps; and transfer any information to the consultant(s) which would assist in completion of
the project. The consultant(s) shall prepare and distribute a brief meeting summary clearly
indicating the agreements/understandings reached at the meeting. Work on subsequent tasks
shall not proceed prior to Department approval of the proposed approach as outlined in the
meeting summary.
Products:
Meeting held with appropriate parties. Written meeting summary outlining
agreements/understandings reached.
D-5
H/A TER QU/ILITY AND FL USHING RATE ANAL YSIS TASKS
Task 7: DNA Source Tracking Analysis
In collaboration with the project partners and the technical advisory group, the Contractor, or its
consultant(s), will prepare thc Draft DNA Source Tracking Analysis Report, which shall include
thc following elements:
assessment of inlet conditions to determine locations for monitoring stations.
Stations will be comprised of locations in the inlet waterbody as well as inputs
such as outfall pipes. Geographic locations of all sites will be identified using
UTM coordinates.
collection of samples to be used for coliform enumeration. Sampling will be
conducted and variables assessed (seasonality, impact of rain events, etc.)
DNA source tracking and sources of coliform inputs identified
determine suitable locations to collect samples for DNA source tracking based
The Analysis will also include a water quality model that will consider biobetric changes in Inlet
water quality as it is influenced by flushing, contaminant soumes, climate, and natural biological
processes.
The Contractor, or its consultant(s), will submit the Draft to the Department for review and
approval. Comments from the Department must be addressed to the satisfaction of the
Department prior to finalization of the Draft DNA Source Tracking Analysis Report, and its
components. The Report will reference all sources of information and identify any information
gaps and issues requiring further study. In addition, the Draft shouId be distributed to members
of the technical advisory group and other appropriate project partners for review.
Product:
Draft DNA Source Tracking Analysis Report with complete findings supported
by appropriated graphics and maps, submitted to the Department for review and
comment.
Task 8:
Final DNA Source Tracking Analysis Report
The Contractor, or its consultant(s) will prepare the Final DNA Source Tracking Analysis
Report, which will incorporate and reflect comments received from the project partners, the
Department, the technical advisory group, and any other interested parties as appropriate.
Comments and revisions suggested by the Department must be incorporated into the plan to the
satisfaction of the Department prior to finalization and/or publication of the document.
Products: Final DNA Source Tracking Analysis Report.
D-6
Task 9:
Flushing Rates Analysis Report
In collaboration with the project partners and the technical advisory group, the Contractor, or its
consultant(s), will prepare the Draft Flushing Rates Analysis Report, which shall include the
following elements:
Establishment of monitoring stations and installation of equipment. Geographic locations
of all sites will be identified using UTM coordinates.
Data analysis of all levellogging data (including temperature and salinity data) to
determine if and where tidal restrictions exist.
Bathymetric study of the Inlet in order to determine the precise volume of water present
and changes in volume corresponding with changes in water elevation.
The Report will reference all sources of information and identify any information gaps and issues
requiring further study. The Contractor, or its consultant(s), will submit the Draft to the
Department for review and approval. Comments from the Department must be addressed to the
satisfaction of the Department prior to finalization of the Draft Flushing Rates Analysis Report,
and its components. In addition, the Draft should be distributed to members of the technical
advisory group and other appropriate project partners for review.
Product:
Draft Flushing Rates Analysis Report with complete findings supported by
appropriated graphics and maps, submitted to the Department for review and
comment.
Task 10: Final Flushing Rates Analysis and Bathymctry Study Report
The Contractor, or its consultant(s) will prepare the Final Flushing Rates Analysis Report, which
will incorporate and reflect comments received from the project partners, the Department, the
technical advisory group, and any other interested parties as appropriate. Comments and
revisions suggested by the Department must be incorporated into the plan to the satisfaction of
the Department prior to finalization and/or publ!cation of the document.
Products: Final Flushing Rates Analysis and Bathymetry Study Report.
Task 11: Draft and Final Watershed Drainage Analysis
The Contractor, or its consultant(s) will prepare a review of exiting topographical data and
drainage infrastructure to delineate the geographic extent of the area contributing stormwater or
wastewater flow to Goldsmith Inlct or any of its tributaries. The analysis will include a list of
potential, identifiable sources of pathogens, nutrient, or contamination and generate a qualitative
discussion of contributions to the Inlet from upland sources. The Contractor, or its consultant(s),
will submit the Draft to the Department for review and approval. In addition, the Draft should be
distributed to members of the technical advisory group and other appropriate project partners for
review.
D-7
The Final Watershed Drainage Analysis will incorporate and reflect comments received from the
project partners, the Department, the technical advisory group, and any other interested parties as
appropriate. Comments and revisions suggested by the Department must be incorporated into the
plan to the satisfaction of the Department prior to finalization and/or publication of the
document.
Product:
Draft and Final Watershed Drainage Analysis with complete findings supported
by appropriated graphics and maps, submitted to the Department for review and
comment.
Task 12: Public Meeting
In consultation with the Department, public information meetings shall be conducted to solicit
public input on thc Water Quality, Flushing Rates, and DNA Source documentation. A written
summary of public input obtained at this meeting shall be prepared and provided to the
Department for review and comment.
Products:
Public information meeting held. Minutes/Summary of meeting prepared and
submitted to the Department.
RESTORATION AND DEBRIS REMOVAL TASKS
Task 13: Restoration and Removal Plan for Debris/Wrack Removal
A. Site Reconnaissance
The Contractor or its consultant(s) shall conduct a site reconnaissance which shall
include but is not limited to the following:
Site survey showing extent of project boundary including base map of
Phragmites monocultures using GPS
Identification of ownership/grant/lease status of any underwater lands to be
incorporated into the design
Topographic and hydrologic survey
Identification of plant and animal species relying on the habitat through existing
information and field surveys
Characterization of site disturbance(s) and assessment of causes
Description of ecological communities on site and assessment of functional
quality
Identification of fixed-point photo stations for routine monitoring
Site reconnaissance data and maps shall be provided to the Department for review and
approval prior to restoration plan development.
Products: Site reconnaissance report and appropriate maps.
D-8
Draft Restoration and Removal Plan
The Contractor or its consultant(s) shall prepare a draft restoration plan, including, but
not limited to, the following information:
Habitat functions to be created, restored or improved
Targeted plants, animals, and natural communities
Numbers and density of appropriate native plants to be planted
Equipment to be used
Temporal restrictions for proposed work based on life cycles and seasonal
sensitivity to disturbances
The draft restoration and removal plan, including a narrative, schematic, and the related
data and maps shall be provided to appropriate project partners and the Department for
review and approval prior to finalization.
Products: Draft Restoration and Removal Plan
Implementation Strategy
The Contractor or its consultant(s) shall prepare an implementation strategy for the plan
that shall include potential funding sources, project phasing if appropriate, and
recommended means of monitoring, site management, and operation. The Contractor or
its consultant(s) shall also identify necessary permits for construction. A pre-permitting
meeting with the Department and the appropriate federal, state and local regulatory
authorities (for example, the U.S. Army Corps of Engineers and the NYS Department of
Environmental Conservation) may be required to discuss the proposed restoration plan
and inform subsequent design work. The implementation strategy shall be provided to
the Department for review and approval prior to finalization of the restoration plan.
Products:
Written Implementation Strategy. Pre-permitting meeting with
appropriate authorities, if necessary.
Final Restoration and Removal Plan
The Contractor or its consultant(s) shall preparc a final restoration and removal plan
which incorporates the comments and recommendations of appropriate project partners
and the Department. The Contractor or its consultant(s) shall submit the final restoration
and removal plan, along with all supporting narrative, maps, schematics, data and the
implementation strategy, to the Department for review and approval prior to undertaking
restoration design.
Products:
Final Restoration and Removal Plan incorporating site reconnaissance
information, maps, and the implementation strategy.
D-9
Task 14: Permits
After the final design and construction documents have been approved by the Department, the
Contractor or its consultant(s) shall prepare the necessary permit or other approval applications
and obtain the required permits or approvals. A pre-application meeting with the Department
and the appropriate federal, state and local regulatory authorities may be required to discuss the
necessary permit or other approval applications. Prior to filing, the Contractor or its
consultant(s) shalI submit all applications to the Department for review and comment.
Potential permitting and approval agencies include but are not limited to:
federal agencies such as the United States Army Corps of Engineers;
the Department, pursuant to the consistency provisions of the federal Coastal Zone
Management Act;
other New York State agencies such as the Department of Environmental Conservation;
the Office of General Services pursuant to the Public Lands Law, or similar authorization
from the Power Authority (in certain areas of the St. Lawrence Seaway) or Canal
Authority (in the State Canal System), in order to use or occupy certain State-owned
lands or waters overlying those lands; and the Office of Parks, Recreation, and Historic
Preservation or the State Historic Preservation Officer; and
agencies of a county, city, town, village, or special purpose district, including but not
limited to: town boards, boards of trustees, or city councils; planning commissions,
boards or departments; and/or building or health officials.
Prior to construction the Contractor or its consultant(s) shall also demonstrate that the project is
in compliance with 6 NYCRR Part 502, "Floodplain Management Criteria For State Projects" by
obtaining a floodplain development perm/t, if local regulations establish such requirements, or by
submitting a signed certification, by an official authorized to enfome local floodplain
management regulations, that the project complies with the requirements of the statute.
Copies of all required permits and approvals shall be submitted to the Department upon receipt.
Products:
All required permits and approvals received. Written certification of compliance
with floodplain management regulations, if applicable.
Task 15: Installation of Project Sign
The Contractor shall install a sign satisfactory to the Department identifying the Department's
funding of the project. The project sign shall remain in place for the useful life of the
improvements undertaken. To assist communities in fulfilling this requirement, the Department
has developed an attractive low cost informational sign. A Sign Order Form is available upon
request from the Department.
Products:
Department approved sign design, and photo-documentation that sign is installed
in the immediate project area.
D-10
Task 16: Implementation
After receipt of all necessary permits, the Contractor or its subcontractor(s) may begin
implementation work according to the Final Restoration and Removal Plan. The Contractor or
its subcontractor(s) shall notify the Department monthly (or more frequently) in writing of work
progress, including any delays which have occurred. The Contractor or its consultant(s) shall
submit periodic payment requests to thc Department tied to project milestones identified in
contract and subcontract work plans or during the project kick off meeting. After 70% of the
work is completed, the progress notification will include a punch list of any incomplete items and
an estimated schedule for project completion.
Products:
Written work progress reports. Ptmch list and implementation completion
estimates.
Task 17: Monitoring Program
The Contractor shall develop, or shall subcontract to develop, a five-year monitoring program
appropriate to the goals and objectives of the restoration work and standardized in concert with
State-developed protocol, where applicable.
The written monitoring plan shall describe and map: specific parameters, timing, and time
intervals of baseline, compliance, routine, and other types of monitoring to be performed;
location of fixed photo stations; location and area of plots, quadrants, and transects to be
sampled; success criteria in terms of flora, fauna, and physical and chemical site characteristics;
contingency tlm-esholds and plans; and any additional project-specific elements required to
evaluate success.
Monitoring parameters shall include (but not be limited to) relevant inventory, sampling, and
assessment of vegetation; presence and use of site by fauna; substrate characteristics; and
applicable hydrologic parameters.
The Contractor shall submit the monitoring program to the Department for review. Acceptance
of the monitoring program by the Department is a required element of contract fulfillment under
this grant award.
The Contractor shall assess work program compliance and target vegetation survival at the close
of the growing season one year subsequent to completion of project work, and provide the
relevant monitoring data and an analysis to the Department for review. Demonstration of work
program compliance and 85% target vegetation survival, at a minimum, shall be required for
contract fulfillment under this grant award. If work program compliance and an 85% target
vegetation survival rate have not been achieved, the contract shall remain open until the
following growing season, during which interval the Contractor shall implement appropriate
contingency plans and/or other measures, to be approved by the Department. In this
circumstance, at the close of the following growing season the Contractor shall provide the
Department with documentation of implementation of contingency plans or other measures, the
second year's monitoring data and data analysis.
D-Il
Thc Department will certify that this contract is fulfilled and will process final payment vouchers
only upon demonstration by the Contractor of work program compliance and achievement of
85% target vegetation survival.
Products: Written monitoring plan and maps. Documentation of work program compliance
one year subsequent to completion of project work.
STORMWA TER POLL UTION ABA TEMENT TASKS
Task 18: Stormwater Pollution Abatement Plan
The Contractor, or its consultants, will develop a Stormwater Pollution Prevention Plan
(SWPPP) for the Goldsmith Inlet Watershed. Thc SWPPP will expand on the data gathered in
above tasks. The SWPPP will identify the goals and Best Management Practices that will be
implemented to meet the requirements of thc SPDES Phase Il roles. Measurable goals will be
established for each of the BMPs included in thc SWPPP along with an implementation plan and
persons responsible for imple~nenting the BMPs. The SWPP will address each of the six
Minimum Control Measures (MCMs):
The SWPPP will include the following components:
II.
Ill.
IV.
V.
Introduction
Municipal Spearate Storm Sewer System Inventory and Evaluation
Stormwater Pollution Prevention Program
MCM I Public Education and outreach on stormwater impacts
MCM 2 Public Participation and involvement
MCM 3 Illicit Discharge Detection and Elimination
MCM 4 Construction Site Runoff Control
MCM 5 Post construction stormwater management in new development and
redevelopment
MCM 6 Pollution prevention/good housekeeping for municipal operations
Best Mangement Practices Implementation Plan
Annual Report
The SWPPP will be supported with appropriate location and wetland maps, illicit discharge maps
(catch basin inventory), watershed and subwatershed maps, BMPs implementation matrix, and
other appropriate supporting documentation.
The Contractor or its consultant(s) shall submit the draft SWPPP to the Project Advisory
Committee, the NYS DEC and the Department, for review and comment. Upon satisfactory
incorporation of comments, the Contractor shall submit the SWPPP in final form to the NYS
DEC for approval, and a copy to thc Department for acceptance in satisfying related grant tasks.
Products: Draft and Final SWPPP
D-12
Task 19: Sitc Reconnaissance and Schematic Designs for Identified Town Catch Basins
A. Site Reconnaissance
The Contractor or its consultant(s) shaI1 conduct site-specific reconnaissance, in
preparation for design. Work shalI include, at a minimum, identification and mapping of
the tbllowing:
Site survey showing extent of project boundary
Ownership/grant/lease status of all lands to be incorporated into the design
Manmade structures, buildings, or facilities on or adjacent to the site
Above and below ground infrastructure, including stormwater treatment
structures
Adjacent land and water uses
Historic and archeological resources
Soil and, as appropriate, core sampling to determine site stability
Topography and hydrology
Natural resources, including location of mature trees
Analysis of site constraints, needs and opportunities
Products:
Map(s) and written summary describing the above information and any
other appropriate information identified during the project kick-off
meeting.
B. Schematic Designs
The Contractor or its consultant(s) shall prepare alternative schematic designs of the
facility or facilities, considering and including a summary of the following:
Best management practices to be employed to avoid or reduce water quality
impairments from upland runoff or in-water activities, and
Impacts, if any, to State designated Significant Coastal Fish and Wildlife Habitat
areas, Scenic Areas of Statewide Significance, other Coastal Management
Program special management areas, or other sensitive resources, and how those
impacts should be avoided or mitigated.
Unless otherwise specified during the project kick-off meeting, the Contractor or its
consultant(s) shall prepare a minimum of three alternative schematic designs for review
by the project advisory committee and the Department.
In consultation with the Department and the project advisory committee, the Contractor
shall select one of the alternative schematic designs as the basis for final design and
engineering/construction plans and specifications, or shall work with the consultant(s) to
develop a final schematic design incorporating elements of or building upon the
alternative schematic designs.
D-13
Final design and engineering/construction plans and specifications shall be prepared
based on the selected schematic design.
Products: Alternative schematic designs. Schematic design alternative selected.
Task 20: Construction Requirement Analysis
The Contractor or its consultant(s) shall prepare an analysis of all federal, state and local
requirements for the selected schematic design altemative, including necessary permits and
approvals, and a description of how these requirements will be satisfied by the design. This
analysis shall be submitted to appropriate project partners and the Department for review. A pre-
permitting meeting with the Department and the identified federal, state and local entities may be
required to discuss any revisions needed to satisfy regulatory requirements. Work on final
design shall not proceed prior to the Department approval of the construction requirement
analysis and the pre-permitting meeting, if necessary.
Products:
Written construction requirement analysis. Pre-permitting meeting with
identified entities.
Task 21: Environmental Quality Review
The Contractor or its consultant(s) shall prepare all documents necessary to comply with the
State Environmental Quality Review Act (SEQRA) through determination of significance. Ifa
positive declaration is made, a Draft Environmental Impact Statement shall be prepared.
Products: SEQRA documents and, if necessary, a Draft Environmental Impact Statement.
Task 22: Draft Final Design
The Contractor or its consultant(s) shall prepare a draft final design based on the selected
schematic design alternative. The draft final design shall include all required maps, tables, data,
written discussions, and other information identified in the contract and subcontract work plans
and during the project kick-off meeting. The draft final design shall be provided to the
Department and the project advisory committee for review at least two weeks prior to the due
date for comments. Department comments must be addressed to the satisfaction of the
Department in subsequent revisions of the products and the final design.
Products: Draft final design and supporting materials.
Task 23: Final Design and Construction Documents
The Contractor or its consultant(s) shall prepare the final design and construction drawings,
plans, specifications, and cost estimates. The final design and construction documents shall be
provided to the Department and the project advisory committee for review at least two weeks
prior to the due date for comments. Final design and construction documents are subject to
approval by the Department.
Do14
These documents must be certified by a licensed professional cngineer, architect, or landscape
architect and the appropriate seal must be affixed to these documents.
Products:
Final design and construction documents, certified by a licensed professional
engineer, architect or landscape architect.
Task 24: Permits
After the final design and construction documents have been approved by the Department, the
Contractor or its consultant(s) shall prepare the necessary permit or other approval applications
and obtain the required permits or approvals. A pre-application meeting with the Department
and the appropriate federal, state and local regulatory authorities may be required to discuss the
necessary permit or other approval applications. Prior to filing, the Contractor or its
consultant(s) shall submit all applications to the Department for review and comment.
Potential permitting and approval agencies include but arc not limited to:
federal agencies such as the United States Army Corps of Engineers;
the Department, pursuant to thc consistency provisions of the federal Coastal Zone
Management Act;
other New York State agencies such as the Department of Environmental Conservation;
thc Office of General Services pursuant to the Public Lands Law, or similar authorization
from the Power Authority (in certain areas of the St. Lawrence Seaway) or Canal
Authority (in the State Canal System), in order to use or occupy certain State-owned
lands or waters overlying those lands; and the Office of Parks, Recreation, and Historic
Preservation or the State Historic Preservation Officer; and
agencies of a county, city, town, village, or special purpose district, including but not
limited to: town boards, boards of trustees, or city councils; planning commissions,
boards or departments; and/or building or health officials.
Prior to construction the Contractor or its consultant(s) shall also demonstrate that the project is
in compliance with 6 NYCRR Part 502, "Floodplain Management Criteria For State Projects" by
obtaining a floodplain development permit, if local regulations establish such requirements, or by
submitting a signed certification, by an official authorized to enfome local floodplain
management regulations, that the project complies with the requirements of the statute.
Copies of all required permits and approvals shall be submitted to the Department upon receipt.
Products:
All required permits and approvals received. Written certification of compliance
with floodplain management regulations, if applicable.
D-15
Task 25: Bid Process and Sclection of Construction Subcontractor
After the final design and construction documents have been approved by the Department, the
Contractor or its consultant(s) shall prepare and distribute a bid invitation to select a construction
subcontractor or subcontractors. Prior to distributing the bid invitation, the Contractor or its
consultant(s) shall submit the bid invitation to thc Department for review and comment.
The Contractor or its consultant(s) shall select the construction subcontractor(s) from the bid
respondents and shall prepare a draft contract or contract(s) to conduct the work with the
selected construction subcontractor(s). The contract(s) shall contain a detailed work plan with
adequate opportunity for review at appropriate stages of project completion, a payment schedule
(payments should be tied to project milestones), and a project cost. The Contractor must certify
to the Department that applicable public bidding procedures of General Municipal Law were
followed for the selection of all construction or other subcontractors.
The Contractor shall submit the draft subcontract(s) to the Department for review and approval,
and shall incorporate the Department's conunents in the final subcontract(s). A copy of the final,
executed subcontract(s) shall be submitted to the Department.
Products:
Executed construction subcontract(s). Written certification of procurement
procedures.
Task 26: Installation of Project Sign
The Contractor shall install a sign satisfactory to the Department identifying the Department's
funding of thc project. The project sign shall remain in place for the useful life of the
improvements undertaken. To assist communities in fulfilling this requirement, the Department
has developed an attractive low cost informational sign. A Sign Order Form is available upon
request from the Department.
Products:
Department approved sign design, and photo-documentation that sign is installed
in project area.
Task 27: Construction
After receipt of ali necessary permits, the Contractor or its construction subcontractor(s) may
begin construction work according to the final design and construction documents. The
Contractor or its subcontractor(s) shall notify the Department monthly (or more frequently) in
writing of work progress, including any delays which have occurred. The Contractor or its
consultant(s) shall submit periodic payment requests to the Department tied to project milestones
identified in contract and subcontract work plans or during the project kick-off meeting. After
70% of thc work is completed, the progress notification will include a punch list of any
incomplete items and an estimated schedule for project completion.
Products: Written work progress reports. Punch list and construction completion
estimates.
D-16
Task 28: Project Completion
Following satisfaction of punch list items, the Contractor or its consultant(s) shall submit a
statement that the work has been completed in accordance with the contract and subcontract(s),
the final design and construction specifications, and all permit requirements. The completion
statement must be prepared and/or certified by a licensed professional engineer, architect or
landscape architect. Unless otherwise specified during project kick-off meeting, the Contractor
or its consultant(s) shall submit three copies of as-built plans, certified by a licensed professional
engineer, architect or landscape architect. When thc Contractor is satisfied work is complete, it
shall submit a final project report to the Department, including a copy of the completion
statement and a copy of the As-Built Plans and photo-documentation in the form of digital
images of the site, prior to, during and upon completion of work.. The Contractor shall not pay
its consultant(s) or subcontractor(s) in full, and shall not submit a final payment request to the
Department, until the Department concurs that the work is complete.
Products:
Statement of completion, certified as-built plans, and final project report
including photo-documentation.
Task 29: Semi-annual Reporting
The Contractor or its consultant(s) shall submit to the Department semi-annual reports (every six
months) on the form provided, including a description of the work accomplished, any problenrs
encountered, and any assistance needed.
Products: Semi-annual reports during the life of the contract.
Task 30: Final Project Summary Report and Measurable Results forms
The Contractor or its consultant(s) shall work with the Department project manager to complete
the Final Project Summary Report and Measurable Results forms. Final payment shall not be
authorized until these forms have been completed and filed with project deliverables.
Products: Completed Final Project Summary Report and Measurable Results forms.
5. Project Management Responsibilities
The Contractor shall administer the grant, execute a contract with the Department, and ensure the
completion of work in accordance with the approved Work Plan. Unless otherwise specified in the
Project Description or under Project Components, the Contractor and/or its approved consultant(s) or
subcontractor(s) shall conduct all work as described in the component tasks.
The Contractor:
will be responsible for conducting all project work in conformance with the Work Plan included
in the executed contract with the Department.
will be responsible for all project activities including drafting request for proposals and
managing subcontracts with consultants and subconsuliants.
D-17
will certify to the Department that the procurement record for project consultants and
subcontractors complies with thc applicable provisions of General Municipal Law.
will receive approval from the Department for any and all consultant subcontracts before
beginning project work.
wiI1 be responsible for submission of all products and payment requests.
will be responsible for coordinating participation and soliciting comments from local government
personnel, project volunteers, and the public.
will keep the Department informed of all important meetings for the duration of this contract.
will receive approval from the Department before purchase of any equipment.
will secure all necessary permits and perform all required environmental reviews.
will ensure that all materials printed, constructed, and/or produced reflect thc Department logo,
feature the Secretary of State and the Governor, and acknowledge the contributions of the
Department to the project.
will ensure that all products prepared as a part of this agreement shall include the NYS
Comptroller's Contract # as indicated on the Face Page of this Agreement.
will ensure the project objectives are being achieved.
will ensure that comments received from the Department and the project advisory committee, or
other advisory group, are satisfactorily responded to and reflected in subsequent work.
will recognize that payments made to consultants or subcontractors covering work carried out or
products produced prior to receiving approval from the Department will not be reimbursed unless
and until the Department finds the work or products to be acceptable.
will participate, if requested by the Department, in a training session or sessions focused on
developing and implementing revitalization strategies. The purpose of the training session(s) is
to build knowledge and provide support to community leaders to advance revitalization efforts
and complete priority projects.
The Department:
will review and approvo or disapprove of subcontracts between the Contractor and consultant(s)
and any other subcontractor(s).
will participate in thc project kick-off meeting and attend meetings that are important to the
project.
will review all draft and final products and provide comments as necessary to meet the
objectives.
must approve any and all design, site plan, and preconstruction documents before construction
may begin.
APPENDIX F
NOTICES
1. All notices permitted or required hereunder shall be in writing and shall he 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.
Such notices shall be addressed as follows or to such different addresses as the parties may from time-to-time designate:
State of New York Department of State
Title:
Address:
Telephone Number:
Facsimile Number:
E-Mail Address:
Laurissa Parent
Secretary 1
99Washington Avenue, Suite 1010
Albany, NY 12231
518-486-9540
518-473-2464
laurissa.parent~dos.state.ny.us
Town of Southold
Title:
Address:
Telephone Number:
Facsimile Number:
E-Mail Address:
Scott A. Russell
Supervisor
54375 State Route 25
Southold, NY 11971
631-765-1889
631-765-1823
scott.russell~town.southold.ny.us
Any such notice shall be deemed to have been given either at the time of personal delivery or, in the case of expedited delivery
service or certified or registered United States mail, as of the date of first attempted delivery at the address and in the manner
provided herein, or in the case of facsimile transmission or email, upon receipt.
The parties may, from time to time, specify any new or different address in the United States as their address for purpose of
receiving notice under this Agreement by giving fifteen (I 5) days written notice to the other party sent in accordance herewith.
]'he 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.
APPENDIX X
MODIFICATION AGREEMENT FORM
Agency Code: 19000/DOS01
Contract Period: . to__
Contract Number: C007079
Funding for Period: $0.00
This is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Department of State,
having its principal office in Albany, New York (hereinafter referred to as the STATE), and Town of Southold (hereinafter referred to
as the CONTRACTOR), for modification of the contract number noted above, as amended herein and noted below.
Type of contract modification:
u Renewal: Revised total contract value: $ .... (renewals only)
r~ No cost time extension
[] Amendment:
o Attached Appendices:
All other provisions of said AGREEMENT shall remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as of the dates appearing under their signatures.
CONTRACTOR SIGNATURE
NYS DEPARTMENT OF STATE
By:
By:
(print name)
(print name)
Title:
Title:
Date:
State of New York)
County of .... )ss:
On this __ day of ......... in the year 20 ..... before me personally appeared
.......... to me known and known to me to be the person who is the ....... of
........... the organization described in and which executed the above instrument; and that he/she
has the authority to sign on behalf of said organization; and that he/she executed the foregoing agreement for and on behalf of said
organization.
NOTARYPUBLIC
ATTORNEY GENERAL'S SIGNATURE:
By:
Date:
STATE COMPTROLLER'S SIGNATURE:
Date:
Guidelines for completing the Proiect Status Form
Contract Information section:
Recipient:
Contract #:
Project Title:
Status Report Date:
The entity that entered into the Agreement with DOS.
NYS Compri-oiler number listed on the Face Page of the Agreement.
The official title of the project (can be found on most correspondence from DOS).
The date that the report is being completed. Please do not submit backdated reports.
In the Task List section:
Task#:
Every task and every subtask listed in Appendix D of the Agreement must be listed on each report submitted.
Brief Task Description:
Enter a couple of key words to describe the task (for example, "RFP", "Final Designs", "Permits").
Percent of Completion:
The percentage of completion of this task as of the Status Report Date.
A/T:
If the task is 100% complete, enter "A" (to indicate that the date in the Date of Completion column is the Actual date
of completion of the task). If the task is less than 100% complete, enter "T" (to indicate that the date in the Date of
Completion column is the Target date for completion of the task).
Date of Completion:
If the task is 100% complete, indicate the date that the task was completed tiffs date must be a past date. If the task is
less than 100% complete, indicate the date that the task is expected to be completed this date must be a future date.
NOTE: If the target completion dates for any project tasks go beyond the current end date of the Agreement, an
extension should be requested in the Adj nstments section of this form.
Task Accomplishments:
Should be brief, but describe specific accomplishments made for each task as of the Status Report Date. Status
reports submitted with generic accomplishment entries will take longer to review by DOS and may not be accepted
(*see below for tips on improving Task Accomplishments entries). Ifa task is 0% complete, no accomplishments
would have yet been made, so the accomplishment column should be left blank for this task.
Product Submitted:
Indicate the task-related products which to date, have been submitted to DOS for review and approval.
*Here are some tips on how to improve Task Accomplishments entries:
Generic accomplishment entry:
Advisory committee established.
RFP issued.
Consultant Selected.
Final designs.
Specific accomplishment entry:
8 person advisory committee was established and has met (6) times to date.
RFP was released through local papers and NYS Contract Reporter.
5 responses were received and ABC Construction Company, Inc. was selected
Final Design & Construction Drawings (incorporating DOS comments of 11/5/05)
were approved by DOS.
Status Guidelines 060310.doc
Training Task:
If training is a task in the Agreement, attendance is required if the training sessions are offered by DOS/SUNY during
the life of the Agreement. At the time of the status report, if all training sessions that are listed in the Agreement have
been attended, the task should be shown as 100% complete with the completion date being the date that the last session
was attended. If all training sessions listed in the Agreement have not been completed, the percentage should reflect
the sessions attended amd the target completion date should match the date that the project is expected to be complete.
Example: Yom- status report indicates that the final project task has a target completion date of December 31, 2012 and
so far, 3 of 5 training sessions have been attended. The percentage for the training task would be 60% and the target
completion date for the training task would be December 31, 2012.
Status Report Task:
Status reports are required to be submitted on December 31 and June 30 for the life of the Agreement, with the final
status report being due within 60 days following completion of the project. The status report task should not be shown
as 100% complete until the entire project is completed and the final status report is submitted. The target completion
date for the status report task should be within 60 days after the project is expected to be complete.
Example: Yom- status report indicates that the final project task has a target completion date of December 31, 2012.
Fora- status reports have been submitted to date and one more is due during the corn-se of the project, in addition to the
final status report. The percentage for the status report task would be 66% and the target completion date would be
March 1, 2013.
Final Project Summary Report and Measurable Results Forms Task (FPSR/MR):
Final Project Summary Report and Measm-able Results Forms are required to be submitted within 60 days following
completion of the project. This task should be shown as 0% complete until the entire project is completed and the Final
Project Summary Report and Measurable Results forms are submitted.
Example: Yom- status report indicates that the final project task has a target completion date of December 31, 2012.
The percentage for the FPSR/MR task would be 0% and the target completion date would be March 1, 2013.
Adjustments section:
Indicate proposed adjustments to the budget, work program, or project schedule, and the reason why the adjustment is
necessary. If any problems have been encountered during this reporting period, they should also be indicated here.
The information listed in this section should refer to this reportin~ period only.
If an extension is requested on this form, the reasons provided should be detailed and specific. For example, requesting
an extension to "complete the project" or "allow time to finish tasks" is not acceptable. The reasons provided in this
section should be specific and explain why tasks were delayed and/or problems were experienced.
The extension requested must also be consistent with the target completion dates in the task list. For example, if the
task list indicates that the final project task has a target completion date of December 31, 2012, you cannot request an
extension to June 30, 2013.
Contact Information section:
Provide the Name, Title, Affiliation, Email Ad&ess, Phone Number, and Fax Number of the person that DOS should
contact directly, if we have questions on the information provided on this form.
Submitting the status report:
Please email the completed status report to erin.o'brien(agdos.ny.~ov. Please do not forward the original by mail - we
only need to receive one copy of the report.
If you have any questions, please contact Erin, Laurissa or yom- DOS project manager at (518) 474-6000.
Status Guidelines 060310.doc
NEW YORK STATE DEPARTMENT OF STATE - DIVISION OF COASTAL RESOURCES
PAYMENT GUIDELINES AND REQUEST FORMS
This guide and accompanying forms are to be used to prepare and submit payment requests for reimbursement of costs
incurred under Agreements with the Department of State, Division of Coastal Resources (Department). If payment
requests are not prepared and submitted in accordance with this guide and accompanying forms, or if they contain errors
or are illegible, it may cause processing delays, payment deduction or a denial of the request. In the event that a payment
request is denied or partially paid, the Department will provide written notice of the reasons for partial payment or denial
to the Recipient.
A payment request consists of Summary Sheet Documentation Forms and a Standard Voucher. All invoices, receipts,
timesheets and other financial backup information are required to be kept in the Recipient's project file. This information
should not be submitted with the payment request forms, however, the Department may request to receive copies during
the review of the payment request.
Payment requests will be reviewed in accordance with the terms and conditions of the Agreement to determine total
eligible project costs incurred and the number and percentage of project tasks completed to date. If the percentage of task
completion is deemed insufficient, or if products have not yet been approved by the Department, the amount to be
reimbursed may be reduced. The Department shall make interim payments for eligible costs incurred up to an amount not
to exceed 90% of the State Share Funding Amount.
The final payment request must be submitted within 60 days of the expiration date of the Agreement or the completion of
the scope of work in the Agreement, whichever occurs first. The final payment request will not be processed until all
work products have been received and approved by the Department.
When preparing payment requests, please note the following:
When you open this file, if the comments are not showing on the right hand side of the page, click the Review
menu, then in the dropdown menu in tracking box select "Final Showing Markup".
You can click on the comments to highlight the section that the comment is referring to.
Costs documented must be consistent with the approved budget in Appendix B of the Agreement, and must be
shown in the same budget categories.
Costs documented must be based on actual costs incurred - no estimated or rounded costs are allowed.
The dates and amounts shown on the Standard Voucher, the Summary Sheet, and Attachments A-G must be
consistent.
When completing Attachments A-G, only submit those that are necessary to document costs. Please do not
submit blank attachments.
Care should be taken to ensure all forms are accurate, legible and complete.
The use of Other, Etcetera or Miscellaneous is not allowable in documenting expenditures.
Forms with white out or strikeouts will not be accepted.
Requests for payment will not be accepted more frequently than monthly.
When printing these forms, please print them single-sided and without the side comments. To remove the side comments,
click print, then in the "Print What" dropdown, change "Document with Markup" to "Document".
Your original payment request (no copies needed) should be mailed to:
New York State Department of State
ATTN: Laurissa Parent
One Commerce Plaza
99 Washington Avenue - Suite 1010
Albany, New York 12231-0001
If you have questions, would like to receive electronic copies of these forms or would like to submit a draft payment
request for review, please contact Laurissa Parent at (518) 486-9540 or laurissa.parent~dos.state.n¥.us.
Summary Sheet Documentation Forms: Form 1 - Payment Summary Sheet
Recipient [NDoS 1 ]
Contract
Number [NDoS2 ]
Project Title [NDoS3]
Type of [] Interim [] Final If Final,
Request [NDoS4 ] attach: [NDoS5]
Payment Request
~[NDoS6]
Costs documented on this payment request were incurred during the time period
[NDoS7 ] of
[] Final Status Report Form
[] FinalProject Summary Report Form
[] Measurable Results Form
and
Approved Expenditures Cumulative Available
Budget Amount Documented Documented Balance to
[NDoS8 ] this Report Expenditures Document
(1) N~oSg] (2) N~oS~0] (3) N~oSn] (4)
tOTAL
Salaries & Wages
travel
Supplies & Materials ',$ ',$
Equipment
2ontractual Services
Other ',$ ',$
2apital Costs/Improvements ',$ ',$
Summary Sheet Documentation Forms: Form 2 - Payment Certification
RBCPIBNT
CONTRACT #
By signing this form, I certify that:
1. I am the responsible representative authorized to certify this payment request;
2. The payment request as detailed on the attached forms is just, true and correct, the amount claimed accurately represents the
expenses as recorded in our accounting records and the documented expenditures were made solely for the purpose of the project
funded under the Agreement;
3. The attached project narrative accurately represents the activities undertaken during the period covered by the claim;
4. We are in compliance with all applicable provisions of the above-referenced Agreement; and,
5. Persons not parties to the above-referenced Agreement who performed work under the Agreement have been compensated or will
be compensated.
Signature:
Title & Organization:
Date: Printed Name:
Person to contact if we have questions about the payment request forms and/or need revised payment request forms:
Title & Organization:
Phone Number:
Email Address:
Person to contact if we have questions or need additional information about the project activities and/or deliverables:
Title & Organization:
Phone Number: Email Address:
Summary Sheet Documentation Forms: Form 3 - Payment Narrative [~es~]
RECIPIENT CONTRACT #
Summary Sheet Documentation Forms: Attachment A [NDoSl4 ] - Salaries & Wages (including Fringe Benefits) [NDoSl5]
RECIPIBNT CONTRACT #
Title [NDoSl 6] Start Date End Date [NDoSl7 ] Amount [NDoSl8 ]
$
$
$
$
$
$
$
$
$
$
Total Salaries
[NDoSl9]
Summary Sheet Documentation Forms: Attachment B[NDoS20] - Travel [NDoS21]
RECIPIBNT CONTRACT #
Type of Travel Purpose [NDoS 2 3 ] Start Date End Amount [NDoS 2 5 ]
Cost [NDoS 2 2 ] Date [NDoS 2 4 ]
$
$
$
$
$
$
$
$
$
$
Total Travel [NDoS 2 6 ]
Summary Sheet Documentation Forms: Attachment C [NDoS27] - Supplies & Materials[NDoS2S]
RECIPIBNT CONTRACT #
Type of Supplies [NDoS 2 9] Purpose [NDoS 3 0] Start Date End Amount [NDoS 3 2 ]
Date [NDoS3~]
$
$
$
$
$
$
$
$
$
$
Total Supplies [NDoS33]
Summary Sheet Documentation Forms: Attachment D [NDoS34] - Equipment[NDoS35]
RECIPIBNT CONTRACT #
Type of Purpose [NDoS 37 ] Start Date End Amount [NDoS 39]
Equipment [NDoS36] Date [NDoS38 ]
$
$
$
$
$
$
$
$
$
$
Total Equipment [NDoS 4 0 ]
Summary Sheet Documentation Forms: Attachment E [NDoS 41 ] - Contractual Services [NDoS 4 2 ]
RECIPIBNT CONTRACT #
Name of Description of Service Start Date End Amount [NDoS 4 6]
Subcontractor [NDoS 4 3 ] Provided [NDoS 4 4 ] Date [NDoS 4 5 ]
$
$
$
$
$
$
$
$
$
$
Total Contractual [NDoS 4 7 ]
Summary Sheet Documentation Forms: Attachment F[NDoS48] - Other [NDoS49]
RECIPIBNT CONTRACT #
Type of Cost [NDoS50] Purpose/Service Provided [NDoS 51] Start Date End Amount [NDoS53]
Date [NDoS52 ]
$
$
$
$
$
$
$
$
$
$
Total Other[NDoS54]
Summary Sheet Documentation Forms: Attachment G[NDoS55] - Capital Costs/Improvements [NDoS56]
RECIPIBNT CONTRACT #
Description of Capital Costs/improvements Start Date End Amount [NDoS58 ]
Date [NDoS57 ]
$
$
$
$
$
$
$
$
$
$
Total Capital
Costs/improvements [NDoS 5 9 ]
State of AC92
Ne v¥ork STANDARD VOUCHER,N og 0, (Rev6/94)
Originating Agency NYS ~ ,, ,-t t of State I Originating 3800000 Voucher Number
(Limit to 30 spaces) _e,.a..men_i Agency Code
Payment Date OSC Use Only Interest Eligible (Y/N) P-Contract
(MM/DD/YY)
Payee Additional Zip Code Route Liability Date (MM/DD/YY)
[NDoS61]
Payee Name [NDoS 62 ] Payee Amount MI~ Date (MM/DD/YY)
(Limit to 30 spaces)
Payee Name IRS Code IRS Amomit
(Limit to 30 spaces)
Adchess [NDoS 63 ] Stat. Type I Statistic Indicator-Dept. I Indicato~-Statewide
(Limit to 30 spaces)
Adch ess Re£/Inv. No. [NDoS 64 ]
(Limit to 30 spaces) (Limit to 20 spaces)
City State Zip Re£/Inv.
Date [NDoS65]
(MM/DD/YY)
Pmchase Description of Mamial/Service
Orde~ No. ll'items are too numerous to be incoiporated into the block below, Quantill Unit Price Amom~t
Date use Form AC 93 m~d cairy total forward.
Expenditures documented
during the period of N~og~]
I Itol I
For contract ~[NDoS6?]
I I
FOR AGENCY USE ONLY STATE COMI>TROLLER S PRE AUDIT
Me~ chandise Recd I certify that this voucher is conect m~d just, and payme~t is approved, and tbe goods or
servic es r e~de~ ed or furnished are for use in the performance of tbe official functions m~d Certified for
duties oftbis agency. Payment of
Date Verified
Total Amount
Page No. Authorized Signatm e in Ink Audited
By
By Date Title Special Approval
(as Required)
Cost C~t~ Code
Cost C~t~
EXPENDITURE LIQUIDATION
Amom~t Originating Agency PO/Contract Line
D~nei~t and Payee [] Check if Continuation form is attached.
FACE PAGE
STATE AGENCY (Name and Address):
NYS Department of State
One Conunerce Plaza
99 Washington A'~ enue - State t 010
Albany, NY 12231-0001
CONTRACTOR (Name and Address):
Town of Southold
54375 State Route 25~[~{5 ~ ll'[~
Southold, NY 11971 ~ 0qtSq
STATE SHARE FUNDING AMOUNT:
$111,441 00
LOCAL SHARE FUNDENG AMOUNT:
$111,441 00
INITIAL CONTRACT PERIOD
NYS CONTRACT NUMBER: C007079
ORIGINATING AGENCY CODE: 19000/DOS01
TYPE OF PROGRAM: Environmental Protectmn Fund
Title 11 - Local Waterfront Rewtahzatmn Program
VENDOR ID NUMBER:
1000000876
FEDERAL TAX ID NUMBER:
11-6001939
MUNICIPALITY NUMBER:
CONTRACTOR STATUS:
Sectarian Entity Yes __ No X
Not-for-Profit Orgamzatmn Yes No X
CHARITIES REGISTRATION NUMBER:
/ (E-I) - 3A
Estates, Powem and Trusts Laws Reporting (E-2) - 02
FROM: April 1, 2010
TO: March 31, 2013
If you d~d not clmm an exemption to both of the ~tems
ahoy, e, you must circle appropriate response ~n the
followmg statement'
Contractor [has/has not] timely filed w~th the Attorue~
General's Chanties Bureau all reqmred penothc or ammal
written reports
APPENDICES ATTACHED TO AND PART OF THIS AGREEMENT
APPENDIX A' Standard Clauses for NYS Contracts
APPENDIX Al Agency-Specific Clauses
APPENDIX B. Budget
APPENDIX C Payment and Reporting Schedule
APPENDIX D Program Work Plan
APPENDIX F Nouces
APPENDIX X: Modfficataon Agreement Form
IN WITNESS THEREOF, the parties hereto have executed or approved this AGREEMENT on the dates below their
Contract No. C007079
CONTRACTOR
Town of Southold
Title:
Date.
STATE AGENCY
New York State Department of State
T~tle: ~
ACKNOWLEDGMENT
Statc of New York __ ,,
County of 3 L~ [~---~- ~SS:
On this _ ~t~'~_~ day of ~ ~ , in ~e year 20_ ( ~ , before me personally appeared
~k, ~ - ~(( , to mg known and known to mc to be thc person who ,s ~e
~e/0 {~0~_ of~ 0~ ~ 30" ~ ~ ,thc orga. lzatlon described m ~d which
executed the above ~nst~men~ and that h~/she has ~e authori~ to sign on behalf of smd org~xzation; and ~at he/she
executed ~e foregoing agreement for and on behalf of said orgamza~on.
' I NOTARY p~BL~C~ELL~ ~n
NOT~ PUBtIC-~TATE OF NEW
No, 01TO61B6671
~llfl~ In Sufl~k Cou~
STATB COMPTROLLER'S SIGNATUre:
NY$ ATTORNEY GENERAL
JUL 26 0tZ
By:
Date:
STATE OF NEW YORK
AGREEMENT
This AGREEMENT is hereby made by and between the State of New York agency (STATE) and the public or private agency
(CONTRACTOR) identified on the Face Page hereof.
WITNESSETH.
WHEREAS, the STATE has the authority to regulate and provide funding for the establishment and operation of program services
and desires to contract with skilled parties possessing the necessary resources to provide such services, and
WHEREAS, the CONTRACTOR is ready, willing and able to provide such program services and possesses or can make available
all necessary quahficd personnel, licenses, facilities and expertise to perform or have performed the services reqmrcd pursuant to the
terms of this AGREEMENT;
NOW, THEREFORE, in consideration of the promises, responsibilities and covenants herein, the STATE and the
CONTRACTOR agree as follows:
I Conditions o f Agreement
A. This AGREEMENT may consist of successive periods (PERIOD), as specified within the AGREEMENT or within a
subsequent Modification Agreement(s) (Appendix X). Each additional or superseding PERIOD shall be on the forms specified by
the particular State agency, and shall be incorporated into this AGREEMENT.
B Funding for the Erst PERIOD shall not exceed the funding amount specified on the Face Page hereof. Funding for each
subsequent PERIOD, if any, shall not exceed the amount specified m the appropriate appendix for that PERIOD.
C This AGREEMENT inco~orates the Face Page attached and all of the marked appendices ~dentrfied on the Face Page hereof.
D. For each succeeding PERIOD of this AGREEMENT, the parties shall prepare new appendices, to the extent that any require
modification, and a Modification Agreement (the attached Appendix X is the blank form to be used) Any terms of this
AGREEMENT not modified shall remain in effect for each PERIOD of the AGREEMENT
To modify the AGREEMENT within an existing PERIOD, the parties shall revise or complete the appropriate appendix form(s).
Any change in the amount of conslderatron to be paid, or change m the term, is subject to the approval of the Office of the State
Comptroller. Any other modifications shall be processed m accordance with agency guidehnes as stated m Appendix Al.
E. The CONTRACTOR shall perform all services to the satisfaction of the STATE The CONTRACTOR shall provide services
and meet thc program objectives summarized in the Program Work Plan (Appendix D) in accordance with: provisions of this
AGREEMENT, relevant laws, rules and regulations, admmlstrattve and fiscal guidelines, and where applicable, operatrng
certificates for facilities or licenses for an activity or program
F. If the CONTRACTOR enters into subcontracts for the performance of work pursuant to this AGREEMENT, the
CONTRACTOR shall take full responsibility for the acts and omissions of its subcontractors. Nothing in the subcontract shall
impair the rlghts of the STATE under this AGREEMENT N o contractoal relationship shall be deemed to exist between the
subcontractor and the STATE
G. Appendix A (Standard Clauses as required by the Attorney General for all State contracts) takes precedence over all other
parts of th~s AGREEMENT.
1I Payment and Reporting
A The CONTRACTOR, to be eligible for payment, shall submit to the STATE's designated payment office (identified in
Appendix C) any appropriate documentation as required by the Payment and Reporting Schedule (Appendix C) and by agency
fiscal guidelines, in a manner acceptable to the STATE.
B The STATE shall make payments and any reconciliations in accordance with the Payment and Reporting Schedule (Appendix
C). The STATE shall pay the CONTRACTOR, tn consideration of contract services for a given PERIOD, a sum not to exceed thc
amount noted on the Face Page hereof or in the respective Appendix designating the payment amount for that given PERIOD.
This sum shall not duplicate reimbursement from other sources for CONTRACTOR costs and services provided pursuant to this
AGREEMENT
C The CONTRACTOR shall meet thc audit requirements specified by the STATE.
111 Tenmnatmns
A This AGREEMENT may be terminated at any time upon mutual written consent of the STATE and the CONTRACTOR
B. The STATE may terminate this AGREEMENT immediately, upon written notice of termination to the CONTRACTOR, if the
CONTRACTOR fails to comply with the terms and conditions of this AGREEMENT and/or with any laws, rules, regulations,
policies or procedures affecting this AGREEMENT.
C. The STATE may also terminate this AGREEMENT for any reason in accordance with provisions set forth in Appendix Al.
D Written notice of termination, where required, shall be sent by personal messenger service or by certified mall, return receipt
requested. The termination shall be effective in accordance with terms of the notme
E Upon receipt of notice of termination, the CONTRACTOR agrees to cancel, prior to thc effective date of any prospective
termination, as many outstanding obligations as possible, and agrees not to incur any new obligations after receipt of the notice
without approval by the STATE.
F The STATE shah be responsible for payment on claims pursuant to services provided and costs incurred pursuant to terms of
this AGREEMENT. In no event shall the STATE be liable for expenses and obligations arising from the program(s) In this
AGREEMENT after the terminataon date
IV Indemnification
A The CONTRACTOR shall be solely responsible and answerable in damages for any and all accidents and/or injuries to
persons (including death) or property arising out of or related to the services to be rendered by the CONTRACTOR or Its
subcontractors pursuant to this AGREEMENT. The CONTRACTOR shall indemnify and hold harmless the STATE and its
officers and employees from claims, suits, actions, damages and costs of every nature arising out of the provision of services
pursuant to this AGREEMENT
B The CONTRACTOR is au independent contractor and may neither hold itself out nor claim to be an officer, employee or
subdivision of the STATE nor make any claim, demand or application to or for any right based upon any different status
V Property
Any equipment, furniture, supplies or other property purchased pursuant to this AGREEMENT is deemed to be thc property of thc
STATE except as may otherwise be governed by Federal or State laws, rules or regulations, or as stated m Appendix Al.
VI. Safeguards for Serwces and Confidentiality
A Services performed pursuant to this AGREEMENT are secular in nature and shall be performed in a manner that does not
d~scrimmatu on the basis of religious belief, or promote or discourage adherence to religion m general or particular religious
beliefs.
B. Funds provided pursuant to this AGREEMENT shall not be used for any partisan political activity, or for actlmttes that may
influence legislation or the election or defeat of any candidate for public office.
C. Information relating to Individuals who may receive services pursuant to this AGREEMENT shall be maintained and used only
for thc purposes intended under this Agreement and in conformity with applicable provisions of laws and regulations, or specified
in Appendix Al
APPENDIX A
STANDARD CLAUSES FOR NYS CONTRACTS
Thc part~cs to thc attached contract, license, lease, amendment or other agreement of any kind (hcrcmat~er, "the contract" or "this contract")
agree to be bound by the following clauses which arc hereby made a par/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 by the
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 consohdatlon 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 Paracipation
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 CiD' University of New York, Section 355 or Section 6218 of the Education Law), if this contract exceeds $50,000 (or the
minimum thresholds agreed to by the Office of thc State Comptroller for certain S U.N.Y and C U.N Y contracts), or if this is an
amendment for any amount to a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the State agrees to
give something other than money when the value or reasonably estimated value of such consideration exceeds $10,000, it shall not be valid,
effective or binding upon the State until it has been approved by the State Comptroller and filed in his office Comptroller's approval of
contracts let by the Office of General Services is required when such contracts exceed $85,000 (State Finance Law Section 163.6 a)
4. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract shall be void
and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such
employees as arc required to be covered by the provisions of the Workers' Compensation Law.
5. NON-D 1SCRIM INAT1ON 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-discnmmatwn provisions, the Contractor will not discriminate
against any employee or applicant for employment because of race, creed, color, sex, national origin, sexual orlentatwn, age, disability,
genetic predisposition or carrier status, or marital status Furthermore, in accordance with Section 220~e of the Labor Law, if this is a
contract for thc 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 ctuzcn who is qualified and available to perform the work; or (h) 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, natronal
origin, age, sex or disability (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the
work, or (b) discriminate against or intimidate any employee hired for the performance of work under this contract Contractor is subject
to fines of $50 00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and
forfeiture of all moneys due hereunder for a second or subsequent violation.
6. WAGE AND HOURS PROVISIONS. If this is a pubhc 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 o fits subcontractors may be required or permlrted
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 schedule s issued by the State Labor Department. Furthermore, C oturactor and its subcontractors must pay
at least the prevailing wage rate and pay or provide the prevadlng 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 pubhc 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
Subd~vlslon 3-a of Section 220 of the Labor Law shall be a contht~on precedent to payment by the State of any State approved sums due
and owing for work done upon the project
A-2
7.NON-COLLUSIVE BIDDING CERTIFICATION. In accordance with Section 139-d of the State Finance Law, if this contract was
awarded based upon the submission ofb~ds, 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 t~me Contractor submlttnd its bid, an authorized
and rcsponsthlc person executed and delivered to the State a non-collusive bidding certification on Contractor's behalf
S. INTERNATIONAL BOYCOTT PROHIBITION. In accordance with Section 220-fofthe 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 Contractnr nor
any substantially owned or affiliated person, firm, partnership or corporation has participated, is participating, or shall participate in an
International boycott In violation of the federal Export Admimstration 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 Untrod States
subsequent to the contract's execution, such contract, amendment or mothficatlon thereto shall be rendered forfeit and void. The Contractor
shall so notify the State Comptroller within five (5) business days of such conviction, determination or disposition of appeal (2NYCRR
105.43
9. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory r~ghts of set-off These rights shall include, but
not be limited to, the State's option to withhold for the purposes of set-off any moneys due to the Contractor under this contract up to any
amounts due and owing to the State wtth 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 limttat~on, tax dchnquencles, fcc dehnquenclcs or monetary penalties relative thcretn. Thc State shall exercise its set-off
rights in accordance with normal State practices including, in cases ofsct-offpursuant to an audit, the finalization of such audit by the State
agency, its representatives, or the State Comptroller.
10. RECORD S. The Contractnr shall estabhsh 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 thc calendar year in which they were made and for SlX (6) addttlonal years thereafter. The State Comptroller, thc Attorney General and
any other person or entity authorized to conduct an examination, as well as the agency or agencies involved m this contract, shall have
access to the Records dunng 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 thc purposes of ~nspectlon,
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") prowdcd that' (i) the Contractor shall timely inform an appropriate
State official, m writing, that said records should not bc disclosed, and (i0 said records shall be sufficiently identified; and (Ill) designation
of said records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the State's
right to discovery in any pending or future litigation.
11, IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION.
(a) Identification Number(s) Every invoice or New York State Claim for Payment submitted to a New York State agency by a payee, for
p aym ent for thc sale of goods or services or fox t~a~sactious (e g, leases, easements, hcenses, otc,) related to real or p~rsonal property must
include the payee's identification number. The number is any or all of the following. (Q the payee's Federal employer identification number,
(~0 the payee's Federal socml security number, and/or (ill) the payee's Vendor Identification Number assigned by the Storewide Financial
System. F a~lure to Includc such number or numb ers may delay payment. Where the payee do es no t have such numb er or numb ers, thc payee,
on its Invoice or Claim for Payment, must give the reason 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 property, and the authority to maintain such mformat~on, is found in Section 5 of the State Tax Law. Disclosure of th~s
mfurmat~on by thc seller or lessor to the State is mandatory The principal purpose for which the information is collected is to enable the
State to identify mthwduals, businesses and others who have been delinquent in filing tax returns or may have understated thctr tax
liablhtres 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 authorized 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 mformatton is maintained in the Storewide Financial System by the Vendor Management Unit wtthm the
Bureau of State Expendttures, Office of the State Comptroller, 110 State Street, Albany, New York 12236.
12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN. In accordance with Sectton 312 of the
Executlve Law and 5 NYCRR 143,xfthlscontract is (Qawrtttcnagreement or purchaseorder mstrament, providlng for atotal expenditure
in excess of $25,000.00, whereby a contracting agency is committed to expend or does expend funds in return for labor, services, supplies,
A-3
equipment, materials or any comblnatmn of the foregoing, to be performed for, or rendered or furnished to the contracting agency, or (11)
a written agreement m excess of glO0,000 00 whereby a contracting agency ~s committed to expend or does expend funds for the
acquls~tton, construction, demohtmn, replacement, major repair or renovatmn of real property and improvements thereon; or 0il) a written
agreement in excess ors 100,000.00 whereby the owner of a State assisted housing project is committed to expend or does expend funds
for the acquisitmn, 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 wlll not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex,
age, d~sabihty or marital status, shall make and document its consclentxous and active efforts to employ and utthze minority group members
and women in its work force on State contracts and wall undertake or continue ex~sting programs of affirmative action to ensure that
minority group members and women are afforded equal employment opportumt~es without d~scrlmmation Affirmative action shall mean
recruitment, employment, job assignment, promotion, upgradmgs, demotion, transfer, layoff, or termmatmn 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 umon, 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 d~scrlmlnate on the basis of race, creed, color, national origin, sex, age, disability
(c) the Contractor shall state, in all sohcitattons or advertisements for employees, that, in the performance of the State contract, all qualified
applicants wdl be afforded equal employment opportumt~es w~thout discnmmatron because of race, creed, color, national or,gm, sex, age,
disabdlty or marital status.
Contractor will include the provisions of"a", "b", and "c" above, In every subcontract over $25,000 00 for the construction, demohtann,
replacement, mai or 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 (1l)
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
opportunity which effectuates the purpose of this section The contracting agency shall determine whether the imposition of the
requirement~ of the prov~sions hereof duphcatc or conflict with any such federal law and if such duphcation or conflict exlsts, the
contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict Contractor will comply with
all duly promulgated and lawful rules and regulattons of thc 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 oftMs Appendix A shall control
14. GOVERNING LAW. This contract shall be governed by the laws of the State ofN ew York except where the Federal supremacy clause
requires otherwise
15. LATE PAYMENT, T~mehness of payment and any interest to b e paid to Contractor for late payment shall be governed by Article 1 I-A
of the State Finance Law to the extent required by law.
16. N O ARBITRATION. Disputes involving this contract, including the breach or alleged breach thereof, may not be submitted to binding
arbitration (except where statutordy authorized), but must, instead, be heard ~n a court of competent jurisdiction of the State ofN ew 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 servme of process upon it by registered or oertlfied mall, 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 not~fy the State, In Wrltlng, 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 suffictnnt. Contractor will have thirty (30) calendar days
after service hereunder is complete in which to respond
15. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and warrants that all wood products
to be used under this contract award wlll be in accordance with, but not hmited to, thc spemfications and provisions of Section 165 of thc
A-4
State Finance Law, (Use of Tropmal Hardwoods) which prohibits purchase and use of tropical hardwoods, unless specifically exempted,
by the State or any governmental agency or pohtmal subdlwslon or public benefit corporation Qualification for an exemption under this
law will be the responslbdity of the contractor to establish to meet w~th the approval of the State
In addition, when any portion of this contract involving thc use of woods, whether supply or installation, is to be performed by any
subcontractor, the prime Contractor wdl 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 Fthancc Law Any such use must meet with the approval of the State; otherwise, the bid may not be considered responsive
Under bidder certffications, proof of qualification for exemption will be the responsthdxty of thc Contractor to meet with the approval of
the State
19. MACBRIDE I~AIR EMPLOYMENT PRINCIPLES. In accordance w~th the MacB~de Fair Employment Pnncrples (Chapter
of the Laws o f 1992), the Contractor hereby stipulates that the Contractor either (a) has no business operations in Northern Ireland, or (b)
shall take lawful stops in good faith to conduct any busraess operations in Northern Ireland in accordance with the MacBrlde Fair
Employment Prinmples (as described ~n Section 165 of the New York State Finance Law), and shall permit independent monitoring of
comphance with such principles
20. OMNIBUS PROCUREMENT ACT OF 1992. It is the pohcy of New York State to maximize opportunities for the participat~on of
New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors and suppliers
Information on the availability of New York State subcontractors and suppliers is available from'
NYS Department of Economm Development
Division for Small Buslness
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 Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that
whenever the total bid amount is greater than $1 mdlion'
(a) The Contractor has made reasonable efforts to encourage the partimpatlon 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 documenta'aon
of these efforts to be provided upon request to the State,
(b) The Contractor has compiled with the Federal Equal Opportunity Act of 1972 (P L 92.261), as amended;
(c) The Contractor agrees to make reasonable efforts to provide notfficatmn to New York State residents of employment opportumtres on
this project through listing any such pos~tions with the Job Service Dlwslon of the New York State Department of Labor, or providing such
notification in such manner as is consistent w~th existing collective bargaining contracts or agreements. The Contractor agrees to document
these efforts and to provide said documentaUon 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 tn 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 pohtlcal subdivision that penalizes New York S rate vendors, and if the goods or services they offer
A-5
will be substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter
684 and Chapter 383, respectively) require that they be denied contracts which they would otherwise obtain. NOTE' As of May 15, 2002,
thc list of discrimmatoryJurisdictlons subject to this provision includes the states of South Carohna, Alaska. West Virginia, Wyoming,
Louisiana and Hawaii. Contact NYS Department of Economic Development for a current hst of jurisdictions subject to this provision.
22. COMPLIANCE WITH NEW YORK STATE INFORMATION SECURITY BREACH AND NOTIFICATION 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 Sectmn 208)
23. COMPLIANCE WITH CONSULTANT DISCLOSURE LAW. If this is a contract for consulting services, defined for purposes
ofth~a reqmrement to include analysis, evaluation, research, training, data processing, computer programming, ~ngineering, environmental,
health, and mental health services, accounting, auditing, paralegal, legal or similar services, then, in accordance with Section 163 (4-g) o f
the State Finance Law (as amended by Chapter l0 of the Laws of 2006), the Contractor shall timely, accurately and properly comply with
the reqmremcnt 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
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 th~s agreement the contractor certifies and affirms that all disclosures made in
accordance with State Finance Law Sections 139-j and 139-k are complete, true and accurate In the event such certification is found to
be intentionally false or intentionally incomplete, the State may terminate thc agreement by providing wrlRen 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 ~s 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 this contract may be
terminated, by providing written notification to the Contractor in accordance with the terms of the agreement, if the covered agency
determines that such action ~s in the best interest of thc State
Revised December 2011
APPENDIX A1
AGENCY-SPECIFIC CLAUSES
This Agreement has been entered into pursuant to the following understandings
A. Title 1 1 of thc Environmental Protection Fund Act provides for State assistance to municipalities for the State share of the cost
of approved local waterfront revitalization projects as defined in the Act
B The Department of State (Department) is authorized by such Act to evaluate and determine ehgthllity of apphcatlons for funding
of projects.
C. Basedupon mfurmation, repmsentatlons and certifications contained in Contractor's application for funding, including the Program
Work Plan as set forth in Appendix D, the Department has made a determination of eligibility of funding for Contractor's project
under such Act
State funds (Funding Amount set forth on the Face Page) for this ProJect (Appendix D Program Work Plan) are provided pursuant
to a reappropriatton of funds originally made by Title 1 1 of the Environmental Protection Fund Act.
The Contxactor has demonstrated its abihty to finance ~ts share of the Project and has agreed to fund its port~on of the cost of the
Project.
1I. General
For the purposes of this Agreement, the terms "State" and "Department" are interchangeable, unless the context requires otherwise.
In addition, the terms "Agreement" and "Contract" are interchangeable, unless the context requires otherwise
The contract period as set forth on the Face Page Is the inclusive period within which the provisions of this Agreement shall be
performed.
C. No habfllties incurred prior to the contract period will be eligible under this Agreement
No liabilities are to be recurred beyond the contract period and no costs will be reimbursed for such hablhties unless: 1) funds
have been reappropnated for the ProJect in the subsequent State fiscal year, 2) the Department determines that it ts m the best
interest of the Department and the State to provide additional time to complete the ProJect and 3) an extension agreement Is
approved in accordance with Section IA of the Agreement
SubJect to the avadabfuty of funds, determination by the Department that it ts in the best interest of the State, and upon mutual
written consent of the parties, the State may provide a no-cost time extension for up to two contract permds not to exceed twelve
months each. The parties shall revise or complete the appropriate appendix form(s), which may be subject to approval of the
Office of the State Comptroller
F To modify any terms of this Agreement wlthln an existing period, the parties shall revise or complete the appropriate appendix
form(s), which may be subject to approval of the Office of the State Comptroller.
G Thc Department shall not be liable for expenses of any kind incurred in excess of the State Funds as set forth on the Face Page,
and shall not be responsible for seeking additional appropriatm~s ov other sources of funds for the Project.
H The Contractor shall perform all serwces to the satisfaction of the Department. The Contractor shall promde all services and meet
the program objectives described in Appendtx D in accordance with: provisions of this Agreement; relevant State, federal and
local laws, rules and regulations, admmistrahve and fiscal guidelines; where apphcable, operating certificates for faclht~es or
hcenscs for an activity or program, and conditions of applicable permits, administrative orders and judicial orders
I. The Contractor shall submit with its request for final payment a Final Project Summary Report (Appendix C - Attachment 1 ) and
a final ProJect Status Report (Appendix C - Attachment 2)
The Contractor agrees to proceed expeditiously with the ProJect and to complete the ProJect in accordance with the timetable set
forth in the Work Plan (Appendix D) as well as with the conditions of any applicable permits, admmistrattve orders, or judicial
orders and this Agreement
111
IV
V
VI
Al-2
The Contractor shall submit a Quarterly Contractor Report (Appendix C - Attachment 4) pursuant to the Department's Minority
and Woman-owned Business Enterprises Program In the event Contractor utillgeS Minority and Women-owned Business
Enterprises as discussed in Section XVI ia Appendix Al, such. report shall he provided to the Department at the address on the
Quarterly Contractor Report
L The Contractor shall submit a Project Status Report (Appendix C - Attachment 2) on a 6-month basis for the periods ending June
30 and December 31 Reports are due no later than 30 days following the end of each reporting period
Additional Requirements for Construction Prelects
A
Project design, Including preparation of final plans and specifications, and supervision of constxuction shall be undertaken by a
qualified architect and/or engineer licensed to practice in the State of New York The Contractor shall submit final plans and
specifications to the Department for 1ts acceptance before initiating construction work or, If the Contractor intends to subcontract
fox constructmn work, before the work Is advertised for bidding No change to project plans may be made w~thout the prior
written approval of the Department The Contractor shall also be responsible for erecting a project s~gn satisfactory to the
Department identifying the Project. The project sign shall remain in place for the useful hfe of the improvements undertaken
pursuant to this Agreement Upon completmn o fthe ProJect, the Contractor shall submit to the Department a proper certification
from a licensed architect or engineer
Thc State shall make periodic Inspections of the project both during its implementation and after its completion to ensure
compliance with this Agreement. The Contractor shall allow the State unrestricted access to work during the preparation and
progress of the work, and provide for such access and inspectmn by the State in all construction contracts relating to the project.
The Contractor shall be responsible for ensuring that the project Is designed and constructed in conformance with the Uniform
Federal Acccsslbdlty Standards (U FAS - Appcnthx A to 41 CRF part 101 - 19.6), the Americans with Disabilities Act Accessthility
Guidehncs (ADAAG -Appendtx A of Title 9 NYCRR). Where there are discrepancies among the sets of standards w~th regard
to a particular design/construction requirement, thc one providing for the greatest degree of accommodation for the d~sabled shall
~pply
D
It is the Contractor's responsib~hty, pursuant to Section 57 of the Workers' Compensation Law, to maintum for State audit and
review either proof that they have Workers' Compensatmn coverage for any employees, or a wmver statement from the New York
State Department of Labor The Contractor must also obtain from any contractor or sub-contractor hired to provide a service
pursuant to this Agreement, similar proof or wawer from the contractor or subcontractor, and must maintain such documentauen
on file for audit
Rcpor~s~ Documents and Maps
The Contractor shall, where appropriate, identify documents, reports, and maps produced :n whole or in part under this Agreement
by endorsing on said documents, reports, and maps the following.
"This (document, report, map, etc ) was prepared for the New York State Department of State with funds provided under Title
11 of the Enwronmental Protection Fund Act"
L~censc to use and reproduce documents and other works
dlstrthute any work prepared for or m connecuon with the ProJect, ~ncludlng but not limited to reports, maps, designs, plans, analysis,
and documents regardless of the methum in which they are originally produced Contractor warrants to the Department that ~t has
sufficient title or ~nterest in such works to license pursuant to this Agreement. Such warranty shall survive the termination of this
agreement. Contractor agrees to provide the original of each such work, or a copy thereof which is acceptable to the Department, to
the Department before payments shall be made under thru Agreement.
Contractors Insurance Reqmrements
A. Prior to the commencement of the work, the Contractor shall file with the Department of State, Certfficates of Insurance
evidencing compliance with all reqmremants contained in th,s Agreement. Such certfficate shall be of form and substance
acceptable to the Department
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B Acceptance and/or approval by the Department does not and shall not be construed to relieve Contractor of any obhgatlons,
responsibilities or liabilities under the Agreement.
All insurance required by the Agreement shall be obtained at the sole cost and expense of the Contractor, shall be maintained with
insurance carriers licensed to do business In New York State, shall be primary and non-contributrng to any insurance or self
insurance maintained by the Department, shall be endorsed to provide written not, ce be given to the Department, at least thirty
(30) days prior to the cancellation, non-renewal, or material alteration of such policies, which notice, evidenced by return receipt
of Umted States Certified Mail which shall be sent to New York State Department of State, One Commeme Plaza, 99 Washington
Avenue, Albany, New York 12231-0001, and shall name the People of the State of New York and their directors officers, agents,
and employees as additional insured thereunder.
D. The Contractor shall be solely responsible for the payment of all deductibles to which such policies are subject
E. Each insurance carrier must be rated at least "A" Class "VII" in the most recently published Bcst's Insurance Report. If, during
the term of the policy, a carrier's rating falls below "A Class "VII", the insurance must be replaced no later than the renewal date
of the policy with an insurer acceptable to the Department and rated at least "A" Class "VII" in the most recently published Best's
Insurance Report
The Contractor shall cause all insurance to be in full force and effect as of the date of this Agreement and to remain in full force
and effect throughout the term of this Agreement and as further required by this Agreement. The Contractor shall not take any
action, or omit to take any action that would suspend or invalidate any of the required coverages during the period of nme such
coverages are required to be In effect.
G. Not less than thirty (30) days prior to thc expiration date or renewal date, thc Contractor shall supply thc Department updated
replacement Certificates of Insurance, and amendatory endorsements.
Unless the Contractor is self-insured, Contractor shall, throughout the term of the Agreement or as otherwise required by th~s
Agreement, obtain and maintain m full force and effect the following insurance with hmlts not less than those described below
and as required by the terms of this Agreement, or as required by law, whichever is greater (limits may be provided through a
combination of primary and umbrella/excess pohcles) Where Contractor is self-insured, the Contractor shall provide suitable
credence of such to the Department relating to the risks and coverage amounts as provided hereunder
Comprehensive Liability Insurance with a limit of not less than $1,000,000 each occurrence. Such habflity shall be written
on the Insurance Service Office's (ISO) occurrence form CG 00 01, or a substitute form providing equivalent coverages and
shall cover habihty arising from premises operations, independent contractors, products-completed operaUons, broad form
property damage, personal & advertising injury, owners & contractors protective, cross hablhty coverage, liability assumed
in a contract (including the tort liability of another assumed in a contract) and explosion, collapse & underground coverage
a If such insurance contains an aggregate limit, it shall apply separately to this location.
b Products and Completed Operations coverage shall include a provision that coverage will extend for a period of at least
twelve (12) months from the date of final completion and acceptance by the owner of all of contractors work.
2 Where the Project described in Appendix D includes thc construction of any structure or building, a Builder's Risk Policy
until the Project m completed and accepted in the amount of the total prelect cost
3 Workers Compensation, Employers Liability, and Disability Benefits as required by New York State. Workers Compensation
Policy shall include the U S Longshore & Harbor Workers' Compensation Act endorsement.
4 Comprehensive Automobile Liability Insurance with a limit of not less than $1,000,000 each accident. Such insurance shall
cover liability arising out of any automobile including owned, leased, hired and non owned automobiles.
Commercial Property Insurance covering at a minimum, the perils insured under the ISO Special Clauses of Loss Form (CP
10 30), or a substitute form providing eqmvalent coverages, for loss or damage to any owned, borrowed, leased or rented
capaal equipment, tools, including tools of their agents and employees, staging towers and forms, and property of the
Department held in their care, custody and/or control.
6 An Owner's Protective Liability Policy with hm~ts no less than $1,000,000 in the name of the Contractor.
1
VI1.
A
VIII
A
IX
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Professional consultants retained by the Contractor m connection with the Prelect shall show evidence of professional liabdlty
insurance with limits no less than $1,000,000.
Property
Pursuant to the provisions set forth in Section V, Page 3 of this Agreement, the ownership of all property described therein shall
reside with the Contractor unless otherwise specified in writing by the Department at any time during the term of this Agreement
and up to thirty (30) days following the issuance of the final payment.
Contractor warrants that it has fee simple or such other estate or interest in the site of the Project, where the ProJect is undertaken
at a site, including easements and/or rights-of-way sufficient to assure undisturbed use and possession for the purposes of
constraction and operation for the estimated life of the Project. Contractor further acknowledges that where such project is
undertaken on or involves the use of lands for acUve or passive recreatronal use, It is a material term of this Agreement that such
lands shall be available for such recreational use by the People ofthe State of New York Additionally, Contractor shall not hmit
access or discriminate on the operation of the facihties against any person on the basis of place of residunce, race, creed, color,
national origin, sex, age, disability or marital status
Date/Time Warranty
Contractor warrants that product(s) f~rnished pursuant to this contract shall, when used ill accordance with the product
documentation, be able to accurately process date/time data (mcluthng, hut not limited to, calculating, comparing, and sequencing)
transitions, including leap year calculations. Where a Contractor proposes or an acquisition requires that specific products must
perform as a package or system, this warranty shall apply to the products as a system
Where Contractor is promdlng ongoing services, including but not limited to. 1) consulting, integration, code or data conversion,
i0 maintenance or support services, iii) data entry or processing, or iv) contract administration services (e.g. billing, invoicing,
claim processing), Contractor warrants that services shall be provided in an accurate and timely manner without interruption,
failure or error due to the inaccuracy of Contractor's business operations in processing date/time data (including, but not limited
to, calculating, comparing, and sequencing) various date/time transitions, including leap year calculations. Contractor shall be
responsible for damages resulting from any delays, errors or untimely performance resulting there from, including but not limited
to the failure or untimely performance of such services
This Date/Time Warranty shall survive beyond termination or expiration of this Contract through: a) ninety (90) days or b) the
Contractor's or Product manufacturer/developer's stated date/time warranty term, whichever is longer. Nothing in this warranty
statement shall be construed to limit any rights or remedies otherwise available under this Contract for breach of warranty.
The Contractor may charge a reasonable fee for the use of any facility which is part of the project.
A Except for the imposition ora differential fee schedule for non-residents of the municipality in which the project is located, the
establishment of any preferential user fee for any person or entity is prohibited. Fees charged to non-residents shall not exceed
twice those charged to residents
B. Where there ~s no charge for residents but a fee is charged to non-residents, non-resident fees cannot exceed fees charged for
residents at comparable State or local public facilities
C Reservation, membership or annual permit systems available to residents must also be available to non-residents and the period
of availability must be the same for both residents and non-resldants
D This provision does not apply to non-residents' fishing and hunting license fees.
Ahenation
Where the project is undertaken on or Involves parklands or pubhc waterfront land, the following additional provisions apply
A The Contractor shall not at any time sell or convey any facility or any portion of the project acquired or developed pursuant to
this Agreement or c unvert such facility or any portm n of the project to other than public p ark or pub lie waterfront purpo scs without
XI.
XIl.
A,
Al-5
the express authority of an act of the Legislature, which shall provide for the substitution of other lands of equal fair market value
and reasonably eqmvalcnt usefulness and location to those to be discontinued, sold or disposed of, and such other requirements
as shall be approved by State
Thc Contractor agrees to own a property interest sufficient to maintain and operate thc project m perpetuity. The Contractor shall
not authorize the operation of the project, or any portion thereof, by any other person, entity, or organization pursuant to any
management agreement, lease or other arrangement wtthout first obtaining the written approval of thc State.
Subcontracting Requirements
The Contractor may subcontract for all or any portion of the activities covered by this Agreement as provided for in Appendix
D, subject to prior written approval by the Department o f any subcontractor and the terms of any subcontract Subcontractors shafi
comply with all applicable requirements of the Agreement between thc Contractor and the State.
Compliance with Procurement Requirements
The municipal attorney, chief legal officer or financial administrator of the Contractor shall certify to the State (Appendix C -
Attachment 3) that applicable public bidding procedures of General Municipal Law §103 were followed for all public work
involving an expenditure of more than $35,000 and purchase contracts involving an expenditure of more than $20,000
The mumcipal attorney, chief legal officer or financial administrator of the Contractor shall certify to the State (Appendix C -
Attachment 3) that the procedures of the municipality established pursuant to General Municipal Law § 104-b were folly complied
with for all public work and purchase contracts which are not applicable to the public bidding procedures of General Municipal
Law §103.
XIII
A.
For non-municipal entities such as community-based organizations, the chief legal officer or financial administrator of the
Contractor shall certify to the State (Appendix C - Attachment 3) that alternative proposals and quotations for professional services
were secured by use of written requests for proposals through a publicly advertised process, to ensure the prudent and economical
use of pubhc funds for professional services of maximum quality at reasonable cost.
Requirements for Contract GIS Products
GENERAL MAP PRODUCT REQUIREMENTS The following general cartographic requirements must be adhered to by the
1 Map Products -- The Department requires dehvery of digital map products, unless otherwise specified in the Request for
Proposal (RFP), that meet the speclficatmns outlined in this GENERAL MAP PRODUCT REQUIREMENTS section and
the ADDITIONAL DIGITAL CARTOGRAPHIC FILE REQUIREMENTS section. If analog map products are required
by the RFP, they must meet specifications outlined in this GENERAL MAP PRODUCT REQUIREMENTS section and the
ADDITIONAL DIGITAL-READY MAP PRODUCT REQUIREMENTS section
2. DeEverable Format -- All d~gital map and attribute table files must be provided in Maplnfo Tab file format on Recordable
CD or DVD, 3 5" floppy diskette media, external hard dr~ve, via e-mail attachment (preferabiy in a WmZIP file) or
downloadable from an ftp site on the Internet Alternatively, the digital products may be provided in Arclnfo/GIS export
format (e00) or ArcV~ew shape file format on the same med~a types upon approval o f the Department All other digrtal
formats require prmr approval of the Department. Coordination with the Department prmr to submission of digital media is
required to ensure compatlbd~ty of the delivered materials
Documentation -- A data dictionary must be ~ncluded along with the map files describing file contents and file names, as well
as metadata for each file including map prolectron, horizontal and vertical datums used, coordinate system, RMS accuracy
and log sheet, information sources and dates, the map maker and date of preparation, and creation methodology. Data
provided under tederal funds must be provided in a manner which meets Dlgttal Geospatlal Federal Geographic Data
Committee Metadata Standard as executed by Executive Order 12906, April 11, 1994, "Coordinating Geographic Data
Acquisition and Access the National Spatial Data Infrastructure"
Map Accuracy -- Unless otherwise stated in the RFP, all deliverable map products must conform to National Map Accuracy
Standards for horizontal and vertical accuracy as established by thc Umted States Bureau of the Budget, June 10, 1941,
revised June 17, 1947. For example, for maps at 1'20,000 or smaller, not more than 10% of the well<lefined map points
tested must be more than 1/50 inch (0.508 mm) out of correct position. At I 24,000, this tolerance translates to a reqmred
Al-6
horizontal accuracy of 40 feet lfby prior agreement with the Deparanent the map product does not conform to National Map
Accuracy Standards, then a statement of actual map accuracy should he included m the Documentation above Furthermore,
hydrographic surveys and maps should conform to recommended accuracy standard proposed in the joint USGS, NOS,
Coastal Mapping Handbook, 1978, Melvin Ellis editor, U S Government Printing Office, Appendix 6
5 Datums -- Unless otherwise specified In the RFP, all map products should be referenced to the North American Horizontal
Datum of 1983 (NAD83) and the National Geodetic Vertical Datum of 1988 (NGVD88).
B ADDITIONAL DIGITAL CARTOGRAPHIC FILE REQUIREMENTS The following cartographic construction requirements
must be adhered to by the Contractor.
Edge-matching -- All map sheets must be both visually and coordinate edge-matohed with adjacent map sheets. No edge-
match tolerance will be allowed Attributes for sphtable features must also be Identical
2 Common Boundaries -- All features that share a common boundary, regardless of map layer, must have exactly the same
coordinate position of that feature in all common layers.
3. Point Duplication -- No dupEcat~on of points that occur w~thln a data string is permitted.
4 Connectivity -- Where graphic clements visually meet, they must also dlgltully meet All confluences of hne and polygon
data must be exact; "overshoots", "undershoots", "shvers", or "offshoots" are NOT permitted.
5 Line Quality -- A high quality cartographic appearance must be achieved Transitions from straight lines to curvllmcar
elements must be smooth, with angular reflections at the point of intersection The digital representation must not contuin
extraneous data at a non wsthle level. There should be no Jags, hooks, or zero length segments. Any lines that are straight,
or should he straight, should be digitized using only two points that represent the beginning and ending points of the hne.
6 Polygon Closure -- For area features being digitized, the last coordinate pair must be exactly (mathematically) equal to the
first co ordinate pair. No line or polygon must cross itself except to join at an actual confluence. All digitized features across
map boundaries must be edited to effect smooth and continuous hnes
7. Graphic Precision -- Positional coordinates for all d~gltul graphic elements should not be reported to a level of precision
greater than one thousandth (.001) of a foot.
8. Digitizer Accuracy -- The required RMS error for dlglrtzer accuracy must be 0.003 or better for digital map registration
C. ADDITIONAL DIGITAL-READY MAP PRODUCT REQUIREMENTS -- The following requirements for large scale, non-
digital map products must be followed to facihtatc the future conversion of the maps to d~gital map products All large format,
non-digital map products must be provided on stable base material at a scale stipulated in the RFP. The map products most include
an index map to all map sheets and thorough descriptions of all the cartographic elements portrayed on the maps.
Base Map Media -- Ali maps must be created on mylar or other stable base material.
2 Map Scale -- All maps of a simdar series should be created using the same base scale Unless otherwise stated by the
Department, all maps should be complled at 1 24,000 lfothermapscalesareapprovedbytheDepartment, wherepossthle
they will conform to standard map scales such as 1 9600, 1:50,000, 1:75,000, or I 100,000
3. M ap Registration -- The maps must provide a minimum o flour (4) comer and four (4) interior ticks t~ed to USG S/NYSDOT
quadrangle Lat/Long et NYTM coordinates. The maps must be geometrically correct and should register when overlaid on
the appropriate USGS/NYSDOT quadrangle control ticks.
4. Map Title and Legend -- The maps must provide a title and legend block describing the information contained on the maps,
and including thc Documentation and Datums information requested in the GENERAL MAP PRODUCT REQUIREMENTS
above and the map scale.
5 Cartographic Quality -- The quality of all map line work and symbolization must conform to items I - 6 in the map criteria
set forth in the ADDITIONAL DIGITAL CARTOGRAPHIC FILE REQUIREMENTS section outlined above
D CONTRACTDATABASESTANDARDS
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XIV
A.
B
Dehvery Media -- AIl database and tabular files must be provided on dlgltal medla as specified above m Deliverable Format
2 Software Format Database and tabular files can he provided m Corel Quattro, Microsoft Excel or Mmrosoft Access format.
Other formats that are convertible to one of the aforementioned formats may be used with prior approval of the Department
3. Geographic Attributes -- Database and tabular files that contain elements with a geographic reference must provide a
corresponding data field and a geographm coordinate pair for each feature location.
Payment and Records Retentmn
Payments shall be made as set forth ~n Appendix C
The Contractor shall maintain, at its prmclpa[ place of business, detailed books and accounting records supported by original
documentation relating to thc incurring of all cxpcndltares, as well as payments made pursuant to this Agreement. Thc Contractor
shall make such records available for rcvmw by the Department upon request at any time The Department shall have the right
to conduct progress assessments and review books and records as necessary. The Department shall have thc right to conduct an
on-site review of thc Project and/or books and records of the Contractor prior to, and for a reasonable time following, issuance
of thc final payment. The Department shall be entitled to disallow any cost or expense, and/or torminate or suspend this
Agreement, if thc Contractor has misrepresented any expenditures or Project activities m its application to the Department, or in
this Agreement, or m any progress reports or payment requests made pursuant hereto. Thc Contractor shall, maintain such books
and accounting records in a manner so that reports can be produced therefrom in accordance with generally accepted accounting
principles. The Contractor shall maintain separate fiscal books and records for all funds received through thc Department pursuant
to this Agreement.
During the term of this Agreement and for a period of SlX years after its termination, the Contractor shall make all such books and
records available to the Department and the Office of the State Comptroller, or their designated representatives, for inspection
and audit.
XV Equal Employment Opportumty
The Contractor hereby assures that ~t is, and shall be for the duration of this Agreement, in compliance with the Federal Equal
Employment Opportumty Act of 1972 (Pubhc Law 92-261), as amended.
XV1 Article 15-A of The New York State Executxve Law
Article 15-A of the New York State Executive Law, as amended, authorized the creation of a d~msion of Minority and Women's
Business Enterprise Development to promote employment and business opportamties on state contracts for minorities and women.
This law supersedes any other provision in state law authorizing or requiring an equal employment opportunity program or a program
for securing partmlpation by minority and women-owned business enterprises Under th~s statute, State agcncms are charged with
establishing business participation goals for m~nonties and women Tho Department of State administers a Minority and
Women-owned Business Enterprises (MWBE) Program as mandated by Article 15-A.
A. General Provisions
The Department of State IS required to implement the provisions of New York State Executive Law Article 15-A and 5
NYCRR Parts 142-144 ("MWBE Regulations") for all State contracts as defined thereto, with a value (1) m excess of $25,000
for labor, services, equipment, materials, or any combination of the foregoing or (2) in excess of $100,000 for real property
renovations and construction
The Contractor to the sublect contract (the "Contractor" and the "Contract," respectively) agrees, in addition to any other
nondiscnm~natton prowsion of the Contract and at no additional cost to the New York State Department of State (the
"Agency"), to fully comply and cooperate with the Agency in the implementation of New York State Executive Law Article
15-A. These requirements include equal employment oppormmttes for minority group members and women ("EEO") and
contracting opportunities for certified minority and women-owned business enterprises ("MWBEs"). Contractor's
demonstration of"good faith efforts" pursuant to 5 NYCRR § 142 8 shall be a part of these reqmrements. These provisions
Al-g
shall be deemed supplementary to, and not in lieu of, the nondiscrimination provisions required by New York State Executive
Law Article 15 (the "Human Rights Law") or other applicable federal, state or local laws
3 Failure to comply with all of the reqmrements herein may result in a finding of non-responsiveness, non-responsibility and/or
a breach of contract, leading to the withholding of funds or such other actions, liquidated damages pursuant to Section VII
of this Appendix or enforcement proceedings as allowed by the Contract.
Contract Goals
2
For purposes of this procurement, the Agency hereby estabhshes an overall goal of 20% for Minority and Women-Owned
Business Enterprises ("MWBE') partmipat~on, 10% for Minority-Owned Business Enterprises ("MBE") participation and
10% for Women-Owned Business Enterprises ("WBE') partacipatlon (based on the current avatlabihty of qualified MBEs
and WBEs).
For purposes of providing meaningful participation by MWBEs on the Contract and achieving the Contract Goals established
in Sectmn II-A hereof, Contractor should reference the directory ofN ew York State Certified MBW Es found at the following
internet address: http//www.csd ny gov/mwbe html.
Additionally, Contractor is encouraged to contact the Division of Minority and Woman Business Development (518) 292-
5250; (212) 803-2414; or (716) 846-8200) to discuss additional methods of maximizing participation by MWBEs on the
Contract.
Where MWBE goals have been estabhshed herein, pursuant to 5 NYCRR §142.8, Contractor must document "good faith
efforts" to provide meaningful participation by MWBEs as subcontractors or suppliers in the performance of the Contract.
In accordance with Section 316-a of Article 15-A and 5 NYCRR § 142 13, the Contractor acknowledges that if Contractor
is found to have willfully and Intentionally failed to comply with the M W BE parUcipatlon goals set forth in the Contract, such
a finding constitutes a breach of contract and the Contractor shall be hable to the Agency for liquidated or other appropriate
damages, as set forth herein
C Equal Employment Opportunity (EEO)
1. Contractor agrees to be bound by thc provisions ofArt~cle 15-A and the MWBE Regulatmns promulgated by thc Division
of Minority and Women's Business Development of the Department of Economic Development (the "Division'). lfany of
these terms or provisions conflict with applicable law or regulations, such laws and regulations shall supersede these
requirements.
2 Contractor shall comply with the following provisions of Article 15-A.
a Contractor and Subcontractors shall undertake or continue existing EEO programs to ensure that minority group members
and women are afforded equal employment opportumtles without discrimination because of race, creed, color, national
origin, sex, age, disabihty or marital status For these purpo scs, EEO shall apply m the areas o frecruitment` employment,
.lob assignment, promotion, upgrading, demotion, transfer, layoff, or termination and rates of pay or other forms of
compensation.
b. The Contractor shall submit an EEO policy statement to the Agency within seventy two (72) hours after the date of the
notice by Agency to award the Contract to the Contractor.
c. If Contractor or Subcontractor does not have an existing EEO policy statement, the Agency may provide the Contractor
or Subcontractor a model statement (see Form A - Minority and Women-Owned Business Enterprises Equal Employment
Opportunity Policy Statement).
d. The Contractor's EEO {~oliey statement shall include the fullowmg language.
(1) The Contractor will not discriminate against any employee or applicant for employment because of race, creed,
color, national origin, sex, age, disability or marital status, will undertake or conUnue existing EEO programs to
ensure that minority group members and women are afforded equal employment oppormniues without
discrimination, and shall make and document its conscientious and active efforts to employ and utilize minority
group members and women m its work force.
(2) The Contractor shall state in all solicitations or advertisements for employees that, in the performance of the
contract, all qualified applicants will be afforded equal employment opportunities without discrimination because
of race, creed, color, naUonal origin, sex, age, disability or marital status
Al-9
(3) The Contractor shall request each employment agency, labor union, or authorized representative of workers with
which it has a collective bargaining or other agrecmcnt 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, disabihty or marital status and that such umon or representative will affirmattvcly cooperate m thc
Implementation of the Contractor's obligations hereto
(4) The C~ntractur wil~ mc~ud~ the pr~vIsI~ns ~f Subdlvlsi~ns (a) through (~) ~f this SubsectI~n 4 and Paragraph "E"
of this Section Ill, which provides for relevant provisions of thc Human Rights Law, m every subcontract in such
a manner that the requirements of the subthvislons will be binding upon each subcontractor as to work in conncctqon
with thc Contract
3 Form B - Staffing Plan
To ensure compliance w~th this Section, the Contractor shall submit a staffing plan to document the composition of the
proposed workforce to be utilized in the performance of the Contract by the specified categories hsted, including ethnic
background, gender, and Federal occupational categories Contractors shall complete the Staffing plan form and submit It
as part of their bid or proposal or within a reasonable time, but no later than the time of award of the contract.
4 Form C - Workforcc Employment Utilization Report ("Workforcc Report")
a Once a contract has been awarded and during the term of Contract, Contractor is responsible for updating and providing
notice to the Agency of any changes to the previously submitted Staffing Plan This information is to be submitted on
a quarterly basis during the term of the contract to report the actual workforce utilized in the performance of the contract
by the specified categories listed including ethnic background, gender, and Federal occupational categories The
Workforce Report must be submitted to report th~s mformat~on
b. Separate forms shall be completed by Contractor and any subcontractor performing work on the Contract.
c. In limited instances, Contractor may not be able to separate out the workforce utilized in thc performance of the Contract
from Contractor's and/or subcontractor's total workforce. When a scparatron can be made, Contractor shall submit thc
Work force Report and indicate that the information provided related to the actual workforcc uffiized on the Contract
When thc workforcc to be utihzed on the contract cannot be separated out from Contractor's and/or subcontraetor's total
workforcc, Contractor shall submxt the W orkforcc Report and indicate that thc information provided is Contractor's total
workfurce during thc subject time frame, not limited to work specifically under the contract
5. Contractor shall comply with thc provisions of the Human Rights Law, all other State and Federal statutory and constitutional
non-dlscrlminahon provisions Contractor and subcontractors shall not discriminate against any employee or apphcant for
employment because of race, creed (religion), color, sex, national origin, sexual orientation, military status, age, dlsabffity,
predisposing genetic charactenstqc, marital status or domestic violence victim status, and shall also follow the requirements
of the Human Rights Law wtth regard to non-thscrlminatton on the basis of prior criminal conviction and prior arrest.
D. MWBE Utilization Plan
1. The Contractor represents and warrants that Contractor has submitted an MWBE Utlhzatton Plan (Form D) either prior to,
2 Contractor agrees to use such MWBE Utilization Plan for the performance of MWBEs on the Contract pursuant to the
prescribed MWBE goals set forth in Section IlI-A of this Appendix
3. Contractor fi~rther agrees that a failure to submit and/or use such MWBE Utilization Plan shall constitute a material breach
of the terms of the Contract. Upon the occurrence of such a material breach, Agency shall be entitled to any remedy provided
herein, Including but not limited to, a finding of Contractor non-responsiveness.
1. For Waiver Requests Contractor should use Form E - Waiver Request
2. If the Contractor, after making good faith efforts, is unable to comply with MWBE goals, the Contractor may submit a
Request for Waiver form documenting good faith efforts by the Contractor to meet such goals, lfthe documentation included
w~th the waiver request is complete, the Agency shall evaluate the request and ~ssue a written notice of acceptance or denial
wtthln twenty (20) days of receipt
If the Agency, upon review of the MWBE Utd~zatton Plan and updated Quarterly MWBE Contractor Compliance Reports
determines that Contractor is failing or refusing to comply with the Contract goals and no waiver has been issued in regards
to such non-comphance, the Agency may issue a notice of deficiency to the ConU-actor. The Contractor must respond to the
notme of deficiency witfun seven (7) business days ofreceipt Such response may include a request for parttal or totalwawer
of MWBE Contract Goals
F Llqmdated Damages - MWBE Participation
Where Agency determines that Contractor is not ~n compliance w~th the requirements of the Contract and Contractor refuses
to comply w~th such requirements, or if Contractor is found to have willfully and intentionally faded to comply with the
MWBE pamcipat~on goals, Contractor shall be obhgated to pay to the Agency liquidated damages.
2 Such liquidated damages shall be calculated as an amount equahng the difference between.
a All sums ldentffied for payment to MWBEs had the Contractor achieved the contractual MWBE goals, and
h All sums actually paid to MWBEs for work performed or materials supplied under the Contract
In the event a determination has been made which requires thc payment ofhquldatud damages and such identified sums have
not been withheld by the Agency, Contractor shall pay such liqmdated damages to thc Agency within sixty (60) days after
they arc assessed by the Agency unless prior to the expiration of such s~xt~eth day, thc Contractor has filed a complaint with
the D~rcctor of the Division of Minority and Woman Business Development pursuant to Subdivision 8 of Section 313 of the
Executive Law m which event the hqu~dated damages shall be payable it'Director renders a decision in favor of thc Agency.
Questions regarding this program should be directed to the Departmenfs Minority and Women-owned Busmess Program by
calhng (518) 473-2507 Potenttal contractors can access the NYS Directory of Certffied Minority and Women-owned Business
Enterprises on-line through the Empire State Development website at. http'//www esd.ny.gov/MWBE.html.
The Department makes no representation w~th respect to the avadablhty or capability of any business listed in the Directory. See
Appendix C - Attachment 4, for additional requirements of this program.
XVII blottce of Public Proceedings
The Contractor agrees to promde the Department with prompt and t~mely wrttten notice at least two weeks m advance of all pubhc
proceedings, including, but not hm~ted to, public meetings or hearings, relating to the Project
XVIll Submission of all correspondence and documentation
A. Unless otherwise stated m Appendix D, the Contractor agrees to provide the Department with the required products in the
following formats All products and shall include the NYS contract number as indicated on the Face Page of this Agreement
and where applicable, reflect the task number it relates to in Appenthx D
Draft products two paper copies of each product must be submitted
2 Final products' two paper copies of each product must be submitted. In adthtton all final products (including
~eports, designs, maps, drawings, and plans) must be submitted as an electronic copy (in Adobe® Acrobat® Portable
Document Format - PDF), created using 300 dpl scanning resolution, and be submitted on a labeled CD-R type CD
The CD must be labeled with the contractor name, contract number, and project title.
3. Pictures and photographs must be dated and captioned with the location and a brief descnptton of the activity being
documented
B Contractor agrees to provide the Department with original and one copy of payment request documentation as described in
Appendix C.
XlX Environmental Rewew
A. Contractor agrees to provide the Department, in a timely manner, with all documentation, including but not limited to, permit
apphcatton~, environmental assessments, designs, plans, studies, cnmronmentul impact statements, findings, and
determinations, relating to the Project.
B Contractor acknowledges that comphance with the State Environmental Quality Rewew Act is a material term and condltmn
XX.
Al-Il
of this Agreement. In no event shall any payments be made under this Agreement until Contxacter has provided Department
with appropriate documentation that contractor has met any requirements imposed on Contractor by the State Environmental
Quality Review Act.
Default and Termination
C
In addmon to whatever other reserved rights it has to terminate the Agreement, the Department may terminate the Agreement
when it is In the best interests of the State or (1) for cause, (2) for convenience, or (3) due to unavailability of funds
If the Department determines the Contractor has breached a term of the Agreement and if the Department determines the
defect can be remedied, it may issue a written notice providing the Contractor with a minimum of 30 days to correct the defect
and the notice may include a prospective termination date. If the Contractor falls to correct the defect or falls to make a good
faith effort to do so as determined by the Department to the Department's sat~sfactlon, the Department may terminate the
Agreement for cause
XXI
A
The Department shall alan have the right to postpone or suspend the Agreement or deem ~t abandoned without this action
being a breach of the Agreement The Department shall provide written notice to the Contractor indicating the Agreement has
been postponed, suspended or abandoned During any postponement, suspension or abandonment the Contractor agrees not to
do any work under the Agreement w~thout prior written approval of the Department
In the event the Agreement is postponed, suspended, abandoned or terminated, the Department shall make a settlement with
the Contractor upon an equxtable basis in good froth and under the general compensation principles and rates estabhshed in
tho Agreement by the Department Th~s settlement shall fix the value of the work which was perfurmed by the Contractor to
the Department's satisfaction prior to the postponement, suspension, abandonment or termination of the Agreement
Any funds pa~d to the Contractor by the Department which are not expended under the terms of the Agreement shall be repaid
to the Department.
Fully-Executed Agreement or Amendment Thereto
If tfus Agreement, or amendments thereto, allocates funds totahng $50,000 or less, it shall be deemed to be fully executed
when approved and signed by the Contractor and the Department
If this Agreement, or amendments thereto, allocates funds totahng more than $50,000, it shall be deemed to be fully executed
when approved by the Office of the State Comptroller.
APPENDIX B
BUDGET SUMMARY
A. Salaries & Wages (including Fnnge Benefits)
B. Travel
C. Supplies/Materials
D. Eqmpment
E. Contractual Servtces
F. Other
$49,000.00
$0 00
$7,254 00
$2,599 00
$104,032.00
$59,997.00
TOTALPROJECTCOST
$222,882.00
Total State Funds $111,441.00
Total Local Share $111.441.00
B-2
Appendix B (Budget Detail Sheet)
A. SALARIES & WAGES
TITLE ANNUAL SALARY AMOUNT
CHARGED TO THIS
PROJECT
Principal Planner $111,930 00 $30,627.00
Town Engineer $104,049.00 $4,345.00
Highway Superintendent $119,938.00 $2,834.00
~Techmcal Coordinator II $113,349.00 $8,719.00
Land Preservation Coordinator $114,732.00 $189 00
Secretarial Assistant $59,708 00 $562.00
Highway Crew Leader $59,708 00 $519.00
Heavy Equipment Operator $53,102.00 $462.00
Auto Equipment Operator $40,480 00 - $43,277 00 $743.00
SUBTOTAL $49,000.00
B. TRAVEL
SUBTOTAL $0.00
C. SUPPLIES/MATERIALS
Supplies for debris and invasive species removal including pemonal protection
eqmpment (gloves, glasses, ear-muffs etc ), hip-waders, oil and gas ..................... $918.00
Supplies for the installation of catch basins including drainage rigs, drainage covers,
drainage frames, cement, sand, block, filter cloth, stone blend and top soil .............. $6,336 00
SUBTOTAL $7,254.00
B-3
Appendix B (Budget Detail Sheet Continued)
D. EQUIPMENT
2 Stihl brush cutter/clearing saw ................................... $1,899.00
2 Toro 12 Amp Electric Blower/Vacuum with metal impeller ..................... $180.00
2 Stihl MS 181 chain saws .............................................. $520.00
SUBTOTAL $2,599.00
E. CONTRACTUAL SERVICES
Consultant services for DNA Source Tracking Analysis and Flushing Rate Analysis ..... $44,250.00
Consultant services for watershed drainage analysis, bathymetry study, water quality
modeling and community workshops .................................. $59,782.00
SUBTOTAL $104,032 00
F. OTHER
Value of equipment usage for debris and wrack removal .................... $8,292.00
Volunteer Services
Volunteer services for the orgamzation of Project Advisory Committee,
pubhc commumcat~ons, education ................................. $12,600.00
Volunteer serwces to coordinate with Suffolk County Park and Recreation and
Suffolk County Vector Control to address stormwater preventmn issues, review
and prepare appropriate documents, and conduct research ...................... $2,400.00
Volunteer services for the design and implementation of watershed watch program
related to the Stormwater Prevention Pollution Plan ......................... $13,575.00
Volunteer services for the development of homeowner best management practices
related to the Stormwater Pollution Prevention Plan ....................... $630.00
Volunteer services to plan and implement the restoration of littoral zone clean up
and debris/wrack removal ....................................... $22,500.00
SUBTOTAL $59,997.00
APPENDIX C
PAYMENT AND REPORTING SCHEDULE
A
B
Payment Schedule
The Department shall make mtarlm payments for ehglble costs ~ncurred up to an amount not to exceed 90% of the State Share
Funding Amount The final payment will be made upon satisfactory completion of the ProJect.
A properly executed payment request is to be submitted quarterly (included w~th every project status reporO, on forms
prescribed by the Department documenting total project costs recurred to date.
I Payment shall be made to the Contractor upon the submission by the Contractor of a properly executed payment request.
Such request shall contain the follow,ne (1) Summary Sheet Documentation Forms, (2) a properly executed State
Voucher, and (3) the required work products
2 Payment requests will be reviewed m accordance with the terms and conditions of this Agreement to determine total
allowable project costs incurred and the number and percentage of allowable project tasks completed to date. For the
purpose of determining the level of reimbursement, otherwise allowable project costs may be reduced if the percentage of
task completion is deemed insufficient.
1L
A
3 Total allowable project costs, adjusted pursuant to 2 above, will be prorated between State Share and Local Share costs
x~ the same proportions as Stute Share Funding Amount is to Local Share Funding Amount as set forth on the Face Page
4. Interim payments wall be issued m amounts equal to the State Funds calculated In 3 above
The final payment will be issued upon receipt and approval of (1) a payment request marked "FINAL", (2) a final Status
Report, and (3) Final Project Summary Report Such final payment request shall be submitted within 60 days following
the ending date of this Agreement
ReporUng
Payment requests as described tn LB. above shall he certified by a duly authorized representative of thc Con~acto~ as
accurately representing such accomplishments and expenses as recorded in the Contractor's accounting records, including,
where goods or services are provided by third part~es not party to this Agreement, a cert~ficatlon that any payment obhgations
arising from the provision of such goods or services have been prod or will be paid by the Contractor and do not duplicate
reimbursement or costs and services received from other sources.
B. Notwithstanding thc above requirements, upon written notification by the Depar~aent, the Contractor may be required to
submit source documontutior~ and additional verification of allowable expen&tu~es
C Payment requests shall be submitted to
New York State Department of State
D~vis~on of Coastal Resources
One Commerce Plaza - Suite 1010
Albany, New York, 12231-0001
D Cla~mcd expenditures per cost category may not exceed the amounts indicated in the Appendix B (Budget), without prior
written approval of the Department Changes to the cost categories in excess of I0% wtll require prior approval by the Office
of thc State Comptroller for contracts greater than $50,000 m add,lion to the approval of thc Department. No expenditures
shall be allowed for items not set forth in the Project Budget
E. Progress reports are to bc submitted on a 6-month basis (June 30 and December 31) on a form prescribed by the Department.
III.
Other
C-2
B
C.
D
and/or amendment
Interest income earned on funds received pursuant to this Agreement shall be used to further the purpose of tfus Project or
The Department shall have the right to conduct on-stte progress assessments and revtews of the Project and Contractor's
books and records during the life of th~s Agreement and for a reasonable ume following issuance of the final payment The
Contractor shall furnish proper fatalities, where necessary or useful, for such access and inspectwn
The Depar~ncnt shall be entitled to disallow any cost or expense, or terminate or suspend th~s Agreement, ~f found that the
Contractor has m~srepresented any expenditures or project activities m th~s Agreement, or in any progress reports or payment
requests made pursuant hereto.
The Contractor shall maintain separate fiscal books and records for all funds received through the Department and project
actimties conducted pursuant to th:s Agreement, and shall make all such books and records available to the Department, the
Office of the State Comptroller, or their designated representatives for inspection and auda for a period of six years following
The Contractor shall prowde complete and accurate bilhng invoices to the Agency m order to receive payment Bllhng
invoices submitted to the Agency must contain all ~nformation and supporting documentaUon required by the Contract, the
Agency and thc State Comptroller. Payment for invoices submitted by the Contractor shall only be rendered electromcally
unless payment by paper check is expressly authorized by the Secretary of State, in the Secretary's sole discretion, due to
extenuating circumstances. Such electronic payment shall be made in accordance with ordinary State procedures and
practmes The Contractor shall comply w~th the Slate Comptroller's procedures to authorize electronic payments
Authorization forms are available at the State Comptroller's wcbsite at www nsc.state ny.us/epay/index btm, by emml at
epumt~osc.state ny us, or by telephone at 518-4744032. Contractor acknowledges that it will not receive payment on any
mvomes submitted under this Contract flit does not comply with State Comptroller's electronic payment procedures, except
where the Secretary has expressly authorized payment by paper cheek as set forth above
Appendix C - Attachment l
Final Project Summary Report
Final payment of the grant is dependent upon the sat~sfuctory completion and acceptance by the Department of State of th~s Final
Project Summary Report along with thc rcqulslta documentation. In addition to the other requirements of the contract, the grant
rec~pmnt is responsthlc to relay the ~mportance, the significance and thc value of the completed project to the community, the region
and thc state through the completion of the report
Thc following outline should bc used to complete tho Fmal Project Summary Report:
1. Project Tgle
2. Name of Mummpahty:
3. Actual Project Costs
a. State funds expended (identify soutoe, eg EPF, Clean Water/Clean Air
Bond Act, etc)
b. Local funds expended'
c Other funds expended-
4. Project Manager. Name:
Title'
Mathng address.
Tel. number
Fax number.
E-mall address.
5 Federal Tax Identification Number.
6. Project Background (briefly explain m a short paragraph why this project was necessary, what its value is and/or 1ts importance to
the community)
7. Project Work (briefly describe the work that was done to complete the project)
8. Prelect Descriptions (use the following guidelines to doscrtbe the project and please he concise in the description):
a For a Planning Project describe the findings or recommended strategies.
b For a Design Project descrthe what is to be built.
c For a Constructton Project describe what was built.
9. Project Measurable Results: To be completed on forms attached.
l0 Project Documentation' TheDepartment~fStatereqmresavisuald~cumentati~n~ftheEnwr~nmentalPr~tecti~nFundpr~je~ts.
Project products should be visually documented usmg a 35mm camera or a digital camera The 35mm color shdes and/or digital
camera disc should be labeled and dated when submitted along with the completed Final Project Summary Report
V~suals should dlustrate the final project product and, as appropriate, act~vmes undertaken to complete the project. For example,
some projects would call for visuals that include photographs of volunteers participating in a wetland restoration project
(planting Spartma); photographs of historical signs markers, kiosks, ete being placed; or photographs of an artist's rondonng ora
waterfront design
Design, planning, and construction projects call for different visual documentation Therefore, the following guldehnes are
suggested:
· For design projects, visuals of renderings and/or graphics that depict the final product.
· For planning projects, visuals of any graphics, where appropriate, that illustrate the final product
· For construction projects, visuals of work in progress and the finished project
In addition to thc 35mm color slides/digital camera disc, a video (vhs format) of the project with a verbal description is destrable
but not mandatory Thc video may be used in a future documentary
RECIPIENT
PROIECT TITLE
Project Status Form
CONTRACT#
Appendix C - Attachment 2
Status Report Date.
Task Brief Task Date of Percent of
# Description A/T Completion Completion
Task Accomplishments
Product Submitted
to DOS
ADJUSTMENTS - Please indicate proposed adjustment(s) to work program/schedule, reason(s) for the proposed
adjustment(s), and any other problems encountered during this reporting period:
Person to contact ~fwe have questions about the information provided on ~hlS form,
Name. Email Address:
Tttle. Affiliation.
Phone. Fax.
Appendix C - Attachment 3
Procurement Certification
1 hereby certify that I am the municrpal attorney, chief legal officer or financial admm~sttator for the
and that the eonttact/procuremeot with
, appended hereto pursuant m whole or m pan to NYS
Department of State Contract No. , was awarded In accordance all requirements of law and the following provisions.
I For Municipal Entities (except NYC or with Borough)'
Applicable public bidding procedures of General Municipal Law § 103 relating to the procurement for service, labor, and/or
construction involving more than $35,000 or goods and eqmpment involving more than $20,000
Procedures established by this municipality pursuant to the General Municipal Law § 104-b relaung to the procurement for
serwce, labor, and/or construction involving not more than $35,000 or goods and equipment ~nvolvlng not more than
$20,000
Procedures established pursuant to General Municipal Law Section 104-b relating to the procurement for professional
services.
2 For New York City or Borough.
Apphcable public bidding procedures of General Municipal Law § 103 and regulations o f the Procurement Policy Board
relating to the procurement for service, labor, and/or construeUon involving more than $35,000 or goods and equipment
mvolwng more than $20,000.
Procedures established by the mumcipahty pursuant to the General Municipal Law § 104-b and regulations of the
Procurement Policy Board relanng to the procurement for service, labor, and/or constzuctton involving not more than $35,000
or goods and equipment involwng not more than $20,000
Procedures established pursuant to General Municipal Law Section 104-b relating to the procurement for professional
services
Not-for-Profit Corporation Law, the organization's bylaws, and:
a formal competiw~e process to secure professional services involving not more than $35,000 was used to solicit price quotes
from no less than three qualified vendors to ensure the prudent and economical use of pubhc funds to obtain maximum quahty
a formal competitive process to secure professional services revolving more than $35,000 was used to solicit price proposals
and quotations, through use of written request(s) for proposals through a publicly advertised process, to ensure the prudent
and economical use of public funds to obtain maximum quality at reasonable cost; or
a method of procurement that was previously reviewed and approved by the Department of State, which furthers the purpose
of thls contract.
By'
Attached - Executed Conttact between Conttactor and Subcontractor
Appendix C - Attachment 4
(10 pages total)
FORM A
MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES - EQUAL
EMPLOYMENT OPPORTUNITY POLICY STATEMENT
M/WBE AND EEO POLICY STATEMENT
I, , the (awardee/contractor).
following policies with respect to the project being developed or services rendered at
agree to adopt the
Th~s orgamzat~on will and w~ll cause ~ts
contractom and subcontractom to take good
fedh acbons to achieve the M/V/BE contract parhc~pahons goals set
by the State for that area ~n which the State-funded project ~s
located, by taking the fct~o~ng steps
(1) Achvely and affirmahvely sohc~ b~ds for contracts and
subcontracts from quahfied State certified MBEs or WSEs,
including sohcltat~ons to M/WBE contractor assoc~abons
(2) Request a hst of State-cerhfied MNVBEs from AGENCY
and schclt b~ds from them d~rectly
(3) Ensure that plans, specifications, request for proposals
and other documents used to secure b~ds will be made
available in sufficient time for review by prospective
MNVBEs
(4) Where feasible, d~vide the work ~nto smaller porhons to
enhanced partlc~pabons by MNVBEs and encourage the
formahon of joint venture and other partnerships among
MNVBE contractors to enhance their parbcrpat~on
(5) Document and maintain records of b~d sohcltatmn,
~ncludmg those to MNVBEs and the results thereof
Contractor will also maintain records of achons that its
subcontractors have taken toward meeting MNVBE
contract partlc~pahon goals
(6) Ensure that progress payments to M/WBEs are made on a
t~mely bas~s so that undue financial hardship Is avoided,
and that bonding and other credit reqmrements are waived
or apprepnate alternatives developed to encourage
MNVBE parhclpahon
EEO (a) Th~s orgamzatlon will not thscnm~nate
against any employee or apphcant for
employment because of race, creed, co[or, nabonal ong~n, sex,
age, dlsablhty or mantal status, will undertake or continue existing
programs of affirmative action to ensure that mmonty group
members are afforded equal employment opportumt~es w~thout
dlscnmlnatlon, and shall make and document ~ts consclerdlous
and active efforts to employ and utlhze minority group members
and women ~n ~ts work force on state contracts
(b)Th~s orgamzahon shall state ~n all sohc~tahon or advertisements
for employees that ~n the performance of the State contract all
quahfied applicants will be afforded equal employment
opportunities w~thout dlscrlmlnahon because of race, creed, color,
national origin, sex disability or marital status
(c) At the request of the contracting agency, this orgamzatlon
shall request each employment agency, labor umon, or
authorized representative will not d~scnm~nate on the basis of
race, creed, color, national ong~n, sex, age, d~sabfl~ty or mantal
status and that such un~on or representative will affirmatively
cooperate ~n the ~mplementat~on of this orgamzat~on's obl~gahons
hereto
(d) Contractor shall comply ~th the prews~ons of the Human
R~ghts Law, all other State and Federal statutory and
conshtuhonal non-dtscnmmafaon prowsmns Contractor and
subcontractors shall not discriminate agmnst any employee or
applicant for employment because of race, creed (rehg~on), color,
sex, national origin, sexual onentahon, mlhtary status, age,
dlsablhty, predisposing genehc characteristic, mantal status or
domestic wolence vlchm status, and shall also follow the
requirements of the Human R~ghts Law w~th regard to non~
d~scnmmabon on the basis of pnor criminal conwction and pdor
arrest
(e) This orgamzatlon will ~nclude the provisions of sections (a)
through (d) of this agreement ~n every subcontract m such a
manner that the reqmrements of the subdlws~ons will be b~nd~ng
upon each subcontractor as to work ~n connecfaon w~th the State
contract
Agreed to th~s day of
,2
By
Print Title
(Name of Designated Liaison)
is designated as the Minodty Business Enterprise L~a~son
responsible for administering the M~nonty and Women-Owned Business Enterpnses- Equal Employment
Opportunity (MNVBE-EEO) program.
M/WBE Contract Goals
__20% M~nonty and Women's Bus~ness Enterprise Participation
% M~nonty Bus~ness Enterprise Part~c~pat,on
% Women's Business Enterprise Parbcipation
EEO Contract Goals
% Minodty Labor Force Participation
% Female Labor Fome Participation
(Authorized Representative)
T~tle
Date
Z
ILl
0.0,3
ILl
APPENDIX D
PROGRAM WORK PLAN
Contractor:
Contract Number:
Program Contact Person:
Phone:
Fax:
Town of Southold
C007079
Mark Terry
631.765.1938
631.765.3136
Restoration of Goldsmith Inlet
1. Project Description:
The Town of Southold (Contractor) will assess, mitigate and restore the ecological functions and values
of Goldsmith Inlet off the Long Island Sound to address the accretion of sand, loss of use due to degraded
water quality, loss of httoral habaat and loss of low and h~gh marsh habitat. The Town will undertake a
pollution source tracking analysis; a flush rate analysis', restoration of the littoral zone, non-native
spectes removal, development of a Storm Water Pollution Plan; design and ~mplementafion of storm
water volume reduction measures between the Town and the County; and installation of four catch basins
as stormwater control retrofits.
Goldsmith Inlet has experienced high levels of pathogens resulting m temporary and now, year -round
water quality closure. Water quality closures include areas that have failed to meet the National Shellfish
Sanitation Program's (NSSP) standards for open shellfish areas The Inlet is listed on the NYS Prmrity
Waterbod~es List as precluded for shellfishing. Sources of pollutants include urban runoffand failing
onsite wastewater treatments systems. It ~s noted in the PWL narrative that Goldsmith Inlet is a good
candidate for pathogen source ~dantffication by cohform DNA library. The PWL also notes that the inlet
experiences limited flushing which could exacerbate water quality problems.
This project will complete the following components'
Water quahty and flushing rate analys~s
Littoral zone restoration
Exotic species removal
Stormwater Pollution Preventmn Plan
Stormwater Design and Implementatmn
The goal of this project is to assess, mitigate, and restore the functions and values of the Inlet by
addressing the root causes of the ecological degradation experienced in Goldsmith Inlet. The
assessments and implementatmn strategies will assxst in restoring the ecological health of the Inlet by
focusing on water quality and stormwater and wetland restoration, which will further the policies of the
Town of Southold's Local Waterfront Revitahzat~on Program.
D-2
2. Project Attribution and Number of Copies
The Contractor must ensure that all materials printed, constructed, and/or produced acknowledge the
contributions of the Department to the project. The materials must include the following
acknowledgment:
"This (documeng report, map, et~) was prepared for the New York State Department of State
with funds provided under Title 11 of the Environmental Protection Fund."
The Contractor must submit to the Department all required products, clearly labelled with the NYS
Comptroller's Contract # as indicated on the Face Page of this Agreement and where applicable, the
related Task # from this Work Plan. The Contractor shall submit:
Draft products: two paper copies of each product
Final products: two paper copies of each product. In addition, all final products (including
reports, designs, maps, drawings, and plans) must be subrmtted as an electronic copy (in
Adobe® Acrobat® Portable Document Format - PDF), created using 300 dpi scanning
resolution, and be submitted on a labeled CD-R type CD. The CD must be labeled with the
contractor name, contract #, and project title.
Pictures and photographs must be dated and captioned with the location and a brief description of
the activity being documented
The contributions of the Department must also be acknowledged in community press releases issued for
the project Project press releases shall be submitted to the Department for review and approval prior to
release to ensure appropriate attribution
3. Compliance with Procurement Requirements
The municipal attorney, chief legal officer or financial administrator of the municipality shall certify in
writing to the Department that applicable provisions of General Municipal Law were fully complied with
(Appendix A1-XXI).
Project Components
Task 1:
Project Kink-Off Meeting
The Contractor, the Department, project partners and any other appropriate entities shall hold an
initial meeting to review the project scope, project schedule, project requirements, roles and
responsibilities of project partners, the selection process for procuring consultants, State
Environmental Quality Review Act (SEQRA) compliance requirements, the number of public
meetings and techniques for public involvement proposed for the project, attendance at NYS
Community Seminar Series training sessions, and any other information which would assist in
project completion. In addition, the composition of a project advisory conumttee shall be
discussed during the project kick-offmeeting. The Contractor, or a designated project parmer,
shall prepare and distribute to all project partners a brief meeting summary clearly indicating the
agreements/understandmgs reached at the meeting
D-3
Work on subsequent tasks shall not proceed prior to Department approval of the proposed
approach as outlined m the meeting sununary.
Products:
Project kick-off meeting held with appropriate parties. Written meeting
summary outlining agreements/understandings reached. Finalized project
schedule.
Task 2:
Project Advisory Committee
The Contractor shall establish a project advisory committee to oversee all aspects of the project
in cooperation with municipal officials and the project consultant(s), if apphcable. The
committee shall be representative of project stakeholders, including representatives of State,
county, and municipal agencies with.lurisdmtmn over project activities or the project area, and
non-govemmental and community based orgamzations. A draft list of proposed members shall
be circulated to the Department for review and approval prior to establishment of the committee.
Products'
Draft and final list of proposed members of project advisory committee Project
advisory committee established.
Task 3:
Request for Proposals
The Contractor shall draft a Request for Proposals (RFP) ~ncluding a complete project
descripnon with stte conditions, expected final results, a schedule for completion, and criteria for
selecting a preferred proposal. The Contractor shall submit the RFP to the Department for
review and approval prior to release for sohc~taOon of proposals.
Products:
Approved RFP released through advisement m local papers, the New York State
Contract Reporter, and other appropriate means.
Task 4:
Consultant Selection and Comphance with Procurement Requirements
In consultation with the Department, the Contractor and an appropriate review committee shall
review all proposals recewed as a result of the RFP. At a mimmum, the following cmeria are
suggested for use in evaluating consultant responses:
Quality and completeness of the response.
Understanding of the proposed scope of work.
Applicability of proposed alternatives or enhancements to information requested.
Cost-effectiveness of the proposal
Qualificatmns and relevant experience with respect to the tasks to be performed
Reputatmn among previous clients
Ability to complete all project tasks within the allotted time and budget
Incomplete proposals that do not address all of the requested components should not be accepted
for review and consideration.
D-4
For preparation/certification of fioal designs and constructxon documents, and for supervision of
construction, a licensed professional engineer or licensed professional architect/landscape
architect Is required.
The municipal attorney, chief legal officer or financial administrator of the municipality shall
certify in writing to the Department that applicable provisions of General Municipal Law were
fully complied with.
The Contractor's procurement record and consultant selection is subject to approval by the
Department.
Products:
Consultant(s) selected and approved by the Department Written certification of
procurement procedures,
Task 5:
Subcontract Preparation and Execution
The Contractor shall prepare a draft subcontract or subcontracts to conduct project work with the
consultant(s) selected, The subcontract(s) shall contain a detailed work plan with adequate
opportunity for review at appropriate stages of project completion, a payment schedule
(payments should be tied to receipt of products), and a project cost. The subcontract(s) shall
specify the composition of the entire consultant team, including firm name and area of
responsibility/expertise, and those professionals from the consultant team or consulting firm that
will be directly involved m specific project tasks. The Contractor shall submit the draft
subcontract(s) to the Department for review and approval, and shall incorporate the Department's
comments in the final subcontract(s). A copy of the final, executed subcontract shall be
submitted to the Department.
Products: Draft and final, executed consultant subcontracts.
Task 6.
Second Pr~ectMeeting
In consultation with the Department, the Contractor shall hold a second project meeting, that
includes the consultant(s), and other project partners as appropriate, to review project
requirements, site conditions, and roles and responsibilities; identify new information needs and
next steps; and transfer any information to the consultant(s) which would assist in completion of
the project. The consultant(s) shall prepare and distribute a brief meeting summary clearly
indicating the agreements/understandings roached at the meeting. Work on subsequent tasks
shall not proceed prior to Department approval of the proposed approach as outlined in the
meeting summary.
Products:
Meeting held with appropriate parties Written meeting summary outlining
agreements/lmderstandings reached.
WATER QUAL1TY AND _FLUSHING RATE ANALYSIS TASKS
Task 7:
D-5
DNA Source Tracking Analysis
In collaboration with the project panners and the technical advisory group, the Contractor, or its
consultant(s), will prepare the Draft DNA Source Tracking Analysis Report, which shall include
the following elements'
assessment of inlet conditions to determine locations for monitoring stations.
Stations will be comprised of locations in the inlet waterbody as well as inputs
such as outfall pipes. Geographic locations of all sites will be identified using
UTM coordinates.
collection of samples to be used for coliform enumeration. Sampling will be
conducted and variables assessed (seasonality, mapact of rain events, etc.)
DNA source tracking and sources of coliform inputs identified
determine suitable locations to collect samples for DNA source tracking based
The Analys~s will also include a water quality model that will consider biobetric changes in Inlet
water quality as it is influenced by flushing, contaminant sources, climate, and natural biological
processes.
The Contractor, or 1ts consultant(s), will submit the Draft to the Department for review and
approval. Comments from the Department must be addressed to the satisfaction of the
Department prior to finahzatlon of the Draft DNA Source Tracking Analysis Report, and its
components. The Report will reference all sources of Information and identify any informataon
gaps and issues requiring further study. In addition, the Draft should be thstributed to members
of the technical advisory group and other appropriate project partners for review.
Product:
Draft DNA Source 3'racking Analysis Report with complete findings supported
by appropriated grapincs and maps, submitted to the Department for review and
comment.
Task 8:
Final DNA Source Tracking Analys~s Report
The Contractor, or its consultant(s) will prepare the Final DNA Source Tracking Analysis
Report, winch w~ll incorporate and reflect comments received from the project partners, the
Department, the technical advisory group, and any other interested parties as appropriate.
Comments and revisions suggested by the Department must be incorporated into the plan to the
satisfaction of the Department prior to finalization and/or publication of the document.
Products: Final DNA Source Tracking Analysis Report.
D-6
Task 9:
Flushing Rates Analysis Report
In collaboration with the project partners and the technical advisory group, the Contractor, or its
consultant(s), will prepare the Draft Flushing Rates Analysis Report, which shall include the
following elements:
Establishment of monitoring stations and installation of equipment. Geographic locations
of all sites will be identffied using UTM coordinates.
Data analysis of all levellogging data (including temperature and salinity data) to
determine if and where tidal restrictions exist.
Bathymetnc study of the Inlet m order to determine the precise volume of water present
and changes in volume corresponding with changes in water elevation.
The Report will reference ail sources of informatmn and identify any information gaps and issues
reqmrrag further study. The Contractor, or its consultant(s), will submit the Draft to the
Department for review and approval. Comments from the Depar~ent must be addressed to the
satisfaction of the Department pr~or to finalization of the Draft Flushing Rates Analysis Report,
and its components. In addition, the Draft should be distributed to members of the technmal
advisory group and other appropriate project partners for review.
Product:
Draft Flushing Rates Analysis Report with complete findings supported by
appropriated graphics and maps, submitted to the Department for review and
comment.
Task 10: Final Flushing Rates Analyms and Bathymetry Study Report
The Contractor, or its consultant(s) will prepare the Final Flushing Rates Analysis Report, which
will incorporate and reflect comments recexved from the project partners, the Department, the
technical advisory group, and any other interested parties as appropriate Comments and
rewsions suggested by the Department must be incorporated into the plan to the satisfaction of
the Department prmr to fmalizatmn and/or publication of the document.
Products. Final Flushing Rates Analysis and Bathymetry Study Report.
Task 11: Draft and Final Watershed Drainage Analysis
The Contractor, or its consultant(s) will prepare a review of exiting topographical data and
drainage infrastructure to delineate the geographic extent of the area contributing stormwater or
wastewater flow to Goldsmith Inlet or any of its tributaries. The analysis will include a list of
potential, identifiable sources of pathogens, nutrient, or contatmnatton and genemte a qualitative
discussion of contributions to the Inlet from upland sources. The Contractor, or its consultant(s),
will submit the Draft to the Department for review and approval. In addition, the Draft should be
distributed to members of the teclmical advisory group and other approprmte project partners for
review.
D-7
The Final Watershed Drainage Analysis will incorporate and reflect comments received from the
project partners, the Department, the technical advisory group, and any other ~nterested parttes as
appropriate. Comments and revisions suggested by the Department must be incorporated into the
plan to the satisfaction of the Department prior to finalization and/or publication of the
document.
Product'
Draft and Final Watershed Drainage Analysis with complete findings supported
by appropriated graphics and maps, submitted to the Department for review and
comment.
Task 12: Public Meeting
In consultation with the Department. public information meetings shall be conducted to solicit
pubhc input on the Water Quality, Flushing Rates, and DNA Source documentation, A written
summary of public input obtained at this meeting shall be prepared and provtded to the
Department for revmw and comment
Products:
Public reformation meeting held Mlnutes/Sununary of meeting prepared and
submitted to the Department.
RES TORA TION AND DEBRIS REMOVAL TASKS
Task 13: Restoration and Removal Plan for Debris/Wrack Removal
A. Site Reconnaissance
The Contractor or its consultant(s) shall conduct a s~te reconnaissance which shall
tnclude but ts not hmited to the following:
S~te survey showing extent of project boundary including base map of
Phragrnites monocultums using GPS
Identification of ownership/grant/lease status of any underwater lands to be
incorporated Into the design
Topographic and hydrologtc survey
Identification of plant and animal species relying on the habitat through existing
information and field surveys
Characterizatton of site disturbance(s) and assessment of causes
Descnptinn of ecological commumties on s~te and assessment of functional
quality
Identification of fixed-point photo statmns for routine monitoring
Site reconnmssance data and maps shall be provided to the Department for review and
approval prior to restoration plan development
Products: Site reconnaissance report and appropriate maps.
B
D-8
Draft Restoration and Removal Plan
The Contractor or its consultant(s) shall prepare a draft restoration plan, including, but
not limited to, the following information:
Habitat functions to be created, restored or improved
Targeted plants, animals, and natural communities
Numbers and density of appropriate native plants to be planted
Eqmpment to be used
Temporal restrictions for proposed work based on life cycles and seasonal
sensitivity to disturbances
The draft restoratton and removal plan, including a narrative, schematic, and the related
data and maps shall be provided to appropriate project partners and the Department for
review and approval prior to finalization.
Products. Draft Restoration and Removal Plan
Implementation Strategy
The Contractor or its consultant(s) shall prepare an implementation strategy for the plan
that shall include potential funding sources, project phasing if appropriate, and
recommended means of monitoring, s~te management, and operation. The Contractor or
its consultant(s) shall also identify necessary penmts for construction A pre-penmttmg
meeting with the Department and the appropriate federal, state and local regulatory
authorities (for example, the U.S Army Corps of Engineers and the NYS Department of
Environmental Conservation) may be required to discuss the proposed restoration plan
and inform subsequent design work. The implementation strategy shall be provided to
the Department for review and approval prior to finalization of the restoration plan.
Products:
Written Implementation Strategy. Pre-permitting meeting with
appropriate authorities, if necessary.
Final Restoration and Removal Plan
The Contractor or its consultant(s) shall prepare a final restoration and removal plan
whmh incorporates the comments and recommendations of appropriate project partners
and the Department. The Contractor or its consultant(s) shall submit the final restoration
and removal plan, along with all supporting narrative, maps, schematics, data and the
implementation strategy, to the Department for review and approval prior to undertaking
restoration design.
Products' Final Restoration and Removal Plan incorporating site reconnaissance
information, maps, and the implementation strategy
D-9
Task 14. Permits
After the final design and construction documents have been approved by the Department, the
Contractor or its consultant(s) shall prepare the necessary pemut or other approval applications
and obtain the required permtts or approvals A pre-apphcation meeting with the Department
and the appropriate federal, state and local regulatory authorities may be required to discuss the
necessary permit or other approval applications. Prior to filing, the Contractor or its
consultant(s) shall submit all applications to the Department for review and comment.
Potential permitting and approval agencies include but are not ltmited to'
federal agencies such as the United States Army Corps of Engineers;
the Department, pursuant to the consistency provisions of the federal Coastal Zone
Management Act;
other New York State agencies such as the Department of Environmental Conservation;
the Office of General Services pursuant to the Public Lands Law, or s~milar authorization
from the Power Authority (in certain areas of the St. Lawrence Seaway) or Canal
Authority (in the State Canal System), in order to use or occupy certain State-owned
lands or waters overlying those lands, and the Office of Parks, Recreation, and Historic
Preservation or the State Historic Preservation Officer; and
agencies of a county, city, town, village, or special purpose district, including but not
limited to: town boards, boards of trustees, or city councils; planning commissions,
boards or departments; and/or building or health officials.
Prior to construction the Contractor or its consultant(s) shall also demonstrate that the project is
in compliance with 6 NYCRR Part 502, "Floodplain Management Criteria For State Projects" by
obtaining a floodplain development permit, if local regulations establish such requirements, or by
submitting a signed certification, by an official authorized to enforce local floodplain
management regulations, that the project complies w~th the requirements of the statute.
Copies of all requnced permits and approvals shall be submitted to the Department upon receipt.
Products:
All required permits and approvals received. Written certification of compliance
with floodplain management regulations, if applicable
Task 15' Installation of Project Sign
The Contractor shall install a sign satisfactory to the Department identifying the Department's
funding of the project. The project sign shall remain in place for the useful life of the
improvements undertaken. To assist communities in fulfilling this requirement, the Department
has developed an attractive low cost informational sign. A Sign Order Form is available upon
request from the Department
Products'
Department approved sign design, and photo-documentation that sign is installed
in the immediate project area.
D-lC
Task 16: Implementation
After receipt of all necessary permits, thc Contractor or its subcontractor(s) may begin
implementation work according to the Final Restoration and Removal Plan. The Contractor or
its subcontractor(s) shall notify the Department monthly (or more frequently) in writing of work
progress, including any delays which have occurred. The Contractor or its consultant(s) shall
submit periodic payment requests to the Department tied to project nulestones identified in
contract and subcontract work plans or during the project lack offmeeting. After 70% of the
work is completed, the progress notification will include a punch list of any incomplete items and
an estimated schedule for project completion.
Products:
Written work progress reports. Punch list and implementation completion
estimates.
Task 17 Monitoring Program
The Contractor shall develop, or shall subcontract to develop, a five-year monitoring program
appropriate to the goals and objectives of the restoration work and standardized in concert with
State-developed protocol, where applicable.
The written monitoring plan shall describe and map: specific parameters, timing, and time
intervals of baseline, compliance, routine, and other types of monitoring to he performed;
location of fixed photo stations; location and area of plots, quadrants, and transects to be
sampled; success criteria in terms of flora, fauna, and physical and chenncal site characteristics;
contingency thresholds and plans; and any ad&tional project-specific elements required to
evaluate success.
Monitoring parameters shall include (but not be limited to) relevant inventory, sampling, and
assessment of vegetation; presence and use of site by fauna, substrate charactenstms: and
apphcable hydrologic parameters.
The Contractor shall submit the monitoring program to the Department for review. Acceptance
of the monitoring program by the Department is a reqmred element of contract fulfillment ander
this grant award.
The Contractor shall assess work program compliance and target vegetation survival at the close
of the growing season one year subsequent to completmn of project work, and provide the
relevant monitoring data and an analysis to the Department for review. Demonstration of work
program compliance and 85% target vegetation survival, at a rmnimum, shall be reqmred for
contract fulfillment under this grant award. If work program compliance and an 85% target
vegetation survival rate have not been achieved, the contract shall remam open until the
following growing season, during which interval the Contractor shall implement appropriate
contingency plans and/or other measures, to be approved by the Department. In this
c~rcurnstance, at the close of the following growing season the Contractor shall provide the
Department with documentation of ~mplementation of contingency plans or other measores, the
second year's monitoling data and data analys~s.
D-Il
The Department will certify that this contract is fulfilled and will process final payment vouchers
only upon demonstration by the Contractor of work program comphance and achievement of
85% target vegetation survival.
Products:
Written monitoring plan and maps. Documentation of work program compliance
one year subsequent to completion of project work.
STORJltWA TER POLL UTION ABA TEMENT TASKS
Task 18: Stormwater Pollution Abatement Plan
The Contractor, or its consultants, wall develop a Stormwater Pollution Prevention Plan
(SWPPP) for the Goldsmith Inlet Watershed. The SWPPP will expand on the data gathered ~n
above tasks. The SWPPP will identify the goals and Best Management Practices that will be
implemented to meet the requirements of the SPDES Phase 1I rules. Measurable goals will be
established for each of the BMPs included m the SWPPP along with an implementation plan and
persons msponsthle for tmplementing the BMPs The SWPP will address each of the six
Minimum Control Measures (MCMs):
The SWPPP will include the following components:
II.
HI.
IV.
V.
Introduction
Municipal Spearate Storm Sewer System Inventory and Evaluation
Stormwater Pollution Prevention Program
MCM 1 Pubhc Educatmn and outreach on stormwater impacts
MCM 2 Public Participation and involvement
MCM 3 Illicit Discharge Detection and Elirm'nat'ton
MCM 4 Construction Site RanoffControl
MCM 5 Post construction stormwater management in new development and
redevelopment
MCM 6 Pollution prevention/good housekeeping for municipal opemttons
Best Mangement Practices Implementation Plan
Annual Report
The SWPPP will be supported w~th appropriate location and wetland maps, illicit discharge maps
(catch basin inventory), watershed and subwatershed maps, BMPs implementation matrix, and
other appropriate supporting documentation.
q~he Contractor or its consultant(s) shall subaut the draf~ SWPPP to the Project Advtsory
Committee, the NYS DEC and the Department, for review and comment. Upon satisfactory
incorporation of comments, the Contractor shall submit the SWPPP m final form to the NYS
DEC for approval, and a copy to the Department for acceptance tn satisfying related grant tasks.
Products' Draft and Fmal SWPPP
Task 19'
A.
D-12
Site Reconnaissance and Schematic Destgns for Identified Town Catch Basins
Site Reconnaissance
The Contractor or its consultant(s) shall conduct s~te-specific reconnaissance, in
preparation for design. Work shall include, at a minimum, identification and mapping of
the following:
Site survey showing extent of project boundary
Ownersh~p/grant/lease status of all lands to be incorporated into the design
Manmade structures, buildings, or facilities on or adjacent to the site
Above and below ground infrastructure, including stormwater treatment
structures
Adjacent land and water uses
Historic and archeological resources
Soil and, as appropriate, core sampling to determine site stability
Topography and hydrology
Natural resources, including location of mature trees
Analysis of site constraints, needs and opportunities
Products'
Map(s) and written summary describing the above information and any
other appropriate information identified during the project kink-off
meeting
Schematm Designs
The Contractor or its consultant(s) shall prepare alternative schematic designs of the
facility or facihties, considering and including a summary of the following:
Best management practtces to be employed to avoid or reduce water quahty
impairments from upland rnnoff or in-water activities, and
Impacts, if any, to State designated Significant Coastal Fish and Wildlife Habitat
areas, Scenic Areas of Statewide Significance, other Coastal Management
Program spemal management areas, or other senmttve resources, and how those
impacts should be avoided or mitigated.
Unless otherwise specified during the project lock-off meeting, the Contractor or its
consultant(s) shall prepare a minimum of throe alternative schematic designs for remew
by the project advisory committee and the Department.
In consultation with the Department and the project advisory committee, the Contractor
shall select one of the alternative schematic designs as the basis for final design and
engineering/construction plans and specifications, or shall work with the consultant(s) to
develop a final schematic design incorporating elements of or building upon the
alternative schematic designs.
D-13
Final design and engineering/construction plans and specifications shall be prepared
based on the selected schematic design,
Products: Alternative schematic designs Schematic design alternative selected.
Task 20: Construction Requirement Analysis
The Contractor or its consultant(s) shall prepare an analysis of all federal, state and local
requirements for the selected schematic design altemaUve, including necessary pernuts and
approvals, and a description of how these requirements will be satisfied by the design. This
analysis shall be submitted to appropriate project partners and the Department for review A pre-
permitting meeting with the Department and the identified federal, state and local entities may be
required to discuss any revisions needed to satisfy regulatory requirements. Work on final
design shall not proceed prior to the Department approval of the construction reqmrement
analysis and the pre-permitting meeting, if necessary.
Products:
Written construction requirement analysis. Pre-pemntting meeting with
identified entities.
Task 21: Environmental Quality Review
The Contractor or its consultant(s) shall prepare all documents necessary to comply with the
State Environmental Quality Review Act (SEQRA) through determination of significance, Ifa
positive declaration is made, a Draft Environmental Impact Statement shall be prepared
Products: SEQRA documents and, if necessary, a Draft Environmental Impact Statement.
Task 22. Draft Final Design
The Contractor or its consultant(s) shall prepare a draft final design based on the selected
schematic design alternative The draft fmal design shall include all required maps, tables, data,
written discussions, and other information identified in the contract and subcontract work plans
and during the project kick--off meeting. The draft final design shall be provided to the
Department and the project advisory committee for review at least two weeks prior to the due
date for comments Department comments must be addressed to the satisfaction of the
Department in subsequent revisions of the products and the final design.
Products: Draft final design and supporting materials.
Task 23. Final Design and Construction Documents
The Contractor or its consultant(s) shall prepare the final design and construction drawings,
plans, specifications, and cost estimates. The final design and construction documents shall be
provided to the Department and the project advisory committee for review at least two weeks
prior to the due date for comments Final design and construction documents are subject to
approval by the Department.
D-14
These documents must be certified by a hcensed professional engineer, architect, or landscape
architect and thc appropriate seal must be affixed to these documents
Products.
Final design and construction documents, certified by a licensed professional
engineer, architect or landscape architect.
Task24: Permits
After the final design and construction documents have been approved by the Department, the
Contractor or its consultant(s) shall prepare the necessary permit or other approval applications
and obtain the required permits or approvals. A pre-application meeting with the Department
and the appropriate federal, state and local regulatory authorities may be required to discuss the
necessary permit or other approvaI applications Prior to filing, the Contractor or its
consultant(s) shall submit all applications to the Department for review and comment
Potential permitting and approval agencies include but are not hmited to'
federal agencies such as the United States Army Corps of Engmeets;
the Department, pursuant to the consistency provlsmns of the federal Coastal Zone
Management Act;
other New York State agencies such as the Department of Environmental Conservation;
the Office of General Services pursuant to the Public Lands Law, or similar authorization
from the Power Authority (in certain areas of the St. Lawrence Seaway) or Canal
Authority (in the State Canal System), in order to use or occupy certain State-owned
lands or waters overlying those lands; and the Office of Parks, Recreation, and Historic
Preservation or the State Historic Preservation Officer. and
agencies of a county, city. town, village, or special purpose district, including but not
limited to: town boards, boards of trustees, or city councils; planning commissions,
boards or departments; and/or braiding or health officials.
Prior to construction the Contractor or its consultant(s) shall also demonstrate that the project is
in compliance with 6 NYCRR Part 502, "Floodplain Management Criteria For State Projects" by
obtaining a floodplain development pernut, if local regulations establish such requirements, or by
submitting a signed certification, by an official authorized to enforce local floodplain
management mgnlations, that the project complies with the requirements of the statute.
Copies of all required permits and approvals shall be submitted to the Department upon receipt.
Products: All required permits and approvals received. Written certification of compliance
with floodplain management regulations, if applicable
D-15
Task 25. Bid Process and Selection of Construction Subcontractor
After the final design and construction documents have been approved by the Department, the
Contractor or its consultant(s) shall prepare and distribute a bid invitation to select a construction
subcontractor or subcontractors. Prior to distributing the bid invitation, the Contractor or its
consultant(s) shall submit the bid invitation to the Department for review and comment
The Contractor or its consultant(s) shall select the construction subcontractor(s) fi'om the bid
respondents and shall prepare a draft contract or contract(s) to conduct the work with the
selected construction subcontractor(s). The contract(s) shall contain a detailed work plan with
adequate opportunity for review at appropriate stages of project completion, a payment schedule
(payments should be tied to project milestones), and a project cost The Contractor must certify
to the Department that applicable public bidding procedures of General Mtmlcipal Law were
followed for the selection of all construction or other subcontractors
The Contractor shall submit the dra~ subcontract(s) to the Department for review and approval,
and shall incorporate the Department's comments in the final subcontract(s). A copy of the final,
executed subcontract(s) shall be submitted to the Department.
Products:
Executed constmction subcontract(s). Written certification of procurement
procedures.
Task 26: Installation of Project Sign
The Contractor shall install a sign satisfactory to the Department identifying the Department's
funding of the project The project sign shall remain in place for the useful hfe of the
improvements undertaken To assist communities in fulfilling this requirement, the Department
has developed an attractive low cost informational sign. A Sign Order Form is available upon
request from the Department.
Products:
Department approved sign design, and photo-documentation that sign is mstalled
in project area.
Task 27: Construction
After receipt of all necessary permits, the Contractor or its construction subcontractor(s) may
begin construction work according to the final design and construction documents. The
Contractor or its subcontractor(s) shall notify the Department monthly (or more frequently) in
writing of work progress, including any delays which have occurred. The Contractor or its
consultant(s) shall submit permdic payment requests to the Department tied to project milestones
identified in contract and subcontract work plans or during the project kick-off meeting. After
70% of the work is completed, the progress notification will include a punch list of any
incomplete items and an estimated schedule for project completion
Products. Written work progress reports. Punch list and construction completion
estimates.
D-16
Task 28: Project Completion
Following satisfaction of punch list items, the Contractor or its consultant(s) shall subnut a
statement that the work has been completed in accordance with the contract and subcontract(s),
the final design and construction specifications, and all permit reqttirements. The completion
statement must be prepared and/or certified by a licensed professional engineer, architect or
landscape architect. Unless otherwise specified during project kick-offmeeting, the Contractor
or its consultant(s) shall submit three copies of as-built plans, certified by a licensed professional
engineer, architect or landscape architect. When the Contractor is satisfied work is complete, it
shall submit a final project report to the Department, including a copy of the completion
statement and a copy of the As-Bruit Plans and photo-documentation in the form of digital
images of the site, prior to, during and upon completion of work.. The Contractor shall not pay
its consultant(s) or subcontractor(s) in full, and shall not submit a final payment request to the
Department, until the Department concurs that the work is complete.
Products'
Statement of completion, certified as-built plans, and final project report
including photo-documentation.
Task 29: Semi-annual Reporting
The Contractor or its consultant(s) shall subrmt to the Department semi-annual reports (every six
months) on the form provided, including a description of the work accomphshed, any problems
encountered, and any assistance needed.
Products: Semi-annual reports dunng the life of the contract.
Task 30: Final Project Summary Report and Measurable Results forms
The Contractor or its consultant(s) shall work with the Department project manager to complete
the Final Project Summary Report and Measurable Results forms. Final payment shall not be
authorized until these forms have been completed and filed with project deliverables.
Products' Completed Final Project Summary Report and Measurable Results forms.
5. Project Management Responsibilities
The Contractor shall administer the grant, execute a contract with the Department, and ensure the
completion of work in accordance with the approved Work Plan. Unless otherwise specified in the
Project Description or under Project Components, the Contractor and/or its approved consultant(s) or
subcontractor(s) shall conduct all work as descrthed in the component tasks.
The Contractor:
will be responsible for conducting all project work in conformance with the Work Plan included
in the executed contract with the Department
will be responsible for ali project activities including drafting request for proposals and
managing subcontracts with consultants and subconsultants.
D47
will certify to the Department that the procurement record for project consultants and
subcontractors complies with the apphcable provisions of Oeneral Municipal Law.
wtil receive approval from the Department for any and ail consultant subcontracts before
beginning project work
will be responsible for submission of all products and payment requests,
wall be responsible for coordinating participation and solicmng comments from local government
persoxmel, project volunteers, and the public.
will keep the Department reformed of all ~mportant meetings for the duration of th~s contract.
will receive approval from the Department before purchase of any equipment.
will secure all necessary permits and perform all required environmental reviews.
will ensure that all materials printed, constructed, and/or produced reflect the Department logo,
feature the Secretary of State and the Governor, and acknowledge the contributions of the
Departmant to the project.
will ensure that all products prepared as a pan of this agreement shall include the NYS
Comptroller's Contract # as intimated on the Face Page of tl~s Agreement.
will ensure the project objectives are being achieved
will ensure that comments received from the Department and the project advisory committee, or
other advisory group, are satisfactorily responded to and reflected in subsequent work.
will recognize that payments made to consultants or subcontractors covering work earned out or
products produced prior to receiving approval from the Department will not be reimbursed unless
and until the Department finds the work or products to be acceptable
will participate, if requested by the Department, in a training session or sessions focused on
developing and implementing revitalization strategies. The purpose of the training session(s) is
to build knowledge and provide support to community leaders to advance revitalization efforts
and complete priority projects
The Department:
will review and approve or disapprove of subcontracts between the Contractor and consultant(s)
and any other subcontractor(s).
will participate m the project kick-offmeeting and attend meetings that are important to the
project.
wtll review all draft and final products and provide comments as necessary to meet the
objectives.
must approve any and all design, site plato and preconstmction documents before construction
may beg~n
APPENDIX F
NOTICES
1 All not~ces permitted or required hereunder shall be in writing and shall be transmitted either:
(a) via certified or registered United States mall, return receipt requested,
(b) by facsimile transmission;
(c) by personal delivery,
(d) by expedited delivery service, or
(e) by e-mad.
Such notices shall be addressed as follows or to such different addresses as the parties may from time-to-ttme dcs~gt~atu.
State of New York Department of State
Address.
Telephone Number
Facsimile Number:
E-Ma~I Address.
Secretary 1
99 Washington Avenue, Suite 1010
Albany, NY 12231
518-486-9540
518-473 -2464
laurlssa.parent~dos state.ny us
Town of Southold
Address:
Telephone Number:
Facsimile Number.
E-Mall Address
Scott A. Russell
54375 State Route 25
Southold, NY 11971
631-765-1889
631-765-1823
scott russell~tuwn.southold.ny.us
Any such notice shall be deemed to have been given either at the time of personal dehvery or, in the case of expedited delivery
service or certified or registered United States mad, as of the date of first attempted delivery at the address and in the manner
provided herein, or In the case of facsimile transmission or emad, upon receipt
The parties may, from time to time, specify any new or different address in the Umted States as their address for purpose of
receiving notice under th~s Agreement by giving fifteen (15) days written notice to the other party sent m accordance herewith.
The parties agree to mutually designate individuals as their respective representatives for the purposes of receiving nottces under
th~s Agreement. Addmonal mdiwduals may be designated in writing by the parties for purposes of tml)lementatton and
admmlsttatlon/bilhng, resolving issues and problems and/or for d~spute resolution.
APPENDIX X
MODIFICATION AGREEMENT FORM
Agency Code 19000/DOS01
Contract Period: to
Contract Number' C007079
Funding for Period: $0.00
This is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Department of State,
having its principal office in Albany, New York (hereinafter referred to as the STATE), and Town of Southold (hereinafter referred to
as the CONTRACTOR), for moditicahon of the contract number noted above, as amended herein and noted below
Type of contract modification.
Renewal: Revised total contract value $
No cost time extension
Amendment
Attached Appendices,
(renewals only)
All other provismns of said AGREEMENT shall remain m full force and effect
IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as of the dates appearing under their signatures
CONTRACTOR SIGNATURE NYS DEPARTMENT OF STATE
By By,
(print name) (print name)
T~6e: Title:
Date. Date
State of New York)
County of
On this day of
.... in the year 20 ...... before me personally appeared
, to me known and known to me to be the person who is the of
-- __, the orgamzatton described in and which executed the above instrument, and that he/she
has the authority to sign on behalf of said organization, and that he/she executed the foregoing agreement for and on behalf of said
orgamzat~on
NOTARY PUBLIC
ATTORNEY GENERAL'S SIGNATURE'
STATE COMPTROLLER'S SIGNATURE,
By By
Da~ Date:
Project Status Form
RECIPIENT
PROJECT TITLE
CONTRACT#
Status Report Date:
* ~ See guidelines on reverse side for completing this form ~ ~
Task Brief Task Percent of Date of Product Submitted
# Description Completion A/T Completion Task Accomplishments to DOS
NOTE: Enter information into the boxes above. Pushing tab to move from box to box will insert additional rows.
ADJUSTMENTS - Please indicate proposed adjustment(s) to work program/schedule, reason(s) for the proposed
adjustment(s), and any other problems encountered during this reporting period:
Person to contact if we have questions about the information provided on this form:
Name: Email Address:
Title: Affiliation:
Phone: Fax:
Status Form 060310.doc
SUBMIT TO:
New York State Department of State
FORM F Office of Affirmative Action Programs
MWBE Quarterly Report 99 Washington Ave., Ste. 1150
Albany, New York 12231
NYS DOS Contract No.
The following information indicates the payment amounts made by the grantee/contractor to the NYS Certified M/VVBE subcontractor on this project.
The payments as shown made are in compliance with contract documents for the above referenced project.
Contractors Name and Address Federal ID# Goals/$ Amt. ( )
MBE 10%=
WBE 10%= Telephone Number
Program Work Location Reporting Period:
1 st Quarter (4/1-6/30) __ 3rd Quarter (10/1-12/31)
2nd Quarter (7/1-9/30) __ 4th Quarter (1/1-3/31)
MWBE Description of Total Subcontractor Payments this Quarter Comments
Subcontractor/Vendor Service/Product Contract Amount
MBE WBE MBE WBE
Name:
FED ID~
Name:
FED ID~
Name:
FED ID~
Name:
FED ID~
Total
Date Name Title Signature
Failure to submit this form will result in non-compliance
FORM C
WORK FORCE EMPLOYMENT UTILIZATION
Contract No.: Reporting Entity: Reporting Period:
[] Contractor [] January 1, 20 - March 31, 20
[] Subcontractor [] April 1, 20 - June 30, 20
[] July 1, 20 -September 30, 20
[] October 1, 20 - December 31, 20
Contractor's Name:
Report includes:
Contractor's Address: [] Work force to be utilized on this contract
[] Contractor/Subcontractor's total work force
Enter the total number of employees in each classification in each of the EEO-Job Categories identified.
Work force by Work force by
Gender Race/Ethnic Identification
EEO-Job Category Total Male Female White Black Hispanic Asian Native Disabled Veteran
Work (M) (F) (M) (F) (M) (F) (M) (F) (M) (F) American (M) (F) (M) (F)
force (M) (F)
Officials/Administrators
Professionals
Technicians
Sales Workers
OfficelClerical
Craft Workers
Laborers
Service Workers
Temporary
IApprentices
Totals
PREPARED BY (Signature): TELEPHONE NO.: DATE:
EMAIL ADDRESS:
NAME AND TITLE OF PREPARER (Print or Type): Submit completed form to:
NYS Department of State
Office of Affirmative Action Programs
99 Washington Ave, Ste. 1150
Albany, NY 12231
General Instructions: The work force utilization (FORM C) is to be submitted on a quarterly basis during the life of the contract to report the actual work force
utilized in the performance of the contract broken down by the specified categories. When the work force utilized in the performance of the contract can be
separated out from the contractor's and/or subcontractor's total work force, the contractor and/or subcontractor shall submit a Utilization Report of the work force
utilized on the contract. When the work force to be utilized on the contract cannot be separated out from the contractor's and/or subcontractor's total work force,
information on the total work force shall be included in the Utilization Report. Utilization reports are to be completed for the quarters ended 3/3'1, 6/30, 9/30 and
'12/3'1 and submitted to the MWBE Program Management Unit within '15 days of the end of each quarter. If there are no changes to the work force utilized on the
contract during the reporting period, the contractor can submit a copy of the previously submitted report indicating no change with the date and reporting period
updated.
Instructions for completin[l:
Enter the number of the contract that this report applies to along with the name and address of the Contractor preparing the report.
2. Check off the appropriate box to indicate if the entity completing the report is the contractor or a subcontractor.
3. Check off the box that corresponds to the reporting period for this report.
4. Check off the appropriate box to indicate if the work force being reported is just for the contract or the Contractor's total work force.
5. Enter the total work force by EEO job category.
6. Break down the total work force by gender and enter under the heading 'Work force by Gender'
7. Break down the total work force by race/ethnic background and enter under the heading 'Work force by Race/Ethnic Identification'. Contact the Office of
Affirmative Action Programs at (5'15) 473-2507 if you have any questions.
$. Enter information on any disabled or veteran employees included in the work force under the appropriate heading.
9. Enter the name, title, phone number and email address for the person completing the form. Sign and date the form in the designated boxes.
RACE/ETHNIC IDENTIFICATION
Race/ethnic designations as used by the Equal Employment Opportunity Commission do not denote scientific definitions of anthropological origins. For the
purposes of this report, an employee may be included in the group to which he or she appears to belong, identifies with, or is regarded in the community as
belonging. However, no person should be counted in more than one race/ethnic group. The race/ethnic categories for this survey are:
· WHITE (Not of Hispanic origin) All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East.
· BLACK a person, not of Hispanic origin, who has origins in any of the black racial groups of the original peoples of Africa.
· HISPANIC a person of Mexican, Puerto R/can, Cuban, Central or South American or other Spanish culture or origin, regardless of race.
· ASIAN & PACIFIC a person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent or the Pacific Islands.
ISLANDER
NATIVE INDIAN (NATIVE a person having origins in any of the original peoples of North America, and who maintains cultural identification through tribal
AMERICAN/ALASKAN affiliation or community recognition. NATIVE)
OTHER CATEGORIES
· DISABLED INDIVIDUAL
· VIETNAM ERAVETERAN
· GENDER
any person who: has a physical or mental impairment that substantially limits one or more major life activity(/es)
has a record of such an impairment; or
is regarded as having such an impairment.
a veteran who served at any time between and including January 1, 1963 and May 7, 1975.
Male or Female