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HomeMy WebLinkAboutApplication LGRMIF Application Page 1 of 49 RECEIVED Local Government Records Management Improvement Fund (LGRMItAR 5 2)14 - ✓ Application Sheet Project Number 0580 -15 -5463 o�uthol+1 luw,9 (led Institution Town Of Southold- Mailing Address: 53095 Main Rd Address: City, State,Zip: Southold NY 11971 Chief Administrative Officer: Scott A Russell Title: Supervisor Phone: (631)765-1889 Email: s.russell@town.southold.ny.us State Judicial District: 10 State Assembly Districts: 1 State Senate Districts: 1 State Congressional Districts: 1 Federal ID: 116001939 School-District: Southold Ufsd Institution Type: Towns NOTE:The institutional information listed above is pulled from the SEDREF database. SEDREF, the single authoritative source of identifying information about institutions which the NYS Education Department determines compliance with applicable policy, law and/or regulation. ' If your institutional information is incorrect, it can only be updated once your Payee Information Form is received by the Grants Administration Unit and approved by Grants Finance. Grant Unit staff do not have authority to update SEDREF information. The applicant cannot edit the SEDREF information above on their own. Participating Institutions Village Of Greenport RMO Appointed?Yes Year?2009 Schedule Adopted?Yes Year?2009 New York City(NYC) false Grant? Name of NYC Agency(if. applicable) Eligibility Requirements RMO Appointed? Yes Year RMO Appointed 1988 Appropriate Retention Yes Schedule Adopted? Year Schedule was Adopted 1980 Project Director I II I https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 2 of 49 IName IlElizabeth Neville Title Southold Town Clerk/RMO Phone 631-765-1800 228 Email e.neville@town.southold.ny.gs Records Management Officer(RMO) Name Elizabeth Neville Title SoutholdTown Clerk/RMO Phone 631-765-1800 228 Email e.neville@town.southold.ny.us Local Government Information County Suffolk Region REGION 10 Type Town Department/Unit Town Clerk/Records Management Population Served 23,175 Annual Operating Budget $41,587,065.00 Number of Employees Full-time:199 Part-time:69 Amount Requested $0 Application Application Type Shared Services Project Category Records Systems Demo Projects Only Not Demo Project Project Type First-Time Inventory: false Electronic Records Inventory: false Email Management: false Summary description of proposed project activities: Describe the project, including scope, objectives, and description of records. The summary should;be brief, but should provide a clear statement of how you intend to use a LGRMIF grant. "Summary of Proposed Project Activities" The Town of Southold and Village of Greenport are requesting funding in the amount of$99,970.00 to purchases, install and configure software modules that provide needed additional records management functionality and the hardware necessary to run them in order to improve and enhance their existing records management program and computer systems. The modules being purchased will allow the Town and Village to improve their existing records management program by 1. integrating all records retention schedules into their existing digital document management system; 2. automating the assignment of records retention schedules; 3. replacing paper forms currently used',for records management purposes with online digital forms integrated with their existing system; 4 automating all records management processes involving forms; 5. implementing transparent records management to allow records managers to organize records efficiently for their purposes while still allowing other end users to organize the same records as they see fit; 6. automating filing tasks; 7. reducing data entry tasks and improving searches by extracting metadata for records from digital forms and other computer https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 3 of 49 systems; 8. improving records metadata and reducing data entry tasks by developing custom import routines that will update metadata obtained from other computer systems in bulk. Key Town and Village employees will receive training in the use of the new modules allowing them to fully maintain the systems and continue developing them moving forward. The results of the project will be improvements in the management,maintenance, access,retrieval,retention and disposition of Town and Village records. Local Government Records Management Improvement Fund (LGRMIF) Project Narratives Project Number 0580-15 -5463 Institution Town Of Southold- Ia.Describe records management problem 1. Statement of the Problem (maximum 20 points) a. Describe the specific records management problem this proposed project will address, provide qualitative descriptions and quantitative data about the problem, and explain why this particular project is a high priority for your records management program. Do not discuss any proposed solutions here, only the problems. Discuss solutions in Intended Results (2a). (10 points) The Town of Southold has a population of approximately 23,175 and a land area of 53.7 square miles. The Village of Greenport is located wholly within the Town and has a population of approximately 3,500 and a land area of 1.2 square miles. The Town of Southold and Village of Greenport have a successful partnership in place to share Town and Village land management records with an integrated land/property management system which was implemented in 2009-2010 using LGRMIF grant funding and the Town's digital document management system implemented in 2001. In addition the Town and Village are implementing an enterprise level . Geographic Information System (GIS)that is being funded by an LGRMIF grant awarded in 2013. The Town also provides tax assessment and tax billing services to the Village and has provided these services to the Village since 1989. The Town has also provided police services to the Village since 1994. The Town and Village have executed an inter-municipal agreement that established a permanent relationship dedicated to the access,maintenance,retrieval and preservation of our records. A copy of this agreement is included as part of this application. Records Management Problems: The Town has seen an increase in population of close to 11%over the past eight(8)years according to the United States Census Bureau. The Village has seen an increase in population of close to 5% over the past eight(8)years according to the United States Census Bureau. The increase in population has resulted in an https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 4 of 49 increased number of inquiries to Town Hall and Village Hall for access to Town and Village records. This is the largest increase in the Town's population since 1980 and has resulted in increased workload for many departments including the Assessor's Office,Building Department,Highway Department,Public Works, Land Preservation,Planning Department,Police Department, Recreation Department,Tax Receiver, Town Clerk, Waste Management, and the Zoning Board. As the Town provides certain services for the Village (e.g., Police services,tax assessment and billing),the Town and Village government employees are being asked to provide services to more people each and every year with little to no increase in funding and/or staffing. This increased demand for services has placed increased demands upon our government to increase our capacity and develop better and more efficient ways to manage and distribute our records to meet these demands for access. Detailed Records Management Problems Records Retention and Disposition Problems • The Town and Village are using a digital document management system that was implemented in 2001. While this system handles most of the elements of the Town and Village records management programs it does not handle records retention, disposition or the MU-1,NYS Office of Court Administration or internal Town and Village retention schedules. These elements are all currently managed outside of the digital document management system using office software including Excel and Word as well as paper forms that are filled out by hand. This results in inefficiencies in managing these elements of the records management program. For example, all hand written forms must be scanned into the system but since they are hand written OCR(optical character recognition) cannot be used to make the forms fully searchable which results in these forms not being able to be retrieved by standard searches. All retention schedules are currently maintained in Excel by entering information about the department,records series,retention schedule, disposal date,MU-1/NYS OCA information, current status/location on the digital document management system and, if applicable,the location of the physical records in the records vault. The Excel file can be sorted by disposition date to determine which records are due for destruction. Records due for destruction are then noted and the physical records pulled from the records vault for shredding and the digital records deleted from the digital document management system manually and one by one. This is a cumbersome and almost manual process that is very inefficient and time consuming. • The current Laserfiche database is organized in a way that is tailored to each department's specific needs. That is, each department organizes folders, subfolders and documents on the system in the way that best fits how they work and need to access their documents. Currently the retention schedules for these documents are maintained outside of Laserfiche but one of the purposes of this project is to integrate these schedules into Laserfiche which has the potential to cause some issues since Records Management staff needs the database organized differently for their purposes. For instance,they typically need to view the database by retention schedule which is very different than how departments need to view the database. In order for departments and Records Management staff to have their needs met a way to present multiple views of the database is necessary to avoid conflicts between departments and Records Management staff Access,Retrieval and Control Problems • The Town and Village typically receive 2500 FOIL requests from the public per year. FOIL requests need to be properly documented and this is currently done by having the public fill out a paper form by hand. This often results in illegible writing which requires Town staff to spend time following up with the requester to clarify the records they need copies of. These forms are kept on file and manually counted by staff monthly in order to track the number of requests received in order to generate statistics required by management. • Currently there are four forms that are used to document and manage the Town's records. These forms are the transmittal form, record storage form, MU1 schedule destruction form and Court records destruction form. These forms are PDF forms that are available for all departments to use. These forms are either filled https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 5 of 49 out on a computer and printed on paper or are printed and filled out by hand. These forms then must be signed by the appropriate department head and are then submitted to the records management office via interoffice mail. The records management officer must sign the forms and they are then scanned into the digital document management system to document the disposition of the records. In short,this process begins with a digital form that is then printed and eventually scanned into the system which is very inefficient compared to having a form integrated with the system and processed within the system without the need for printing or scanning. Records submitted to the records management office end up needing two or three of the four forms submitted during this process and some of the same information about the records such as the records retention schedule and description must be entered on each form which creates redundant data entry compared to having the data entered once and the information automatically entered into each form. • Many Town and Village records being filed on the digital document management system contain standardized forms that are either scanned from paper copies or imported into the system from other computer systems such as the Town and Village's property management system. All documents in the digital document management system have metadata associated with them that contains key information about the document that varies by type of document such as tax map number,permit number,physical address, date, etc. This metadata facilitates searches and retrieval of documents giving staff and the public an easy way to find the documents they need. The standard forms contain key information about the files that correspond to,the information needed for the metadata. Currently this information is manually typed into the system by staff viewing the document after it has been scanned or imported into the system. This is very time consuming and often results in typos in the metadata which can cause problems with the ability of staff and the public to find documents using the standard search functions on the system. Many records that are entered into Laserfiche involve documents that were generated by other Town and Village computer systems. Examples of these documents include building permits and purchase orders. These documents often contain information that is needed for the metadata in Laserfiche and printed copies are generated from the other computer systems and scanned into Laserfiche. Currently records management �• staff view these documents in Laserfiche after initial scanning to find any information needed for the metadata and manually enter it into Laserfiche which is labor intensive and can result in transcription errors. Since this data is already stored in other computer systems it would be much more efficient to have the ability to integrate Laserfiche with these other systems and extract the metadata from them directly. This would save time and increase accuracy by eliminating the need for staff to view and handle the data entry. • Many older Town and Village files are missing key information that is needed to find the files via searches because the information was not collected at the time the file was created. For instance the Town's Building and Planning departments and Zoning Board of Appeals were created in'1957 but at this time the County tax maps and tax map numbers did not exist. In addition street addresses at that time often did not include the street number and only listed the street name or in some cases the street name and which side of the street the project was on. Currently there are approximately 25,000 land use related documents on the system that do not have any tax map numbers associated with them and approximately 3,000 land use records on the system that do not have complete street information associated with them. Because of this these records will not be retrieved when doing searches on any field with missing information. The Town and Village have the ability to use their GIS to determine street addresses and current tax map numbers. However, to enter this information into the digital document management system is a time consuming manual data entry process that involves clerical staff reviewing the records, searching the GIS results for records that match a particular field of the metadata and then entering any missing information into the metadata. The Town and Village need a way to import this data into the digital document management system in bulk to eliminate the manual process. This will improve the ability of staff and the public to find records they need quickly and efficiently. • There are cases where the indexing needs of records change over time and it becomes important to expand the metadata associated with records to include additional fields. When this occurs it results in a new field that is blank for any records that were already on the system and these records end up being similar to the older records that are missing information discussed above. Often the new information is available in other https://eservices.nysed.gov/Idgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 6 of 49 computer systems and currently the only way to enter the information into the metadata is manually. Being able to perform bulk updates of metadata would resolve this issue. Tax map numbers are a very important element of all land use records that are maintained by the Town and Village. These are entered into many records on the digital records management system including building permits, subdivisions,wetlands permits,variances, deeds and real estate transfer tax documents. Tax map numbers change over time as parcels are merged together, subdivided, set off, remapped, etc. Typically the tax map numbers entered into the digital document management system are the numbers as they were when the records were originally filed. Since the numbers can change over time this means that in order to find all records for a particular parcel multiple searches using different tax map numbers may be required. The current system allows entering multiple tax map numbers for a particular record but typically the only number known is the number as of filing. The Town is currently working with Suffolk County to obtain a database containing the history of tax map number changes over time covering the last 40 years. While this database will be a good resource to determine previous tax map numbers, in order to take full advantage of it on the digital document management system would require all of this information to be manually typed into the metadata on the system. With 40 years of history this will be a very lengthy and time consuming project. Since the data will be available digitally the Town and Village need the ability to import this data, as well as other similar data for other fields, automatically without rekeying it. Having this ability will greatly enhance the ability of staff and the public to easily find the records they need and increase confidence that they are not missing records related to their searches. • The Town and Village maintain many records series that involve various forms of agreements. These include documents such as leases, intermunicipal agreements,vendor contracts, insurance policies, consulting contracts,union contracts,benefit provider agreements and many others. Typically 100 new agreements are entered into each year and filed on the digital document management system. Since many of these are multi- year agreements there can be around 200 agreements in place at any one time. All of these agreements are filed based on the year they were executed. Since many of these are multi-year agreements this means that the currently active agreements can be spread out over many different folders and that these folders cancontain both active and inactive agreements. Many of these agreements can be renewed without the need for a completely new agreement via automatic extension language in the agreement and when this occurs the agreement is still filed by the original year it was executed. Many entities are involved in multiple agreements, either covering different topics or due to executing updated agreements over time. All of this causes access and retrieval issues for staff as well as the public. For example,when an agreement is automatically extended the public may hear about this and wish to view the agreement and search for it via the web or at one of the public terminals and not find it in the current year folder and have to follow up with staff requesting a copy of the agreement. In addition there have been issues where an agreement is on the system and based on this the Town has done work called for in the agreement despite the fact that the agreement itself had expired because the agreement in question was found on the system but not reviewed in detail. The only solution currently available to these issues is to manually manage all of the agreements but with around 200 active at any one time this is too time consuming to be handled with current staffing levels. A much better solution that automates the filing of agreements and maintains active agreements separately from inactive agreements and makes it clear to end users whether the agreement is active or not is needed. This project is a high priority for the following reasons: 1. Staffing levels are beim reduced Without implementation of this project the solutions needed to address the current records management issues outlined in this application will involve continuing to use current inefficient labor intensive processes that involve manual tasks such as data entry and filing and adding additional inefficient labor intensive processesinvolving the same tasks. Since the Town has reduced its work force by six employees since 2013 and is expecting to reduce it even more through attrition it lacks the capacity to implement these fixes for the records problems which will continue to damage the records management program. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 7 of 49 2. 1.66%Property Tax.Cap Legislation effective in 2014 Budget J f This legislation has adversely affected the ability of Towns and Villages to finance increased costs with Real Property Taxes. For the most part, labor costs and the price of goods and services have risen substantially more than 1.66%but for the 2014 budget the allowable levy growth factor was limited to 1.66%. Since the Town's ability to finance those additional costs through Real Property Taxes is limited,the Town has been forced to eliminate all but the most essential expenses and use reserve funds to finance operations. The long- term impact will probably be a shortage of funds to meet future town expenses,resulting in further cuts and reorganization of Town operations. 3. No significant increase in Town revenues received from the County for "Interest and Earnings"and "Mortgage Tax" Town"Interest and Earnings"revenue received in 2013 was $40,904 vs.the $54,719 in 2012 and$65,505 in 2011. For the Town's share of"Mortgage Tax"paid by the County the Town received$1,142,523 in 2013 vs. $989,153.86 in 2012 and$974,927.71 in 2011. In prior years,real property taxes,together with these Interest and Earnings and Mortgage Tax payments received from the County comprised a large part of the Town's operating budget and as recently as 2007 were well over$2,000,000. The decline in Interest and Earnings and Mortgage Tax represented a substantial loss in the recent past and has adversely affected the Town's operating budget. 4. Limited funds will be made available for capital projects for the foreseeable future With the economy faltering the past few years the Town has had to take serious measures to protect its taxpayers. These measures have included maintaining strict control over expenditure ,using reserve fund monies and negotiating significant concessions from one of its two unions. As a result of these issues the Town Board has agreed to fund capital projects that expand our computer systems such as the one being applied for here only if the costs of the projects are significantly offset with grant funds. The Town has been unable to identify any other grant funding that would cover this project beyond the LGRMIF grant program, therefore without these funds the Town Board will not support moving forward with the project. Ib.Identify records involved 1. b. Identify the specific records that will be involved in this project, and include the seriestitles, retention periods, and volume of each records series. Identify any previous grant-funded projects related to these records series and this project, identifying the names and date ranges of records involved and why this project would not replicate work already completed and, thus,would not constitute an ineligible request for maintenance. If your government has not received any past projects relevant to your current application, indicate so. If the proposed project includes imaging or microfilming, provide the required description and condition of each records series in this section. (10 points) Because this project involves integrating the management of the MU-1 and NYS OCA schedules into the current digital document management system and automating the records management related forms and processes needed to manage the records all Town and Village digital records will be involved in this project. The current size of the records database which includes both Town and Village records is approximately https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 8 of 49 300G. The following Town of Southold records comprising 4250 cubic feet that will be part of this project are as follows: MU-1 Retention Department Records Series Retention Period and Disposition Schedule Page No./Item No. Accounting Annual Budgets Permanent 63/2.[54]a Accounting Audits Permanent 61/1.[206]a Accounting Bank Statements, etc. 6 Years 61 1.[263] Accounting Budget Work papers 6 Years 63a/1.[51] Accounting Civil Service Personnel Files Permanent 91/364-a Accounting Correspondence,Routine 6 Years 2/10.[10]b Accounting Deposit Slips 6 Years 62/7.[269] Accounting Direct Deposit Records 5 Years after authorization 70/20.[724] expires Accounting Employees Tax Forms (Copies) 5 Years 70/360 thru 363 Accounting Fishers Island Cash Letters 6 Years 61a& 62 1-3 (Deposits) Accounting Journal Entry Edit Listings(Cash 6 Years 65/1.[245] Receipt Journals) Accounting Payroll Calculation/Validation 6 Years 68/1.[345]d Accounting Payroll Registers 55 Years 68/1.[385]a Accounting Payroll Report to NYS Retirement 6 Years 70/15.[359] Accounting Payroll Worksheets 6 years 68/2.[346] https://eservices.nysed.gov/Idgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 9 of 49 MU-1 Retention Department Records Series Retention Period and Disposition Schedule Page No./Item No. Accounting Periodic Payroll Reports 6 Years 68/1.[345]c Accounting Purchase Orders 6 Years 71 1.[559] Accounting Reports Permanent 3/11.[11]a Accounting Social Services/Welfare Records Permanent 165/1.[577] thru 3. [579] Accounting Vouchers(monthly bills) 6 Years 64/1.[275] Assessment Review Minutes ,Permanent 1/1.[1] Board Assessment Review Reports Permanent 3/11.[11]a Board Assessors Canceled Enhanced Star and 6 Years 171/11.[589]c Canceled Basic Star Assessors Certificate of Permanent set by Abandonment RMO Assessors Correspondence, 6 Years 2/10410]- Routine b Assessors Deeds Permanent set by RMO Assessors Deeds—Town Properties 6 Years after sold by Local 125/1.[475]b government Assessors Grievance Files 6 Years 172/12.[590] _ Assessors Judicial Assessment Review 6 Years 173/13.[855] Records(Small Claims) Assessors Property Assessment Cards Permanent 169/2.[583] https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 10 of 49 MU-1 Retention Department Records Series Retention Period and Disposition / Schedule Page No./Item No. Assessors Right Of Way Records Permanent 184/9.[619] Assessors Senior Exemptions 30 Years 171 11.(589)a&b Assessors Subdivision Maps Permanent 20/6.[401]a Assessors Tax Exemptions 6 Years 171/11.[589]a Assessors Tax Maps 10 Years 171/9.[587]b Assessors Tax Rolls 10 Years 173/2.[594]b Building Building Inspection Records 6 Years 16/59-A&B Building Building Permit Numerical Index Permanent 3/11.[11]a Building Building Permits/C.O.Files Permanent 17/5.[60]a Building Complaints/violations Permanent 15/1.[58] Building Correspondence,Routine 6 Years 2/10.[l0]b Building Flood Insurance Maps Permanent 60/6.[887]a Building Master Summary Record Permanent 15/1.[58] Building Reports Permanent 3/11.[11]a Building Septic Permits Permanent 50/3.[212] Building Street Address Authority File Retain until superseded 14/2.[658] Committees Minutes Permanent 1/1.[1] Committees Reports Permanent 3/11.[11]a Community Grants Permanent 4/13.[13] Development Emergency Emergency Management Plan Permanent 25/1.[70] Management Engineering Drainage Maps Permanent set by RMO Engineering Reports Permanent 3/11.[11]a https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 11 of 49 MU-1 Retention Department Records Series Retention Period and Disposition Schedule Page No./Item No. , Highway Highway Books Permanent 180/3.[615]a Highway Highway Dedications Permanent 180/3.[615]a Highway Highway Excavation Permits Permanent 180/3.[615]a Highway Reports Permanent 3/11.[11]a Historian Historical Records Permanent 76/1.[293]a Human Resource Annual Food Permit Permanent set by RMO Center Human Resource Reports Permanent 3/11.[11]a Center Land Preservation Agendas Permanent 1/3.[3] Land Preservation Audits Permanent 61/1.[206]a Land Preservation Development Rights/Open Space Permanent 59/1.[242] Easements Land Preservation Grants Permanent 4/13413] Land Preservation Minutes Permanent 1/1.[1] Land Preservation Reports Permanent 3/11.[11]a Landmarks Minutes Permanent 1/1.[1] Preservation Landmarks SPLIA files Permanent 86/16.[336] Preservation Landmarks Town Register of Historic Permanent 86/16.[336] Preservation Landmarks Planning Agendas Permanent 1/3.[3] Planning Correspondence, 6 Years 2/1O.[10]b Routine Planning Minutes Permanent 1/1.[1] https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 12 of 49 MU-1 Retention Department Records Series Retention Period and Disposition Schedule Page No./Item No. Planning Plan Development Files Permanent 19/1.[397] Planning Planning Projects/Program Files Permanent 19/3.[398] Planning Reports Permanent 3/11.[11]a Planning Site Plan Files Permanent 20/6.[401] Planning Subdivision Files Permanent 20/6.[401] Police Arrest Reports Permanent 146/3.[523]a Police Daily Activity Reports 3 yrs set by PD Police Daily Employee Status Reports 3 yrs set by PD Police Field Reports Permanent set by PD Public Works Parks and Beaches Management Permanent 74/1.[727]a. Plan Public Works Reports Permanent 3/11.[11]a Recreation Bathing Beach Permits 3yrs after expiration 132/31.[774] Recreation Reports Permanent 3/11.[11]a Solid Waste Manifests Permanent 58c/3.[232]a Solid Waste Purchase order books 6yrs 71/1.[559 Solid Waste Reports Permanent 3/11.[11]a Solid Waste Residential Solid Waste ticket 6yrs 58b/1.[880] books Solid Waste Scale house drawer verification 0 5/18.[18] Solid Waste Signed Scale Tickets 1 Year 58d/4.[233]a* Solid Waste Solid Waste Works Batches & -6 Years 58d/4.[233]a Office Waste Works Batches Solid Waste Yellow Bag.inventory 0 5/18.[18] https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 13 of 49 MU-1 Retention Department Records Series Retention Period and Disposition Schedule Page No./Item No. Solid Waste Yellow Bag receipt books 6yrs 67/17. [282] Solid Waste Yellow Bag sales summary 0 5/18.[18] Supervisor Town Board Agendas Permanent 1/1.[3] Tax Receiver Apportionment of Tax Monies Permanent 176/3.[604]a Tax Receiver Batch Reports, listing of 6 173/1.[595]a payments, walk-ins, Years lockbox Tax Receiver Correspondence,Routine 6 Years 2/10.[10]b Tax Receiver Lists of Unpaid Taxes/Taxes Due 6 Years 174/2.[596] Tax Receiver Tax Collection Records 6 Years 173/1.[595]a Town Correspondence, 6 Years 2/10.[10]b Attorney Routine Town Attorney Legal Case Files 6 Years 13/1.[45] Town Attorney Legal Case Index Permanent 13/4.[48] Town Clerk Agendas Permanent 1/3.[3] Town Clerk Agreements, Permanent 2/6.[6] Contracts and Leases Town Clerk Agricultural &Garbage Permits 6 Years, 83a 7.[319] Town Clerk Alarm Permits 6 Years 138/4. [793]a&c Town Clerk Animal Shelter Records Permanent 32/10.[171] https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 14 of 49 MU-1 Retention i Department Records Series Retention Period and Disposition Schedule Page No./Item No. Town Clerk Audits(Pursuant to Sec. 35, Permanent 6114.[260]a General Municipal Law) Town Clerk Bank Statements, etc. 6 Years 61 1.[263] Town Clerk Beach attendant receipt books 6 Years 83a 7.[319] Town Clerk Beach Stickers Used&Unused 6 Years 83a 7.[319] Daily&Resident; Town Clerk Beach/Dump/Parking applications, 6 Years 83a 7.[319] stickers, cards Town Clerk Bid Files Permanent set by RMO Town Clerk Birth,Death,Marriage Records Permanent Pursuant to Article 41,NYS Public Health Law (` l Town Clerk Bond Anticipation Permanent P62/8. Notes [273], 63/1.[270] a Town Clerk Budget Preparation Files 6 Years 63/1.[51] Town Clerk Budgets (Annual) 0/After Recorded 63/2.[54]b Town Clerk Burial Permits Permanent Pursuant to Article 41, NYS Public Health Law Town Clerk Campground Permits 3 Years 163/2.[838] Town Clerk Change Of Zone Files Permanent 21/1.[664] https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 15 of 49 MU-1 Retention ;/_-, and Disposition Department Records Series Retention Period Schedule Page —,= No./Item No. Town Clerk Commercial Contractor 6 Years 83a 7.[319] Town Clerk Correspondence, 6'Years 2/10.[10]b Routine Town Clerk Daily Record of Cash 6 Years 66/54249] Receipts Town Clerk Deposit Slips 6 Years 62/7.[269] Town Clerk Dog Licenses 3 Years 31/2.4163] Town Clerk Eminent Domain Permanent 27/3.[152]d ' Town Clerk F.O.I.L.Requests 6 Months 104/4.[409]a Town Clerk Fire Districts Permanent 85/7.[326]a Town Clerk Fishers Island Maps (misc) Permanent set by RMO Town Clerk Fishers Island Minutes Permanent 1/1.[1] Town Clerk Fishers Island Reports Permanent 3/11.[11]a Town Clerk Flood,Insurance Maps Permanent 60/6.[887]a Town Clerk Games of Chance/Bingo 6 Years 73/1.[289]c Town Clerk Grant Program Records 6 Years 4/13.[13]a&b Town Clerk Handicapped Permit Records 3 Years after expiration 187/23.[634]a Town Clerk Highway Dedications Permanent 180/3.[615]a Town Clerk Hunting/Fishing Licenses 6 years 83/319-A Town Clerk Landbank 2%Fund Permanent set by RMO Town Clerk Local Laws Permanent 2/5.[5] https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 16 of 49 MU-1 Retention Department Records Series Retention Period and Disposition Schedule Page NoAtem No. Town Clerk Minutes Permanent 1/l.[1] Town Clerk Notice Of Claims 6 Years 64/4.[279] Town Clerk Notice Of Intent to Apply/Renew 2 Years 83/64318] Alcoholic Beverage License Town Clerk Oaths Of Office Permanent 95/19.[382]a Town Clerk Park Districts Permanent set by RMO Town Clerk Planning Minutes Permanent 1/1.[1] Town Clerk Purchase Orders 6 Years 71 1.[559] Town Clerk Reports Permanent 3/11.[11]a , Town Clerk Residential Solid Waste books 6 Years 58b1.[880] __ Town Clerk Resumes 6 Years after termination of 91/1.[364]b Employment Town Clerk Shellfish permit books used, unused 6 Years 83a 7.[319] residential Town Clerk Shellfish Permits 6 Years 83/7.[319] (commercial) a Town Clerk Studies and Reports Permanent 3/11.[11]a Town Clerk Tipping Fee Receipts 6 Years 66/12.[256] Town Clerk Town Board Minutes Permanent 1/141] Town Clerk Town Record Books Permanent 86/14.[334] Town Clerk Trailer Permits 6 Years 4/14.[29]a&b Town Clerk Trustees Minutes Permanent 1/1.[1] Town Clerk Yard Sale Permits 3 Years 82/3.[315]a https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 17 of 49 MU-1 Retention Department Records Series Retention Period and Disposition Schedule Page No./Item No. Town Clerk Zoning Board Minutes Permanent 1/1.[1]. Trustees Agendas Permanent 1/3 43] Trustees Correspondence,Routine 6 Years 2/10.[10]b Trustees Minutes Permanent 1/1.[1] Trustees Reports Permanent 3/11.[11]a Trustees Wetland Permits Permanent 59/1.[242] Village Clerk ZBA Correspondence,Routine 6 Years 2/10.[10]b ZBA Zoning,Variance, Special Permit Permanent 22/5.[650]a Files Zoning Board of Agendas Permanent 1/3.[3] Appeals Zoning Board of Minutes/Hearings Permanent 1/1.[1] Appeals Zoning Board of Reports Permanent 3/11.[11]a. Appeals Department Records Series Retention Period NYS OCA Retention and Disposition Schedule Page No./Item No. Justice Court Civil Cases 25 Years 2/70020 Justice Court Criminal Misdemeanors 25 Years 2/80010a Justice Court Criminal Misdemeanors- 6 Years 2/80010b Dismissed Justice Court Docket Books Permanent 22/80420a Justice Court Juror Summons 6 Years 9/70370a https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 18 of 49 Justice Court Motor Vehicle Traffic Infractions- 6 Years 4/80030 Disposed Justice Court Parking Tickets 6 years 5/80040 Justice Court Reports Permanent 3/11.[111a Justice Court Violations-Disposed 6 Years 6/80050a The following Village of Greenport records comprising approximately 500 cubic feet are also involved in this project: Department Records Series Retention Period M[1.1-1 Retention and Disposition Schedule Page No./Item No. Village Clerk Abstracts/Reports Varies/some 72a 1.(283) permanent Village Clerk Agreements, Contracts&Leases Varies/some 2 6.(6) permanent Village Clerk Arrest&Police Records Permanent 145a 1.(521) Village Clerk Bid Documents Permanent 71 (561) Village Clerk Billing Information119 6 years 66 (256) Village Clerk Birth,Death, &Marriage Permanent 119 (458) Records Village Clerk Bonds Permanent/6 years 62, 63 (270-72,,719) Village Clerk Budgets Permanent/6 years 63, 64 2.(54) Village Clerk Campground/McCann Park 6 years 1.(837) Village Clerk Civil Service/Personnel Files Permanent 98, 102 (385-96, 751-52,893) Village Clerk Code Permanent 14 Village Clerk Election Information Permanent/other 34, 36 (175-86) Village Clerk Emergency Preparedness Permanent/other 25 (72-75) Village Clerk Permanent 68 (345f) https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 19 of 49 Department Records Series Retention Period MU-1 Retention and Disposition Schedule Page No./Item No. Fire Department re:LOSAP & Investments Village Clerk FOIL Requests 6 months 104/4.(409)a Village Clerk Grants 6 years 4/13.(13) a&b Village Clerk Grievances Permanent/other 93, 94 (377) Village Clerk Insurance NYMIR 6-18 years 78-79 (296-303) Village Clerk Legal agreements, cases 6 years 2 (6) 13 (45) Village Local Laws & Permanent87-88 (342) Clerk Ordinances Village Clerk Public Hearings Permanent 1 (1) Village Clerk Recreational Facilities 6 years 161-163 (569-74; 834-36) Village Clerk Road/Highway Files Permanent/6 years 180-188 Village Clerk Sewer Department Files Permanent 50 (212) Village Clerk Tax Sales 6 years 28 (152e) Village Clerk Utilities upgrade files Capital Permanent 37-39 (187-198 Project Village Clerk Utility Billing 6 years 66 (256) Village Clerk Waste Water Permanent/6 years 1.(874) 3.(876) Village Clerk Water Department Files Permanent/6 years 57 (231c) The Town received multiple LGRMIF individual grant awards between 1991 and 2008 as listed below with information showing that the current application will not duplicate any of these past efforts. 1991-1992 Inventory and Planning—this project strictly dealt with conducting inventories of physical Town records. No such work will be conducted as part of the project that funds are being requested for as part of this grant application. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 20 of 49 1992-1993 Inventory and Planning—this project strictly dealt with conducting inventories of physical Town ( LL` records. No such work will be conducted as part of the project that funds are being requested for as part of this grant application. 1993-1994 Inactive Records—this project funded the creation of an inactive records vault with shelving at Town Hall. No work related to the vault is included in the current grant application. 1994-1995 Archival Records—this project funded the microfilming of historic Towns records and no microfilming is being proposed as part of this grant application. 1998-1999 Inactive Records—this project funded the installation of HVAC units in the inactive records vault at Town Hall. No such work is being requested as part of this grant application. 2000-2001 Active Records—this project involved the restoration of physical Town records and no such work will be conducted as part of the project that funds are being requested for as part of this grant application. 2001-2002 Inactive Records—this project funded the acquisition of a wide format scanner for scanning large documents into Laserfiche. This scanner is still in use and no scanners are being requested as part of the current grant application. 2003-2004 Historical Records—this project•funded the purchase of a book scanner to handle the scanning of bound books into Laserfiche. This scanner is still in service and no such equipment is being requested as part of this grant application. 2005-2006 Historical Records—this project funded the purchase of a Kodak Archive writer system to microfilm digital records stored on Laserfiche. No such equipment is being requested as part of this grant application. 2008-2009 Active Records—this project funded a needs assessment that was conducted and used to form the basis of a subsequent grant application that resulted in the implementation of a property information system. The project being requested in this grant cycle is not a needs assessment and therefore is not duplicating this past project. 2009-2010 Active Records-The Town and Village, as part of their 2009-10 LGRMIF cooperative records grant award implemented a property information system that involved the following active records: • MU-1 Schedule [847]—Real property history data file contained in taxation/assessment data system. • MU-1 Schedule [657]—Building/property history data file contained in building/property history system • MU-1 Schedule [663]—Planning action data file • MU-1 Schedule [665]—Zoning action data file The initial date ranges for these records upon implementation was 1957-2010 but the system now covers 1957 -present because the system was fully implemented and is being used to enter all new records as they are created. This system is a property management system that tracks all information necessary for the Town to review and approve land use applications such as building permits, subdivisions and variances. While this system is part of the Town and Village's overall records management program it is only used by six departments that are involved in land use application reviews and approvals and does not have the ability to handle any of the enhancements to the Town and Village's digital document management system being proposed as part of this grant application so no work from the implementation of the property management project will be duplicated by the current grant project. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 21 of 49 ° 2010-2011 —The Town and Village, as part of their 2010-2011 LGRMIF cooperative grant award completed a GIS User Needs Assessment which formed the basis for a subsequent LGRMIF grant application. This project was limited to conducting the GIS needs assessment. The project currently being requested is not a GIS project and therefore does not replicate the project funded in the 2010-2011 LGRMIF grant cycle. 2013-2014—The Town and Village, as part of their 2013-2014 LGRMIF shared services grant award will be implementing an enterprise level GIS in 2014. This project was specific to managing digital spatial records, providing employee and public access to the digital spatial records, scanning paper records into the existing digital document management,system,microfilming the digital documents and converting the digital documents into a GIS format. The project being requested in this grant cycle is designed to enhance the existing digital document management system and does not involve any GIS functionality or scanning/microfilming of documents and therefore does not replicate any of the work that will be completed under this previous grant award. Ha. Chosen methodology and other methodologies considered. 2. a. Explain why the methodology you chose to solve your records management problem was the best one. Explain what other � methodologies you considered, detail why these were rejected, (,—) and demonstrate why the chosen methodology was the best. (5 points) The methodology the Town and Village have chosen to solve our records management issues is to expand our current digital document management system, Laserfiche, by implementing additional modules and utilities that are now available that will provide us with the tools needed to more effectively manage our records management processes and retention schedules, improve access and retrieval of documents and automate records management forms and processes to improve efficiency. The Town implemented Laserfiche in 2001 and has upgraded Laserfiche twice since then and will be upgrading it a third time in 2014. However, over the past approximately five years the developers of Laserfiche have developed additional modules and utilities that the Town and Village lack. These new modules are designed to implement and automate records management-functionality,'processes and data entry. In addition Laserfiche is now offered as multiple brands designed to meet the needs of different company sizes. The three brands of the product that are available are Classic,Avante and Rio. The Town and Village currently have the Classic version of Laserfiche without any of the more recently developed modules and have chosen the Rio brand of the product as the solution that is best for us. The https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 22 of 49 Town and Village considered multiple alternate methodologies to deal with our records management issues as r - follows: J 1. Do nothing and continue using Classic without any of the new modules. Although this is our current fallback position if we are unable to obtain funding for expansion of our records management program we rejected it hoping to obtain funding through this grant application because there are clearly long term cost benefits to automating more of our records management and records data entry processes and because the Classic version is no longer being developed for and will be discontinued sometime within the next few years which will require us to move to one of the other brands anyway. 2. Continue using Classic and purchase the additional modules that have been developed for the Classic brand. We rejected this solution because some of the modules we need to solve our records management issues, specifically digital signatures and online forms,have not and will not be developed for the Classic brand. In addition, as noted previously Classic will be discontinued within the next few years which would require us to move to one of the other brands anyway at additional cost. 3. Switch to the Avante brand. We rejected this solution because this brand is not designed for installations our size. Avante is typically aimed at companies that have less than 100 users but we have close to 200 users on our system. In addition the cost of this system is only marginally lower than Rio and the administration of this brand is more complex than Rio. 4. Abandon Laserfiche completely and find another product. This was rejected due it being extremely expensive. It is estimated that to replace the current functionality in place with Laserfiche would cost at least$125,000 exclusive of any file conversions or Town staff time necessary to implement the new system. Additional costs would be incurred to integrate our property management system which was funded by a previous LGRMIF grant and which is already integrated with Laserfiche and our GIS which was also funded by a previous LGRMIF grant and which will be integrated with Laserfiche in 2014. This would still leave the need for the funds being requested as part of this grant application to be used to provide the additional functionality the Town and Village require. In sum the cost of implementing another product would likely end up in the$250,000-$300,000 range. In addition the Town and Village have worked with and been very satisfied with Laserfiche and General Code,the regional reseller and support vendor for Laserfiche and prefer to continue these long term relationships. The Town acknowledges that the base Laserfiche product is already in place and it is not eligible for LGRMIF grant funds as it would be considered an upgrade. The Town has already funded a capital budget and will be moving forward with upgrading the base Laserfiche product to version 9 in 2014 and therefore is not requesting any funding for this upgrade as part of this grant application. This application is for the additional modules that are not in place currently and will allow us to enhance, improve and expand our records management systems and program. The Rio solution is the best and most cost effective solution for the Town and Village for the following reasons: • Rio is the most up to date version of the Laserfiche brand currently available and is being actively developed for ensuring future enhancements to the product. • Rio is designed for organizations our size. • Rio bundles key features together compared to the Classic and Avante brands which results in cost savings so that the Town and Village can get the best value for their money. • Rio includes licensing for unlimited servers so that the Town and Village could expand their system to include additional servers without the need for any additional server licensing fees. • Rio provides specific functionality that will enable the Town and Village to deal with the records management issues outlined in this grant application. Detailed descriptions of the modules and utilities being requested and the functionality they provide follow. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 23 of 49 Rio Records Management/Rio Name Full Users/Public Portal—these items provide the base functionality and • user licensing for Rio. The functions provided include automated workflow,web access, digital signatures and transparent records management. Laserfiche Forms Automation/Forms Portal—these modules provides the ability to create PDF and web based forms and integrates these forms with the automated workflow. Rio Quick Fields/Scan Connect—these modules allow the scanning,and extraction of index information from documents containing text and the storage of this information in Laserfiche metadata or as file names. Quick Fields can also facilitate automated filing based on the extracted information. Rio Integrator's Toolkit-this module provides the ability to create customized integrations with other computer systems and the ability to create custom import routines to bulk load metadata into the Laserfiche database. Affinity—this module allows for the integration of Laserfiche with other computer systems by capturing data displayed by the other programs and importing it directly into Laserfiche metadata. IIb.Identify intended result(s)and anticipated benefits. 2. b. Identify each intended result or anticipated benefit of this project and your chosen solution, including specific products, time and cost savings, and service -' improvements. Describe how the anticipated benefits of this project will contribute to the development of a records management program or enhance an already existing program. Provide both qualitative and quantitative data to support your arguments about the benefits of this project. (10 points) Detailed Intended Results and Anticipated Benefits Intended Result: Integration of the management of all retention schedules into the existing digital document management system (Laserfiche)and automation of records management forms and processes. Anticipated Benefits: • Cost and time savings resulting from the reduced work necessary to manage records retentions schedules. By implementing the Rio Records Management,Transparent Records Management and Automated Workflow features the Town and Village will reduce the amount of time that staff needs to spend on assigning retention schedules to records and eliminate the need to maintain separate documents outside Laserfiche documenting the records retentions. These features will allow the Town and Village to set up their retention schedules by department and folder on Laserfiche and have the automated workflow assign the appropriate retention schedule to each document entered into the system ( ! as they are entered into the system without the need for staff to conduct any data entry. Integrating the retention schedules into Laserfiche will also allow for automated workflows to be created that query the database for any records that are past their retentions and automatically move them to a special folder containing documents that are due to be destroyed. This allows these documents to be deleted from the https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 24 of 49 system in in one action instead of individually as is the case now. It is estimated that staff currently spends approximately 10%of their time assigning retention schedules to documents filed on Laserfiche and deleting documents past their retention periods. It is anticipated that implementing this project will reduce this time to 2%,resulting in an 8% overall savings. Based on a typical salary in the Records Management office of$66,000 per year this yields a yearly savings of$5,280. • New ability to present different views of the database to Records Management staff and other departments. This will avoid conflicts between Records Management staff and other departments by allowing both groups to view the data as best fits their day to day needs. This will ensure that integration of the management of the records retention and disposition schedules does not change how departments have worked with their Laserfiche records since 2001. • Cost and time savings resulting,from the reduced work necessary to create and manage the records management forms used in the Town and Village records management processes. Implementing the digital signatures, forms automation and workflow features of this project will allow the Town and Village to reduce the amount of time needed to fill out and manage the various records management forms associated with the transmittal, storage and destruction of records. Implementing digital online forms within Laserfiche that have the ability to be digitally signed will eliminate the need for the forms to be printed, signed and then scanned as they are now. In addition making these forms available within Laserfiche eliminates the need for them to be distributed via interoffice mail. Data entry into the forms will be reduced by using the online forms and workflow to automatically fill in information that is needed for multiple forms and using metadata already available within Laserfiche. The Town and Village currently process approximately 350 boxes of records each year. Newly filed boxes require two forms and boxes that have past their retentions schedules require one. Based on 2013 this resulted in approximately 500 forms. Each form ends up being partially filled out by both the department whose records are involved and the records management office. It is estimated that allowing for time to fill out the form,prepare it for interoffice delivery,print it for required signatures and scan it into Laserfiche each form ends up taking a total of ten minutes to process. This means a total of 10 x 500=5000 minutes or 83 hours is spent handling these forms each year. These forms are handled by records management staff, other departmental staff and department heads at different points in the process. These employees have different pay rates but assuming a blended average of$50 per hour since department heads are involved yields a yearly cost of$4150 per year. Implementing this project will eliminate the need for printing the forms, scanning the forms and preparing the forms for interoffice delivery and will reduce the amount of time needed to fill out each form and reduce the time needed per form to approximately one minute each or reducing the time needed by 90%which equates to a savings of$3,735 per year. • Increased accuracy of records management forms. Converting these forms to online versions that are typed using computers'and filled from metadata already stored in Laserfiche will eliminate handwritten forms that do not properly OCR thus improving OCR accuracy and therefore the ability of staff to retrieve and access the records when needed. Intended Result: Implementation of the Rio Quick Fields and Scan Connect features. Anticipated Benefits: j • Time savings entering and increased accuracy of Laserfiche metadata and file names for all records that involve standardized forms by implementing the Rio Quick Fields and Scan Connect features. Rio Quick Fields has the ability to extract index information from digital images and automatically populate Laserfiche metadata and/or name files with information based on the location of the information on the https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 25 of 49 form as they are scanned using the Scan Connect feature. This will reduce the amount of work necessary to name documents and enter metadata in Laserfiche by eliminating the need to review the digital image of the document in order to find the data needed to name the digital document and/or enter into the metadata. This will also help improve accuracy by reducing the number of transcription errors that occur when manually entering data. Intended Result: Implementation of the Rio Integrator's Toolkit. Anticipated Benefits: • Time and cost savings entering missing and incomplete metadata into Laserfiche and improvements in retrieval and access to documents. The Rio Integrator's Toolkit will give the Town and Village the ability to develop import routines that will load missing metadata into Laserfiche extracted from other sources in bulk and eliminates the need for extensive manual data entry. Currently the Town and Village have the ability to determine tax map numbers and/or physical addresses for land use records based on other metadata by using their GIS. Currently there are approximately 25,000 land use records on Laserfiche that are missing tax map number and/or physical address information. These records will not be returned by searches involving tax map number or physical address. In addition,many land use records only have the tax map number that was in use at the time of the approval and are missing previous and subsequent numbers so they will only be returned by searches involving tax map numbers using the tax map number at the time of the approval. The Town is working with Suffolk County to obtain a database consisting of historic tax map numbers that will allow us to determine the history of all tax map numbers on any given parcel. This could then be used to enter additional tax map numbers into the Laserfiche metadata so that searching for the current or any past tax map number that applied to a parcel will return all related records. While, due to the age of some of these records, it is not likely that the tax map and physical address metadata will be determined for all of the records that are missing this information,based on the Town's experience in manually filling in information obtained from other sources over the past 12 years it is feasible that 90%of this information could be determined and entered resulting in over 22,000 additional documents to be retrieved using tax map numbers arid/or physical address searches. For the records that only have one tax map number associated with them the County database could possibly fill in the complete history of these records allowing single searches to return all records related to a particular tax map numbers. If metadata needs for a record series change with additional fields being needed in the metadata similar imports could be used to enter this metadata in bulk. This new functionality that would be provided by the Rio Integrator's toolkit would result in a significant improvement in the metadata for land use as well as other records which in turn would improve searches,retrieval and access to these records by both staff and the public. The ability to develop import routines to handle the processing of metadata obtained from other systems is absolutely key to improving our records management program. - Intended Result: Implementation of Affinity software Anticipated Benefits: • Time, cost savings and improved accuracy entering information generated by other computer systems into Laserfiche metadata. Allowing metadata needed for documents filed on Laserfiche such as building permits and purchase orders to be pulled from these systems directly instead of having to print and scan the records will reduce the time needed by staff to print the documents, scan them and then manually enter the https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 26 of 49 metadata and reduce paper costs. This will also reduce transcription errors in metadata since staff will no longer need to type the data into Laserfiche which in turn will improve search and retrieval capabilities of records.' Intended Result: Implementation of Automated Workflow Anticipated Benefits: • Automation of file management and improved retrieval of and access to agreements. The Automated Workflow included in Rio Records Management will enable the Town and Village to reduce the amount of manual filing activities, greatly improving our management of records. This workflow will rely on expiration date metadata entered into the system upon initial entry of the agreement. Workflow will manage the agreements by this date and file any active agreements in an active folder and any expired agreements in an inactive folder. Should any agreements be renewed or extended the expiration date will be updated in the metadata and the automated workflow will move the agreement to the appropriate folder automatically. This will enhance searching for agreements by allowing users to limit their searches to only active agreements or only inactive agreements based on their needs and will eliminate the current confusion concerning whether the agreement is active or not. Searches can also be used to query the system for agreements approaching their expiration dates so that they can be managed appropriately, e.g. schedule for renewal,updated,replaced,rebid, etc. This same automation of file management can also be implemented for many other records stored in Laserfiche and will provide similar enhancements to the,access and retrieval of records by staff and the public. Intended Result: Implementation of online forms and workflows for processing and documenting FOIL requests. Anticipated Benefits: • Automation of FOIL process and improved accuracy and management of FOIL forms. Implementing online versions of FOIL request forms using Laserfiche Forms Automation and Forms Portal and making them available on the Town and Village websites and public terminals located at Town Hall will reduce the need for handwritten forms to be processed and improve readability of the forms resulting in less follow up by staff with requesters. Use Automated Workflow to file FOIL requests on the system and route them to the appropriate department for responses will reduce the amount of staff time spent on scanning paper forms into the system and providing copies of the requests for the departments. Having all forms filed on Laserfiche will allow the requests to be counted by using searches or view folder documents counts which will eliminate the need for staff to manually count paper FOIL forms as they do now. It is estimated that it currently takes staff 7 minutes per FOIL request to review the request, determine which department or departments are needed to fulfill the request,make copies of the FOIL forms for distribution to the departments, file the request and track when the request has been fulfilled. With 2500 FOIL requests per year this equates to 291 hours of staff time per year. At a typical hourly pay rate of$40 per hour for staff involved in this process means $11,640 are spent each year handling the FOIL forms. It is estimated that automating this process as described will reduce the amount of staff time needed to process and file the forms down to 2 minutes saving 5 minutes per request. This results in a cost savings of over$8,300 per year. Ma.Detailed outline/timetable for project https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 27 of 49 3. Plan of Work (maximum 30 points) • 3. a. Provide a detailed outline of the proposed work activities including a detailed description of each workstep and a timetable that shows when.each phase of the project will be completed. Show how you calculated estimated work rates to prove that your local government can attain all the project's goals by 30 June 2015. (15 points) The following tasks will be executed by Town and Village staff and the software vendor: Procure,Install and Configure Required Hardware The Town of Southold will be responsible for procuring the required hardware as outlined in our grant application. These hardware items will be procured off NYS OGS contract or through a competitive bid process. Once procured,Town personnel will be responsible for installing and configuring the hardware to meet the Town's standards as well as integrating the hardware into the Town's Wide Area Network. The Town will work directly with Village of Greenport Information Technology resources to ensure a secure connection to the new hardware is established and operational. A server is being requested as part of this application. This server is necessary for the project because the - Town's current servers are all dedicated to other applications and services and cannot accommodate the additional loads required to implement the new software modules being installed. The server specifications were developed using standards provided by Laserfiche and General Code. Based on these standards this server will host the new software modules only with the existing Laserfiche system already in place remaining on a separate server that is not to be funded as part of this application. Deliverables: The following deliverables will be completed under this task: • Procure server • Install and Configure server • Integrate server with Town's network Procure Required Software The Town of Southold will be responsible for procuring the required software items. These software items will be procured from General Code,the regional authorized reseller of the software and the Town's preferred vendor. Since the software being purchased is expanding on the Town's existing Laserfiche system and General Code is the only authorized reseller of the software in our region and has been supporting the Town's Laserfiche system since 2001 the Town considers this software purchase a sole source purchase and therefore ( the Town does not require multiple quotes or RFPs in order to purchase this software. Deliverable: https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 28 of 49 The following deliverables will be completed under this task: • - Procure Laserfiche Rio software including Automated Workflow, Quick Fields,Records Management and Forms Automation Install and Configure Software,Integration,Administrative Training General Code,the regional reseller of Laserfiche Rio,will work with the Town's GIS Coordinator to install and configure the software on the server and integrating the new server with the Town's existing records management server. General Code will work with Town staff to configure the Transparent Records Management module; create necessary workflows and assign retention schedules to all documents currently in the system. General Code will work with Town staff to develop the online forms needed for the records management processes. General Code will configure the automated workflows necessary for maintaining the retention schedules, processing the online forms developed for the records management processes such as transmittals and dispositions and automating management of the agreements section of the database. General Code will conduct training of the Town's Records Management Assistant,Records Management Officer, GIS Coordinator and Village staff in the administration of the Transparent Records Management, eForms and Workflow modules. Deliverable: The following deliverables will be completed under this task: • Installation of Rio and all other software on the server. • Implementation of Transparent Records Management Creation of workflows necessary for managing retention schedules and assignment of retention schedules. • Creation of workflows necessary for managing agreements. Administrative training for the Town's Database Coordinator,Records Management Officer and Records Management Assistant. The Town and Village will submit all required project reports and copies of any documentation to NYS Archives, which will conclude the project. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 29 of 49 The Town and Village are confident that the proposed project is of manageable scope,that it can be completed on schedule and that it will realize the anticipated benefits outlined within this grant application. The following schedule presents a reasonable timetable for successful completion of the proposed project before June 30, 2015. July 1,2014—July 10,2014—The Town will obtain updated pricing on hardware and software needed for the project as per the Town's procurement policy. Since quotes for all hardware and software were obtained for this grant application and will only need to be requested again if the grant is awarded it is expected that it will take approximately one week to obtain the updated pricing. July 11,2014—July 25,2014—The Town will execute purchase orders and place orders for all hardware and software needed for the project. The Town's purchase order process can take up to two weeks to complete. July 26,2014—August 31,2014—Delivery of server. Based on past projects involving servers it typically takes 3-4 weeks for a new server to be delivered. September 1,2014—September 7,2014—The Town will install and configure the required server hardware. The original server installed for Laserfiche took two days to set up, configure and add to the Town's network. It is anticipated that the server for this project will take about the same length of time. September 8,2014—October 8,2014—General Code will work with Town and Village staff to install and configure the software, create the forms and set up the automated workflows necessary for the records management processes, conduct training and implement the transparent records management system, workflows and retention schedules for as many record series as time allows based on their proposal. General Code included 14 days of installation,training and consulting in their quote based on their experience with previous installations. Since Town and Village staff will receive training in how to implement all elements of the project they will continue with implementation if necessary after General Code has completed their work with General Code being available for phone support when needed. October 9,2014—October 31,2014—Town and Village staff will continue implementing forms,processes and retention schedules, if needed, and conduct general troubleshooting of the system to identify any issues that need to be resolved with General Code assisting as necessary via remote support. It is anticipated that the project will be complete by October 31,2014,well in advance of June 30,2015. IIIb.Requirements of relevant project category 3_b.Address each of the general application, project type, and project category requirements. If your application combines elements of two or more grant categories, address the requirements of each. (10 points) General Category Requirements Records Focus: The goal of this project is to enhance an existing records management system by: https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 30 of 49 1. Integrating the ability to assign, manage and automate retention and disposition schedules to all Town and Village records with the existing digital document management system that was implemented in 2001. 2. Creating online forms,to be used for all Town and Village records management processes including, FOIL requests, records destruction authorizations, court records destruction authorizations, storage forms and records transmittals. 3. Eliminating scanning of all forms used for records management processes. , 4. Automating the filing of all records forms within the digital document management system. 5. Reducing the amount of data entry required on records management forms by pulling as much information as possible from the digital document management system. 6. Improving document index metadata by importing missing or additional information extracted from other computer systems in bulk using custom import routines and thus improving search capabilities,retrieval and access to documents. 7. Improving accuracy of document index metadata by extracting metadata from standardized forms entered into the system instead of having operators read and type the information in resulting in improved search capabilities,retrieval and access to documents. 8. Improving and automating the management and retrieval of agreements to eliminate confusion caused by active versus inactive agreements and the current filing system. 9. Improving the FOIL process by accepting online forms and automating the filing of these forms and maintaining compliance with FOIL laws. If funded,this project will greatly improve Town and Village records management practices by providing significant records management tools not currently in place. ,_ Adherence to Archives' Standards and Guidelines: In planning this project the Town and Village used the following resources: Publication 00 Digital Imaging Production Guidelines-These guidelines list the minimal standards for producing and inspecting digital images of records.Published 2014 • Publication 41 Retention and Disposition of Records: How Long to Keep Records and How to Destroy Them- Explains how to use State Archives retention schedules, develop specialized office retention schedules, and destroy obsolete records. Published 2002 Publication 61 Seven Attributes of an Effective Records Management Program Discusses attributes that records managers can use to assess the effectiveness of their programs. Includes examples of good practices and a glossary of records management terms. Published 2002 • Publication 63 Guidelines for Choosing Records Management Software Explains how different software products can help manage records more effectively, including software that maintains records inventories,tracks inactive records,and improves access to active records. Published 2002 • Geof Huth, Director,Government Services, New York State Archives—several telephone conversations with RMO Elizabeth and Database Coordinator John Sepenoski. • Lorraine Hill, Regional Advisory Officer(RAO) Regionl0, Long Island(Nassau &Suffolk Counties) New York Counties—several telephone consultations with RMO Elizabeth Neville • LGRMIF Webinar Shared Services Grant Application Instructions Recording https://eseryices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 31 of 49 • LGRMIF Webinar How To Write A Successful Grant Application Recording All State Archives standards will be followed for the implementation of this project and moving forward after the implementation is complete. Increased Capacity:This project will enable the Town and Village the ability automate the assigning of retention schedules to records; reduce the time needed to delete digital records that are past their retention schedule from the system and streamline all records management processes by creating online forms and automated workflows that will substantially reduce the need for handling and scanning hand written forms. In addition it will reduce manual data entry into the system substantially. By doing this Town and Village staff time will be freed up enabling staff to spend more time on entering additional records into the system. Intent and Ability to Maintain: The Town and Village will continue to budget funds to keep its hardware and software up to date as new technologies and'upgrades become available. The Town has already allocated $25,000 in its 2014 capital budget to purchase a new server and Laserfiche 9 upgrade. This will be the third time the Town had upgraded Laserfiche since originally purchasing it in 2001. The Town has annual maintenance agreements totaling$22,000 in place for our Laserfiche digital document management and Municity and hardware maintenance agreements for the Laserfiche server, wide format scanner, microfilm machine and standard scanners totaling$5,000 Should the need arise in the future to convert any digital records to other formats due to new technologies that are developed the Database Coordinator will handle these conversions,as they have since they began working for the Town in 1996. The Town and Village Records Management Officers will continue to be responsible'for overseeing all records from a records management perspective and will establish the appropriate retention and disposition schedules, disaster recovery procedures,security, etc.that will be implemented by the Records Management Assistant. Supporting Documentation:All supporting documentation necessary to justify the needs and costs associated with successfully implementing this project has been included in this application.This includes the records management needs assessment conducted in the 2009-10 grant cycle,the software and hardware quotes and qualifications of relevant personnel assigned to implement the project. Category: Records Systems Most of the documents on the Laserfiche system are stored in open non-proprietary formats such as TIF, PDF and text files. Some documents are stored as Microsoft Office files which can easily be converted to non -proprietary formats if needed by Microsoft Office itself as well as other programs. No customized software is being developed as part of this project. This project involves birth, death, marriage and burial records. The Town's Records Management Officer discussed this project with the NYS DOH and received a response from Guy Warner, Director of Vital Records that they have no objection to the project, provided that any search services will need to be made according to the provisions of Public Health Law Section 4174 and Title 10 of the Official Compilation of Codes, Rules and Regulations Section 35.5 (10 NYCRR Section 35.5). https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 32 of 49 This project also involves court records. The Town's Records Management Officer discussed this project with the Office of Court Administration. They advised they have no objection to the project provided we follow their"Records Management Policy#9.0- December 10, 2001 and complete their"Records management Certification For Electronic Records Form. Copies of these items are included as attachments to this application. c. Explain who will perform each project activity, including project management. Indicate the qualifications of project staff(including consultants and vendors), and explain how and why they are qualified to conduct their assigned tasks for this project. (5 points) As the lead agency for this shared services grant application,the Town and Village have designated Elizabeth Neville Town Clerk/Records Management Officer as project manager.The project manager will oversee all aspects of the project for compliance with the NYS Archives standards as well as the specific implementation details of this project. Elizabeth Neville has been working in local government since 1968 and has served as Town Clerk since 1998. She began serving as Records Management Assistant in 1989 at the inception of the LGRMIF grant program and became Records Management Officer in 1998. She has attained the Master Municipal Clerk designation through Cornell University. ti The Village's Clerk will be responsible for working with General Code and the Town staff involved in the project to set up Village retention schedules and online forms as they pertain to Village records on the system. The Village Clerk has held this position since 2008 and obtained Registered Municipal Clerk(RMC) designation in 2011. The Town's Records Management Assistant will be responsible for working with General Code to implement the new Rio software modules and integrate them with the existing Laserfiche system. This will include setting up Transparent Records Management, online forms, retention schedules and creating all automated workflows needed. The Records Management Assistant will receive all necessary training in the use and administration of the new software modules. The Town's Records Management Assistant began working with Laserfiche in 2001 while a member of the Building Department and transferred to the Records Management office in 2004. Since 2004 they have worked exclusively in the Records Management office and are responsible for the day to day operations and administration of the Laserfiche digital document management system. The Town's Network and Systems Administrator will be responsible for the installation and configuration of all hardware necessary for the project as well as installing and configuring the server backup software and hardware. The Town's Network and Systems Administrator has worked for the Town since 2001 and is responsible for the administration of the Town's servers, network and backups. The Town's Database Administrator will work with General Code to implement all of the new modules and utilities being purchased as part of the project. This will include Transparent Records Management,online forms, retention, schedules, automated workflows, Quick Fields configuration,Affinity and the Rio Integrator's Toolkit. They will receive training in the use and administration of all of the new modules being purchased. The Database Administrator began working for the Town,in 1996 and is responsible for technical support of the Laserfiche system and the enterprise level GIS that is currently being installed as part of a previous LGRMIF grant award. They have been working with Laserfiche since its original installation in 2001 and have been responsible for all updates and additions to the system since then. General Code will be responsible to installing all new software required as part of this project and working with Town and Village staff to configure the software and integrate it with the existing Laserfiche system. They will also conduct all necessary training of relevant,Town and Village staff. Upon completion of the https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 33 of 49 project General Code will provide technical support for all of the newly installed software as well as the existing system which they have supported since 2001. The Town and Village will support the project by providing staff, including the Database Coordinator and Records Management Assistant and monetary resources necessary for the timely completion of all tasks. Resources provided by the Town and Village will include responses to inquiries necessary for the timely completion of project deliverables and project oversight to ensure timely completion of each grant deliverable and final report preparation. The Town's Supervisor, Mr.Scott Russell, is identified as the Chief Administrative Officer and the government leader for this project. Resumes of Town staff have been included for review as attachments to this LG-NA form. Inc.Responsible parties and qualifications c. Explain who will perform each project activity, including project management. Indicate the qualifications of project staff(including consultants and vendors), and explain howand why they are qualified to conduct their assigned tasks for this project. (5 points) As the lead agency for this shared services grant application,the Town and Village have designated Elizabeth Neville Town Clerk/Records Management Officer as project manager. The project manager will oversee all aspects of the project for compliance with the NYS Archives standards as well as the specific implementation details of this project. Elizabeth Neville has been working in local government since 1968 and has served.as Town Clerk since 1998. She began serving as Records Management Assistant in 1989 at the inception of the LGRMIF grant program and became Records Management Officer in 1998. She has attained the Master Municipal Clerk designation through Cornell University. The Village's Clerk will be responsible for working with General Code and the Town staff involved in the project to set up Village retention schedules and online forms as they pertain to Village records on the system. The Village Clerk has held this position since 2008 and obtained Registered Municipal Clerk(RMC) designation in 2011. The Town's Records Management Assistant will be responsible for working with General Code to implement the new Rio software modules and integrate them with the existing Laserfiche system. This will include setting up Transparent Records Management, online forms,retention schedules and creating all automated workflows needed. The Records Management Assistant will receive all necessary training in the use and administration of the new software modules. The Town's Records Management Assistant began working with Laserfiche in 2001 while a member of the Building Department and transferred to the Records Management office in 2004. Since 2004 they have worked exclusively in the Records Management office and are responsible for the day to day operations and administration of the Laserfiche digital document management system. The Town's Network and Systems Administrator will be responsible for the installation and configuration of all hardware necessary for the project as well as installing and configuring the server back up software and hardware. The Town's Network and Systems Administrator has worked for the Town since 2001 and is responsible for the administration of the Town's servers, network and backups. The Town's Database Administrator will work with General Code to implement all of the new modules and utilities being purchased as part of the project. This will include Transparent Records Management, online forms,retention, schedules, automated workflows, Quick Fields configuration,Affinity and the Rio Integrator's Toolkit. They will receive training in the use and administration of all of the new modules being https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 34 of 49 purchased. The Database Administrator began working for the Town in 1996 and is responsible for technical support of the Laserfiche system and the enterprise level GIS that is currently being installed as part of a ' previous LGRMIF grant award. They-have been working with Laserfiche since its original installation in 2001 and have been responsible for all updates and additions to the system since then. General Code will be responsible for installing all new software required as part of this project and working with Town and Village staff to configure the software and integrate it with the existing Laserfiche system. They will also conduct all necessary training of relevant Town and Village staff. Upon completion of the project General Code will provide technical support for all of the newly installed software as well as the existing system which they have supported since 2001. The Town and Village will support the project by providing staff, including the Database Coordinator and Records Management Assistant and monetary resources necessary for the timely completion of all tasks. Resources provided by the Town and Village will include responses to inquiries necessary for the timely completion of project deliverables and project oversight to ensure timely completion of each grant deliverable and final report preparation. The Town's Supervisor,Mr. Scott Russell, is identified as the Chief Administrative Officer and the government leader for this project. Resumes of Town staff have been included for review as attachments to this LG-NA form. IVa. Contributions demonstrated 4 a. Demonstrate your local government's contributions to this project, including funds, staffing, equipment, supplies, or the allocation of space.Also, demonstrate your local government's contributions to its records management program, demonstrating its commitment to records management. Provide specific budget amounts whenever possible. Include only the financial and other support your local government has provided and will provide with its own funds. Note that previous grant projects funded by the LGRMIF do not constitute local support and must not be listed in this section. (5 points) The Town of Southold and Village of Greenport's commitment to records management will continue during and after completion of this project. The project will result in the enhancement of the existing records management program by integrating the management of the records retention and disposition schedules into the existing digital document management system; improving retrieval and access of records; reducing manual data entry of index information and metadata; and automating records management processes which will enable the Town and Village to increase their efficiency in the management of their records and provide enhanced services to staff and the public. The Town and Village will contribute to the project and continue our long term commitment to our records management program in the following ways: • The Town's RMO will serve as the project manager for the project. It is estimated that the RMO will spend approximately 3 hours per day on the project for each day that General Code will be installing and setting up the system. General Code will be spending 14 days on the project based on their https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 35 of 49 proposal. This will result in the RMO spending 42 hours on the project which based on their current pay rate of$53 per hour exclusive of benefits equates to a$2,226 contribution to the project. • Town and Village staff will be involved in the initial set up of the Records Management module; the transfer of the existing retention schedule information maintained outside the digital document management system to the digital document management system; design and creation of the digital forms necessary to document and manage the records retention and disposition schedules; and the creation of the automated workflows needed to handle the management of the records retention and disposition schedules moving forward. They will also receive all necessary training for the new software modules being purchased. Based on General Code's proposal they will spend a total of 14 days on the project. The Town's Records Management Assistant and Database Administrator will be working with General Code throughout this time. Based on their work schedules of 7 hours per day they will spend 98 hours working with General Code. Based on their hourly pay rates exclusive of benefits of$36 and$53 per hour respectively this equates to contributions of$3528 and$5194 respectively. • The Town's Network and Systems Administrator will be responsible for the initial set up and configuration of all hardware involved in the project as well as the server backup software. This is estimated to take two days which at their pay rate equates to a contribution of$742. • The Town will be proceeding with a server and Laserfiche Version 9 upgrade in 2014 at a total cost of $25,000. These items are not part of the project proposed as part of this application. IVb.Program Maintenance b. Provide concrete information to demonstrate how you will maintain the results of this project long term without additional LGRMIF grant funding. If additional funding will be required in the short term, explain why. (5 points) Town and Village will do the following to maintain the results of this project for the long term without the need for additional LGRMIF grant funding: The Town's full time Records Management Assistant will continue in this role as they have since 2004. Since the results of the project will be to reduce the amount of work necessary to manage the records retention and disposition schedules it is anticipated that this will free up time for the Records Management Assistant to focus on other elements of the records management program and eliminate the need for addition personnel. Their current 2014 salary is $66,246. Operating budgets will be used to fund ongoing maintenance costs of the hardware and software requested as part of this application as well as the hardware and software already in place for the Town and Village records management systems. The 2014 budget for the maintenance of the existing digital document management and property management systems is$22,000. These costs will increase by approximately $9,000 after the implementation of the project and additional funds will be budgeted for in the 2015 budget cycle to maintain these systems. The Town's Records Management Department's 2014 operating budget totals $122,000 and covers employee salaries; micofilm processing; supplies and off site records storage. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 36 of 49 Currently the Town handles all maintenance costs associated with the records management computer systems but discussions are being held with the Village of Greenport concerning the Village chipping in for maintenance and/or purchasing some hardware such as scanners for their use instead of Village personnel traveling to Town Hall in order to use Town scanners as they do now. Future capital budgets will be established to upgrade, maintain and keep current all records management systems as hardware and software upgrades become available. The 2014 capital budget included$25,000 to upgrade the existing records management server. Should the need arise in the future to convert any records to other formats due to new technologies that are developed the Town's Database Coordinator will handle these conversions, as they have since being hired in 1996. Most of the documents on the system are stored as non-proprietary formats such as TIF,PDF and text files. Some documents are stored as Microsoft Office files which can easily be converted to non-proprietary formats if needed. The Town will continue to maintain and use its digital document management system that has been in place since 2001. The Town's Database Coordinator will continue to handle technical support for this system as well as the new modules being installed as part of this project. Capital budget funds will be established to upgrade this system as needed with one such project already scheduled for 2014. The Town has a Records Management Officer and Records Management Assistant and the Village has a Records Management Officer who will continue to implement the Town and Village's records management programs as well as attend records management seminars and training sessions. The Database Coordinator, Town Records Management Officer,Village Records Management Officer as well as all other departments will continue using our existing records management standards and procedures and develop other standards and procedures as necessary. Training funds will be budgeted for in the operating budgets to provide ongoing training of employees in all of the records management systems,procedures and policies. In addition, experienced Town staff will be available to train new staff as necessary. The current 2014 budget includes $10,000 for the training of employees on the records management computer systems. Project Budget Justify the proposed project expenditures in terms of reasonableness of cost,the suitability of the chosen solution, and the necessity of the expenses to ensure the project's success. Do not merely describe the items and services requested in the project budget. For example, if purchasing a scanner for a project, do not simply explain that a scanner is needed to complete the project but also why the particular scanner make and model needs to be purchased to successfully complete the project. (25 points). Item Budget Code Pricing Notes Quantity Price Total Dell PowerEdge R720 Server 20 Equipment NYS Contract PT64100 1 $13,551$13,551 45 Supplies and APC Smart-UPS Tower Materials Lowest of three quotes 1 $651 $651 45 Supplies and Buffalo TeraStation 12TB NAS Materials Lowest of three quotes 1 $762 $762 https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 37 of 49 Govt Express Backup Exec 45 Supplies and Lowest of three quotes 1 $552 552 Materials Laserfiche Rio base software, add-ons 45 Supplies and Sole-source vendor under and support Materials Town procurement policy 1 $70,254$70,254 General Code Enterprise Content Management Installation, configuration40 Purchased Sole-source vendor under and training Services Town procurement policy 1 $14,120$14,120 Total Project Budget $99,889 Note: the figures listed above for Laserfiche Rio base software, add-ons and support (budget code 45) and General Code Enterprise Content Management Installation, configuration and training (budget code 40) do not match the General Code quote attached to the application due to a software credit included in the proposal. The Town is entitled to this credit as an existing General Code customer and the credit applies to the overall L. : quote. The numbers included in the above table were calculated by assuming that the credit applied proportionally to these two items based on their percentage of the overall project. The break down of budget code 40 Purchased Services for this project is as follows: Item DaysRate Per Day Total eforms training 1 $1,115.00 $1,115.00 eforms installation 1 $1,115.00 $1,115.00 Transparent records management installation 4 $945.50 $3,782.00 Laserfiche training 4 $1,013.50 $4,054.00 Laserfiche installation 4 $1,013.50 $4,054.00 Grand Total $14,120.00 https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 38 of 49 Dell PowerEdge R720 Server 1 V 1 r The Town has standardized on Dell servers for application server systems as this reduces support and server administrative costs compared to needing to support servers from multiple vendors. A new server is necessary for this project because all of the Town's existing servers were designed and sized to handle other specific applications and do-not have the space or power to handle the new software being purchased. The server specifications are based on guidelines published by Laserfiche and recommendations of General Code based on their experience implementing similar systems for other customers. This server has been designed to handle the anticipated space and loading requirements needed to efficiently implement the new software modules being purchased and is expected to handle these needs for the next 5-7 years without the need for any upgrades. The server is designed so that it can be upgraded if needed in order to extend its useful life or improve performance if necessary. The pricing of this server is based on New York State Contract#PT64100 pricing so three quotes are not required for this application and one quote is included as part of this application. APC Smart UPS (Uninterruptable Power Supply)Tower The Town's standards for setting up application servers include connecting all servers to UPS units to prevent down time and protect the servers and their data from power outages and spikes. The focus of this project is a server that will run records management applications that will be needed by Town employees on a day to day basis and a UPS is necessary to ensure availability of these applications to employees. The Town has other APC units in service and has been very satisfied with their performance and wishes to stick with this brand for this project. The lowest of three quotes were used for this project budget and all three quotes are included in this appliccation. Govt Express Backup Exec The Town has standardized on Backup Exec as it backup software solution and it is in place for all servers. Additional licensing will be necessary to backup the server being requested as part of this application. Three quotes were obtained for this software and the lowest quote used for the project budget. All three quotes are included as attachments to this application. Buffalo TeraStation Network Attached Storage The Town's current server backup scheme involves backing servers up to Network Attached Storage (NAS) devices that allow the Town to back up all data to the NAS as opposed to more costly solutions that involve tape drives and multiple back up tapes. The Town has standardized on Buffalo TeraStation NAS devices and will be installing another one as part of this project in keeping with the current standards and to provide additional redundancy of our overall back up scheme. The 12G model was chosen because it will be able to store multiple complete backups of the entire server even if the server is 100%full to capacity. Three quotes • -\ were obtained for this and the lowest quote was used for the budget. Copies of these quotes are included as part of this application. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 39 of 49 Software Installation and Configuration and Training General Code is the regional reseller and support vendor of the software being purchased as part of this project. They have been installing and supporting this software since its initial development approximately 5 years ago and are experts in all elements of installing the software. Having General Code handle the software installation will save significant time compared to Town staff having to learn how to install the software and then install it themselves. In addition, since installation will only need to be done once and the system will be backed up on a regular basis there is little usefulness in Town staff learning the details of handling installations since even if the server crashes the software will be restored from a backup. General Code will also be configuring the software and integrating it with the existing Laserfiche system. With their expertise and knowledge of the capabilities of the software and experience in implementing it for many other customers they will be able to implement this project in the most efficient way and ensure that the Town and Village end up with the system configured the way they need it to be. During this process Town and Village staff will be working closely with General Code and gaining hands on training in all aspects of the software and its capabilities so that when the project is completed they will be able to handle administration of the software moving forward with General Code then handling typical remote technical , support as they have for Laserfiche since 2001. Under the Town's procurement policy the installation, configuration and training services being provided by General Code are considered professional services and General Code is considered a sole-source vendor so three quotes are not required. They are considered a sole-source vendor because they are already providing the Town with software support services for Laserfiche as they have been since 2001 and this project is expanding the existing system. This has been confirmed by the Town Comptroller. General Code is a top 5 government reseller of Laserfiche in the United States, offering more than twelve years of experience, coupled with an industry-leading consulting service, integration,training and help desk team. Every system designed and implemented by General Code is designed to fit their customers'specific needs and requirements. General Code customizes solutions that reduce the time and additional resources required to maintain the solutions moving forward. General Code brings in-depth industry experience not only to the Laserfiche software implementation but to the organization and re-establishment of the role and responsibility of the Records Manager and view it as critical that there be complete synchronization between the establishment of the management of the growing electronic archive and the ongoing physical archives. Laserfiche Rio Base Software,Add-ons This software comprises the bulk of the project budget. The Town and Village are already using Laserfiche for their digital document management system which was originally installed in 2001. These modules are now part of the Laserfiche suite of products and were designed to integrate seamlessly with our existing system and provide additional functions that are not available in the current system. These modules provide specific functionality that the Town and Village require in order to enhance and improve their records management program as follows: • Rio Named Users is the base software and licensing needed. 25 licenses are being purchased based on the number of employees that participate in the records management processes, managing retention schedules and creating forms and workflows and will need access to the new modules being installed. These represent Records Management Office staff, support staff and one or two employees in each Town department. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 40 of 49 • Rio Public Portal is necessary to provide retrieval only access to the system for typical end users that only need access to documents and are not responsible for maintaining retention schedules, handling records management forms or administation of the system. • Rio Records Management and Tranparent Records Management is necessary to integrate records management processes and retention schedules into the system and provide alternate views of the database for records and non-records purposes. • Rio Quick files provides the ability to extract form based data from documents as they are scanned or imported into the system and to automatically use this data to populate metadata and/or create document and folder names reducing the amount of manual data entry needed and increasing the accuracy of metadata. • Rio Integrator's Toolkit allows for the creation of import routines that will allow the bulk importing of metadata extracted from other systems into Laserfiche, reducing the need for manual data entry to enter metadata into the system and improving search capabilities by eliminating blank fields in the metadata. • Laserfiche Forms/Forms Portal provides the ability to create online forms needed to handle records management processes and integrate these forms with Laserfiche. • Automated Workflow is necessary to develop the automation needed to improve the management of the retention schedules and records management processes. This module will provide the ability to have retention schedules assigned within Laserfiche upon initial scanning or importing of documents and eliminate the need for manually assigning retention schedules in an Excel file as is done now and prepare all documents past their retentions for bulk deletion. It is also necessary to handle automatic filing of documents as is needed to improve the management of agreement records and to automate the generation and distribution of forms needed as part of the day to day records management processes such as records transmittals and records destructions. • Affinity is necessary to enable the Town and Village to integrate Laserfiche with other existing systems and allow data from these systems to be transferred into Laserfiche metadata without the need for the printing and scanning of documents from the other systems. The software being purchased as part of the project consists of modules developed by Laserfiche that provide new functionality that the Town and Village lack. These modules will build on the Town's existing Laserfiche system. General Code is the regional reseller of this software and has supported the Town's current Laserfiche system since 2001. Based on these facts the Town is not required to obtain multiple quotes for the software under its procurement policy and this has been confirmed by the Town Comptroller. Professional Salaries Support Staff Salaries Equipment The Town has standardized on Dell servers for application server systems as this reduces support and server administrative costs compared to needing to support servers from multiple vendors. A new server is necessary for this project because all of the Town's existing servers were designed and sized to handle other specific https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 41 of 49 applications and do not have the space or power to handle the new software being purchased. The server specifications are based on guidelines published by Laserfiche and recommendations of General Code based on their experience implementing similar systems for other customers. This server has been designed to handle the anticipated space and loading requirements needed to efficiently implement the new software modules being purchased and is expected to handle these needs for the next 5-7 years without the need for any upgrades. The server is designed so that it can be upgraded if needed in order to extend its useful life or improve performance if necessary. The pricing of this server is based on New York State Contract#PT64100 pricing so three quotes are not required for this application and one quote is included as part of this application. , Minor Remodeling Purchased Services Install and Configure Software,Integration,Administrative Training General Code,the regional reseller of Laserfiche Rio,will work with the Town's Database Administrator to install and configure the software on the server and integrating the new server with the Town's existing records management server. General Code will work with the Town's Records Management Officer, Records Management Assistant and Database Administrator to configure the Transparent Records Management module; create necessary workflows and assign retention schedules to all documents currently in the system. General Code will work with the Town's Records Management Officer, Records Management Assistant and Database Administrator to develop the online forms needed for the records management processes. General Code will configure the automated workflows necessary for maintaining the retention schedules,processing the online forms developed for the records management processes such as transmittals and dispositions and automating management of the agreements section of the database. General Code will conduct training of the Town's Records Management Assistant, Records Management Officer, Database Administrator and Village staff in the administration of the Transparent Records Management,eForms and Workflow modules. Deliverable: The following deliverables will be completed under this task: Installation of Rio and all other software on the server. • Implementation of Transparent Records Management • Creation of workflows necessary for managing retention schedules and assignment of retention schedules. Creation of workflows necessary for managing agreements. • Administrative training for the Town's Database Coordinator, Records Management Officer and Records Management Assistant. Note:the figures listed above for Laserfiche Rio base software,add-ons and support(budget code 45) and General Code Enterprise Content Management Installation, configuration and training(budget code 40) do not match the General Code quote attached to the application due to a software credit included in the proposal. The Town is entitled`to this credit as an existing General Code customer and the credit applies to the overall quote. The numbers included in the above table were calculated by assuming that ' the credit applied proportionally to these two items based on their percentage of the overall project. The break down of budget code 40 Purchased Services for this project is as follows: `_: Item DaysRate Per Day Total eforms training 1 $1,115.00 $1,115.00 https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false - 3/5/2014 LGRMIF Application Page 42 of 49 eforms installation 1 $1,115.00 $1,115.00 Transparent records management installation 4 $945.50 $3,782.00 Laserfiche training 4 $1,013.50 $4,054.00 Laserfiche installation 4 $1,013.50 $4,054.00 Grand Total $14,120.00 Software Installation and Configuration and Training General Code is the regional reseller and support vendor of the software being purchased as part of this project. They have been installing and supporting this software since its initial development approximately 5 years ago and are experts in all elements of installing the software. Having General Code handle the software installation will save significant time compared to Town staff having to learn how to install the software and then install it themselves. In addition, since installation will only need to be done once and the system will be backed up on a regular basis there is little usefulness in Town staff learning the details of handling installations since even if the server crashes the software will be restored from a backup. General Code will also be configuring the software and integrating it with the existing Laserfiche system. With their expertise and knowledge of the capabilities of the software and experience in implementing it for many other customers they will be able to implement this project in the most efficient way and ensure that the Town and Village end up with the system configured the way they need it to be. During this process Town and Village staff will be working closely with General Code and gaining hands on training in all aspects of the software and its capabilities so that when the project is completed they will be able to handle administration of the software moving forward with General Code then handling typical remote technical support as they have for Laserfiche since 2001. Under the Town's procurement policy the installation, configuration and training services being provided by General Code are considered professional services and General Code is considered a sole-source vendor so three quotes are not required. They are considered a sole-source vendor because they are already providing the Town with software support services-for Laserfiche as they have been since 2001 and this project is expanding the existing system. This has been confirmed by the Town Comptroller. General Code is a top 5 government reseller of Laserfiche in the United States, offering more than twelve years of experience, coupled with an industry-leading consulting service, integration,training and help desk team. Every system designed and implemented by General Code is designed to fit their customers' specific needs and requirements. General Code customizes solutions that reduce the time and additional resources required to maintain the solutions moving forward. General Code brings in-depth industry experience not only to the Laserfiche software implementation but to the organization and re-establishment of the role and responsibility of the Records Manager and view it as critical that there be complete synchronization between the establishment of the management of the growing electronic archive and the ongoing physical archives. Laserfiche Rio Base Software, Add-ons This software comprises the bulk of the project budget. The Town and Village are already using Laserfiche for their digital document management system which was originally installed in 2001. These modules are , now part of the Laserfiche suite of products and were designed to integrate seamlessly with our existing system and provide additional functions that are not available in the current system. These modules provide https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 43 of 49 specific functionality that the Town and Village require in order to enhance and improve their records management program as follows: • Rio Named Users is the base software and licensing needed. 25 licenses are being purchased based on the number of employees that participate in the records management processes,managing retention schedules and creating forms and workflows and will need access to the new modules being installed. These represent Records Management Office staff, support staff and one or two employees in each Town department. • Rio Public Portal is necessary to provide retrieval only access to the system for typical end users that only need access to,documents and are not responsible for maintaining retention schedules, handling records management forms or administration of the system. • Rio Records Management and Transparent Records Management is necessary to integrate records management processes and retention schedules into the system and provide alternate views of the database for records and non-records purposes. • Rio Quick files provides the ability to extract form based data from documents as they are scanned or imported into the system and to automatically use this data to populate metadata and/or create document and folder names reducing the amount of manual data entry needed and increasing the accuracy of metadata. • Rio Integrator's Toolkit allows for the creation of import routines that will allow the bulk importing of metadata extracted from other systems into Laserfiche,reducing the need for manual data entry to enter metadata into the system and improving search capabilities by eliminating blank fields in the metadata. • Laserfiche Forms/Forms Portal provides the ability to create online forms needed to handle records management processes and integrate these forms with Laserfiche. • Automated Workflow is necessary to develop the automation needed to improve the management of the retention schedules and records management processes. This module will provide the ability to have retention schedules assigned within Laserfiche upon initial scanning or importing of documents and eliminate the need for manually assigning retention schedules in an Excel file as is done now and prepare all documents past their retentions for bulk deletion. It is also necessary to handle automatic filing of documents as is needed to improve the management of agreement records and to automate the generation and distribution of forms needed as part of the day to day records management processes such as records transmittals and records destructions. • Affinity is necessary to enable the Town and Village to integrate Laserfiche with other existing systems and allow data from these systems to be transferred into Laserfiche metadata without the need for the printing and scanning of documents from the other systems. The software being purchased as part of the project consists of modules developed by Laserfiche that provide new functionality that the Town and Village lack. These modules will build on the Town's existing Laserfiche system. General Code is the regional reseller of this software and has supported the Town's current Laserfiche system since 2001. Based on these facts the Town is not required to obtain multiple quotes for the software under its procurement policy and this has been confirmed by the Town Comptroller. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 44 of 49 Purchased Services-BOCES Supplies and Materials Buffalo TeraStation Network Attached Storage The Town's current server backup scheme involves backing servers,up to Network Attached Storage(NAS) devices that allow the Town to back up all data to the NAS as opposed to more costly solutions that involve tape drives and multiple back up tapes. The Town has standardized on Buffalo TeraStation NAS devices and will be installing another one as part of this project in keeping with the current standards and to provide additional redundancy of our overall back up scheme. The 12G model was chosen because it will be able to store multiple complete backups of the entire server even if the server is 100%full to capacity. Three quotes were obtained for this and the lowest quote was used for the budget. Copies of these quotes are included as part of this application. APC'Smart UPS (Uninterruptable Power Supply)Tower The Town's standards for setting up application servers include connecting all servers to UPS units to prevent down time and protect the servers and their data from power outages and spikes. The focus of this project is a server that will run records management applications that will be needed by Town employees on a day to day basis and a UPS is necessary to ensure availability of these applications to employees. The Town has other APC units in service and has been very satisfied with their performance and wishes to stick with this brand for this project. The lowest of three quotes were used for this project budget and all three quotes are included in this application. Govt Express Backup Exec The Town has standardized on Backup Exec as it backup software solution and it is in place for all servers. Additional licensing will be necessary to back up the server being requested as part of this application. Three quotes were obtained for this software and the lowest quote used for the project budget. All three quotes are included as attachments to this application. Laserfiche Rio Base Software,Add-ons This software comprises the bulk of the project budget. The Town and Village are already using Laserfiche for their digital document management system which was originally installed in 2001. These modules are now part of the Laserfiche suite of products and were designed to integrate seamlessly with our existing system and provide additional functions that are not available in the current system. These modules provide specific functionality that the Town and Village require in order to enhance and improve their records management program as follows: Rio Named Users is the base software and licensing needed. 25 licenses are being purchased based on the number of employees that participate in the records management processes,managing retention schedules and creating forms and workflows and will need access to the new modules being installed. These represent Records Management Office staff, support staff and one or two employees in each Town department. Rio Public Portal is necessary to provide retrieval only access to the system for typical end users that only need access to documents and are not responsible for maintaining retention schedules, handling records management forms or administation of the system. Rio Records Management and Tranparent Records Management is necessary to integrate records management processes and retention schedules into the system and provide alternate views of the database for records and non-records purposes. Rio Quick files provides the ability to extract form based data from documents as they are scanned or imported into the system and to automatically use this data to populate metadata and/or create document and folder names reducing the amount of manual data entry needed and increasing the accuracy of metadata. Rio Integrator's Toolkit allows for the creation of import routines that will allow the bulk importing of metadata extracted from other systems into Laserfiche, reducing the need for manual data entry to enter metadata into the system and improving search capabilities by eliminating blank fields in the metadata. https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 45 of 49 Laserfiche Forms/Forms Portal provides the ability to create online forms needed to handle records management processes and integrate these forms with Laserfiche. • Automated Workflow is necessary to develop the automation needed to improve the management of the retention schedules and records management processes. This module will provide the ability to have retention schedules assigned within Laserfiche upon initial scanning or importing of documents and eliminate the need for manually assigning retention schedules in an Excel file as is done now and prepare all documents past their retentions for bulk deletion. It is also necessary to handle automatic filing of documents as is needed to improve the management of agreement records and to automate the generation and distribution of forms needed as part of the day to day records management processes such as records transmittals and records destructions. Travel Employee Benefits Final Project Narrative 7 Local Government Records Management Improvement Fund (LGRMIF) ' Project Budget Project Number 0580-15 -5463 Institution Town Of Southold- Professional Staff Expenses Support Staff Expenses Equipment Expenses Quantity Description Unit Price Vendor 1 Server Dell $13 551.00 Custom Computer R720XD Specialists Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $13,551 $0 $0 $0 Equipment Totals Inst Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved N 0 $13,551 $0 $0 $0 Minor Remodeling https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 46 of 49 i Purchased Services Expenses Service Type Service Provider/Name of BOCES Calculation of Cost eforms training General Code 1 day at 1155. Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $1,155 $0 $0 $0 Service Type Service Provider/Name of BOCES Calculation of Cost eforms installation General Code 1 day at 1155. Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $1,155 $0 $0 $0 Service Type Service Provider/Name of BOCES Calculation of Cost Transparent records management General code 4 days at 945.50per day installation Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $3,782 $0 $0 $0 Service Type Service Provider/Name of BOCES Calculation of Cost Laserfiche Training General Code 4 days at 1013.50 per day Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $4,054 $0 $0 $0 Service Type Service Provider/Name of BOCES Calculation of Cost Laserfiche General Code 4 days at 1013.50per day installation Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $4,054 $0 $0 $0 Purchased Service Totals Inst Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved 0 $14,200 $0 $0 $0 Purchased BOCES Services Expenses Supplies,Materials Expenses Quantity Description Unit Price Vendor 1 Symantec Backup $552.72 shi Exec 2012 Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ' ExpApproved $0 $552 $0 $0 $0 Quantity Description Unit Price Vendor APC Smart- 1 $651.00 GovConnection UPSSSX1500 Rack Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 47 of 49 $0 $651 $0 $0 $0 Quantity Description Unit Price Vendor • NAS Server 1 Buffalo TeraStation $762.05 CDW-G ES Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $762 $0 $0 $0 Quantity Description Unit Price Vendor 1 Software $70,254.00 General Code Inst'l Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $70,254 $0 $0 $0 Supplies,Materials Totals Inst Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved 0 $72,219 $0 $0 $0 Travel Expenses • Employee Benefit Expenses Grand Total Inst Contrib. AmtRequested AmtAwarded ExpSubmitted ExpApproved $0 $99,970 $0 $0 $0 Local Government Records Management Improvement Fund (LGRMIF) Vendor Quote Form Project Number 0580-15 -5463 Institution Town Of Southold- Vendor Quote Form Description of Item Preferred Sole Quoted Selected Vendor or Service Contract# Vendor Source LGPR Price Quote Vendor i Installation, General Code configuration and false false false $14,120 false training Buffalo CDW-G,LLC 12TBTerastation ES false false false $762.05 true TT NAS shi Buffalo 12TB false false false $813.5 false Terastation ES TT - false !false false $867.03 false https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 48 of 49 GovConnection, Buffalo 12TB Inc. Terastation ES TT l shi Symantec Backup false false false $552.72 false Exec2012 GovConnection, Symantec Backup false false false $651.77 false Inc. Exec2012 CDW-G Symantec Backup false false false $583.94 false Exec2012 GovConnection, Smart UPS X Inc. 1500VA/1200w 2U false false false $651.77 false Rack Smart UPS X shi 1500VA/1200W 2U false false false $688.07 false Rack Smart UPS X CDW-G 1500VA/1200W 2U false false false $702.09 false Rack Custom Computer PowerEdge R720xd false false false $13,551.95 false Specialists,Inc. Server General Code RIO Software false false false $70,254 false Local Government Records Management Improvement Fund (LGRMIF) Imaging Microfilming Form Project Number 0580-15 -5463 Institution Town Of Southold- Imaging/Microfilming Form Activities Imaging Paper documents to digital image: false Microfilming Microfilm images to digital image: Paper documents to microfilm: false false Digital images to microfilm: false Digital documents to digital image: false Records Description Name of records series:, Retention period (years): Date range of records: Records schedule(name and item num): Total number of images: Format of use copies Diazo or vesicular film: false Digital images: false Characteristics Electronic data: Document size: Paper type: Paper condition: Imprint: Paper color: https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 LGRMIF Application Page 49 of 49 Fasteners: Frequency of fasteners: https://eservices.nysed.gov/ldgrants/PrintAppServlet?i=app&a=false 3/5/2014 r••;WER—iloATio,v z,.i;. E STATE EDUCATION DEPARTMENT I THE UNIVERSITY OF THE STATE OF NEW YORK I ALBANY,NY 12234 I (09/12) 1 it ., PAYEE INFORMATION .t - moo,, In order to receive funds fromythe NYS Education Department, ALL SECTIONS of the Payee Information/PI Form AND of the NYSED Substitute W-9 Form (required only if your agency does not have/know its NYS Vendor Identification Number) will need to be completed and returned with original sianature(s) to the Education Department program office to which your agency's grant application was sent. Please print or type all information Section I: Institution Identifying Information Exact Legal Name of Agency Contact Person/Name&E-mail Address . Town of Southold Elizabeth A. Neville e.neville@town.southold.ny.us Federal Employer Identification Number (FEIN): 0 ❑—In III ❑ 0 Ill s El NYS Vendor Identification Number:*** ❑ ❑ ® ❑ ❑ ❑ ❑ ® 0 Federal System for Award Management/SAM—Is your Agency Registered? (Please note that your agency MUST be registered in SAM(& must maintain a CURRENT registration) in order to be awarded federal funds.) ® Yes, then provide the following: (1) Expiration Date on SAM: 6/17/2014 (2) Data Universal Numbering System/DUNS Number used to register :❑ ❑ ❑ ❑ ❑ ❑❑ ❑ ❑ ❑ No ***If you do not know your agency's NYS Vendor Identification Number, follow the specific instructions under Section I(c). Section II: Agency Profile 1. This agency is a (check one) ❑ Non-Profit Organization ❑ For Profit Organization 2. This agency is a (check one) ❑ Sectarian Organization ❑ Non-sectarian Organization 3. Is this agency chartered or incorporated by the New York State Board of Regents? (Check one) ❑Yes ❑X No Section III: Certification I hereby certify that the information herewith provided is to the best of my knowledge both accurate and true. Scott A. Russell Chief Administrative Agency Official/Authorized Designee (Please Print) Supervi r. Town of Southold Titl • e a ch- -/ 2/28/14 Sig ature - Chief Administrative Agency Official/Authorized Designee Date Grants Administration Unit Cultural Education Center, Albany, NY 12230 Standard Data Capture Form In order for your institution or agency to be officially registered with the State Education Department we need to accurately collect some basic information from you. Please provide the following basic information about your organization: Legal Name(as contained on a charter, license or other such document): Town of Southold Physical address (this is the primary address where your organization is located): Street 53095 Main Road City Southold State NY Zip code 11971 Mailing Address (check here_ _if this is the same as your physical address) Street Post Office Box 1179 City Southold State NY Zip code 11971 County of primary location (the county that your primary address is located in): Suffolk`,: School District of primary location (the school district where your primary address is located): #5 Southold Date Established (the date or year that your organization or institution was originally established): 1640 Phone number: 01) 765-1800 Fax number: (631) 765-6145 Web URL: www.southoldtownny.gov Email address: e.neville@town.southold.ny.us Name and Title of Chief Administrative Officer(CAO): Scott A. Russell, Supervisor, Town of Southold CAO's phone number: (631) &6 5-1889CAO's e-mail address: scott.russell@town.southold.ny.us CAO's fax number: (631) 765-1823 Parent Organization (if applicable): Please include this form with your completed and signed Payee Information Form aus°°G r RESOLUTION 2014-150 ��Qae ADOPTED DOC ID: 9514 THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 2014-150 WAS ADOPTED AT THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON JANUARY 28, 2014: ' RESOLVED that the Town Board of the Town of Southold hereby authorizes and directs Supervisor Scott A. Russell to execute A New York State Archives Local Government Records Management Improvement Fund(LGRMIF) Grant Application in the 2014-2015 grant cycle in the category of Records Systems, in an amount not to exceed$150,000.00 in connection with a Shared Services grant application between the Town of Southold(lead agency) and the Village of Greenport(participant). El.abeth A.Neville Southold Town Clerk RESULT: ADOPTED [UNANIMOUS] MOVER: Robert Ghosio, Councilman SECONDER:Louisa P. Evans, Justice AYES: Ghosio, Dinizio Jr,Ruland,Doherty, Evans, Russell "A soot o• : 4 SCOTT A.RUSSELL Town Hall, 53095 Route 25 SUPERVISOR '�° P.O. Box 1179 %• G �, Southold, New York 11971-0959 a • Fax(631) 765-1823 =OC � �� MOUNri le, Telephone (631) 765-1889 OFFICE OF THE SUPERVISOR TOWN OF SOUTHOLD February 28,2014 New York State Archives Grants Administration Unit, Room 9A81 Cultural Education Center Albany, New York 12230 I wish to submit this Letter of Intent on behalf of the Southold Town Board,and myself to express the firm commitment and strong interest of the Town of Southold in acting as the lead agency in this 2014-2015 Shared Services LGRMIF Local Government Records Management Improvement Grant Application with the Village of Greenport in the Records System Category. The primary purpose of this application is to improve upon records management in the areas of retention and destruction of records and developing new program components and functionalities which we currently do not have in order to give us better and faster access to our records. This will be our fourth cooperative/shared records management grant initiative with the Village of Greenport,all the details of our past cooperative/shared records management projects are in the grant application.This application will allow us to improve records management practices for staff and the general public and to improve and expand our records management,access, retrieval and security capabilities. Both the Town and the Village recognize the benefits of sharing our records management information technology infrastructure to give our employees the tools they need to improve the management of their records and serve the public on a daily basis. The Town and the Village executed an inter-municipal agreement for shared records management services in February 2013 to further solidify our commitment to sharing good records management practices, infrastructure and technology in a permanent long-term relationship. Further evidence of both parties'commitment to this project is in the application itself. Our relationship provides mutual benefits to both parties and saves taxpayers money which is why we continue to be closely tied together. We have worked together on many projects in the past sharing our information and services, including providing tax assessment billing since 1989 and police services since 1994 and we will continue to work together to accomplish our records management goals. The Town Board has demonstrated its long term commitment to records management in the 2014 budget line for the records management department in the amount of$ 121,474.00 for staff,equipment,and supplies They also funded upgrading our existing Laserfiche records management system in the amount of$25,000. Although these expenditures will be a financial hardship for us,we recognize the importance and benefits of providing access to records in the fastest most efficient manner possible to both our employees and the general public. Very trul urs, 6sorggA-414 Sco A.,Russell Supervisor,Town of Southold VILLAGE OF GREENPORT MONDAY, FEBRUARY 24, 2014 at 6:00 P.M. RESOLUTION OF THE BOARD OF TRUSTEES At the Village of Greenport Board of Trustees Regular Meeting held on Monday, February 24, 2014; via a motion by Trustee Mary Bess Phillips and seconded by Trustee David Murray, the Board adopted a resolution authorizing the Town of Southold as lead agency and the Village of Greenport as participant, to execute a Local Government Records Management Information Fund Records System Shared Services Grant for the 2014 - 2015 grant cycle, for an Electronic Content Management System (ECMS) to the New York State Education Department, New York State Archives and Records Administration. Trustee George Hubbard, Jr. Yes Trustee Mary Bess Phillips Yes Trustee Julia Robins Yes Trustee David Murray Yes Mayor David Nyce Yes - Motion Carried STATE OF NEW YORK COUNTY OF SUFFOLK ss: THIS IS TO CERTIFY THAT I, Sylvia Pirillo, Village Clerk of the Village of Greenport of the County of Suffolk, have compared the foregoing copy of the resolution now on file in this office, which was adopted by the Village of Greenport Board of Trustees on February 24, 2014 and that the same is a true and correct transcript of said resolution of the whole thereof. IN WITNESS WHEREOF, I have hereunto set my hand and the official seal of the Village of Greenport of the County of Suffolk. Dated: February 24, 2014, Zta / C. S via Piril , RMC illage Clerk February 28, 2014 7I1l11110n. . Est 1838 '. leFFNP�+ To Whom It May Concern: Please accept this Letter of Intent as the formal expression of commitment on behalf of the Village of Greenport to join with 236 THIRD STREET the Town of Southold on a LGRMIF Records System Shared GREENPORT NY 11944 Services Grant for the 2014 - 2015 grant cycle, to expand and enhance our Electronic Content Management System (ECMS) Tel: (631)477- 877 Fax: (631)477-1877 which manages our records. The two municipalities recognize the necessity to collaborate on MAYOR this innovative, modernized technology for the enhancement of DAVID NYCE Ext.215 Lthe management and preservation of our records, to more effectively and consistently meet the demands of our residents. TRUSTEES A inter-municipal agreement for records management and GEORGE HDUEBB ARD,JR. coordinated assessment issues was executed in February 2013 DAVID MURRAY to formalize and further solidify our close working relationship. MARY BESS PHILLIPS It has become imperative that government accomplish more JULIA ROBINS with less funds, while providing improved delivery of services to the public, especially where providing access to records is CLERK concerned. Current economic conditions have enhanced levels SYLVIA LAZZARI PIRILLO,RMC of cooperation between participating municipalities, thereby Ext. 206 nurturing greater shared services relationships. TREASURER This local government collaboration is a shining example of the CHARLENE KAGEL,CPA shared services dynamic that other municipalities are striving to Ext. 217 achieve. VILLAGE ADMINISTRATOR Alone, the Village of Greenport possesses neither the required DAVID ABATELLI Ext. 209 funding nor the necessary staffing to better serve its residents without the benefit of partnering and sharing services with the UTILITIES DISTRICT Town of Southold. Therefore, the sharing of our funds, SUPERINTENDENT personnel, facilities and tasks for the mutual benefit of all is a JOHN W. NAYLOR,JR., P.E. necessity. Ext. 202 The Village of Greenport has thus far participated in three successful cooperative/shared grant projects with the Town of Southold, and looks forward to the exciting prospect of completing future projects in conjunction with the Town. For example, a previous ECMS Needs Assessment recommended r..". the Municity land management software, which was then 17'W414100116' implemented and integrated with Laserfiche to increase capacity C838 lr E I3� and substantially expand current records management ��NPcapabilities. In addition, the town and village are moving forward with implementation of a Enterprise Level Geographical Information System (GIS) that will also be integrated with our 236 THIRD STREET Electronic Content Management System (ECMS) Laserfiche. GREENPORT NY 11944 The two municipalities will ensure that the necessary amount of F 4771877x: (631) 477-1877 personnel time from the Clerk's Office, Technical Coordinators, and any/all other requisite staff members is provided, to ensure the successful attainment of the project goals. MAYOR DAVID NYCE Ext.215 The Town of Southold continues to inspire the Village of Greenport, as the Town clearly, definitively and tangibly supports record management initiatives. The Village supports TRUSTEES and practices records management initiatives on a daily basis, GEORGE HEPUYMAYOR and will be honored to continue this fine tradition now and int e DAVID MURRAY future. MARY BESS PHILLIPS JULIA ROBINS While enjoying the pleasant and professional long-term relationship as established between the two neighboring CLERK municipalities, the Village of Greenport is grateful to have been SYLVIALAZZARIPIRILLO,RMC afforded this opportunity to continue working with the Town of Ext.206 Southold to ameliorate records management issues, to the benefit of both municipalities, and the combined citizens of each. TREASURER CHARLENE KAGEL,CPA Ext. 217 Sincerely, VILLAGE ADMINISTRATOR DAVID ABATELLI Ext. 209 David Nyce UTILITIES DISTRICT Mayor SUPERINTENDENT JOHN W. NAYLOR,JR.,P.E. Ext.202 LGRMIF Institutional Authorization Page 1 of 2 itaiiiM Archives Partnership Trust I Office of Cultural Education I Online Catalog I Search Home 4.4: ��� .4.4.,.n i 'f Tit } , ,, �f!' �A:Y 1::, 5 .g. .� ,, . ,'1`�, 'L`Y ,, .f`♦ , .rf' ,sr�lr4 .,,�,.� �'�.. ffHet�. �.. '�' a7 "3F wt k ,�sp�p , k€ „., .t a •- : Vie"` t i$,;;: o f r - 1 ,. 4-14`,1' L- .74 y it v , s ,r :::::::::::::,::::::::::77,4' : Yk''ye .r L t -r.4 , ,lk P"we:i-' * .: . ���' v .''<t * . �` ;- 1 ." . ,, ,,, �� ° i tray ,„ �},�+ ^� Sir.#. -a37'.,73-- 4 'Y g .'+R, v ^,-.''--i'aka :'�.4*,'. Y;.t's.r3.'*v i . . or, .tik . Y�,r,f.....,......, ,-',.....A4.....A . AS.1,.. ,,,,..., ,.-..,• '.,.-�?ay, Home LGRMIF Initial Application Forms: Post-Grant Award Forms: Help Home ,Checklist i1 Checklist 0 i Institutional Authorization LGRMIF Grant Project Sponsoring Institution: Town Of Southold Project Number: 0580-15-5463 Category: Records Systems Certification and Approval The following signatures certify that the local government agrees to the conditions outlined in Appendix A and Appendix A-1 G.Both the CAO and RMO must sign the Institutional Authorization form. I hereby certify that I am either the applicant's Chief Administrative Officer(CAO)or the Records Management Officer(RMO),and that the information contained in the application is,to the best of our knowledge,complete and accurate.I further certify,to the best of my knowledge,that any ensuing program and activity will be conducted in accordance with all applicable state laws and regulations,application guidelines and instructions,and that the requested budget amounts are necessary for the implementation of this project.I understand that the application constitutes an offer and,if accepted by the New York State Education Department or renegotiated to acceptance,will form a binding agreement.I also understand that immediate written notice will be provided to the grants program office if at any time I learn that its certification was erroneous when submitted,or has become erroneous by reason of changed circumstances. CHIEF ADM '. TRATI I FFICER : ,,v'/' PP- 2/28/14 Signatuoriginal signature in blue ink) Date Scott A. Russell, Supervisor Town of Southold Print Name and Title of CAO RECORDS MANAGEMENT OFnal:Lb, ICER(RMO) .. % _� `.' i. 2/28114 Signature(.4ginal signature in blue ink) Date . F I i z.ab e_th _N..__..1 e_v ilf.e,_._'Co kta.._C-f nk.-_Rfs 0 631_2_i.5-1J p.Sl. x 2 2 8 Print Name and Title of RMO Phone Instructions The Authorization Form must be printed,completed,and signed in blue ink.Please mail the completed form to: https://eservices.nysed.gov/ldgrants/lgApplicant.do?i=auth&m=lg 2/27/2014 LGRMIF Institutional Authorization Page 1 of 2 Pr N.YSED.w. Archives Partnership Trust I Office of Cultural Education I Online �."7. 1n. Catalog]Search I Home Itt„'t: } i }}: �wV ” t1,,,}� f , „ ,,, 1{5S„„ati� ,",„�� fs<.h Si., 'FN },l „,, ,k,, IA+ n ,,.,SprT ,,, "f ,, AE.,„ i�,„.rt ! . pi.,,,,,,,.....,-„,-,-,.1€ ra ` : 1, ±f ; r✓ C ' 4t0y oh-� � 4, ., s , rr terZ : S al.; ifenAg., ' ' ,,IP f 2OKF a � w ,,4...,-„.. ur . ks -,1/4, 1D ' CK fz. .x # 1f s ' . ' ttx' � x `k " , ' g vr}c, r .,Zifillk at .44t:i 7 . « ._ 0 , , i l,., .Rw.- k+,,;,oi1-0P=i 1,.:` yt.-t-':::.#s LGRMIF Help Home HomeInitial Application Forms: Post-Grant Award Forms: list � C ^—+ 1CheckC t fhecklist_; _..__._ Institutional Authorization LGRMIF Grant Project Sponsoring Institution: Town Of Southold Project Number: 0580-15-5463 Category: Certification and Approval The following signatures certify that the local government agrees to the conditions outlined in Appendix A and Appendix A-1 G.Both the CAO and RMO must sign the Institutional Authorization form. I hereby certify that I am either the applicant's Chief Administrative Officer(CAO)or the Records Management Officer(RMO),and that the information contained in the application is,to the best of our knowledge,complete and accurate.I further certify,to the best of my knowledge,that any ensuing program and activity will be conducted in accordance with all applicable state laws and regulations,application guidelines and instructions,and that the requested budget amounts are necessary for the implementation of this project.I understand that the application constit tes an offer and,if accepted by the New York State Education Department or renegotiated to acceptan . ,will form a binding agreement.I also understand that immediate written notice will be prov'i ed to the yr,nts program office if at any time I learn that its certification was erroneous when sub itted,or h.. become erroneous by reason of changed circumstances. CHIEF ADMINISTRATIVE OF'EER • Signature(original signature in due ink) Da e ,__David_Nv_c.e, you.L,_Yillage_of Greenport Print Name and Title of CAO / RE''IRIS M/ANA P ENT OFF CER(RMO) c/� �j Q lig_ -Signa ire(original si ature in blue ink) to ( ) [via Pirillo, Cter Villa•e of ree,..• _ i 6. Print Name and Title of RMO Phone S2 0 Instructions The Authorization Form must be printed,completed,and signed in blue ink.Please mail the completed form to: https://eservices.nysed.gov/ldgrants/lgApplicant.do?i=auth&m=lg 2/20/2014 LGRMIF Cooperative Agreement Page 1 of 1 P!JYSED,, , Archives Partnership Trust I Office of Culturpall�Educatii�on I Online Catalog I Search sItHome :i'Or 'Orr ` L- ,-....';',i':- m. '.;,, 3t II' '#i 4101t4. :J y'I i Vtirdi .Y,;01;; + :t'I �'*`.4rE.471..,t i' - ', .S.. •a .,x. `. ?� '"i':`1 t, w `$ µ ' n tea,, 3,„ '^ s.i,. s' ' v -" ;. , -. ,.. , ig g...dr e z 4f.:4. 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J! ,fi tt T "t ce:_h* .....;i + *t M:4-Lig , y .S, 3:�_ .T c.::i.;.,..4t.`�'. ^a s<�'t ..:3�;.+wiS' 9rr�� ;fi�d'ra s' .#+�:' ;"a.1At Y..$�#u. ^tfir .,rte. ,r'� ;'tr+' t Home HoLGRMIFme Initial Application Forms: Post-Grant Award Forms: Help `Checklist it Checklist DI ie Chill) ILG.t) Shared Services Agreement Form help LGRMIF Grant Shared Services Agreement Form Sponsoring Institution: Town Of Southold Project Number: 0580-15-5463 I hereby give assurance to the New York State Education Department that the undersigned supports the enclosed application and will cooperate to the extent described in the attached application.All records management project outcomes that are a direct result of the support provided by funds from the State are,or will be,made available for on-site examination. Participating Local Government Institution: Town of Southold Date: 2/28/14 Signed: Q7,. Chief Administrative Officer Print Name: Scott A. Russell, Supervisor, Town of Southold Instructions The Shared Services Agreement Form must be printed and signed by each participating institution of your project.Then scan the signed form(s)and upload the form(s)to your application as an attachment.Attach the form as a document/attachment to your grant application.Please use"SS Agreement"as the description for your attachment. *For applicants who do not have access to a scanner,please fax the document to(518)486-1647 or mail it to: New York State Archives Grants Administration Unit 9A81 Cultural Education Center, Albany,NY 12230 View PDF version of Shared Services Agreement Form Cultural Education Center,Albany,New York 12230.Phone: (518)474-6926 https://eservices.nysed.gov/ldgrants/lgApplicant.do?i=coopagree&m=1g 2/27/2014 LGRMIF Cooperative Agreement Page 1 of 1 P NYSED.p, Archives Partnership Trust I Office of Cultural Education I Online Catalog'( I Search I Home[ �y 'g „.,.4 ti tr,^i :%`"''t ftG'1::'i t 45"a ''*lam i KrF ,, $ "•f -1§ t '�atti O:}S X Irk HY»44'S' '�i� yz Y � 4 "xt.�{ r?r ...-` rIvAt ✓.,� fl�:Ln ��Lak`�.t��S r.z*k s r d �d: 'Ott t 7 S 3 . 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LGRMIF Help Home Home Initial Application Forms:cPost-Grant Award Forms: Cheklist'-- _— -- Checklist E 'a 0, IS,SGos:l Ir��Qs,l Shared Services Agreement Form help LGRMIF Grant Shared Services Agreement Form Sponsoring Institution: Town Of Southold Project Number: 0580-15-5463 I hereby give assurance to the New York State Education Department that the undersigned supports the enclosed application and will cooperate to the extent described in the attached application.All records ' management project outcomes that are a direct result of the support provided by funds from the State are,or will be,made available for on-site examination. Participating Local Government Institution: Village of Green•o Date: z y JILL Signed; / _ Chief Administrative Officer print Name: Instructions The Shared Services Agreement Form must be printed and signed by each participating institution of your project.Then scan the signed form(s)and upload the form(s)to your application as an attachment.Attach the form as a document/attachment to your grant application.Please use"SS Agreement"as the description for your attachment. *For applicants who do not have access to a scanner,please fax the document to(518)486-1647 or mail it to: New York State Archives Grants Administration Unit 9A81 Cultural Education Center, Albany,NY 12230 View PDF version of Shared Services Agreement Form Cultural Education Center,Albany,New York 12230.Phone:(518)474-6926 https://eservices.nysed.gov/ldgrants/1gApplicant.do?i=coopagree&m=1g 2/20/2014 BUDGET SUMMARY CATEGORIES CODE PROJECT Agency Code 581005640067 COSTS Project# 0580 -15 -5463 Professional 15 $0.00 Contract# Salaries Agency Name Town Of Southold Support Staff 16 $0.00 Salaries Purchased 40 $0.00 For Department Use Only Services Approved 7/1/ 14 6/30/15 Supplies and 45 $86,338.00 Funding Dates: Materials Travel Expenses 46 $0.00 From To Employee 80 $0.00 Benefits BOCES Services 49 $0.00 Program Approval: ____ _._____.. Minor 30 $0.00 Remodeling Equipment 20 $13,551.00 Date: ___ __ .._. .._ . .... _.. Grand Total $99,889.00 CHIEF ADMINISTRATOR'S CERTIFICATION Fiscal Year First Payment Line# I hereby certify that the requested budget amounts are necessary for the implementation of this project and that this agency is in compliance with applicable Federal and State laws and regulations. Date 2/28/14 Signature Name and Title of Chief Administrative Officer Scott A Russell, Supervisor Voucher# First Payment Finance: Log: Approved: MIR: BUDGET SUMMARY CATEGORIES CODE PROJECT Agency Code 581005640067 COSTS Project# 0580 -15 -5463 Professional 15 $0.00 Contract# Salaries Agency Name Town Of Southold Support Staff 16 $0.00 Salaries Purchased 40 $0.00 For Department Use Only Services Approved Supplies and Funding Dates: 7/1/ 14 6/30/15 Materials 45 $86,338.00 Travel Expenses 46 $0.00 From To Employee 80 $0.00 Benefits BOCES Services 49 $0.00 Program Approval: --.---------- - - - - - Minor 30 $0.00 Remodeling Equipment 20 $13,551.00 Date: - _ _- Grand Total $99,889.00 CHIEF ADMINISTRATOR'S CERTIFICATION Fiscal Year First Payment Line# I hereby certify that the requested budget amounts are necessary for the implementation of this project and that this agency is in compliance with applicable Federal and State laws and regulations. Date 2/2 8/14 Signature f Name and Title of Chief Administrative Officer Scott A Russell, Supervisor Voucher# First Payment Finance: Log: Approved: MIR: MWBE Cover Letter Minority& Woman-Owned Business Enterprise Requirements NAME OF GRANT PROGRAM LGRMIF 2014-2015 #0580-15-54x1 NAME OF APPLICANT Town. of. Southold In accordance with the provisions of Article 15-A of the NYS Executive Law,5 NYCRR Parts 140-144,Section 163 (6) of the NYS Finance Law and Executive Order#8 and in fulfillment of the New York State Education Department(NYSED)policies governing Equal Employment Opportunity and Minority and Women-Owned Business Enterprise(M/WBE)participation,it is the intention of the New York State Education Department to provide real and substantial opportunities for certified Minority and Women-Owned Business Enterprises on all State contracts. It is with this intention the NYSED has assigned M/WBE participation goals to this grant contract. In an effort to promote and assist in the participation of certified M/WBEs as subcontractors and suppliers on this project for the provision of services and materials,the applicant is required to comply with NYSED's participation goals through one of the three methods below. Please indicate which one of the following is included with the M/WBE Documents Submission. ❑ Full Participation—No Request for Waiver(PREFERRED) 0 Partial Participation—Partial Request for Waiver No Participation—Request for Complete Waiver By my signature on this Cover Letter,I certify that I am authorized to bind the Bidder's firm contractually. Typed or Printed Name of Authorized Representative of the Firm Scott A. Russell Typed or Printed Title/Position of Authorized Representative of the Firm Supervisor, Town of Southold Signature/Date 162016.4.410 3/3/14 100