HomeMy WebLinkAboutDike Rehab Project RESOLUTION 2014-960
ADOPTED DOC ID: 10342
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO.2014-960 WAS
ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON
DECEMBER 16,2014:
RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs
Supervisor Scott A. Russell to execute Contract#C-011659 between the Town of Southold and
the New York State Department of Agriculture and Markets relating to the State's
reimbursement of 25%of the cost of the Dike Rehabilitation Project in the sum of$389,079.00,
subject to the approval of the Town Attorney.
dA
^2 .'fA
Elizabeth A.Neville
Southold Town Clerk
RESULT: ADOPTED [UNANIMOUS)
MOVER: Jill Doherty, Councilwoman
SECONDER:William P. Ruland, Councilman
AYES: Ghosio,Dinizio Jr,Ruland,Doherty,Evans, Russell
MARTIN D.FINNEGAN SCOTT A.RUSSELL
TOWN ATTORNEY Supervisor
martin.finnegan@town.southold.ny.us *QF Sol,
STEPHEN F.KIELY ,`O �ji Town Hall Annex, 54375 Route 25
ASSISTANT TOWN ATTORNEY P.O. Box
stephen.kiely@town.southold.ny.us y Southold,New Yorkk 1111971-0959
LORI M.HULSE
Telephone(631) 765-1939
��
ASSISTANT TOWN ATTORNEY Facsimile(631) 765-6639
�CO
lori.hulse@town.southold.ny.us '
OFFICE OF THE TOWN ATTORNEY
TOWN OF SOUTHOLD
RECEIVED
December 17, 2014
DEC 1 8 2014
Ms.Judy Giovannetti Southold Town Clerk
Contract Management Specialist II
NYS Department of Agriculture and Markets
1013 Airline Drive
Albany, NY 12235
Re: Repair of Protective Dikes Damaged by Superstorm Sandy
Contract#C-011659
Dear Ms. Giovannetti:
With respect to the referenced matter, I am enclosing one complete copy of the
Agreement as well as five (5) signature pages, which have been executed by Supervisor
Russell. Also enclosed are the required insurance certificates as well as the Town's
resolution authorizing Supervisor Russell to sign said Contract.
Kindly provide the undersigned with a fully executed original Contract when
available.
If you have any questions regarding the enclosed, please do not hesitate to call
me. Thank you for your attention.
Very truly yours,
XyvnlKrauza
Secretary to the Town Attorney
Ak
Enclosures
cc: Elizabeth A. Neville, Town Clerk
John Cushman, Comptroller
Michael Collins, Town Engineer
IN WITNESS THEREOF,the parties hereto have executed or approved this Master Contract on the dates below
their si atures.
CONTRACTOR: STATE AGENCY:
Town of Southold NYS Department of Agriculture and Markets
PO Box 1179 1 O Airline Drive
Southold,NY 1197 Albany,New York 12235
By: By:
Printed Name Printed Name
Title: Title:
Date'-- �a?— Date:
STATE OF NEW YORK
County of s K
On the eday of&CPM er._ '4gd before me personally appeared tome
known,who being by me duly sworn,did depose and saythat hell* resides at that
he/4e is the o r- of the contractor
described herein4Wch executed the foregoing instrument;and that heAiv-signed his/Jw name thereto as
authorized by th tractor named on the face page of this Master Contract.
CHRISTMFOSM
(Notary) Pubi StOW a NOW Y
No,01FO6177911
SuffolkOMW
DOW Wmvt er 19,20�
ATTORNEY GENERAL'S SIGNATURE STATE COMPTROLLER'S SIGNATURE
Printed Name Printed Name
Title: Title:
Date: Date:
Contract Number:#CO 11659
Page 1 of 1,Master Contract for Grants Signature Page
STATE OF NEW YORK MASTER CONTRACT FOR GRANTS FACE PAGE
STATE AGENCY(Name&Address): BUSINESS UNIT/DEPT.ID: AGM01/3000000
NYS Department of Agriculture and Markets CONTRACT NUMBER: C011659
I OB Airline Drive
Albany,NY 12235 CONTRACT TYPE:
❑Multi-Year Agreement
❑ Simplified Renewal Agreement
❑✓ Fixed Term Agreement
CONTRACTOR SFS PAYEE NAME: TRANSACTION TYPE:
Town of Southold New
❑Renewal
❑ Amendment
CONTRACTOR DOS INCORPORATED NAME: PROJECT NAME:
Town of Southold Repair of Protective Dikes Damaged by
Superstorm Sandy
CONTRACTOR IDENTIFICATION NUMBERS: AGENCY IDENTIFIER:
NYS Vendor ID Number: 1000000876
Federal Tax ID Number:
DUNS Number(if applicable): CFDA NUMBER(Federally Funded Grants Only):
CONTRACTOR PRIMARY MAILING ADDRESS: CONTRACTOR STATUS:
PO Box 1179 For Profit
Southold,NY 11971 Municipality,Code:
Tribal Nation
CONTRACTOR PAYMENT ADDRESS: ❑ Individual
Q Check if same as primary mailing address ❑Not-for-Profit
Charities Registration Number:
CONTRACT MAILING ADDRESS: Exemption Status/Code:
Z Check if same as primary mailing address
❑Sectarian Entity
Contract Number:# CO 11659
Page 1 of 2
Master Grant Contract,Face Page
STATE OF NEW YORK MASTER CONTRACT FOR GRANTS FACE PAGE
CURRENT CONTRACT TERM: CONTRACT FUNDING AMOUNT
(Multi-year -enter total projected amount of the
From: 12/18/2013 To: 12/31/2014 contract;Fixed Term/Simplified Renewal -enter
CURRENT CONTRACT PERIOD: current period amount):
CURRENT: $389,079
From: 12/18/2013 To: 12/31/2014
AMENDED:
AMENDED TERM:
From: To: FUNDING SOURCE(S)
m State
AMENDED PERIOD: ❑Federal
❑Other
From: To:
FOR MULTI YEAR AGREEMENTS ONLY -CONTRACT PERIOD AND FUNDING AMOUNT:
(Out years represent.projected funding amounts)
# CURRENT PERIOD CURRENT AMOUNT AMENDED PERIOD AMENDED AMOUNT
1
2
3
4
5
ATTACHMENTS PART OF THIS AGREEMENT:
m Attachment A: m A-1 Program Specific Terms and Conditions
❑ A-2 Federally Funded Grants and Requirements Mandated
by Federal Laws
❑ Attachment B: ❑ B-1 Expenditure Based Budget B-2 Performance Based Budget
❑ B-3 Capital Budget ❑ B-4 Net Deficit Budget
❑ B-1(A)Expenditure Based Budget(Amendment)
❑ B-2(A)Performance Based Budget(Amendment)
❑ B-3(A) Capital Budget(Amendment)
[] B-4(A)Net Deficit Budget(Amendment)
❑ Attachment C: Work Plan
[�Attachment D: Payment and Reporting Schedule
m Other: B-5 Budget;C-1 Plan of Work
Contract Number:#.CO 11659
Page 2 of 2
Master Grant Contract,Face Page
STATE OF NEW YORK
MASTER CONTRACT FOR GRANTS
This State of New York Master Contract for Grants (Master Contract) is hereby made by and between
the State of New York acting by and through the applicable State Agency(State)and the public or private entity
(Contractor)identified on the face page hereof(Face Page).
WITNESSETH:
WHEREAS, the State has the authority to regulate and provide funding for the establishment and
operation of program services,.design or the execution and performance of construction projects, as applicable
and desires to contract with skilled parties possessing the necessary resources to provide such services or work,
as applicable;and
WHEREAS,the Contractor is ready,willing and able to provide such program services or the execution
and performance of construction projects and possesses or can make available all necessary qualified personnel,
licenses, facilities and expertise to perform or have performed the services or work, as applicable, required
pursuant to the terms of the Master Contract;
NOW THEREFORE, in consideration of the promises,responsibilities,and covenants herein,the State
and the Contractor agree as follows:
STANDARD TERMS AND CONDITIONS
I. GENERAL PROVISIONS
A. Executory Clause: In accordance with Section 41 of the State Finance Law,the State shall have
no liability under the Master Contract to the Contractor, or to anyone else, beyond funds
appropriated and available for the Master Contract.
B. Required Approvals: In accordance with Section 112 of the State Finance Law (or, if the
Master Contract is with the State University of New York(SUNY) or City University of New York
(CUNY), Section 355 or Section 6218 of the Education Law), if the Master Contract exceeds
$50,000 (or$85,000 for contracts let by the Office of General Services, or the minimum thresholds
agreed to by the Office of the State Comptroller(OSC) for certain SUNY and CUNY contracts), or
if this is an amendment for any amount to a contract which, as so amended, exceeds said statutory
amount including, but not limited to, changes in amount, consideration, scope or contract term
identified on the Face Page(Contract Term), it shall not be valid, effective or binding upon the State
until it has been approved by, and filed with, the New York Attorney General Contract Approval
Unit(AG)and OSC.If, by the Master 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, and filed with, the AG and
OSC.
Budget Changes: An amendment that would result in a transfer of funds among program
activities or budget cost categories that does not affect the amount, consideration, scope or'other
terms of such contract may be subject to the approval of the AG and OSC where the amount of
such modification is, as a portion of the total value of the contract, equal to or greater than ten
percent for contracts of less than five million dollars, or five percent for contracts of more than
Contract Number:#CO 11659 .
Page 1 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
five million dollars; and, in addition, such amendment may be subject to prior approval by the
applicable State Agency as detailed in Attachment D(Payment and Reporting Schedule).
C. Order of Precedence:
In the event of a conflict among (i) the terms of the Master Contract (including any and all
attachments and amendments) or (ii) between the terms of the Master Contract and the original
request for proposal, the program application or other attachment that was completed and
executed by the Contractor in connection with the Master Contract, the order of precedence is as
follows:
1. Standard Terms and Conditions
2. Modifications to the Face Page
3. Modifications to Attachment A-21,Attachment B,Attachment C and Attachment D
4. The Face Page
5. Attachment A-22,Attachment B,Attachment C and Attachment D
6. Modification to Attachment A-1
7. Attachment A-1
8. Other attachments, including, but not limited to, the request for proposal or program
application
D. Funding: Funding for the term of the Master Contract shall not exceed the amount specified as
"Contract Funding Amount" on the Face Page or as subsequently revised to reflect an approved
renewal or cost amendment. Funding for the initial and subsequent periods of the Master Contract
shall not exceed the applicable amounts specified in the applicable Attachment B form(Budget).
E. Contract Performance: The Contractor shall perform all services or work, as applicable, and
comply with all provisions of the Master Contract to the satisfaction of the State. The Contractor
shall provide services or work, as applicable, and meet the program objectives summarized in
Attachment C (Work Plan) in accordance with the provisions of the Master Contract,relevant laws,
rules and regulations, administrative,program and fiscal guidelines, and where applicable, operating
certificate for facilities or licenses for an activity or program.
F. Modifications: To modify the Attachments or Face Page,the parties mutually agree to record, in
writing, the terms of such modification and to revise or complete the Face Page and all the
' To the extent that the modifications to Attachment A-2 are required by Federal requirements and conflict with other provisions of
the Master Contract,the modifications to Attachment A-2 shall supersede all other provisions of this Master Contract. See Section
I(V),
2 To the extent that the terms of Attachment A-2 are required by Federal requirements and conflict with other provisions of the Master
Contract,the Federal requirements of Attachment A-2 shall supersede all other provisions of this Master Contract. See Section I(V).
Contract Number:#CO 11659
Page 2 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
appropriate attachments in conjunction therewith. In addition, to the extent that such modification
meets the criteria set forth in Section I.B herein, it shall be subject to the approval of the AG and
OSC before it shall become valid, effective and binding upon the State. Modifications that are not
subject to the AG and OSC approval shall be processed in accordance with the guidelines stated in
the Master Contract.
G. Governing Law: The Master Contract shall be governed by the laws of the State of New York
except where the Federal Supremacy Clause requires otherwise.
H. Severability: Any provision of the Master Contract that is held to be invalid, illegal or
unenforceable in any respect by a court of competent jurisdiction, shall be ineffective.only to the
extent of such invalidity, illegality or unenforceability, without affecting in any way the remaining
provisions hereof, provided, however, that the parties to the Master Contract shall attempt in good
faith to reform the Master Contract in a manner consistent with the intent of any such ineffective
provision for the purpose of carrying out such intent. If any provision is held void, invalid or
unenforceable with respect to particular circumstances, it shall nevertheless remain in full force and
effect in all other circumstances.
L Interpretation: The headings in the Master Contract are inserted for convenience and reference
only and do not modify or restrict any of the provisions herein. All personal pronouns used herein
shall be considered to be gender neutral. The Master Contract has been made under the laws of the
State of New York, and the venue for resolving any disputes hereunder shall be in a court of
competent jurisdiction Qf the State of New York.
J. Notice:
1. All notices, except for notices of termination, shall be in writing and shall be transmitted
either:
a) by 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.
2. Notices to the State shall be addressed to the Program Office designated in Attachment A-1
(Program Specific Terms and Conditions).
3. Notices to the Contractor shall be addressed to the Contractor's designee as designated in
Attachment A-1 (Program Specific Terms and Conditions).
4. 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 e-mail,upon receipt.
Contract Number:#_CO 11659
Page 3 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
5. The parties may, from time to time, specify any new or different e-mail address, facsimile
number or address in the United States as their address for purpose of receiving notice under the
Master Contract by giving fifteen(15)calendar days prior written notice to the other party sent in
accordance herewith. The parties agree to mutually designate individuals as their respective
representatives for the purposes of receiving notices under the Master Contract. Additional
individuals may be designated in writing by the parties for purposes of implementation,
administration, billing and resolving issues and/or disputes.
X Service of Process: In addition to the methods of seryice 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. The Contractor shall have thirty (30) calendar days after
service hereunder is complete in which to respond.
L. 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-ofd any moneys due to the Contractor under the Master Contract up to any amounts
due and owing to the State with regard to the Master Contract, any other contract with any State
department or agency, including any contract for a term commencing prior to the term of the Master
Contract, plus any amounts due and owing to the State for any other reason including, without
limitation, tax delinquencies, fee delinquencies, or monetary penalties relative thereto. The State
shall exercise its set-off rights in accordance with normal State practices including, in cases of set-
off pursuant to an audit, the finalization of such audit by the State Agency, its representatives, or
OSC.
IVL Indemnification: 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 Master.
Contract. The Contractor shall indemnify and hold harmless the State and .its officers and
employees from claims, suits, actions, damages and cost of every nature arising out of the provision
of services pursuant to the Master Contract.
N. Non-Assignment Clause: In accordance with Section 138 of the State Finance Law,the Master
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 shall be considered to be 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 State Agency.and with the concurrence of OSC, where
the original contract was subject to OSC'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 the merged 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 the Master Contract concerns Certificates of
Participation pursuant to Article 5-A of the State Finance Law.
Contract Number:#CO 11659
Page 4 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
O. Legal Action: No litigation or regulatory action shall be brought against the State of New York,
the State Agency, or against any county or other local government entity with funds provided under
the Master Contract. The term "litigation"shall include commencing or threatening to commence a
lawsuit,joining or threatening to join as a party to ongoing litigation, or requesting any relief from
any of the State of New York, the State Agency, or any county, or other local government entity.
The term "regulatory action" shall include commencing or threatening to commence a regulatory
proceeding, or requesting any regulatory relief from any of the State of New York,the State Agency,
or any county, or other local government entity.
P. No Arbitration: Disputes involving the Master Contract, including the breach or alleged breach
thereon 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.
Q. Secular Purpose: Services performed pursuant to the Master Contract 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.
R. Partisan Political Activity and Lobbying: Funds provided pursuant to the Master Contract
shall not be used for any partisan political activity, or for activities that attempt to influence
legislation or election or defeat of any candidate for public office.
S. Reciprocity and Sanctions Provisions: The Contractor,is hereby notified that if its 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 it offers shall 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 it be denied contracts which
it would otherwise obtain.3
T. Reporting Fraud and Abuse: Contractor acknowledges that it has reviewed information on
how to prevent, detect, and report fraud, waste and abuse of public funds, including information
about the Federal False Claims Act, the New York State False Claims Act, and whistleblower
protections.
U. Non-Collusive Bidding: By submission of this bid, the Contractor and each person signing on
behalf of the Contractor certifies, and in the case of a joint bid each party thereto certifies as to its
own organization,under penalty of perjury,that to the best of his or her knowledge and belief that its
bid was arrived at independently and without collusion aimed at restricting competition. The
Contractor fluther affirms that, at the time the Contractor submitted its bid, an authorized and
responsible person executed and delivered to the State a non-collusive binding certification on:the
Contractor's behalf.
V. Federally Funded Grants and Requirements Mandated by Federal Laws: All of the
Specific Federal requirements that are applicable to the Master Contract are identified in Attachment
A-2 (Federally Funded Grants and Requirements Mandated by Federal Laws)hereto. To the extent
3 A of October 9, 2012, the list of discriminatory jurisdictions subjoct to this provision includes the states of Alaska, Hawaii,
Louisiana,South Carolina,West Virginia and Wyoming. Contact NYS Department of Economic Development for the most current
list of jurisdictions subject to this provision.
Contract Number:#_C011659
Page 5 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
that the Master Contract is funded, in whole or part, with Federal funds or mandated by Federal
laws, (i)the provisions of the Master Contract that conflict with Federal rules,Federal regulations,or
Federal program specific requirements shall not apply and (ii) the Contractor agrees to comply with
all applicable Federal rules,regulations and program specific requirements including, but not limited
to,those provisions that are set forth in Attachment A-2(Federally Funded Grants and Requirements
Mandated by Federal Laws)hereto.
H. TERM,TERMINATION AND SUSPENSION
A. Term: The term of the Master Contract shall be as specified on the Face Page, unless
terminated sooner as provided herein.
B. Renewal:
1. General Renewal. The Master Contract may consist of successive periods on the same terms
and conditions, as specified within the Master Contract (a "Simplified Renewal Contract'.
Each additional or superseding period shall be on the forms specified by the State and shall be
incorporated in the Master Contract.
2. Renewal Notke to Not for-Profit Contractors:
a) Pursuant to State Finance Law §179-t, if the Master Contract is with a not-for-profit
Contractor and provides for a renewal option, the State shall notify.the Contractor of the
State's intent to renew or not to renew the Master Contract no later than ninety(90) calendar
days prior to the end of the term of the Master Contract, unless funding for the renewal is
contingent upon enactment of an appropriation. If funding for the renewal is contingent upon
enactment of an appropriation, the State shall notify the Contractor of the State's intent to
renew or not to renew the Master Contract the later of. (1)ninety(90)calendar days prior to
the end of the term of the Master Contract, and (2) thirty (30) calendar days after the
necessary appropriation becomes law. Notwithstanding the foregoing, in the event that the
State is unable to comply with the time frames set forth in this paragraph due to unusual
circumstances beyond the control of the State ("Unusual Circumstances"), no payment of
interest shall be due to the not-for-profit Contractor. For purposes of State Finance Law
§179-t, "Unusual Circumstances" shall not mean the failure by the State to (i) plan for
implementation of a program, (ii) assign sufficient staff resources to implement a program,
(iii) establish a schedule for the implementation of a program or (iv) anticipate any°other
reasonably foreseeable circumstance.
b) Notification to the not-for-profit Contractor of the State's intent to not renew the Master
Contract must be in writing in the form of a letter, with the reason(s) for the non-renewal
included. If the State does not provide notice to the not-for-profit Contractor of its intent not
to renew the Master Contract as required in this Section and State Finance Law §179-t, the
Master Contract shall be deemed continued until the date the State provides the necessay
notice to the Contractor, in accordance with State Finance Law§179-t. Expenses incurred by
the not-for-profit Contractor during such extension shall be reimbursable under the terms of
the Master Contract.
Contract Number:#C011659
Page 6 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
C. Terminations
1. Grounds:
a) Mutual Consent: The Master Contract maybe terminated at any time,upon mutual written
consent of the State and the Contractor.
b) Cause: The State may terminate the Master Contract immediately, upon written notice of
termination to the Contractor, if the Contractor fails to comply with any of the terms and
conditions of the Master Contract and/or with any laws, rules, regulations, policies, or
procedures that are applicable to the Master Contract.
c) Non-Resnon_sibility: In accordance with the provisions of Sections IV(N)(6) and (7)
herein, the State may make a final determination that the Contractor is non-responsible
(Determination of Non-Responsibility). In such event, the State may terminate the Master
Contract at the Contractor's expense, complete the contractual requirements in any manner
the State deems advisable and pursue available legal or equitable remedies for breach.
d) Convenience: The State may terminate the Master Contract in its sole discretion upon
thirty(30)calendar days prior written notice.
e) Lack of Funds: If for any reason the State or the Federal government terminates or
reduces its appropriation to the applicable State Agency entering into the Master Contract or
fails to pay the full amount of the allocation for the operation of one or more programs
funded under this Master Contract, the Master Contract may be terminated or reduced at the
State Agency's discretion, provided that no such reduction or termination shall apply to
allowable costs already incurred by the Contractor where funds are available to the State
Agency for payment of such costs. Upon termination or reduction of the Master Contract,all
remaining funds paid to the Contractor that are not subject to allowable costs already
incurred by the Contractor shall be returned to the State Agency. In any event, no liability
shall be incurred by the State (including the State Agency) beyond monies available for the
purposes of the Master Contract. The Contractor acknowledges that any funds due to the
State Agency or the State of New York because of disallowed expenditures after audit shall
be the Contractor's responsibility.
0 Force Majeure: The State may terminate or suspend its performance under the Master
Contract immediately upon the occurrence of a"force majeure." For purposes of the Master
Contract, "Force majeure" shall include, but not be limited to, natural disasters, war,
rebellion, insurrection, riot, strikes, lockout and any unforeseen circumstances and acts
beyond the control of the State which render the performance of its obligations impossible.
2. Notice of Termination:
a) ,service of nolo: Written notice of termination shall be sent by:
(i) personal messenger service;or
Contract Number:#CO 11659
Page 7 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
(ii) certified mail,return receipt requested and first class mail.
b) Effective date of termimtion: The effective date of the termination shall be the later of(i)
the date indicated in the notice and (ii) the date the notice is received by the Contractor, and
shall be established as follows:
(i) if the notice is delivered by hand,the date of receipt shall be established by the receipt
given to the Contractor or by affidavit of the individual making such hand delivery
attesting to the date of delivery;or
(ii) if the notice is delivered by registered or certified mail, by the receipt returned from
the United States Postal Service, or if no receipt is returned, five (5) business days from
the date of mailing of the first class letter, postage prepaid, in a depository under the care
and control of the United States Postal Service.
3. Effect of Notice and Termination on State's Payment Obligations:
a) Upon receipt of notice of termination, the Contractor agrees to cancel, prior to the
effective date of any prospective termination, as many outstanding obligations as possible,
and agrees not to incur any new obligations after receipt of the notice without approval by the
State.
b) The State shall be responsible for payment on claims for services or work provided and
costs incurred pursuant to the terms of the Master Contract. In no event shall the State be
liable for expenses and obligations arising from the requirements of the Master Contract after
its termination date.
4. Effect of Termination Based on Misuse or Conversion of State or Federal Property:
Where the Master Contract is terminated for cause based on Contractor's failure to use some or
all of the real property or equipment purchased pursuant to the Master Contract for the purposes
set forth herein,the State may,at its option,require:
a) the repayment to the State of any monies previously paid to the Contractor;or
b) the return of any real property or equipment purchased under the terms of the Master
Contract;or
c) an appropriate combination of clauses(a) and(b)of Section H(C)(4)herein.
Nothing herein shall be intended to limit the State's ability to pursue such other legal or equitable
remedies as may be available.
D. Suspension: The State may, in its discretion, order the Contractor to suspend performance for a
reasonable period of time. In the event of such suspension, the Contractor shall be given a formal
written notice outlining the particulars of such suspension. Upon issuance of such notice, the
Contractor shall comply with the particulars of the notice. The State shall have no obligation to
reimburse Contractor's expenses during such suspension period. Activities may resume at such time
Contract Number:#_CO11,659
Page 8 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
as the State issues a formal written notice authorizing a resumption of performance under the Master
Contract.
III• PAYMENT AND REPORTING
A. Terms and Conditions:
1. In full consideration of contract services to be performed,the State Agency agrees to pay and
the Contractor agrees to accept a sum not to exceed the amount noted on the Face Page.
2. The State has no obligation to make payment until all required approvals, including the
approval of the AG and OSC, if required, have been obtained. Contractor obligations or
expenditures that precede the start date of the Master Contract shall not be reimbursed.
3. Contractor must provide complete and accurate billing invoices to the State in order to receive.
payment.Provided, however,the State may,at its discretion, automatically generate a voucher in
accordance with an approved contract payment schedule. Billing invoices submitted to the State
must contain all information and supporting documentation required by Attachment D (Payment
and Reporting Schedule) and Section III(C) herein. The State may require the Contractor to
submit billing invoices electronically.
4. Payment for invoices submitted by the Contractor shall only be rendered.electronically unless
payment by paper check is expressly authorized by the head of the State Agency, in the sole
discretion of the head of such State Agency, due to extenuating circumstances. Such electronic
payment shall be made in accordance with, OSC's procedures and practices to authorize
electronic payments.
5. If travel expenses are an approved expenditure under the Master Contract, travel expenses
shall be reimbursed at the lesser of the rates set forth in the written standard travel policy of the
Contractor,the OSC guidelines, or United States General Services Administration rates. No out-
of-state travel costs shall be permitted unless specifically detailed and pre-approved by the State.
6. Timeliness of advance payments or other claims for reimbursement, and any interest to be
paid to'Contractor for late payment, shall be governed by Article 11-A of the State Finance Law
to the extent required by law.
7. Article 11-B of the State Finance Law sets forth certain time frames for the Full Execution of
contracts or renewal contracts with not-for-profit organizations and the implementation of any
program plan associated with such contract. For purposes of this section, "Full Execution"shall
mean that the contract has been signed by all parties thereto and has obtained the approval of the
AG and OSC. Any interest to be paid on a missed payment to the Contractor based on a delay in
the Full Execution of the Master Contract shall be governed by Article 11-B of the State Finance
Law.
Contract Number:#_C011659
Page 9 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
B. Advance Payment and Recoupment:
1. Advance payments, which the State in its sole discretion may make to not-for-profit grant
recipients, shall be made and recouped in accordance with State Finance Law Section 179(u),
this Section and the provisions of Attachment D(Payment and Reporting Schedule).
2. Initial advance payments made by the State to not-for-profit grant recipients shall be due no
later than thirty (30) calendar days, excluding legal holidays;after the first day of the Contract
Term or, if renewed, in the period identified on the Face Page. Subsequent advance payments
made by the State to not-for-profit grant recipients shall be due no later than thirty (30) calendar
days, excluding legal holidays, after the dates specified in Attachment D (Payment and
Reporting Schedule).
3. For subsequent contract years in multi-year contracts, Contractor will be notified of the
scheduled advance payments for the upcoming contract year no later than 90 days prior to the
commencement of the contract year. For simplified renewals,the payment schedule(Attachment
D)will be modified as part of the renewal process.
4. Recoupment of any advance payment(s) shall be recovered by crediting the percentage of
subsequent claims listed in Attachment D (Payment and Reporting Schedule) and Section M(C)
herein and such claims shall be reduced until the advance is fully recovered within the Contract
Term. Any unexpended advance balance at the end of the Contract Term shall be refunded by
the,Contractor to the State.
5. If for any reason the amount of any claim is not sufficient to cover the proportionate advance
amount to be recovered, then subsequent claims may be reduced until the advance is fully
recovered.
C. Claims for Reimbursement:
1. The Contractor shall submit claims for the reimbursement of expenses incurred on behalf of
the State under the Master Contract in accordance with this Section and the applicable claiming
schedule in Attachment D(Payment and Reporting Schedule).
Vouchers submitted for payment shall be deemed to be a certification that the payments
requested are for project expenditures made in accordance with the items as contained in the
applicable Attachment B form (Budget) and during the Contract Term. When submitting a
voucher, such voucher shall also be deemed to certify that: (i)the payments requested do not
duplicate reimbursement from other sources of funding;and(ii)the funds provided herein do
not replace funds that, in the absence of this grant, would have been made available by the
Contractor for this program. Requirement(ii) does not apply to grants funded pursuant to a
Community Projects Fund appropriation.
2. Consistent with the selected reimbursement claiming schedule in Attachment D (Payment
and Reporting Schedule),the Contractor shall comply with.the appropriate following provisions:
a) Quarterly Rem ent• The Contractor shall be entitled to receive payments for
work,projects,and services rendered as detailed and described in Attachment C(Work Plan).
Contract Number:#_CO 11659
Page 10 of 26,Master Contract for Grants-Standard Terns and Conditions(August 2014)
The Contractor shall submit to the State Agency quarterly voucher claims and supporting
documentation. The Contractor shall submit vouchers to the State Agency in accordance
with the procedures set forth in Section HI(A)(3)herein.
b) Monthly Reimbursement: The Contractor shall be entitled to receive payments for-work,
projects, and services rendered as detailed and described in Attachment C(Work Plan).
The Contractor shall submit to the State Agency monthly voucher claims and supporting
documentation. The Contractor shall submit vouchers to the State Agency in accordance
with the procedures set forth in Section M(A)(3)herein.
c) Biannual Reimbursement: The Contractor shall be entitled to receive payments for work,
projects,and services rendered as detailed and described in Attachment C(Work Plan).
The Contractor shall submit to the State Agency biannually voucher claims and supporting
documentation. The Contractor shall submit vouchers to the State Agency in accordance
with the procedures set forth in Section III(A)(3)herein.
d) Milestone/Performance Re nb ement•4 Requests for payment based upon an event or
milestone may be either severable or cumulative. A severable event/milestone is
independent of accomplishment of any other event. If the event is cumulative,the successful
completion of an event or milestone is dependent on the previous completion of another
event.
Milestone payments shall be made to the Contractor when requested in a form approved by
the State, and at frequencies and in amounts stated in Attachment D(Payment and Reporting
Schedule). The State Agency shall make milestone payments subject to the Contractor's
satisfactory performance.
e) Fee for Service Re' bursement•5 Payment shall be limited to only those fees specifically
agreed upon in the Master Contract and shall be payable no more frequently than monthlj
upon submission of a voucher by the contractor.
0 Rate Ba edRe�ment:6 Payment shall be limited to rate(s) established in the
Master Contract. Payment may be requested no more frequently than monthly.
g) Scheduled Reimbursement. The State Agency shall generate vouchers at the frequencies
and amounts as set forth in Attachment D (Payment and Reporting Schedule), and service
4 A milestone)performance payment schedule identifies mutually agreed-to payment amounts based on meeting contract events or
milestones. Events or milestones must represent integral and meaningful aspects of contract performance and should signify true
progress in completing the Master Contract effort.
Fee for Service is a rate established by the Contractor for a service or services rendered.
6 Rate based agreements are those agreements in which payment is premised upon a specific established rate per unit.
Scheduled Reimbursement agreements provide for payments that occur at defined and regular intervals that provide for a specified
dollar amount to be paid to the Contractor at the beginning of each payment period(i.e.quarterly,monthly or bi-annually). While
these payments are related to the particular services and outcomes defined in the Master Contract,they are not dependent upon
particular services or expenses in any one payment period and provide the Contractor with a defined and regular payment over the life
of the contract.
Contract Number:#Q 11659
Page 11 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
reports shall be used to determine funding levels appropriate to the next annual contract
period.
h) Interim Reimbursement: The State Agency shall generate vouchers on an interim basis
and at the amounts requested by the Contractor as set forth in Attachment D (Payment and
Reporting Schedule).
i) Fifth Ouarter-FA .nts:8 Fifth quarter payment shall be paid to the Contractor at the
conclusion of the final scheduled payment period of the preceding contract period. The State
Agency shall use a written directive for fifth quarter financing. The State Agency shall
generate a voucher in the fourth quarter of the current contract year to pay the scheduled
payment for the next contract year.
3. The Contractor shall also submit supporting fiscal documentation for the expenses claimed.
4. The State reserves the right to withhold up to fifteen percent(15%)of the total amount of the
Master Contract as security for the faithful completion of services or work, as applicable, under
the Master Contract. This amount may be withheld in.whole or in part from any single payment
or combination of payments.otherwise due under the Master Contract. In the event that such
withheld funds are insufficient to satisfy Contractor's obligations to the State, the State may
pursue all available remedies, including the right of setoff and recoupment.
5. The State shall not be liable for payments on the Master Contract if it is made pursuant to a
Community Projects Fund appropriation if insufficient monies are available pursuant to Section
99-d of the State Finance Law.
6. All vouchers submitted by the Contractor pursuant to the Master Contract shall be submitted
to the State Agency no later than thirty (30) calendar days after the end date of the period for
which reimbursement is claimed. In no event shall the amount received by the Contractor
exceed the budget amount approved by the State Agency, and, if actual expenditures by the
Contractor are less than such sum, the amount payable by the State Agency to the Contractor
shall not exceed the amount of actual expenditures.
7. All obligations must.be incurred prior to the end date of the contract. Notwithstanding the
provisions of Section M(C)(6)above,with respect to the final period for which reimbursement is
claimed, so long as the obligations were incurred prior to the end date of the contract, the
Contractor shall have up to ninety (90) calendar days after the contract end date to make
expenditures; provided, however, that if the Master Contract is funded, in whole or in part,with
Federal funds,the Contractor shall have up to sixty(60)calendar days after the contract end date
to make expenditures.
D.Identifying Information and Privacy Notification:
$Fifth Quarter Payments occurs where there are scheduled payments and where there is an expectation that services will be continued
through renewals or subsequent contracts. Fifth Quarter Payments allow for the continuation of scheduled payments to a Contractor
for the first payment period quarter of an anticipated renewal or new contract.
Contract Number:#C011659
Page 12 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
1. Every voucher or New York State Claim for Payment submitted to a State Agency by the
Contractor, 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 Contractor's
Vendor Identification Number assigned by the Statewide Financial System, and any or all of the
following identification numbers: (i) the:Contractor's Federal employer identification number,
(ii) the Contractor's Federal social security number, and/or (iii) DUNS number. Failure to
include such identification number or numbers may delay payment by the State to the
Contractor. Where the Contractor does not have such number or numbers, the Contractor, on its
voucher or Claim for Payment, must provide the reason or reasons for why the Contractor does
not have such number or numbers.
2. The authority to request the above personal information from a seller of goods or services or
a lessor of real or personal property, and the authority to maintain such information, is found in
Section 5 of the State Tax Law. Disclosure of this information by the seller or lessor to the State
is mandatory. The principle 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. The personal
information is requested by the purchasing unit of the State Agency contracting to purchase.the
goods or services or lease the real or personal property covered by the Master Contract. This
information is maintained in the Statewide Financial System by the Vendor Management Unit
within the Bureau of State Expenditures, Office of the State Comptroller, 110 State Street,
Albany,New York, 12236.
E. Refunds:
1. In the event that the Contractor must make a refund to the State for Master Contract-related
activities, including repayment of an advance or an audit disallowance, payment must be made
payable as set forth in Attachment A-1 (Program Specific Terms and Conditions). The
Contractor must reference the contract number with its payment and include a brief explanation
of why the refund is being made. Refund payments must be submitted to the Designated Refund
Office at the address specified in Attachment A-1 (Program Specific Terms and Conditions).
2. If at the end or termination of the Master Contract, there remains any unexpended balance of
the monies advanced under the Master Contract in the possession of the Contractor, the
Contractor shall make payment within forty-five (45) calendar days of the end or termination of
the Master Contract. In the event that the Contractor fails to refund such balance the State may
pursue all available remedies.
F. Outstanding Amounts Owed to the State:Prior period overpayments(including,but not limited
to, contract advances in excess of actual expenditures) and/or audit recoveries associated with the
Contractor may be recouped against future payments made under this Master Contract to Contractor.
The recoupment generally begins with the first payment made to the Contractor following
identification of the overpayment and/or audit recovery amount. In the event that.there are no
payments to apply recoveries against, the Contractor shall make payment as provided in Section
III(E) (Refunds)herein.
G. Program and Fiscal Reporting Requirements:
Contract Number:#CO 11659
Page 13 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
1. The Contractor shall submit required periodic reports in accordance with the.applicable
schedule provided in Attachment D (Payment and Reporting Schedule). All required reports or
other work products developed pursuant to the Master Contract must be completed as provided
by the agreed upon work schedule in a manner satisfactory and acceptable to the State Agency in
order for the Contractor to be eligible for payment.
2. Consistent with the selected reporting options in Attachment D (Payment and Reporting
Schedule),the Contractor shall comply with the following applicable provisions:
a) If the Expenditure Based Reports option is indicated in Attachment D (Payment and
Reporting Schedule), the Contractor shall provide the State Agency with one or more of the
following reports as required by the following provisions and Attachment D (Payment and
Reporting Schedule)as applicable:
(i) Narrative/Qualitative Report: The Contractor shall submit, on a quarterly basis, not
later than the time period listed in Attachment D (Payment and Reporting Schedule), a
report, in narrative form, summarizing the services rendered during the quarter. This
report shall detail how the Contractor has progressed toward attaining the qualitative
goals enumerated in Attachment C (Work Plan).. This report should address all goals
and objectives of the project and include a discussion of problems encountered and steps
taken to solve them.
(ii) StatisticaYQuantitative Report The Contractor shall submit, on a quarterly basis, not
later than the time period listed in Attachment D (Payment and Reporting Schedule), a
detailed report analyzing the quantitative aspects of the program plan, as appropriate
(e.g., number of meals served, clients transported, patient/client encounters, procedures
performed,training sessions conducted,etc.)
(iii) Expenditure Report: The Contractor shall'submit, on'a quarterly basis, not later than
the time period listed in Attachment D (Payment and Reporting Schedule), a detailed
expenditure report, by object of expense. This report shall accompany the voucher
submitted for such period.
(iv) Final Report: The Contractor shall submit a final report as required by the Master
Contract, not later than the time period listed in Attachment D(Payment and Reporting
Schedule) which reports on all aspects of the program and detailing how the use of
funds were utilized in achieving the goals set forth in Attachment C(Work Plan).
(v) Consolidated Fiscal Report(CFR): The Contractor shall submit a CFR,which includes
a year-end cost.report and final claim not later than the time period listed in Attachment
D(Payment and Reporting Schedule).
b) If the Performance-Based Reports option is indicated in Attachment D (Payment and
Reporting Schedule), the Contractor shall provide the State Agency with the following.
reports as required by the following provisions and Attachment D (Payment and Reporting
Schedule)as applicable:
Contract Number:#CQ1659
Page 14 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
(i) Progress Report: The Contractor shall provide the State Agency with a written
progress report using the forms and formats as provided by the State Agency,
summarizing the work performed during the period. These reports shall detail the
Contractor's progress toward attaining the specific goals enumerated in Attachment C
(Work Plan). Progress reports shall be submitted in a format prescribed in the Master
Contract.
(ii) Final Progress Report: Final scheduled payment is due during the time period set forth
in Attachment D (Payment and Reporting Schedule). The deadline for submission of
the final report shall be the date set forth in Attachment D (Payment and Reporting
Schedule). The State Agency shall complete its audit and notify the Contractor of the
results no later than the date set forth in Attachment D (Payment and Reporting
Schedule). Payment shall be adjusted by the State Agency to reflect only, those
services/expenditures that were made in accordance with the Master Contract. The
Contractor shall submit a detailed comprehensive final progress report not later than the
date set forth in Attachment D (Payment and Reporting Schedule), summarizing the
work performed during the entire Contract Term(i.e., a cumulative report), in the forms
and formats required.
3. In addition to the periodic reports stated above,the Contractor may be required (a) to submit
such other reports as are required in Table 1 of Attachment D (Payment and Reporting
Schedule), and (b) prior to receipt of final payment under the Master Contract,to submit one or
more final reports in accordance with the form, content, and schedule stated in Table 1 of
Attachment D(Payment and Reporting Schedule).
H. Notification of Significant Occurrences:
1. If any specific event or conjunction of circumstances threatens the successful completion of
this project, in whole or in part, including where relevant, timely completion of milestones or
other program requirements,the Contractor agrees to submit to the State Agency within three(3)
calendar days of becoming aware of the occurrence or of such problem, a written description
thereof together with a recommended solution thereto.
2. The Contractor shall immediately notify in writing the program manager assigned to the
Master Contract of any unusual incident, occurrence, or event that involves the stafly volunteers,
directors or officers of the Contractor, any subcontractor or program participant funded through
the Master Contract, including but not limited to the following: death or serious injury; an arrest
or possible criminal activity that could impact the successful completion of this project; any
destruction of property; significant damage to the physical plant of the Contractor; or other
matters of a similarly serious nature.
IV. ADDITIONAL CONTRACTOR OBLIGATIONS,REPRESENTATIONS AND WARRANTIES
A. Contractor as an Independent Contractor/Employees:
1. The State and the Contractor agree that the Contractor is an independent contractor, and not
an employee of the State 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. Notwithstanding the foregoing, the State and the Contractor
Contract Number:#_C011659
Page 15 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
agree that if the Contractor is a New York State municipality, the Contractor shall be
permitted to hold itself out, and claim,to be a subdivision of the State.
The Contractor shall be solely responsible for the recruitment, hiring, provision. of
employment benefits, payment of salaries and management of its project personnel. These
functions shall be carried out in accordance with the provisions of the Master Contract, and
all applicable Federal and State laws and regulations.
2. The Contractor warrants that it, its staff,and any and all subcontractors have all the necessary
licenses, approvals, and certifications currently required by the laws of any applicable local,
state, or Federal government to perform the services or.work, as applicable, pursuant to the
Master Contract and/or any subcontract entered into under the Master Contract. The Contractor
further agrees that such required licenses, approvals, and certificates shall be kept in full force
and effect during the term of the Master Contract, or any extension thereon and to secure any
new licenses, approvals, or certificates within the required time frames and/or to require its staff
and subcontractors to obtain the requisite licenses, approvals, or certificates. In the event the
Contractor, its staff, and/or subcontractors are notified of a denial or revocation of any license,
approval, or certification to perform the services or work, as applicable, under the Master
Contract, Contractor shall immediately notify the State.
B. Subcontractors:
1. If the Contractor enters into subcontracts for the performance of work pursuant to the Master
Contract, 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 the Master
Contract. No contractual relationship shall be deemed to exist between the subcontractor and the
State.
2. If requested by the State,the Contractor agrees not to enter into any subcontracts,or revisions
to subcontracts, that are in excess of$100,000 for the performance of the obligations contained
herein until it has received the prior written permission of the State,which shall have the right to
review and approve each and every subcontract in excess of$100,000 prior to giving written
permission to the Contractor to enter into the subcontract. All agreements between the
Contractor and subcontractors shall be by written contract, signed.by individuals authorized to
bind the parties. All such subcontracts shall contain provisions for specifying (1) that the work
performed by the subcontractor must be in accordance with the terms of the Master Contract, (2)
that nothing contained in the subcontract shall impair the rights of the State under the Master
Contract, and (3) that nothing contained in the subcontract, nor under the Master Contract, shall
be deemed to create any contractual relationship between the subcontractor and the State.. In
addition, subcontracts shall contain any other provisions which are required to be included in
subcontracts pursuant to the terms herein.
3. If requested by the State,prior to executing a subcontract,the Contractor agrees to require the
subcontractor to provide to the State the information the State needs to determine whether a
proposed subcontractor is a responsible vendor.
4. If requested by the State, when a subcontract equals or exceeds $100,000, the subcontractor
shall submit a Vendor Responsibility Questionnaire(Questionnaire).
Contract Number:#_CO 11§52
Page 16 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
S. If requested by the State, upon the execution of a subcontract, the Contractor shall provide
detailed subcontract information (a copy of subcontract will suffice) to the State within fifteen
(15) calendar days after execution. The State may request from the Contractor copies of
subcontracts,between a subcontractor and its subcontractor.
6. The Contractor shall require any and all subcontractors to submit to the Contractor all
financial claims for Services or work to the. State agency, as applicable, rendered and required
supporting documentation and reports as necessary to permit Contractor to meet claim deadlines
and documentation requirements as established in Attachment D (Payment and Reporting
Schedule) and Section M. Subcontractors shall be paid by the Contractor on a timely basis after
submitting the required teports and vouchers for reimbursement of services or work, as
applicable. Subcontractors shall be informed by the Contractor of the possibility of non-payment
or rejection by the Contractor of claims that do not contain the required information, and/or are
not received by the Contractor by said due date.
C. Use Of Material,Equipment,Or Personnel:
1. The Contractor shall not use materials, equipment, or personnel paid.for under the Master
Contract for any activity other than those provided for under the Master Contract,except with the
State's prior written permission.
2. Any interest accrued on funds paid to the Contractor by the State shall be deemed to be the
property of the State and shall either be credited to the State at the close-out of the Master
Contract or, upon the written permission of the State, shall be expended on additional services or
work,as applicable,provided for under the Master Contract.
D. Property:
1. Property is real property, equipment, or tangible personal property having a useful life of
more than one year and an acquisition cost of$1,000 or more per unit.
a) If an item of Property required by the Contractor is available as surplus to the State, the
State at its sole discretion, may arrange to provide such Property to the Contractor in lieu of
the purchase of such Property.
b) If the State consents in writing, the Contractor may retain possession of Property owned
by the State, as provided herein, after the termination of the Master Contract to use for
similar purposes. Otherwise, the Contractor shall return such Property to the State at the
Contractor's cost and expense upon the expiration of the Master Contract.
c) In addition, the Contractor agrees to permit the State to inspect the Property and to
monitor its use at reasonable intervals during the Contractor's regular business hours.
d) The Contractor shall be responsible for maintaining and repairing Property purchased or
procured under the Master Contract at its own cost and expense. The Contractor shall
procure and maintain insurance at its own cost and expense in an amount satisfactory to the
State Agency, naming the State Agency as an additional insured, covering the loss, theft or
destruction of such equipment.
Contract Number:#-0011619
Page 17 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
e) A rental charge to the Master Contract for a piece of Property owned by the Contractor
shall not be allowed.
0 The State has the right to review and approve in writing any new contract for the purchase
of or lease for rental of Property (Purchase/Lease Contract) operated in connection with the
provision of the services or work, as applicable, as specified in the Master Contract, if
applicable, and any modifications, amendments, or extensions of an existing lease or
purchase prior to its execution. If, in its discretion, the State disapproves of any
Purchase/Lease Contract,then the State shall not be obligated to make any payments for such
Property.
g) No member, officer, director or employee of the Contractor shall retain or acquire any
interest,direct or indirect, in any Property,paid for with funds under the Master Contract,nor
retain any interest, direct or indirect, in such, without full and complete prior disclosure of
such interest and the date of acquisition thereof, in writing to the Contractor and the State.
2. For non-Federally-funded contracts,unless otherwise provided herein,the State shall have the
following rights to Property purchased with funds provided under the Master Contract:
a) For cost-reimbursable contracts, all right,title and interest in such Property shall belong to
the State..
b) For performance-based contracts, all right, title and interest in such Property shall belong
to the Contractor.
3. For Federally funded contracts,title to Property whose requisition cost is borne in whole or in
part by monies provided under the Master. Contract shall be governed by the terms and
conditions of Attachment A-2 (Federally Funded Grants and Requirements Mandated by Federal
Laws).
4. Upon written direction by the State,the Contractor shall maintain an inventory of all Property
that is owned by the State as provided herein.
5. ,The Contractor shall execute any documents which the State may reasonably require to
effectuate the provisions of this section.
E. Records and Audits:
1. General:
a) The Contractor shall establish and maintain, in paper or electronic format, complete and
accurate books, records, documents, receipts, accounts, and other evidence directly pertinent
to its performance under the Master Contract(collectively,Records).
b) The Contractor agrees to produce and retain for the balance of the term of the Master
Contract, and for a period of six years from the later of the date of(i)the Master Contract and
(ii) the most recent renewal of the Master Contract, any and all Records. necessary to
substantiate upon audit, the proper deposit and expenditure of funds received under the
Master Contract. Such Records may include, but not be limited to, original books of entry
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Page 18 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
(e.g., cash.disbursements and cash receipts journal), and the following specific records (as
applicable)to substantiate the types of expenditures noted:
(i) personal service expenditures: cancelled checks and the related bank statements,time
and attendance records,payroll journals, cash and check disbursement records including
copies of money orders and the like, vouchers and invoices, records of contract labor,
any and all records listing payroll and the money value of non-cash advantages provided
to employees, time cards, work schedules and logs, employee personal history folders,
detailed and general ledgers, sales records, miscellaneous reports and returns (tax and
otherwise),and cost allocation plans, if applicable.
(ii) payroll taxes and fringe benefits: cancelled checks, copies of related bank
statements, cash and check disbursement records including copies of money orders and
the like, invoices for fringe benefit expenses,miscellaneous reports and returns (tax and
otherwise),and cost allocation plans,if applicable.
(iii) non-personal services expenditures: original invoices/receipts,cancelled checks and
related bank statements, consultant agreements, leases, and cost allocation plans, if
applicable.
(iv) receipt and deposit of advance and reimbursements: itemized bank stamped deposit
slips,and a copy of the related bank statements.
c) The OSC, AG and any other person or entity authorized to conduct an examination, as
well as the State Agency or State Agencies involved in the Master Contract that provided
funding, shall have access to the Records during the hours of 9:00 a.m. until 5:00 p.m.,
Monday through Friday (excluding State recognized holidays), 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.
d) The State shall protect from.public disclosure any of the Records which are exempt from
disclosure under Section 87 of the Public Officers Law provided that: (i)the Contractor shall
timely inform an appropriate State official, in writing, that said records should not be
disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said
records,as exempt under Section 87 of the Public Officers Law,is reasonable.
e) Nothing contained herein shall diminish, or in any way adversely affect,the State's rights
in connection with its audit and investigatory authority or the State's rights in connection
with discovery in any pending or future litigation.
2. Cost Allocation:
a) For non-performance based contracts,the proper allocation of the Contractor's costs must
be made according to a cost allocation plan that meets the requirements of OMB Circulars A-
87, A-122, and/or A-21. Methods used to determine and assign costs shall conform to
generally accepted accounting practices and shall be consistent with the method(s) used by
the Contractor to determine costs for other operations or programs. Such accounting
standards and practices shall be subject to approval of the State.
Contract Number:#-0011659
Page 19 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
b) For performance based milestone contracts, or for the portion of the contract amount paid
on a performance basis, the Contractor shall maintain documentation demonstrating that
milestones were attained.
3. Federal Funds: For records and audit provisions governing Federal funds, please see
Attachment A-2(Federally Funded Grants and Requirements Mandated by Federal Laws).
F. Confidentiality: The Contractor agrees that it shall use and maintain personally identifiable
information relating to individuals who may receive services, and their families pursuant to the
Master Contract, or any other information, data or records marked as, or reasonably deemed,
confidential by the State (Confidential Information) only for the limited purposes of the Master
Contract and in conformity with applicable provisions of State and Federal law. The Contractor(i)
has an affirmative obligation to safeguard any such Confidential Information from unnecessary or
unauthorized disclosure and (ii)must 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).
G. Publicity:
1. Publicity includes, but is not limited to: news conferences; news releases; public
announcements; advertising; brochures; reports; discussions or presentations at conferences or
meetings; and/or the inclusion of State materials, the State's name or other such references to the
State in any document or forum. Publicity regarding this project may not be released without
prior written approval from the State.
2. Any publications, presentations or announcements of conferences, meetings or trainings
which are funded in whole or in part through any activity supported under the Master Contract
may not be'published, presented or announced without prior approval of the State. Any such
publication,presentation or announcement shall:
a) Acknowledge the support of the State of New York and, if funded with Federal funds, the
applicable Federal funding agency;and
b) State that the opinions, results, findings and/or interpretations of data contained therein
are the responsibility of the Contractor and do not necessarily represent the opinions,
inteipretations or policy of the State or if funded with Federal funds, the applicable Federal
funding agency.
3. Notwithstanding the above, (i) if the Contractor is an educational research institution, the
Contractor may, for scholarly or academic purposes, use, present, discuss, report or publish any
material, data or analyses, other than Confidential Information, that derives from activity under
the Master Contract and the Contractor agrees to use best efforts to provide copies of
any manuscripts arising from Contractor's performance under this Master Contract, or if
requested by the State, the Contractor shall provide the State with a thirty (30) day period in
which to review each manuscript for compliance with Confidential Information requirements; or
(ii) if the Contractor is not an educational research institution, the Contractor may submit for
publication, scholarly or academic publications that derive from activity under the Master
Contract (but are not deliverable under the Master Contract), provided that the Contractor first
Contract Number:#-0011059
Page 20 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
submits such manuscripts to the State forty-five (45) calendar days prior to submission for
consideration by a publisher in order for the State to review the manuscript for compliance with
confidentiality requirements and restrictions and to make such other comments as the State
deems appropriate. All derivative publications shall follow the same acknowledgments and
disclaimer as described in Section IV(G)(2) (Publicity)hereof.
H. Web-Based Applications-Accessibility: Any web-based intranet and Internet information and
applications development, or programming delivered pursuant to the Master Contract or
procurement shall comply with New York State Enterprise IT Policy NYS-P08-005, Accessibility
Web-Based Information and Applications, and New York State Enterprise IT Standard NYS-S08-
005, Accessibility of Web-Based Information Applications, as such policy or standard may be
amended,modified or superseded, which requires that State Agency web-based intranet and Internet
information and applications are accessible to person with disabilities. Web content must conform
to New York State Enterprise IT Standards NYS-S08-005, as determined by quality assurance
testing. Such quality assurance testing shall be conducted by the State Agency and the.results of
such testing must be satisfactory to the State Agency before web content shall be considered a
qualified deliverable under the Master Contract or procurement.
I. Non-Discrimination Requirements: Pursuant to 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 and sub-contractors will not discriminate against any
employee or applicant for employment because of race, creed(religion),color, sex(including gender
expression), 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. 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 the Master Contract shall be performed within the State of New York, the Contractor
agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or
national origin: (a) discriminate in hiringagainst 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 the Master Contract. If this is a building service contract as defined in
Section 230, of the Labor Law, then, in accordance with Section 239 thereof, the 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 the Master Contract. The Contractor shall be subject to fines of$50.00
per person per day for any violation of Section 220-e or Section 239 of the Labor Law.
J. Equal Opportunities for Minorities and Women; Minority and Women Owned Business
Enterprises: In accordance with Section 312 of the Executive Law and 5 NYCRR 143, if the
Master Contract is: (i) a written agreement or purchase order instrument, providing for a total
expenditure in excess of$25,000.00,whereby a contracting State Agency is committed to expend or
does expend funds in return for labor, services, supplies, equipment, materials or any combination of
the foregoing,to be performed for, or rendered or furnished to the contracting State Agency; or(ii) a
written agreement in excess of$100,000.00 whereby a contracting State 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 of
Contract Number:#_C011659
Page 21 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
$100,000.00 whereby the owner of a State assisted housing project is committed to expend or does
expend funds for the acquisition, construction, demolition, replacement, major repair or renovation
of real property and improvements thereon for such project, then the Contractor certifies and affirms
that(i) it is subject to Article 15-A of the Executive Law which includes, but is not limited to,those
provisions concerning the maximizing of opportunities for the participation of minority and women-
owned business enterprises and (ii) the following provisions shall apply and it is Contractor's equal
employment opportunity policy that:
L. The Contractor shall not discriminate against employees or applicants for employment
because of race, creed, color,national origin, sex,age, disability or marital status;
2. The Contractor 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;
3. The Contractor shall undertake or continue existing programs of affirmative action to ensure
that minority group members and women are afforded equal employment opportunities.without
discrimination. Affirmative action shall mean recruitment, employment, job assignment,
promotion, upgrading, demotion, transfer, layoff,'or termination and rates of pay or other forms
of compensation;
4. At the request of the State,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 shall not discriminate on the basis of race,creed,.color,national origin,
sex,age,disability or marital status and that such union or representative shall affirmatively
cooperate in the implementation of the Contractor's obligations herein;and
5. The Contractor shall state,in all solicitations or advertisements for employees,that, in the
performance of the State contract,all qualified applicants shall be afforded equal employment
opportunities without discrimination because of race,creed,color,national origin,sex,age,
disability or marital status.
The Contractor shall include the provisions of subclauses 1 - 5 of.this Section (M(n, in every
subcontract over$25,000.00 for the construction, demolition, replacement,major repair, renovation,
planning or design of real property and improvements thereon (Work) except where the Work is for
the beneficial use of the.Contractor. Section 312 of the Executive Law does not apply to: (i) work,
goods or services unrelated to the Master Contract; or(ii) employment outside New York State. The
State shall consider compliance by the Contractor or a subcontractor with the requirements of any
Federal law concerning equal employment opportunity which effectuates the purpose of this section.
The State 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 State
shall waive the applicability of Section 312 of the Executive Law to the extent of such duplication or
conflict. The Contractor shall 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.
K. 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
Contract Number:#CO 11659
Page 22 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
women-owned business enterprises, as bidders, subcontractors and suppliers on its procurement
contracts.
1. If the total dollar amount of the Master Contract is greater than $1 million, the Omnibus
Procurement Act of 1992 requires that by signing the Master Contract, the Contractor certifies
the following:
a) The Contractor has made reasonable efforts to encourage the participation of State
business enterprises as suppliers and subcontractors, including certified minority and women-
owned business enterprises, on this project, and has retained the documentation of these
efforts to be provided upon request to the State;
b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-
261);as amended;
c) The Contractor agrees to make reasonable efforts to provide notification to 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 the Master Contract and agrees to cooperate with the State in
these efforts.
L. Workers' Compensation Benefits:
1. In accordance with Section 142 of the State Finance Law, the Master Contract shall be void
and of no force and effect unless the Contractor shall provide and maintain coverage during the
life of the Master Contract for the benefit of such employees as are required to be covered by the
provisions of the Workers'Compensation Law.
2. If a Contractor believes they are exempt from the Workers Compensation insurance
requirement they must apply for an exemption.
M. Unemployment Insurance Compliance: The Contractor shall remain current in both its
quarterly reporting and payment of contributions or payments in lieu of contributions, as applicable,
to the State Unemployment Insurance system as a condition of maintaining this grant.
The Contractor hereby authorizes the State Department of Labor to disclose to the State Agency staff
only such information as is necessary to determine the Contractor's compliance with the State
Unemployment Insurance Law. This includes,but is not limited to,the following:
I. any records of unemployment insurance (UI) contributions, interest, and/or penalty payment
arrears or reporting delinquency;
2. any debts owed for UI contributions,interest,and/or penalties;
Contract Number:#CO 11659
Page 23 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
3. the history and results of any audit or investigation;and
4. copies of wage reporting information.
Such disclosures are protected under Section 537 of the State Labor Law, which makes it a
misdemeanor for the recipient of such information to use or disclose the information for any purpose
other than the performing due diligence as a part of the approval process for the Master Contract.
N. Vendor Responsibility:
1. If a Contractor is required to complete a Questionnaire, the Contractor covenants and
represents that it has, to the best of its knowledge, truthfully, accurately and thoroughly
completed such Questionnaire. Although electronic filing is preferred, the Contractor may
obtain a paper form from the OSC prior to execution of the Master Contract. The Contractor
further covenants and represents that as of the date of execution of the Master Contract,there are
no material events,omissions, changes or corrections to such document requiring an amendment
to the Questionnaire.
2. The Contractor shall provide to the State updates to the Questionnaire if any material event(s)
occurs requiring an amendment or as new information material to such Questionnaire becomes
available.
3. The Contractor shall, in addition, promptly report to the State the initiation of any
investigation or audit by a governmental entity with enforcement authority with respect to any
alleged violation of Federal or state law by the Contractor, its employees, its officers and/or
directors in connection with matters involving, relating to or arising out of the Contractor's
business. Such reportshall be made within five (5) business days following the Contractor
becoming aware of such event, investigation, or audit. Such report may be considered by the
State in making a Determination of Vendor Non-Responsibility pursuant to this section.
4. The State reserves the right, in its sole discretion, at any time during the term of the Master
Contract:
a) to require updates or clarifications to the Questionnaire upon written request;
b) to inquire about information included in or required information omitted from the
Questionnaire;
c) to require the Contractor to provide such information to the State within a reasonable
timeframe;and
d) to require as a condition precedent to entering into the Master Contract that the Contractor
agree to such additional conditions as shall be necessary to satisfy the State that the
Contractor is, and shall remain,a responsible vendor;and
e) to require the Contractor to present evidence of its continuing legal authority to do
business in New York State, integrity, experience, ability, prior performance, and
organizational and financial capacity. By signing the Master Contract, the Contractor agrees
Contract Number:#CQ 11659
Page 24 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
to comply with any such additional conditions that have been made a part of the Master
Contract.
5. The State, in its sole discretion, reserves the right to suspend any or all activities under the
Master Contract, at any time, when it discovers information that calls into question the
responsibility of the Contractor. In the event of such suspension, the Contractor shall be given
written notice outlining.the particulars of such suspension. Upon issuance of such notice, the
Contractor must comply with the terms of the suspension order. Contract activity may resume at
such time as the State issues a written notice authorizing a resumption of performance under the
Master Contract.
6. The State, in its sole discretion, reserves the right to make a final Determination of Non-
Responsibility at any time during the term of the Master Contract based on:
a) any information provided in the Questionnaire and/or in any updates, clarifications or
amendments thereof,or
b) the State's discovery of any material information, which pertains to the Contractor's
responsibility.
7. Prior to making a final Determination of Non-Responsibility, the State shall provide written
notice to the Contractor that it has made a preliminary determination of non-responsibility. The
State shall detail the reason(s) for the preliminary determination,and shall provide the Contractor
with an opportunity to be heard.
O. Charities Registration: If applicable,the.Contractor agrees to (i) obtain not-for-profit status, a
Federal identification number, and a charitable registration number (or a declaration,of exemption)
and to furnish the State Agency with this information as soon as it is available,.(ii) be in compliance
with the OAG charities registration requirements at the time of the awarding of this Master Contract
by the State and (iii) remain in compliance with the OAG charities registration requirements
throughout the term of the Master Contract.
P. Consultant Disclosure Law? If this is a contract for consulting services,defined for purposes
of this requirement to include analysis, evaluation, research, training, data processing, computer
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 the contract,the Department of Civil Service and the State Comptroller.
Q. Wage and Hours Provisions: If this is a public work contract covered by Article 8 of the Labor
Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor
the employees of its subcontractors may be required or 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
9 Not applicable to not-for-profit entities.
Contract Number:#_CO 11659
Page 25 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
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 condition precedent to payment by the-State of any State approved sums due and
owing for work done upon the project.
Contract Number:#CO 11659
Page 26 of 26,Master Contract for Grants-Standard Terms and Conditions(August 2014)
Attachment A-1
Program Specific Terms and Conditions
New York State Department of
Agriculture and Markets
These special conditions apply to the administrative aspects of this particular
Agreement. These special conditions cannot be change.
RESPONSIBILITY REQUIREMENTS
A. The Department is required to undertake an affirmative review of the responsibility
of any vendor to which it proposes to make an Agreement award. Such review
shall be designed to provide reasonable assurances that the proposed Contractor
is responsible. In undertaking such review, the Department must comply with the
following standards:
a. In all cases, the Department must consider any information that has come
to its attention from the proposed Contractor or any other source that would
raise issues concerning the proposed Contractor's responsibility.
b. In the case of any Agreement valued at$100,000 or more, the Department
must affirmatively require disclosure by the proposed Contractor of all
information that the Department reasonably deems relevant to a
determination of responsibility by completing a Vendor Responsibility
Questionnaire.
B. The Contractor shall at all times during the Agreement term remain responsible.
The Contractor agrees, if requested by Commissioner or his or her designee, to
present evidence of its continuing legal authority to do business in New York
State, integrity, experience, ability, prior performance, and organizational and
financial capacity.
C. The Commissioner or his or her designee, in his or her sole discretion, reserves
the right to suspend any or all activities under this Agreement, at any time, when
he or she discovers information that calls into question the responsibility of the
Contractor. In the event of such suspension, the Contractor will be given
written notice outlining the particulars of such suspension. 'Upon issuance of
such notice, the Contractor must comply with the terms of the suspension order.
Agreement activity may resume at such time as the Commissioner or his or her
designee issues a written notice authorizing a resumption of performance under
the Agreement.
Attachment A-1
C011659 1
D. Upon written notice to the Contractor, and a reasonable opportunity to be heard with
appropriate Commissioner officials or staff, the Agreement may be terminated by
Commissioner or his or her designee at the Contractor's expense where the
Contractor is determined by the Commissioner or his or her designee to be non-
responsible. In such event, the Commissioner or his or her designee may complete the
contractual requirements in any manner he or she may deem advisable and pursue
available legal or equitable remedies for breach.
PARTICIPATION BY MINORITY GROUP MEMBERS AND WOMEN WITH RESPECT
TO STATECONTRACTS• REQUIREMENTS AND PROCEDURES
1. General Provisions
A. The Department of Agriculture and Markets ("Department") 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 agreements 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.
B. The Contractor to the subject agreement(the "Contractor" and the "Agreement,"
respectively) agrees, in addition to any other nondiscrimination provision of the
Agreement and at no additional cost to the Department, to fully comply and
cooperate with the Department 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 agreement opportunities for
certified minority and women-owned business enterprises ("MWBEs"). The
Contractor's demonstration of "good faith efforts" pursuant to 5 NYCRR §142.8
shall be a part of these requirements. These provisions 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.
C. Failure to comply with all of the requirements herein may result in a finding of non-
responsiveness, non-responsibility and/or a breach of the Agreement, 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
Agreement.
Il. Agreement Goals
A. For purposes of this procurement, the Department hereby establishes an overall
goal of_0_% for Minority and Women-Owned Business Enterprises ("MWBE")
Attachment A-1
C011659 2
participation, 0_% for Minority-Owned Business Enterprises ("MBE")
participation and _0216 for Women-Owned Business Enterprises ("WBE")
participation (based on the current availability of qualified MBEs and WBEs).
B. For purposes of providing meaningful participation by MWBEs on the Agreement
and achieving the Agreement Goals established in Section II-A hereof, the
Contractor should reference the directory of New York State Certified MWBEs
found at the following internet address: htm:awww.esd.nv Qov/mwbe html.
Additionally, the 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
Agreement.
C. Where MWBE goals have been established herein, pursuant to 5 NYCRR§142.8,
the Contractor must document "good faith efforts" to provide meaningful
participation by MWBEs as subcontractors or suppliers in the performance of the
Agreement. in accordance with §316-a of Article 15-A and 5 NYCRR§142.13, the
Contractor acknowledges that.if the Contractor is found to have willfully and
intentionally failed to comply with the MWBE participation goals set forth in the
Agreement, such a finding constitutes a breach of the Agreement and the
Contractor shall be liable to the Department for liquidated or other appropriate
damages, as set forth herein.
III. Equal Employment Opportunity (EEO)
A. The Contractor agrees to be bound by the provisions of Article 15-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.
B. The Contractor shall comply with the following provisions of Article 15-A:
1. The 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.
2. The Contractor shall submit an EEO policy statement to the Department
within seventy-two (72) hours after the date of the notice by the Department to
award the Agreement to the Contractor.
Attachment A-1
C011659 3
3. If the .Contractor or subcontractor does not have an existing EEO policy
statement, the Department may provide the Contractor or subcontractor a
model statement (see Form -MWBE/EEO1 — Minority and Women-Owned
Business Enterprises Equal Employment Opportunity Policy Statement).
4. The Contractor's EEO policy statement shall include the following language:
a. 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.
b. The Contractor shall state in all solicitations or advertisements for
employees that, in the performance of the Agreement, all . qualified
applicants will be afforded equal employment opportunities without
discrimination because of race, creed, color, national origin, sex, age,
disability or marital status.
c. 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.
d. The Contractor will include the provisions of Subdivisions (a) through (e)
of this Subsection 4 and Paragraph "E" of this Section.III, 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 Agreement.
C. Form MWBE/EE02 —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 Agreement by the specified categories listed, including ethnic
background, gender, and Federal occupational categories. The 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 Agreement.
D. Form MWBE/EE03 — Workforce Employment Utilization Report ("Workforce
Report")
1. Once an agreement has been awarded and during the term of the Agreement,
the Contractor is responsible for updating and providing notice to the
Attachment A-1
C011659 4
Department of any changes to the previously submitted Staffing Plan. This
information is to be submitted on a quarterly basis during the term of the
Agreement to report the actual workforce utilized in the performance of the
Agreement by the specified categories listed including ethnic background,
gender, and Federal occupational categories. The Workforce Report must be
submitted to report this information.
2. Separate forms shall be completed by the Contractor and any subcontractor
performing work on the Agreement.
3. In limited instances, the Contractor may not be able to separate out the
workforce utilized in the performance of the Agreement from the Contractor's
and/or the subcontractor's total workforce. When a separation can be made,
the Contractor shall submit the Workforce Report and indicate that the
information provided related to the actual workforce utilized on the Agreement.
When the workforce to be utilized on the Agreement cannot be separated out
from the Contractor's and/or the subcontractor's total workforce, the
Contractor shall submit the Workforce Report and indicate that the information
provided is the Contractor's total workforce during the subject time frame, not
limited to work specifically under the Agreement.
E. The Contractor shall comply with the provisions of the Human Rights Law, all
other State and Federal statutory and constitutional non-discrimination provisions,
the 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.
IV. MWBE Utilization Plan
A. The Contractor represents and warrants that the Contractor has submitted an
MWBE. Utilization Plan (MWBE/EEO4) either prior to, or at the time of, the
execution of the Agreement.
B. The Contractor agrees to use such MWBE Utilization Plan for the performance of
MWBEs on the Agreement pursuant to the prescribed MWBE goals set forth in
Section III-A of this Appendix.
C. The 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 Agreement.
Upon the occurrence of such a material breach, the Department shall be entitled
to any remedy provided herein, including but not limited to, a finding of the
Contractor non-responsiveness.
Attachment A-1
C011659 5
V. Waivers
A. For Waiver Requests the Contractor should use Form MWBE/EEO5 — Waiver
Request.
B. 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 Department shall evaluate the request
and issue a written notice of acceptance or denial within twenty (20) days of
receipt.
C. If the Department, upon review of the MWBE Utilization Plan and updated
Quarterly MWBE Contractor Compliance Reports determines that the Contractor
is failing or refusing to comply with the Agreement goals and no waiver has been
issued in regards to such non-compliance, the Department 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 Agreement Goals.
VI. Quarterly MWBE Contractor Compliance Report
The Contractor is required to submit a Quarterly MWBE Contractor Compliance Report
(Form MWBE/EEO6) to the Department by the 10th day following each end of quarter
over the term of the Agreement documenting the progress made towards achievement of
the MWBE goals of the Agreement.
VII. Liquidated Damages— MWBE Participation
A. Where the Department determines that the Contractor is not in compliance with
the requirements of the Agreement and the Contractor refuses to comply with
such requirements, or if the Contractor is found to have willfully and intentionally
failed to comply with the MWBE participation goals, the Contractor shall be
obligated to pay to the Department liquidated damages.
B. Such liquidated damages shall be calculated as an amount equaling the difference
between:
1. All sums identified for payment to MWBEs had the Contractor achieved the
contractual MWBE goals; and
2. All sums actually paid to MWBEs for work performed or materials supplied
under the Agreement.
Attachment A-1
C011659 6
C. 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
Department, the Contractor shall pay such liquidated damages to the
Department within sixty (60) days after they are assessed by the Department
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 §313 of the Executive Law in which
event the liquidated damages shall be payable if the Director renders a decision in
favor of the Department.
Please Note: Failure to comply with the foregoing requirements may result in a
finding of non-responsiveness, non-responsibility and/or a breach of the
Agreement, leading to the withholding of funds, suspension or termination of the
Agreement or such other actions or enforcement proceedings as allowed by the
Agreement.
The forms referenced above can be found at: httt)://www.agiic_W nv gov/MWBE hW-
NOTICE
Notices to the Department shall be addressed to:
New York State Department-of Agriculture and Markets
Division of Land and Water Resources
10B Airline Drive
Albany, New York 12235
Notices to the Contractor shall be addressed to:
Town of Southold
PO Box 1179
Southold, NY 11971
Attachment A-1
C011659 7
B-5
Budget
Total Project. State Share (25% of the Total
Farm Name Cost Project Cost
Wickham Farm 441,199.41 110,299.85
Salt Air Farm 619,125.22 154,781.31
$ $
-Terry Farm 197,833.90 49,458.48
Latham Farm 298,159.00 74,539.75
Totals: 1,556,317.53 389 079.38
B-5 Budget
C011659
C-1
Town gLSom&p
MAW RrhpbtHtaon p.Q;pct
Project Description•
After Superstonn Sandy hit Long.Island's coast,four and a half chiles of.levees(dikes or earthen berms)
in Cutchogue and Orient weratamaged.The dikes were,every beached and/or toppcci in sevrr l
and destabilized the entire system, The tidal sure associaW with the storm
used fora agricultural ��y� °f�d
8rc Purposes for the past 100 years. These.earthen berms fare pieces of
infitaswcture that protect five farces ingluding.Salt Air Farm La m Farm,Driftwood FOS,Terry Farm
and Wickham Fruit Farm as well as over 700 acres of fu=land.fr=..Q
ming• Bach f is PrroteMd by
a separate dike and
approximately 3,500 linear feet was damaged. The levoes protect the P+e"Wo Bay
from agricultural run-off and avert saltwater intrusion to fmsh water wetlands. The estimated.cost to.
repair tho:dikes,is currently ad mlateci at 51.4 million.
Suffolk County applied for EWP funding; however, guidelines suggest :that
be
provided for freshwater projects.. This *0659.� onlyF�1'-�was provided a�by 1`J`t#bed S�lsaa giant QP
Agriculture (USDA) and has the.ability:to access this f td ng _i%of tyre : � j•
local township, Southold Town, has meed.to be the of-the. dike �it�ara*qed..for the.
local faun owners. Four eligible farms have a parte pa the
gc�i to of . program:sponsored by the:
National Resources Conservation Service(Division of the USDA).
The project will require permitting (NYSDEC, Southold Town Trustees and the USACM and
subsequent development of construction drawitrdggs and specifications (bid package) for a public,bid
Process. The construction..documents will define the manner in which the earthen berths. will be
rehabilitated and/or enhanced to.withstand future tidal surgm most of the
damaged cased by-
mature vegetation (trees) that was dame b the atm wet�e
>� y heavy winds: � :trees were blown.over �y the
historic storm it caused significant dissturbance to the protective When
when the root symem.were
unearthed.
The project will involve developing a maintenance program to remove woody vegetation along the
unaffected sections of the berms while reproving existing vegetation along the am to be rehabilitated.
The dikes'will be.enhanced or strengthened by the use of`geosyathetic grids and erosion oantrc!1 tnatec ars:
Native vegetation will be proposed to provide erosm and sediment control lig construction each
site will haves material staging:area and clearly.dcffned access roadways to repair the damaged levee
sections. ,c1l1 construction shall be performed inaccordance:with'NRC .d e a otructi .
and in a manner consistent with any conditions of environmental
tsabtartied for ploject
Construction is expected to commence in`tete fall of 2013.
The omosed work at each farm consists o£the following
Name of Farm Damaeed Dike Area_g;.D aMaged Dike Am, 'TOW Area
Y Salt Air Farm 90,$54 SF/2,317 LF 27;090 SF/774 LF 117;94+4 SF/3,01 LF
Latham Farm 54,000 SF/ 1,340 LF 26,400 SF/660 LF 80,400 SF/2,000 LF
Wickham Farm 49.,700 SF/ 1,530 LF 51,800.SF/ 1,480 LF 101,500 SF/3,010 LF
3= Terry Fann 25,500 SF/850 LF 0 SF/0 LF 25,500 SF/850 LF
C-1 Plan of Work
C011659
The damaged and un-damaged dike arts shall be included in a.10-year maintenance permit required
to remove any woody vegetation from growing once the dikes are either rehabilitatedlenhaneed or
when the undamaged area are initially cleared. The mainte:name Permit
Placement of any supplemental fill wall also allow for the
required in areas that were subject to settlement: Any areas that
require erosion and .s4me:nt control sbail be vegetated in accordance with the Specified planting
schedule(100%native).
C-1 Pian of Work
C011659
ATTACHMENT D
PAYMENT AND REPORTING SCHEDULE
I. PAYMENT PROVISIONS
In full consideration of contract services to be performed the State Agency agrees to pay and the contractor
agrees to accept a sum not to exceed the amount noted on the face page hereof. All payments shall be in
accordance with the budget contained in the applicable Attachment B form (Budget), which is attached
hereto.
A. Advance Payment,Initial Payment and Recoupment Language (if applicable):
1. The State agency will make an advance payment to the Contractor, during the initial period, in
the amount of percent (__%) the budget as set forth in the most recently approved
applicable Attachment B form(Budget).
2. The State Agency will make an initial payment to. the Contractor in the amount of
percent (_ %) of the annual budget as set forth in the most recently approved applicable
Attached B form(Budget). This payment will be no later than days from the beginning of
the budget period.
3. Scheduled advance payments shall be due in accordance with an approved payment schedule as
follows:
Period: Amount: Due Date:
Period: Amount: Due Date:
Period: Amount: Due Date:
Period: Amount: Due Date:
4. Recoupment of any advance payment(s) shall be recovered by crediting (
__0 percent of
subsequent claims and such claims will be reduced until the advance is fully recovered within the
contract period.
B. Interim and/or Final Claims for Reimbursement
Claiming Schedule(select applicable frequency):
❑ Quarterly Reimbursement
Due Date:
❑ Monthly Reimbursement
Due Date:
❑ Biannual Reimbursement
Due Date:
Contract Number: C011659
Page 1 of 5,Attachment D—Payment and Reporting Schedule
❑ Fee for Service Reimbursement
Due Date:
❑ Rate Based Reimbursement
Due Date:
❑ Fifth Quarter Reimbursement
Due Date:
®Milestone/Performance Reimbursement
Due Date/Frequency: At completion of project
❑ Scheduled Reimbursement
Due Date/Frequency:
❑ Interim Reimbursement as Requested by Contractor
H. REPORTING PROVISIONS
A. Expenditure-Based Reports (select the applicable report type):
❑
Narrative/Qualitative Report
The Contractor will submit,on a quarterly basis,not later than days from the end of the
quarter,the report described in Section III(G)(2)(a)(i)of the Master Contract.
❑ Statistical/Quantitative Report
The contractor will submit, on a quarterly basis,not later than days from the end of the
quarter the report described in Section III(G)(2)(a)(ii) of the master contract.
❑ Expenditure Report
The Contractor will submit,on a quarterly basis, not later than day4 after the end date
for which reimbursement is being claimed, the report described in Section III(G)(2)(a)(iii) of
the Master Contract.
❑Final Report
The Contractor will submit the final report as described in Section III(G)(2)(a)(iv) of the
Master Contract,no later than_days after the end of the contract period.
❑ Consolidated Fiscal Report(CFR)l
The Consolidated Fiscal Reporting System is a standardized electronic reporting method accepted by Office of Alcoholism&Substance Services,
Office of Mental Health,Office of Persons with Developmental Disabilities and the State Education Department,consisting of schedules which,in
diffemt combinations,capture financial information for budgets,quarterly and/or mid-year claims,an annual cost report,and a final claim. The CFR,
which must be submitted annually,is both a year-end cost report and a year-end claiming document.
Contract Number: C011659
Page 2 of 5,Attachment D—Payment and Reporting Schedule
The Contractor will submit the CFR on an annual basis, in accordance with the time frames
designated in the CFR manual. For New York City contractors, the due date shall be May 1
of each year; for Upstate and Long Island contractors, the due date shall.be November 1 of
each year.
B. Progress-Based Reports
1. Final Progress Report
Final scheduled payment will not be due until 0 days after completion of agency's audit of the
final expenditures report/documentation showing total grant expenses submitted by vendor with
its final invoice. Deadline for submission of the final report is 01/31/2015. The agency shall
complete its audit and notify vendor of the results no later than 02/15/2015. The Contractor
shall submit the report not later than 30 days from the end of the contract.
C. Other Reports
The contractor shall provide reports in accordance with the form, content, and schedule as set
forth in Table 1.
Contract Number. Co 11659
Page 3 of 5,Attachment D-Payment and Reporting Schedule
TABLE I-REPORTING SCHEDULE
PROGRESS REPORT# PERIOD COVERED DUE DATE
FINAL 12/18/2013 - 12/31/2014 01/31/2015
Contract Number: C011659
Page 4 of 5,Attachment D—Payment and Reporting Schedule
III. SPECIAL PAYMENT AND REPORTING PROVISIONS
FINAL REPORT
Not later than thirty(30)days from completion of the work under this Agreement, the Contractor
shall file with the Department a final written report summarizing the Contractor's performance of the
work under this Agreement.
Contract Number: C011659
Page 5 of 5,Attachment D—Payment and Reporting Schedule
RESOLUTION 20`14-243
ADOPTED. DOC ID-.9.592
THISIS TO CERTIFY THAT THE FOLLOWING RErSOUMOKNO.2614=243 WAS
ADOPTED AT THE REGULAR MEETING OF T 8,111 TMD T'O` . 0N-
MARCH 11,.2814:
RESOLVED that the Town Board of the Tows of Southold.hereby
4 ex
REWLVED that the Town Board pf the Toga of Som
Mezynieski Inc.to reoonst met the farm dikes/. ftbid of Steven A .
indicated amounts: earth berms for the.fella ,g locations at the
Latham:Farm-$374,925.90.
Salt Air Farm-$1,023,514.70
Terry Faun-$25.6,947.50
Wickham Farm-$43;4,"Q# r
for a total project cost not to exceed
X86-39 U 124 `be it Awher
RESOLVED that the Town Board hereby authorizes and directs Super 8004 A.Russell to
sign four(4)separate contracts with Steven M.Mezynigdd LUC;for same,subject to-the approval
of the Town Attorney,
Eflzalbeth A.NoiHe
Southold Town Clerk
RESULT: ADOPTED iUNANIMOUS]
MOVER: William P.Ruland,Councilman
SECONDER:Louisa P.Evans,Justice
AYES: Ghosio,Dido Jr,Ruland,Mhoriy,Evans,Russell.
0011659
December 16,2013
Mr.Scott A.Russell
Supervisor,town of Southold
Town Hall
53095 Route 25
P.O.Box 1179
Southold,New York.11.971-1823
RE: Non-Federal Share USDA-MRCS Emergency Watershed Protection pnogpon Update
Dear Mr.Russell:
This letter is to inform you of the availability of using Community Die elapmeAt Blod(Grant Disaster Relief
(CDBG-DR)funds to assist the Town.of Southold with payment of the non-Peden l Share rmatch".)for the
USDA-NRCS Emergency Watershed Protection'Program. Public Law 113.2 of the Disaster Appropriation Act.
of 2013,appropriated$16 billion of CO8G-0R to the Department ctf Horxsiirig acrel.Utban t)eueloprt�ent(lftJp�
and of that total,HUD provided$1.7 billion in the first.allocatlon to the State of New York far recovery
activities from Superstorm Sandy. This legislation allowed CDSGd2R.program funds to be used tv pay the
match for Federal programs,including the USDA-MRCS Emergency Watershed Protection program. The
State formally committed to assisting units of iota)government with match payments which were related to
Superstorm Sandy in its first action plan.
When CDBG-DR.funds are used as to cover match payments,the sub recipient must comply with HL)LYs
regulatory requirements in addition to all requirements of the federatprogram to which funds were
C011659
Originally applied for. Therefore,.Southold mustfollow alI of the.requireements ofthe USDA-MRCS
emergency watershed protection program as well as HUD's CDB.G-DR regulat%y. requirements. This
Includes but Is Biot limited to having a CDBG.eligible activity,meeting.a national ObJecfive,complying with
HUD environmental requirements,and procurement,prevailing labor and wage regulatlons.
The Governor's.Officeof Storm.Repovery,understands that the Towrr.of.Soiltofd;ltas:tin re;and;efig> e
USDA-NRCSprojetthat lsSuperstorinSamr~farwtdh#e" i#v" iii= "4 lad r
the match payment. We also understand that the Town has met.the,k tai USDA- S
I
requirements and that the Town will receive USDA-MRCS funds fooremergenty repair ofWrotective dike.
structures on farms damaged by Superstorm Sandy.The total etftate for this projeet is$2,193,335 and the
town Is requestingfunding for the 25%. non-federal share pWmo►at:wltich would be.appro teIy Sis5gQW
The Governor's Office of Storm Recovery is prepared to eolnit►It CDI$C-Dg"funds to the To"of Southold for
the non-federal share payment to an amount not to exceed$550;000 dependent on the foRmAng
conditions being met.
(1) Entering into a sub-recipient with the Governor's office of Storm Recovery.
a. This agreement allows t1lestate to:assist the.'Town of.Southotd pay time rlon-M&MI share,
This legal document will be bound_by the requiremen a set forth.and-tncorporated In.the
Grant Agreement for CDBG Disaster Recovery Assistance fpr the State;of MmV Yb*entered
into by-and between HiJD and"the State of New York;that Includes but Is not.11M ted to,
regulations at 24 CFR part 58 pertaining to c4wlronmental review require nsnts,labor
standards requirements of 42 U.S.C.5310,.and.conformance with OMI Circular A-87 t £Flt
part 225)pertaining to cost principles.It also contains subrogation language in can other
funds become available to cover the match payment.
o & wwvmartdyhlp.r .gQv &M ,
Recovery r Mo tire 1- - Y' -Sand aox
0011659
(2). Allowing the Governor's Office ofStorm:ReMeryto revift and comment on;
a. Procurement and bid documents to erasure cornpliance.with MU:D regulations
b. Environmental Review Requirements and:documents to comply withltUO regulatlonx
C. Reviewing labor documentation to ensure.complkvKg with Siete and HUD regwetions
d. ReViewing.-additional documents as needed to.ensure cor PIlOnce with aii s?edeml,State and
Local taws
(3) Coordinating and attending a meeting(s)as needed with Governor's Office of Storni Recovery team
to review and clarify
a. Sub-recipient agreement and othgr:legel4ocumerf
b: HUD incl Sto%'eecord.k"plAgre Wjonst1 t: c;se fC B6�£fR
C. Fiscal processes-thst will allow the Town tsf Sou"Wd=tai requetcE ,OR:16 ds
d. Required monitoring and other compliance meastwes.
The Governor's Office of Storm Recovery Wks forward to working with the Town of.southold In the
coming weeks to solidify and put in place the above.mentioned requirements. if,you have further questions
or we can be of any other assist-once,please feel.to contact-mg at 212.48116416 yr via email at
irubint�stormror ry
---or continue to contact polky analyst,Atex Breinin at 212,490.4019 or via
email at abreinind.0 recoVery,nuzoy.
Sincerely yours,
Ja in
Director
� sr�eHOMse
mcadc www.nyse yhe .:l g r rooMwNsYaorewp.
� arasrzrai
Recovery Hotilne 1-85"YS-Sandy
C011659
RESOLUTION 2014-1710
ADOPTED DOC ID: 9533 A
THIS IS TO CERTIFY THAT THE FOLLOWING RUGLUT10N NO;2014-17#WAS.
ADOPTED AT THE REGULAR MEETING OF THE SO OLDS TOWN 13dAk ON
FEBRUARY 11,'20.14:
RESOLVED that the Town'Board of the Town of Southold hereby md0:Au&dare-Noy,
2014-154 d"Jan 28.2014 to s#d
RESOLVED that the Town Board of the Tovyu of Southoldberbby approves.Clia W Order#1
to the NRCS Dike Rehabilitation Pmjea withj..K.
MgM i-W Ino as it relates to Latham Farm in the net amotmt of,$49,997.50,,s t to the
approval of the Town Engineer and Town Attorney.
Elizabeth A.Naffie
Southold Town clerk
RESULT: AL?OPTED[UNANIMOUS)
MOVER: William P.Ruland,Couwibm
SECONDER:Jill Doherty,Louisa P.Evans
AYES: Ghosio,Dinizio Jr,Reiland,Doherty,Evm,.Rus"
C011659
STATE OF NEW YORK WORKERS'COMPENSATION BOARD
CERTIFICATE OF PARTICIPATION IN WORKERS' COMPENSATION GROUP
SELF-INSURANCE
In Legal (Use and Address of Business Participating In Group Self- 141.Business Telephone Number of Business referenced in box
Insurance(Use StreetAddress Orgy) "is"
Town of Southold 631-765-4333
P.O.Box 1179
Southold,NY 11971
le.NYS Unemployment Insurance Employer Registration
1 b.Effective Date of Membership in the Group 01/01/2006 Number of Business referenced in box"la"
is The Proprietor,Partners or Executive Officers are it Federal Employer Idemltication Number of Business
❑ included(only check box H an partners/officers included) refaced in Box"la"
❑ all excluded or certain pari neiWofficers excluded
2.Name and Address Of the Entity Requesting Proof of Coverage 3.Name and Address of Group SON-Insurer
(E�ty Being Listed as Certificate Holder)
NEW YORK STATE MUNICIPAL WORKERS,
State of New York COMPENSATION ALLIANCE
Department ofAgricuiture dr'Markets CLAIMS ADMINISTERED BY:
I OB Airline Drive WRIGHT RISK MANAGEMENT
Albany,NY 12235 333 EARLE OVINGTON BLVD.,SUITE 505
,his �lhat the bum= UWONDALE,NY 11553.3524
i+eferenced above in box"la"is oomplying with the mandatory coverage requirements of the New York State Workers'
Compensation Law as a participating member of the Group Self-h=a listed above in box"3"and pardoipation in such group self-insurance is still
M force.The Croup Self-Insurer's Administrator will send this Certificate of Participation to the entity listed above as the certificate holder in box
"20.The Group Self-Inmrer's Air will notif am above certificate holder within 10 days IF the membership
"la">8 terminated (These notices ms be sent ofthe participant listed in box
y by regular mail.)Othdwise,this Certificate is valid for a maximum Of one year&oar the date certified
by the group self-insurer.
jfthis 000cate t r no longer valid according to the above grddelines and the business redereneed in box"la'continues to be named on a permit,
ltcsnse or aoat nd issued by the cw%j#cate holder,the butlness m ut provide the certt irate holder surer with a new is coarle
prop.fire bruiness �iv with the et teats or other autbortsed
mandatory eoveroge reguiremettts of the New York State Workers'Compmtaatton Lax;
Under penalty of POdury,I c wdfy that I am an authorized representative of the Group Self-Insurer referenced above and that the
bushms referenced In box"la"has the coverage as depicted on this form.
Certified by. — fink Ha&gm 01/01 014 12131 M e
(Print name of authorized Iowcanwave of the Group Self-Insurer) Date
Certified by:
�--��
Title:
Telephone Number 516-750-9409
GSI-105.2
WORKERS'COMPENSATION LAW
Section 57 Restriction on issue of permits and the entering into contracts unless compensation is
secured.
1. 1.The head of a state or municipal department,board,commission or office authorized or required
by law to issue any permit for or in connection with any work involving the employment of employees in a
hazardous employment defined by this chapter,and notwithstanding any general or special statute requiring
or audicru ing the issue of such permits,shall not issue such permit unless proof duly subscribed by an
insurance comer is produced in a form satisfactory to the chair,that compensation for all employees has
been secured as provided by this chapter.Nothing herein,however,shall be construed as creating any
liability on the part of such state or municipal department,board,commission or office to pay any
compensation to any such employee if so employed
2. 2.The head of a state or municipal department,board,commission or office authorized or required
by law to enter into any contract for or in connection with any work involving the employment of
employees in a hazardous employment defined by this chapter,notwithstanding any general or special
statute requiring or authorizing any such contract,shall not enter into any such contract unless proof duly
subscribed by an insurance carrier is produced in a form satisfactory to the chair,that compensation for all
employees has been secured as provided by this chapter.
Please Notre:This Certificate is valid only through the policy dates indicated above, OR a
maximum of one year after this form is approved by the authorized representatives of the Group
Self-Insurer. At the expiration of those dates, if the business continues to be named on a permit
or contract issued by the above government entity, the business must provide that government
entity with a new Certificate. The business must also provide a new Certificate upon notice of
cancellation or change in status of the policy.
GSI 105.2(2-02)Reverse
STATE OF NEW YORK
WORKERS'COMPENSATION BOARD
CERTIFICATE OF INSURANCE COVERAGE UNDER THE NYS DISABILITY BENEFITS LAW
PA�tT 1. To be com feted by Disability Benents Carrier or Licensed Insurance Agent of that Carrier
7�'
e and Address of Insured(Use street address only) lb.Business Telephone Number of insured
631-765-4333
UTHOLD
25 lc.NYS Unemployment Insurance Employer Registration
OLD,NY 11971 Number of Instll+ed
PENDING
Id.Federal Employer Identification Number of insured or
Social Security Number
116001939
Faress of the Entity Requesting Proof of 3a. Name of Insurance Carrier
Being Listed as the Certificate Holder) HARTFORD LIFE AND ACCIDENT
YORK 3b.Policy Number of entity listed in box"la":
DEPARTMENT OF AGRICULTURE AND MARKETS LNY4A3531
IOB AIRLINE DRIVE
ALBANY,NY 12235 3c. Policy effective period:
04/01/2014 to 03/31/2015
r
licy covers:
a.® All of the employer's employees eligible under the New York Disability Benefits Law
b.❑Only the following class or classes of the employer's employees:
Under penalty of perjury,I certify that I am an authorized representative or licensed agent of the insurance carrier referenced above
and that the named insured has NYS Disability Benefits insurance coverage as described above.
Date Signed (5/2
1101_ 4 _ By
carrier') (Signature of insurance carrier's authorized tepresenistive or NYS Licensed Inswanes Agent of that immanoc
Telephone Number (800)454-7020 Tido Msmaaer
IMPORTANT: If box"4a"Is chocked,and this form b sued by the Insurance prrier's autho
that earrkq this certlncate b COMPLBTE. Mag k d rtro representative or NYS Licensed Insurance Agent of
If box"4b"Is checked,this certkkk&te is NOT COWLE'!'Lr for directly
the artltieste holds
mailed for completion is We Workers'Com purposes of Sectba 220,Subd.8 of the Dkabaky Bene is Law. It most be
Compensation Board,DB Plan;AceeptaBee Unit.20 Park Street,Albany,New York 12207.
rftned�,
be completed b NYS Workers'Compensation Board(Onlyif box"4b"of Part 1 has been checked
State Of Now York
Workers'Compensation Board
rmwtion maintained by the NYS Wmim'Compensation Board,the above named employer has complied with the NYS
s Law with respect to all of his/her employees.
By
(Signature ofNYS Workers'Compensation Baud Employee)
pumber Title
Please Note:Only'insurance carriers licensed to wrlte NYS dlrablllty benefits insurance policies and NYS licensed insurance agents
of those Insurance carriers are authorized to issue Forst DB-120.1. Insurance brokers are NOT authorlMd to Issue this fpn>�
DB-120.1(5-06)
Additional Instructions for Form DB-120.1
By signing this form,the insurance carrier identified in box"3"on this form is certifying that it is insuring the business referenced in
box"la"for disability benefits under the New York State Disability Benefits Law.The Insurance Carrier or its licensed agent will
send this Certificate of Insurance to the entity listed as the certificate holder in box"2". This Cerate is valid for the earlier ofone
yearalter this form is approved by the insurance cxrrrier or its llcMedggen4 orthe polky c*udon date listed in box"3c".
Please Note:Upon the cancellation of the disability benefits policy indicated on this form,if the business continues to be named on a perm*license
or contract issued by a ca rtificate holder,the business must provide that certificate holder with a new Certificate of NYS Disability Benefits
Coverage or other authorized proof that the business is complying with the mandatory coverage requirements of the New York State Disability
Benefits Law.
DISABILITY BENEFITS LAW
§220. Subd. 8
(a) The head of a state or municipal department,board,commission or office authorized or required by law to
issue any permit for or in connection with-any work involving the employment of employees in employment as
defined in this article, and not withstanding any general or special statute requiring or authorizing the issue of
such permits, shall not issue such permit unless proof duly subscribed by an insurance carver is produced in a
form satisfactory to the chair, that the payment of disability benefits for all employees has been secured as
provided by this article. Nothing herein, however, shall be construed as creating any liability on the part'of
such state or municipal department, board, commission or office to pay any disability benefits to any such
employee if so employed.
(b) The head of a state or municipal department, board, commission or office authorized or required by law
to enter into any contract for or in connection with any work involving the employment of employees in
employment as defined in this article, and notwithstanding any general or special statute requiring or
authorizing any such contract, shall not enter into any such contract unless proof duly subscribed by an
insurance carrier is produced in.a form satisfactory to the chair, that the payment of disability benefits for
all employees has been secured as provided by this article.
DB-120.1(5-06)Reverse