HomeMy Public PortalAboutr 04:141 MIDDLESEX COUNTY
TEL (732) 541-3800
FAX (732) 541.8925
OFFICE OF 61 COOKE AVENUE
KATHLEEN M. BARNEY, RMC/CMC M E M O R A N D U M CARTERET, NEW JERSEY 07008
MUNICIPAL CLERK
TO: NEW JERSEY DEPARTMENT OF COMMUNITY AFFAIRS
OFFICE OF SMART GROWTH
P.O., BOX 204
TRENTON, NJ 08625-0204
FROM: KATHLEEN M. BARNEY, RMC/CMC
Municipal Clerk
DATE: APRIL 23, 2004
SUBJECT: AUTHORIZING THE MAYOR TO EXECUTE SMART FUTURE
GRANT AGREEMENT.
ENCLS: CERTIFIED COPY OF RESOLUTION #04-141
NOTICE: PLEASE RETURN AN EXECUTED COPY TO MY OFFICE FOR
OUR FILES. THANK YOU.
KMB/cp
cc: Treasurer
S. Brame
File
No. 04-141 _ Date of Adoptio"~ril 22. 2004
AUTHORIZING THE MAYOR TO EXECUTE SMART FUTURE GRANT
AGREEMENT
WHEREAS, the Borough of Carteret has applied for and received a Smart Future
Grant from the New Jersey Department of Community Affairs, Office of Smart
Growth, in the amount of FIFTY NINE THOUSAND THREE HUNDRED
DOLLARS ($59,300.00); and
WHEREAS, the Borough of Carteret needs to enter into a formal Smart Future
Grant Agreement pursuant to the application for the same.
NOW, THEREFORE BE IT RESOLVED, by the Mayor and Council of the
Borough of Carteret, County of Middlesex, State of New Jersey as follows:
1. That the Mayor is hereby authorized to execute the Smart Future Grant
Agreement with the New Jersey Department of Community Affairs,
Office of Smart Growth.
2. That the Mayor and the Borough's Chief Financial Officer, Patrick J.
DeBlasio are hereby authorized to execute any other documents and to
otherwise take the necessary action to implement the terms of said
agreement.
3. That an original, sealed copy of this Resolution and the executed grant
Agreement be forwarded to the New Department of Community
Affairs, Office of Smart Growth.
Adopted this 22nd day of' Apr_il, 200'4-and
certified as a true copy of the origiual on
Municipal Clerl~ ~ . -' '
RECORD OF COUNCIL VOTE
'IL
- COUNCILMAN YES NO NV A.B. COUNCILMAN YES NO NV A.B.
I<RIJM X RI(IS X
lqA1JLES X .qlTARZ X
PARISI X .qD.qNO~.q'K T X
X - Indicate Vote AB - Absent NV - Not Voting XOR - Indicates Vote to Overrule Veto
Adopted at -
McGI~E~vE¥ April 5, 2004
The Honorable Daniel J. Reiman, Mayor
Borough of Carteret
61 Cooke Avenue
' 8
Carteret, NJ 0700
Re: Smart Furore Grant Agreement
Agreement #04-0203-00
Dear Mayor Reiman:
First let me say congratulations on the receipt of your Office of Smart Growth; Smart Future Planning
Grant. Realizing all of our budget constraints these days we hope this grant fulfills your constituent's needs
by facilitating private investment through good planning and public partnerships.
Enclosed please find m,o (2) original copies of tbe Smart Future Grant agreement that includes contact
information for grant assistance and follow-up. Also enclosed with this letter, you will find payment
vouchers for use when requesting payment of the above referenced grant. No signature is needed on the
enclosed payment voucher for the initial advance payment, as the initial payment of fifteen thousand
dollars ($15,000.00) will follow this letter upon completion of processing.
The following measures are necessary prior to returning both copies to the Office of Smart Growth:
~g~ Signatures of appropriate Municipal Official(s) must appear on Page Two (2);
o The municipal seal must be affixed to Page Two (2);
o The governing body must adopt and provide ~thorizing the execution of the
agreement. Please provide our office with the original sealed resolution;
o Return both of the signed original copies; you will receive an original copy of the agreement
upon execution of the contract; and
o Also enclosed please find a copy of the General Terms and Conditions for Administering a
Grant/Loan. Please keep this information for your records.
Please let us know how we can assist you and your staff throughout the process and do not hesitate to
contact me at 609-633-7734 or clati~i@dca.state.nj.us sbould you have any questions.
Sincerely, ~ ..-. ~
CL:ds ~
c: Adam Zellner, Executive Director, Office of Smart Growth
Stanley Slachetka, PP, T&M Associates
GRANT/LOAN AGREEMENT
BETVVEEN THE
STATE OF NEW JERSEY
DEPARTMENT OF COMMUNITY AFFAIRS
AND
Borough of Carteret
GRANT/LOAN AGREEMENT NUMBER: 04-0203-00
PROGRAM NAME: Smart Future
A grant/loan contractual agreement with the New Jersey Department of Community Affairs is composed
of two major parts: the General Terms and Conditions for Administering a Grant/Loan and the individual
Grant/Loan Agreement document which includes the cover page, the signature page, the Agreement Data Sheet
and the following four sections:
A. Specific Terms and Conditions;
B. Agreement Budget;
C. Scope of Services; and
D. Program Provisions.
By signature on this Grant/Loan Agreement, the above-named Recipient agrees to the specific provisions
stated in the four sections of this Grant/Loan Agreement. In addition, the Recipient agrees to comply with all
provisions of the State of New Jersey, Department of Community Affairs, General Terms and Conditions for
Administering a Grant/Loan - Issue Date: February, 1998. The General Terms and Condi{ions for Administering a
Grant/Loan are incorporated in this Grant/Loan Agreement by reference. The Recipient hereby acknowledges
receipt of the General Terms and Conditions for Administering a Grant/Loan document or understands that a copy
of the General Terms and Conditions for Administering a Grant/Loan may be obtained upon request to the
Division funding this grant and/or loan.
PAGE 1
GRANT/LOAN AGREEMENT NUMBER: 04-0203-00
RECIPIENT AND DEPARTMENT AUTHORIZED SIGNATURES
The Recipient named below agrees to perform the services as described in the Scope of Services,
Section C. of this Grant/Loan Agreement. The provisions of this Grant/Loan Agreement, as well as the provisions
of the General Terms and Conditions for Administering a GrantJLoan, incorporated into'this agreement by
reference, including any subsequent amendments, shall constitute the terms and conditions of the agreement
between the New Jersey Department of Community Affairs and the Recipient.
If this Grant/Loan Agreement including the General Terms and Conditions for Administering a Grant/Loan
correctly states the Recipient's understanding of the terms and conditions of this award from the New Jersey
Department of Community Affairs, please indicate concurrence with these terms and conditions by having the
appropriate officer sign as ACCEPTED AND AGREED below and return it to the Department.
FOR RECIPIENT USE ONLY:
ACCEPT~EE~,~iI~IPI ENT:
Mayor
Borough of Carteret
CERTIFICATION:
I certify that the above signature is that of the person authorized to
BY: e;<~~;~ent..., DATE: ~~
~/-OVCRNMENTAL CLERK/SECRETARY ~ BOARD
FOR STATE DEPARTMENT USE ONL Y:
NEW JERSEY DEPARTMENT OF COMMUNITY AFFAIRS COUNTERSIGNED:
BY: DATE:
Adam J. Zellner
Office of Smart Growth
DEPARTMENT GRANT/LOAN APPROVAL OFFICER CERTIFICATION:
I attest that sufficient funds have been appropriated by the
State Legislature and are available for this grant/loan award.
BY: DATE:
DEPARTMENT GRANT/LOAN APPROVAL OFFICER
PAGE 2
GRANT/LOAN AGREEMENT NUMBER: 04-0203-00
AGREEMENT DATA SHEET
(X)GRANT ( )LOAN
RECIPIENT INFORMATION
AGENCY NAME: Borough of Carteret
ADDRESS: 61 Cooke Avenue
Carteret, New Jersey 07008
CHIEF FINANCIAL OFFICER: Patrick J. DeBlasio
VENDOR ID # V-226001707-99
TELEPHONE NUMBER: 732-541-3801
CHARITIES REGISTRATION #: EX00-00000
(Nonprofit Agencies Only)
STATE INFORMATION
DEPARTMENT: NEW JERSEY DEPARTMENT OF COMMUNITY AFFAIRS
DIVISION: Office of Smart Growth
ADDRESS: 101 South Broad Street
PO Box 204
Trenton, New Jersey 08625-0204
CONTACT PERSON: Adam Zellner
TELEPHONE NUMBER: 609-292-7156
FUNDING AMOUNT AND SOURCE OF FUNDS
GRANT/LOAN AMOUNT FEDERAL CFDA #(S)
STATE $ 59,300.00
FEDERAL $ .00
SUBTOTAL $ 59,300.00
OTHER $ .00
TOTAL $ · 59,300.00
NJCFS ACCOUNT NUMBER(S)
ACCOUNT #1:04-100-022-8049-006-FFFF-6120
ACCOUNT #2:04-100-022-8020-090-FSMR-6120
ACCOUNT #3:
ACCOUNT ,~4:
GRANT/LOAN AWARD PERIOD
GRANT/LOAN AWARD PERIOD: 12131/2003 THROUGH: 06/3012005
LENGTH OF AWARD PERIOD: I year 6 months
LIQUIDATION OF OBLIGATIONS MUST BE MADE BY: 09~30~2005
PURPOSE OF GRANT/LOAN
This award will provide funding to perform redevelopment and transit village planning.
PAGE 3
GRANT/LOAN AGREEMENT NUMBER: 04-0203-00
A. SPECIFIC TERMS AND CONDITIONS
By virtue of the execution of the Grant/Loan Agreement, the Recipient agrees that all of the terms and conditions
set forth in the General Terms and Conditions for Administering a Grant/Loan are incorporated herein. The
specific Grant/Loan Agreement provisions are detailed as follows:
1. BONDING AND INSURANCE
Fidelity Bonding:
( ) Fidelity Bonding with the limit of liability of at least $0.00 shall be maintained by the Recipient until
all financial transactions under this Grant/Loan Agreement are completed.
( X ) No Fidelity Bonding shall be required.
Insurance(s):
The Department must be provided with current certificates of insurance for all coverage and renewals
thereof which must contain the provision that the insurance provided in the certificate shall not be
cancelled for any reason except after 30 days written notice to the New Jersey Department of Community
Affairs.
Comprehensive General Liability policy as broad as the standard coverage form currently in use
in the State of New Jersey which shall not be circumscribed by any endorsements limiting the
breadth of coverage. The policy shall include an endorsement (broad form) for contractual
liability and shall include the State of New Jersey as a named insured. Limits of liability shall not
be less than $1 million per occurrence for bodily injury liability and property damage liability.
Comprehensive Automobile Liability policy covering owned, non-owned, and hired vehicles with
minimum limits of $1 million per occurrence for bodily injury liability and property damage liability.
Workers' Compensation insurance applicable to laws of the State of New Jersey and Employers'
Liability insurance with a limit of not less than $100,000.
Additional Insurance Coverage(s) required:
( X ) No Additional Insurance shall be required.
2. METHOD OF PAYMENT
Advance Payment
( X ) An Advancement of Funds in the amount of $15,000.00 shall be made.
( ) No Advancement of Funds shall be made.
PAGE 4
GRANT/LOAN AGREEMENT NUMBER: 04-0203-00
Payment Type
Payments shall be made as indicated below:
( ) Reimbursement payments based on the actual rate of disbursement shall be made .
( ) Fixed payments of $.00 shall be made .
( ) A Lump Sum payment upon execution of the agreement.
( ) A Lump Sum payment at the end of the award period.
( X ) Other: See Section D
Final Payment Withheld
( ) Final payment of $.00 shall be withheld pending receipt of final reports.
( ) No Final payment shall be withheld.
( X ) Other: See Section D
3. BUDGET VARIANCE FLEXIBILITY
Budget category and/or budget line item variance flexibility, if any, shall be permitted without requiring a formal
amendment to the Grant/Loan Agreement as indicated below:
( ) percent Budget Flexibility between/among Major Budget Categories.
( ) percent Budget Flexibility between/among Budget Line Items.
( ) No Budget Flexibility between/among Personnel, Consultants, or Equipment Major Budget
Categories.
( X ) No Budget Flexibility.
( ) Other:
4. PROJECT INCOME
Project income, if any, shall be:
) Added to project funds to further eligible program objectives; or
Deducted from Recipient's payment request for allowable costs; or
Used for the cost-sharing or matching requirement; or
Returned to the Department.
( X ) Not Applicable.
PAGE 5
GRANT/LOAN AGREEMENT NUMBER: 04-0203-00
5. FINANCIAL AND PERFORMANCE REPORTING
Financial Reports - A Fiscal Monitoring Report comparing the Recipient's actual expenditures of the project with
the approved Budget included in this Grant/Loan Agreement shall be submitted with each request for payment,
except for advance funding, if any. The Fiscal Monitoring Report shall be certified by the Recipient's Chief
Financial Officer and submitted to the Department with the State voucher requesting payment.
Performance Reports - A Performance report(s) indicating the progress of the project shall be submitted:
( X ) Monthly
( ) Quarterly
( ) Annually
( ) Other:
Final Report - A final report shall be submitted to the Department no later than 60 days after completion of
the grant/loan award period or termination of this Grant/Loan Agreement. Extensions to reporting due
dates may be granted upon written request to the Department.
6. AUDIT REQUIREMENTS
( ) Audit Required.
( X ) Audit Not Required. Recipient must submit to the Department supporting documentation for all
grant/loan expenditures.
Audit Costs - The pro rata share of the cost of any required single audit or the cost of a program-specific
audit, financial statement audit, or other limited scope audit shall be paid from funds:
( ) Provided for by this Grant/Loan Agreement.
( ) Provided by the Recipient from other funding sources.
( X ) Not Applicable.
Additional Schedules - Additional schedules may be requested by the Department, if funding is made
available to pay for such additional schedules.
( ) Additional Supplemental Schedules required as listed below:
( X ) No Additional Supplemental Schedules required.
PAGE 6
GRANT/LOAN AGREEMENT NUMBER: 04-0203-00
C. SCOPE OF SERVICES
1. The Borough of Carteret (hereafter the Grantee) shall administer and perform the obligations set forth in
this grant agreement with the New Jersey Department of Community Affairs (hereafter, the Department).
2. The Grantee shall expend up to $59,300 under this grant agreement to prepare the "Transit Village
Redevelopment Plan" focusing on consolidating redevelopment studies into a comprehensive
redevelopment plan. The goals of the plan are to encourage future development and redevelopment into
a series of residential and commercial mixed uses that benefit from higher densities and the potential for
rail, bus and ferry service. The grantee seeks to reinvent and redevelop its once industrialized waterfront
as a transit village development. The plan will be accomplished by the following activities:
a. The plan will coordinate its efforts with the "Middlesex County Strategic Plan: Arthur Kill Strategic
Planning Area"
b. Conduct a land use survey of the parcels indicated to determine existing land uses and current
conditions. Produce a series of maps in both electronic and paper formats depicting baseline
conditions.
c. Include a process designed to insure that local community input is gathering through a community
visioning process; Community Survey. In order to develop and solidity the plan, a community
visioning process will be undertaken to develop and implement the plan. The process will be
open to any interested resident or businesses and neighboring towns. The focus of the visioning
process will be to assist key groups within the community to develop a consensus around a
concept for a new town center. The visioning process will initially make use of the existing
conditions information and a survey instrument. Effort should be made to enable visual, graphic
and narrative formats to inform the meeting participants.
d. The Plan elements will include a vision statement, a program of specific elements and the
establishment of "Design Guidelines". Included in the Plan would be a concept pedestrian, bicycle
circulation plan including recommendations for strategic links to the remainder of the community
including the waterfront. Transportation recommendations would use a "Context Sensitive
Design' approach and include a strategy for traffic calming and coordination, bike lanes and bike
paths.
e. The Plan will encourage the reuse of "brewnfields" and the redevelopment or creation of
pedestrian odented mixed-use communities
f. Implement Smart growth transportation management strategies that coordinate mass transit
services and offer read design solutions that can strengthen communities and improve the quality
of life for residents, workers and visitors.
g. The grantee will use this Smart Growth Planning Grant to plan for a transit odented
redevelopment, and promoting beneficial economic growth while preserving and enhancing the
quality of community life.
h. Analysis of the Smart Growth impact and the advancement of the goals contained in the State
Planning Act including the inclusion of affordable housing strategies.
i. Program development and implementation strategies including design guidelines as well as
3otential public and pdvate funding sources,
i. The plan's implementation will be achieved through changes to the Grantee's Master
Plan to allow for the realization of the plan. Provide planning and zoning
recommendations for the identified parcels to encourage uses that minimize
environmental impacts on surrounding communities and create a mix of uses more
consistent with the surrounding pattern of land use and development.
ii. The consultant will continue to identify vadous funding sources, including state and
federal programs to assist in implementing the plan.
iii. A conceptual funding strategy will be formulated and funding resources identified
iv. Other items such as funding timeline, funding requirements, match requirements and
process approvals will be identified.
3. The Plan is encouraged to reflect the concepts of the Office of State Planning's Plan Endorsement
Guidelines.
4. The plan will be consistent to the objectives outlined in the grantee's Grant Application. (attached)
Page 7
SECTION C CONTINUED
5. The Grantee shall undertake and complete the activities listed in Paragraph 2, Section C, of this grant
agreement, which were authorized by the Department to further the goals of the State Planning Act (N.J.S.A.
52:18A-196 et seq.).
6. Administration of this grant agreement shall be the responsibility of the Grantee.
7. The Grantee shall provide the Office of Smart Growth with written monthly progress reports, invitations to
all public meetings and hearings, and membership on any advisory committees that may be established
to accomplish the activities listed in Paragraph 2, Section C, of this agreement.
PAGE 8
SECTION D
GRANT/LOAN AGREEMENT NUMBER: 04-0203
Pro.~ram Provisions
1. USE OF FUNDS AND METHOD OF PAYMENT
Funds provided under this Agreement will be used only for the purposes described in the Scope
of Services. An advance payment of $15,000 will be provided to the Grantee upon execution of
the Grant Agreement. Pdor to release of the balance of the funds provided under this
agreement, the Grantee shall submit:
· Signed State of New Jersey Voucher; and
· Three copies and an electronic version of completed work products as determined by
the Department.
2. FINANCIAL AND PERFORMANCE REPORTING
Wdtten monthly progress reports shall be submitted by the Grantee to the Office_of Smart
Growth. Failure to do so may result in a withdrawal of grant funds. Extensions may be granted
upon request.
The grantee must also ensure that the Office of Smart Growth is consulted on any issues,
problems resulting in potential changes in the scope of work, otherwise payment will not be
authodzed.
The Office of Smart Growth shall be invited to participate in public meetings and steering
committees.
3. PAYMENT SCHEDULE
Payment of grant funds shall be based on completJon of work tasks as described in this
agreement and as indicated below:
Initial Advance $15,000-1nitial advance payment.
Interim Payment #1 $25,000- Upon receipt of wdtten monthly reports and meeting
with OSG staff of project progress.
Final Payment $19,300-Upon review and acceptance of the final work
product
PAGE 9
AGREEMENT EXECUTION INSTRUCTION CHECKLIST (1/99)
All of the requirements checked on the left below must be met before the Department can execute the
enclosed Grant/Loan Agreement. Agreement execution is mandatory before any funds can be
released. Failure to follow these instructions exactly will result in processing delays, including
possible return of the entire agreement package to you for reprocessing. Please use the column on the
right as a final checklist before returning the agreement. Call your funding program contact person if
you have any questions about these requirements. Expeditious agreement execution - our mutual goal.
DO NOT ALTER THE AGREEMENT IN ANY WAY WiTH WHITE-OUTOR BY ANY OTHER MEANS
DCA ALL OF THE FOLLOWING CHECKED ITEMS MUST BE SUBMITTED / COMPLETED ~GENCY
I ~,CCEPTANCE SIGNATURE - The two originals of the Grant/Loan Agreement must be
X s~gned and dated by the agency official who is authorized by the Resolution to sign the
Agreement. The Grant/Loan Agreement may also be signed by the successor in the same
title as the authorized agency official, if specifically authorized by the Resolution to do so.
2 CERTIFICATION SIGNATURE - The two originals of the Grant/Loan Agreement must also
be signed by a qualified individual who is certifying as to the authenticity of the acceptance
X signature. For public sector grant/loan recipients, the only qualified individual is the
Government Clerk. For private sector grant/loan recipients, the qualified individual is
either: a) the Secretary of the Board of Directors, b) a Notary Public, or c) a New Jersey
licensed attorney.
3 SIGNATURE DATES - Both signatories must date their own signatures. The two dates
X must be the same, as the person who certifies a siqnature must actually witness the
authorized agency official affix his/her signature. In addition, the signature dates must be
the same as, or later than, the date of the Resolution.
4 CERTIFIED RESOLUTION - The Resolution must indicate acceptance by the Governing
Body (if a government agency) or the Board of Directors (if a private agency) of the
obligations under the Grant/Loan Agreement. The Resolution must: a) state the legally
incorporated name of the organization as listed on the Grant/Loan Agreement, b) state the
approximate dollar amount of the grant/loan award requested, c) provide a brief
X description of the project, and d) list the name(s), title(s), and signature(s) of the person(s)
who may sign the Agreement as the authorized agency official(s). The Resolution must
be imprinted with a raised Government, Corporate, or Notary Seal and must be certified,
signed, and dated by the Government Clerk or the Board Secretary. This certification
must state the name of the Board Secretary / Government Clerk and list the date of the
meeting at which the Resolution was adopted.
5 FEDERAL LOBBYING CERTIFICATION - (page 7) must also be signed and dated by the
authorized agency official who signs the Grant/Loan Agreement.
6 CERTIFICATES OF INSURANCE - Section A, Specific Terms and Conditions, Part 1
(page 4 of the Grant/Loan Agreement) indicates the type(s) and amount(s) of insurance
required. You must submit evidence that the required insurance is in effect. The
Certificate of Insurance must list the State of New Jersey, Department of Community
Affairs, Division of/on , Post Office Box
, Trenton, New Jersey 08625- . as the Certificate Holder.
Request your agent to supply an ACCORD 25 form.
7 NEW JERSEY DEPARTMENT OF THE TREASURY FORM PV 3~93 (INVOICE) -
X Although not required for agreement execution, completion and submission of this
document is required in order for your agency to receive an "advance" payment.
RESOLUTION
Whereas, the _ (formal name of organization)
desires to apply for and obtain a grant from the New Jersey Department of Community Affairs
to carry out a project to _
for approximately $ (dollar amount of request)
(briefly describe the project)
Be it therefore RESOLVED,
1 ) that the (formal name of organization)
does hereby authorize the application for such a grant; and,
2) recognizes and accepts that the Department may offer a lesser or greater amount and therefore,
upon receipt of the grant agreement from the New Jersey Department of Community Affairs, does
further authorize the execution of any such grant agreement; and also, upon receipt of the fully
executed agreement from the Department, does further authorize the expenditure of funds pursuant
to the terms of the agreement between
(formal name of organization)
and the New Jersey Department of Community Affairs.
Be it further RESOLVED, that the persons whose names, titles, and signatures appear below are
authorized to sign the application, and that they or their successors in said titles are authorized to
sign the agreement, and any other documents necessary in connection therewith:
(signature)
(signature)
(typo or print name) (typo or print name)
(title)
(title)
CERTIFICATION:
, the ~(title of position - Board Secretary or Government Clerk)
I' (name of Board Secretary I Government Clerk)
of (formal name of organization)
hereby certify that at a meeting of the Board of Directors / Governing, Body held on
(meeting date)
the above [RESOLUTION was duly adopted.
AFFIX GOV'T,
CORPORATE OR
NOTARY SEAL (Signature of Secretary of the Board of Directors or Government Clerk)
(1/99)
STATE OF NEW JERSEY
DEPARTMENT OF COMMUNITY AFFAIRS
GENERAL TERMS AND CONDITIONS
FOR ADMINISTERING A GRANT/LOAN
ISSUE DATE: FEBRUARy, 1998
REVISED OCTOBER, 1998
A grant/loan contractual agreement with the New Jersey Department of Community Affairs includes two major parts: 1) the Gmn~Loan Agreement
(which is the document that is e~ecuted by the Department and the Recipient for grant and/or loan funds); and 2) this document, the Department of
Community Affairs, General Terms and Conditions for Administering a Grant/Loan, issue Date: February, 1998, and Revised: Octobor, 1998 (which is
incorporated by reference).
Grant/Loin Agreement document inctedes the cover page, the signature page, the Grant/Loan Agreement Data Sheet, and the following four
-ections:
Section A. Specific Terms and Conditions, ieduding:
Lobbying Certification (if required) and
Special Agreement Condition(s) on "High Risk' Recipient (if necessary);
Section B. Budget;
Section C. Scope of Services; and
Section D. Program Provisions.
..A3479:10/98 (Revised) PAGE I
signing the Grant/Loan Agreement, the Recipient agrees to the provisions of this General Terms and Conditions for Administering a Grant/Loan as if
~,ose terms and conditions were set forth in full in that Grant/Loan Agreement. The General Terms and Conditions are as follows:
PRE-AWARD REQUIREMEN?$ PAGE
I. Compliance Requirements 3
II. Availability of Funds 4
IlL Indemnification 4
IV. Assignability 4
V. Americans with Disabilities Act (ADA) 4-5
VI. Affirmative Action 5
VII. Cultural Sensitivity 5
VIII. Lobbying Certification and Disclosure 5-6
IX. Special Agreement Condition(s) on "High Risk' Recipient 6
X. Bonding and Insurance 6
POST-AWARD REQUIREMENTS
Xl. Financial Management System 6-7
XIl. Period of Availability of Funds 7
XIll. Method of Payment 7
XIV. Allowable Costs 8
XV. Matching and Cost Sharing 8
XVI. Procurement Standards 8
XVII. Property Management Standards 8
XVIII. Project Income 8
XIX. Interest g
XX. Financial and Pen~ormance Reporting 9
XXI. Monitoring of Project Performance 9-10
XXII. Access to Records 10
XXIti. Record Retention 10
XXIV. Budget Revisions and Agreement Modifications 11
XZV. Enforcement 11-12
)O(VI. Suspension and Termination 12
XXVII. Audit Requirements 12-13
XVIII. Coseout Procedures 13-14
A3479:10/98 (Revised) PAGE 2
~-'~e Recipi~nt's acceptance of an award constitutes an agreement to comply with al~ Federal, State and local laws, roles, and regulations applicabJe to
activities during the performance of the project being funded.
·ailure by the Recipient to com ply with applicable Federal, State and local laws, roles, and regulations shall be grounds for termination of the
Grant/Loan Agreement. Tr~ese laws, rules, and regulations include, but ara not limited to, the following:
AnMIIdlC::TRATIVF: RFt~l IIRFMICKITR
Federal OMB Circular A-102', Grants and Cooperative Agreements with State and Local Governments
(is~Jed and effective on October 14, 19cj4; with amendments through August 29, 1997).
Uniform Administrative Requirements for Grants and Cooperative Agreements with State and Local Governments
(government-wide common rule, codified by each federal agency in its raspective fitie of the Code of Federal Regulations).
Federal OMB Circular A*I 10', Grants and O~er Agreements with Institutions of Higher Education, Hospitals and Other Nen-Prafit Organiza~ons
(issued Novembe~ 29, 1993, and effective for federal agencies December 29, 1993; effective date for recipients varies; incorporates amendments
through August 29, 1997).
Federal OMB Circular A-21', Co§t Principles for Educational Institutions
(issued and effective on May 8, 1996, with amendments through August 29, 1997).
Federal OMB Circular A-87', Cost Principles for State, Local and Indian Tribal Governments
(issued May 17, 1995, and effective for awards made on or after September 1, 1995, with amendments through August 29, 1997).
feral OMB Circular A-122*, Cost Principles for Nonprofit Organizations
~sued June 27, 1980, with amendments through August 29, 1997).
Federal OMB Circular A-128', Audits of State and Local Governments
(issued April 12, 1985, and effective for audits of fiscal years that began after December 31, 1984, and on or before June 30, 1996).
Federal OMB Circular A-133', Audits of Institutions of Higher Education, and Other Nonprofit Organizations
(issued March 16, 1990, and effective for audits of fiscal years beginning on or before June 30, 1996).
Federal OMB Circular A-133* - Revised June 24, 1997, Audits of States, Local Governments and Nonprofit Organizations
(effective for audits of fiscal years beginning after June 30, 1996).
Federal OMB Circular A-133' (Appendix A) Data Collection Form (Form SF-SAC).
Federal OMB Circular A-133' (Appendix B) Corapiiance Supplement ~ Provisional 6/97.
New Jersey OMB Circular Letter 98-07, Single Audit Policy for Recipients of Federal Grants, State Grants and State Aid payments.
New Jersey State Grant Compliance Supplement
(available on the Internet at: hftp://www.state.nj.us/treasury/omb/grant.htm)
* NOTE: Federal OMB Circulars are available on the Internet at:
http://www.whitahouse.gov/WH/EOP/OMB/html/circular.html
.A3479:10198 (Revised) PAGE 3
.' Redpient shaft recognize and agree that both the initial provision of funding and the continuation of such funding under the Agreement is expressly
~.pendent upon the availability to the Department of funds appropriated by the State Legislature from State and/or Federal revenue or such other
,unding sources as m ay be applicable. The Department shall not be heid liable for any breach of the Agreement because of the absence of available
funding appropriations. In addition, future funding shall not be anticipated from the Department beyond the duration of the award peded set forth in the
Grant/Loan Agreement and in no event shall the Agreement be construed as a commitment by the Department to expend funds beyond the termination
date set in the Grant/Loan Agreement.
III. ~
The Recipient shall be responsible for and shall iedem nify and keep. cave and hold the State of New Jersey harmless from and against any and all
liability for any and all damages, loss, costa, charges or expenses of any kind or nature whatsoever including, but not limited to, any and all liability
resulting from any and all mental and physical injudes or dicabiltties, including death, to em ployees or recipients of the services or to other persons, or
from any and all economic loss or damage fo or any and all defamation of character or reputation of any such persons, or from any and all damage to
property sustained in connection with the delivery of the se~,ices which results from any acts or omissions, including negligence or m alpractice of
officers, directors, em ployees, agents, servanta or independent contractors, or from failure to provide for the cafety and protection of employees.
whether or not due to negligence, fault or defaulL Liability under the Agreement shall continue after the termination of the Agreement with respect to
any liability, damage, loss, cost, charge or expense resulting from acts or omissieas occurring pdor to termination.
The Recipient shall not subgrant or subcontract any of the work or services covered by the Grant/Loan Agreement, nor shall any interest be assigned or
transferred except as may be provided for in the Grant/Loan Agreement or with the express prior wrftten approval of the Department.
Under Section 503 of the Rehabilitation Act of 1973, as amended, the following language must appear in all federal contracts and subcontracts of
$10,000 or more:
A. The Recipient will not discriminate against any employee or applicant for employment because of physical or mental handicap in regard to any
position for which the employee or applicant for employment is qualified. The Recipient agrees to take affirmative action to employ, advance in
employment and otherwise treat qualified handicapped individuals without discrimination based upon their physical or mental handicap in all
employment practices such as the following: employment, upgrading, demotion or transfer, recruitment, advertising, layoff or termination, rates of
pay or other forms of compencation, and selection for training, including apprenticeship.
B. The Recipient agrees to comply with the rules, regulations, and relevant orders of the sec~'etary of labor issued pursuant to the act.
C. In the event of the Recipieet's noncompliance with the requirements of this clause, actions for noncom pliance may be taken in accordance with
the rules, regulations and relevant orders of the secretary of labor issued pursuant to the act.
D. The Recipient agrees to post in conspicuous places, available to employees and applicants for employment, notices in a form to be prescribed by
the director, provided by or through the granting officer. Such notices shall state the contractor's obligation under the law to take affirmative action
to employ and advance in employment qualified handicapped employees and applicanta for employmeet, and the dghts of applicants and
employees.
The Recipient will notify each labor union or representative of workers with which it has a collective bargaining agreement or other contract
understanding, that the Recipient is bound by the terms of Section 503 of the Rehabilitation Act of 1973, and is committed to take affirmative
action to employ and advance in employment physicalty and mentally handicapped individuals.
.A3479:19198 (Revised) PAGE 4
F. The Recipient will include the provisions of this cJause in every subagreement or purchase order of $2,500 or more unless exempted by roles,
regol;~tions, or ordem of the secretary issued pursuant to Section 503 of the Act, so that such provisions will be binding upon each subcontractor
or vendor. The Recipient will take such action with respect to any subagreement or purchase order as the director of the Office of Federal
Contract Compliance Programs may direct to enforce such provisions, incfuding action for noncompliance (41 CFR 60-741.4.4).
VI. ~
The Recipienrs em ployment polities and practices must make every effort to recruit and hire employees without disedmination because of the persons'
race, religion, color, sex, age, physical and/or mental disability, marital status, or national odgin, and to treat them equally with respect to compensation
and opportunities for advancement, including upgrading, promotion and transfer. The policy must be publicly displayed and noted in all publications and
related materials referring to services resulting from the Grard,'Loan Agreement.
The policies and practices must also comply with Title VI and Title VII of the Civil Rights Act of 1964, as amended; Presidential Executive Order #11246
with its amendment, Executive Order #11375; New Jersey P.L. 1975, C. 127; New Jersey Executive Order #61; the Department of Community Affairs
(DCA) Affirmative Action Policy requidng non-d/sedmination in employment in programs funded by DCA; and/or other subsequent orders that may
pertain to this program. In addition, every effort 1o show a continued commitment to a program of equal opportunity and merit employment policies
within the community must be made.
Compliance with all the affirmative action mquirementa must be maintained for the duration of the award period. A program of affthnative action to
make known that equal opportunities are available on the bas~s of individual merit must be in place. This program must encourage all persons to seek
opportunities and skive for advancement on this basis.
In addition to these provisions, a' Recipient with 50 or more employees and one or more Federal grants of $50,000 or more, must Ixepare and maintain
an affirmative action plan.
The Recipient agrees to require its contractors to corn ply with N.J.S.A. 10:5-36, P.L. 1975, C. 127, N.J.A.C. 17:27-1 et seq. and all implementing
regulations. If there are any questions regarding this Section, please address them 1o the New Jersey Department of the Treasury, Office of Affirmative
'on, PO Box 209, Trenton, NJ 08625-0209.
~
The Rectpient agrees in the pedormance of the project described in the Agreement to be sensitive to the needs of the minority populations of the State
of New Jersey. This sensitivity incJudes the employment, if possible, of a culturally diverse staff that can communicate with, and be representative of,
the community it serves.
The Recipient shall make programs linguistically appropriate and culturally relevant to minority groups within the community. Appropriate
accommodations for services shall be developed and maintained for those minority individuals who are deprived reasonable access to those services
due to language ban~ers or ethnic and cultural differences. In addition, the Recipient shall make certain that all programs and services are selective of
the demographic needs of the corn munity, while providing all minorities the opportunity to experience any and all available services irrespective of their
ethnic or cultural heritage.
In accordance with United States Code, Title 31, Section 1352, use of Federally appropriated funds by any recipient (except Indian tribes) at any level of
an award to attempt to influence any member of Congress, any Congressional staff member or any employee of the Federal executive branch in
connection with Federal awards is prohibited. Any Recipient of Federal funds of $100,000 or more in grants, and cooperative agreements of $150,000
or more in loans and loan guarantees, through a Grant/Loan Agreement must inctude a completed and signed Certitication for ConEacts, Grants,
Loans, and Cooperative Agreements in the agreement certJtying that the Redpient will not use appropriated Federal funds for lobbying activities.
Further, nonprofit organizations granted tax-exempt status under Section 501(cX4) of the Internal Revenue Code that engage in lobbying activities are
prohibited from receiving any Federal grants, cooperative agreements or other types of awards under the Lobbying Disclosure Act of 1995 (P.L
104-65). The prohibition applies to awards made on or after January 1. 1996.
~A3479:10/98 (Revised) PAGE 5
The Redpient must also attach to the Grant/Loan Agreement a completed and signed Disclosure of Lobbying Activities form (Standard Form-LLL) to
disclose any. funding the Recipient has paid or agreed to pay, from other than Federal funds, to any lobbying entity for influencing or attampting to
~,~fluence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress
onnection with a covered federal action. The Recipient must disciose the name and address of any registered lobbyist receiving other than Federal
3ds. Failore by the Recipient to file the required certitication(s) shall be subject to a civil penalty of not less than $10,000 and not more than $100,000
.ur each such failure.
IX. ~PFl'~.lAI At"4~I~FFMFIdT r~t3M~lTIt~M~.~ CIM "HIGH RI.~K' RFClPlFHT
The Departn~ent may impose spec/al agreement condition(s) on a "High Risk" Recipient by indicating so in the Grant/Loan Agreement when the
Department determines that the Recipient: (1) Has a history of unsatisfactory performance; or (2) Is not financially stable; or (3) Has a management
system which does not meet the management standards set forth Section XI; er (4) Has not conformed to the terms and conditions of previous awards;
or (5) Is otherwise wan'anted. If the Department determines that an award will be made, special condition(s) or restriction(s) shall correspond to the
high risk condition(s) and shall be inciuded in the Grant/Loan Agreement.
As a result of a determtaation by the Department that a Recipient is considered to be a "high risk,' then one or m ore of the following special condition(s)
and/or restriction(s) may apply for the duration of the award peded: (1) Payment on a reimbursement basis; (2) Withholding authority to proceed to the
next phase until receipt of evidence of acoeptable performance within a given funding period; (3) Requiring additional or more detailed financial reports;
(4) Additional project monitoring; (5) Requiring the Recipient to obtain technical or management assistance; and/or (6) Establishing additional prior
approvals.
If the Department decides to impose such conditions and/or restrictions, the Department will be required to notify the Recipient as eady as possible, in
writing, of: (1) The nature of the.spectal conditions and/or resthctions; (2) The reason(s) for imposing them; (3) The corrective actions which must be
taken before they will be removed and the time allowed for completing the corrective actions; and (4) The method of requesting reconsideration of the
conditions and/or restrictions imposed.
X. ~
flity Bonding, if required, must be obtained and maintained for at least the amount specified in the Grant/Loan Agreement and for all persons with
cess to or control over proceeds of the award and shall be kept in effect for the duration of the Agreement. The Grant/Loan Agreement will indicate
.ether fidelity bortdieg is required and if required, the amount of fidelity bending.
For all other required insurance, the Department must be provided with current certificates of insurance coverages and renewals thereof which must
contain the provision that the insurance provided in the cert/ficate shall not be cancetied for any reason except after 30 days wdtten notice to the State
of New Jersey, Department of Community Affairs. See the Grant/Loan Agreement for specific insurance requiremen[s that may be applicable to the
The Department may review the adequacy of the accounting system of any applicant for financial assistance as part of a pre-award review; and may
require the Recipient's Chief Financial Officer to som plete and submit a Pre-Award Fiscal Survey and/or a Statement of Financial Assurances form.
The Recipient's Chief Financial Officer shall be responsible for m aintaining an adequate financial management system. The Chief Financial Officer will
notify the Department when the Recipient shall not be able to cemply with the requirements in this Section of the General Terms and Conditions for
Administering a Grant/Loan.
The Recipient's financial management system shall provide for:
A. Fin~n~] R~pm'tln?. Accurate, current, and complete disdosurs of the financial results of financielly assisted activities must be made in
accordance with the financial reporting requirements of the Agreement.
.A3479:10198 (Revised) PAGE 6
B. Acc~,lnfing ~rds. Records that satisfactorily identity the source and application of funds resulting fi.om the Agreement must be maintained.
These records shall contain information pertaining to awards and authorizations, obligations, unobligated balances, assets, liabilities, outlays or
expenditures, and income.
tarRrn~l ~'~nfrnl. Effective internal and accounting controls over all funds, properly, and other assets resulting fi.om the Agreement must be
maintained. All such assets shall be adequately safeguarded and assurance must be given that these assets are used solely for authorized
purposes.
D. R,,cl?t ~-nnlrnl - A comparison of actual expenditures or outlays to budgeted amounts must be provided. Financial information must be related to
performance or productivity data, including the development of unit cost information as required by the Agreement.
E. Atlnw~hl~ ;".n~:t. Applicable cost principles, program regulations, and the terms of the Agreement must be followed in determining the
reasonableness, allowability and allocability of costa.
F. Sol/rc~ Flnc~ ~m~nfnlinn. Accounting records must be supported by such odgioal source documentation as cancelled checks, paid bills, payrolls,
time and attendance records and Agreement documents.
~J3 M~n~?;,m~nr. Assurance that any funds advanced shall be used expressly for the purpose stated in the Grant/Loan AgreemenL The time
elapsing between the advance of funds from the Department and the disbursement of funds by the Recipient must be minimized whenever
advance payment procedures are used.
The Department may review the adequacy of the financial management system of any Recipient of financial assistance at any time subsequent to the
award.
If the Department determines th;;t the accounting system does not meet the standards desedbed above at any time during the award peded, additional
information may be required by the Department to monitor activity until the system meets with Department approval. Further, the Department may, in
its sole discretion, determine to withhold any additional disbursement of funds pending resolution of any such deficiencies.
~e Recipient may charge only costs resulting from obligations made dudng the funding peded lo the award. Costa incurred by the Recipient prior to a
fully executed Grant/Loan Agreement between the Recipient and the Department are at the Recipient's own dsk should funding not occur. Carryover of
any unobligated balance from one funding period to another funding period requires the prior written approval of the Department.
Funds obligated, but not disbursed at the end of the award pehod by the Recipient shall be liquidated within 90 days after the termination date of the
AgreemenL The Department may extend this deadline at the request of the Recipient. Liquidation of obligations must be accounled for in accordance
with Federal and State requirements and to the satisfaction of the Depadment.
Xlll. ~
A. Advnn~-~ P;~_vm~nt. Where deemed applicable, the Department may authorize an edvance payment provided the willingness and ability to
maintain procedures to minimize the time elapsing between the transfer of the funds and its disbursement is demonstrated and upon receipt of a
propedy executed copy of the Grant/Lcan ^greernent, other supporting documents, and a properly signed State Payment Voucher. Such
advance, if authorized, is to cover estimated disbursement needs for an initial peded so that the Recipient will not have to use ira own funding for
the project(s) being funded by the grant/loan.
B. Prn_nr~,~ F~n_vm~nr(~). Progress payment(s) shall be made as preschbed in the Grant/Loan Agreement and upon receipt of the required financial
and performance reports provided that no suspension of funding has been determined to be necessary by the Department pursuant to the
provisions of the Grant/Loan Agreement or other applicable laws or regulations.
C. Final P~_vrn~n! Withh;,Icl. At the Department's discretion, a fixed amount may be withheld from the last payment request pending receipt of the
final reports prescribed in the Grant/Lean Agreement. If applicable, the amount that shall be withheld, if any, is not to exceed the amount
iedicated in the Grant/Lean Agreement.
.CA3479:10/98 (Revised) PAGE 7
XlV. Al I (3WARI F C. 13RTR
; of project funds is limited to the allowable costs determined in accordance with the Federal cost principles applicable to the organization incurring
costs (e.g. OMB Circulars A-21, A-87. A~122, etc.) State requirements, and the terms of the Grant/Loan Agreement.
The Redpient shall be required to account to the satisfaction of the Department for matching and cost sharing funds required by the Grant/Loen
Agreement in accordance with Federal and State requirements.
Procurement of supplies, equipment, and other services by the Recipient with funds provided by the GrantJLoen Agreement shall be accomplished in a
manner generally consistent with Federal and State requirements.
Adherence to the standards contained in the applicable Federal and State laws and regulations does not relieve the Redpient of the contractual
responsibilities arising under its procurem ants. The Recipient is the responsible authority, without recourse to the Department, regarding the settlement
and satisfaction of all contractual and administrative issues arising out of procurem ants entered into by the Redpient, in support of the award.
Property fumished by the Department or acquired in whole or in part with Federal or State funds or whose cost was charged to the project supported by
Federal or State funds shall be uttiized for the odginatiy authorized purpose as long as needed for that purpose.
~r approval MUST be received from the Department for the use of properly in other projects when it is determined that such property is no longer
· eded for the purposes of the o~ginal projecL Use in other projects shall be limited to those projects funded by the Department o~ projects that have
.;poses consistent with those in the Agreement funding the purchase of the property.
The property shall not be disposed of or its title or other interests encumbered by the Redpient without prior written approval from the Department.
Project income shall be defined as grass income earned from project supported activities. Such income includes, but shall not be limited to, eamings
from service fees, sale of (:om modities, usage or rental fees, and payments of principal and interest on loans made with project funds. Except as
otherwise provided in State and Federal regulations, project income does not include interest on pro:~ect funds, rebates, c~edits, discounts, refunds, etc.
Project income, if any, shall be used as specified in the Grant/Loan Agreement. There is no obligation to the Department with respect to royalties
received as a result of copyrights or patents produced under the provisions of the award unless stated otherwise in the GrantJLcen Agreement.
However, the Department reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others
to use for Department purposes the copyright in any work developed under a grant or loan, subgrant, or contract or subcontract, and any rights to
copyright to which a Recipient, subreclpient or a contractor purshases ownemhip with granFIoan support.
~A3479:10/98 (Revised) PAGE 8
~ll advanced funds provided to the Redpient under the Granl/Loan Agreement shall be deposited and maintained in interest bearing accounts in a
ncial institution having accounts insured by the Federal Deposit Insurance Corporation and, where appropriate, also protected under the provisions
· the Governmental Unit Deposit Protection Act, in such a manner and subject of such limits so that such funds shall be fully protected against loss by
,,~e Federal Deposit Insurance Coq)oration. Interest earned exceeding $250 for total State or Federal advanced funds per Recipient fiscal year shall be
remitted to the Department. Interest earned in the amount of $250 or less per Recipient fiscal year on State or Federal funded programs may be
retained for administrative purposes subject to Depadment approval.
Further, an interest charge on unallowable costs that are not repaid by the Recipient shall acerue 30 days from the date the Recipient is notified of the
debt. The interest shall continue 1o accTue while any appeal of the audit findings is underway. In the event the Redpient is successful in its appeal, the
accrued interest will be eliminated.
A Fin~n~l Rep~rt~. A Fiscal Monitoring Report comparing the Recipieet's actual expo~ditares of the project with the Budget included in the
Grant/Loan Agreement in Section B shall be submitted with each request for payment, except for advance funding. The Fiscal Monitoring Report
shall be certified by the Recipient's Chief Finandal Officer and submitted to the Department with the State voucher requesting payment.
B P~r~rrn~nr-~ Re~'~rt~. A Performance Report shall be prepared by the Recipient and submitted 1o the Department on an interim basis. The
Pedormance Report shall present the following information for each project function or activity thvo~ved:
1, A comparison of actual accom pfishments for the period to the goals established in the Grant/Loan Agreement, Where the output of the project(s)
can be readily quantified, such quantitative data should be related to cost data for computation of unit costs.
2. Reasons why established goals were not met.
Other pertinent information including, when apprepdate, an analysis and exp~enation of cost overruns or high unit costs.
Final R~pqrt. A Final Report, combining the features and requirements of beth the interim Financial Reports and the intedm Performance
Reports, is due within 60 days of either the award pedod expiration or termination date, whichever if eadier. The Final Repod must compare
actual expenditures with the Budget, Ixovide a narrative account of the activities supported by these expenditures, and discoss how well these
activities fulfilled the purposes and goals of the Grant/Loan Agreement. The Final Report must be signed by an appropriate officer of the
organization, as it may serve as a basis for Departmental Graet/Loan Agreement administrative dose-out activities, indudiog final payment
Extensions to reporting due dates may be granted upon written request by the Recipient to the Depertm~nt. If reports are not submitted as required,
the Department and the State of New Jersey may, at its discretion, suspend payments on the Agreement. The State of Now Jersey may, at its
disureth3n, take such action to withhold payments on any Agreement with any State agency until required reports have been submitted.
The Recipient must assure compliance with applicable Federal and State requirements and that the performance goals and objectives are being
achieved in accordance with the Agreement. The Recipient must continually monitor its performance of the govemment supported activities to assure
that time schedules are being met, projected work units by time periods are being accomplished, and other performance goals and objectives are being
achieved in accordance with the activities delineated in the Grant/Loan Agreement.
The Recipient shall inform the Department in writing of the following types of conditions which may affect project objectives and performance as soon
.A3479:10/98 (Revised) PAGE 9
1. Problems. delays, or adverse conditions which will matedally affect the ability to attain project objectives, prevent the meeting of time schedules
and ~oaJs, or precJude the attainment of project work units by established time pedods. This disclosure shall be accom partied by a statement of
the action taken, or contemplated, and any Department assistance needed to resolve the situation.
Favorable developments or events which enable the time schedules and goals to be met sooner than anticipated or at less cost or to produce
more work units than originally projected.
The Deportment may, at its discretion, make site visits to:
1. Review project accomplishments and management control systems;
2. Provide such technical assistance as m ay be required; and
3. Perform fiscal reviews to ensure that funds are being properly expended and in a timely manner.
The Redpient's acceptance of the award constitutes Agreement to make pe~nent accounting records, books, documents, and papem available to the
Department, any Federal agency whose funds are expended in the course of the GranULoan Agreement, or their duly authorized representatives.
In addition, the Department reserves the dght to have access to the records of any subgrantees/subrecipients provided funding from the award and
requires the Recipient to provid~ for the Department, any Federal agency whose funds are expended in the course of the Grant/Loan Agreement. or
their duly authorized representatives, access to such records in any Agreement with a sub<jrardee/subrecipierd. Through acceptance of the award by
the Recipient, the Department is guaranteed access to such records.
All visitations, inspections, and reviews, including visits and requests for documentation in discharge of the Department's responsibili§ss, shall as a
general role provide for prior notice when reasonable and practica} to do so. However, the Deportment retains the dght to make unannounced
'ations. inspections, and examinations as deemed necessar/. The Department reserves the right to have access to all workpapers and
~nagemerd letters produced in connection with audits made by independent public accountant hired by the Recipient to perform suc~ audits.
XXlII. RIr=C. c3n n I~FTF HTIt3N
Financial records, supporting documents, statistical records, and all other records pertinent to the award shall be retained by the Recipient for a period
of three years unless Federal or State funding program statutes or regulations require idnger periods. The retention period starts from the date of
submission of the final expenditure report, or for awards that are renewed annually, from the date of submission of the annual financial report.
If any litigation, claim, negotiation, action or audit involving the records is started before the expiration of the three-year period, the records must be
retained by the Recipient until completion of the action and resolution of all issues which arise from it, or until the end of the regular three-year period.
whichever is later.
Records for nonexpendable property acquired by the Recipient with Department funds shall be retained for three years after its final disposition. The
retention period starts from the date of the disposition, replacement or transfer at the direction of the Department.
The Department may request the transfer of certain records from the Recipient to its custody when the Deportment determines it is necessary or of
some value.
...A3479:10198 (Revised) PAGE 10
Rudget major calegory and/or budget line item vadanses, if permitted, shall be indicated in the GmnFLoan Agreement. Any deviations outside the
ts established in the Grant/Loan Agreement must be approved by the Depadment. Such requests for budget flexibility outside of what is provided
r within the Granl,'Loan Agreement must be submitted to the funding program in writing by the Recipient with an explanation for the vadance request
pdor to incun~ng the cost. No variances outside the limits stated in the Grant/Loan Agreement are permitted without the written approval of the
All budget revisions and modifications to the Grant/Loan Agreement must be requested by the Recipient and approved by the Department ia wdflng
when Ihere is reason to believe a change will be necessary in the budget and/or agreement for any of the following reasons:
· 1. An thcrease or decrease in grant fendi~ig.
2. Direct and indirect budgel line item transfers,
3. Budget category transfers.
4. Need to modify the period of availability of funds.
5. Changes in the project scope of servicas or objectives.
6. Changes in key personnel,
7. Need to subgrant, contract out or obtain the services of a third party to perform activities which are central to the purpose of the award.
The request including a justification must deady indicate the activities and/or budget categories affected by the request for the proposed changes,
Should the Department decide changes to the agreement are necessary, including any increase or decrease in the amount of compensation, a formal
written amendment to the agreement will be executed between the Department and the Recipient. Once the amendment is executed, a copy must be
attached to the odginal Grant/t_oen Agreement.
If in the judgment of the Department, services to be provided with program funds are improper or inadequate to meet project goals, the Department will
provide written notification with an explanation of the dissatisfaction to the Redpient. Should co~Tective action to improve the performance of the funded
project be impossible or impracticable, the Department may upon 30 days written notice process an amendment to the Grant/Loan Agreement. Such
remainder of the award pedod, This reduction shall take into account the fixed costs and establish the approved level of services for each element
Since expenditures cannot be incurred over and above the limits set for budget vadenses in the Grant/Loan Agreement, it is important ta request
budget vadance approval whenever it is anticipated that spending will exceed the established budget flexibility limits stated in the Grant/Loan
~A3479:10/98 (Revised) PAGE 11
Any costs of the Recipient, resulting from obligations incurred by the Recipient dudng a suspension or after termination of aa award are not allowable
unless the Department expressly authorizes them in the notice of suspension or termination or subsequently. Other Recipient's costs incurred dudog
the suspension or after termination which are necessary and not reasonably avoidable are allowable if;
The costa result from obligations which were propedy incurred by the Recipient before the effective date of the suspension or termination, are not
in antidpation of it, and, in the case of a termination, are nonoancellable; and
2. The costs would be allowable if the award were not suspended or expired normally at the end of the funding pedod in which the termination takes
effect.
The enforcement remedies identitied in this Section, incinding suspension and termination, do not preclude the Recipient from being subject to Federal
and/or State debarment and suspension procedures,
XXVI. Ri IR~r:IdFUC~N ANn TFR'MINATIi~N
Failure of the Recipient to comply with Agreement stipulations, terms or conditions may give cause to the Department to suspend the Agreement and
withhold further paymenta, prohibit additional obligations of project funds pending corrective action, disallow all or pert of the cost associated with the
noncompliance, withhold future awards for the project or other State government projects, terminate the Agreement or take other remedies that may be
legally available.
The Deparlment may terminate the award, in whole or in part, whenever it is determined that the Recipient has failed to comply w~ the conditions of
the Agreement. The Departrnen. t shall promptly notify the Recipient in wdtlng of the determination and the reasons for the termination together with the
effective date. Paymenta made to the Recipient or recoveries by the Department under the Agreement terminated for cause shall be in accord with the
legal dght and liability of the parties.
The Department and the Recipient may terminate the Agreement, in whole or in part, when both parties agree that the continuation of the projent would
not preduee beneficial results commensurate with the further expenditure of funds. The two parties shall agree upon termination conditions, including
effective date and in case of partial termination, the portion to be terminated. The Recipient shall not incur new obligations for the terminated
.rtion after the effective date and shall cancel as many outstanding obligations as passible.
The Closeeut Procedures of the Section XXVIII. of this General Terms and Conditions for Administering a Grant/Loan shall apply in all cases of
termination of the award.
A Recipient ,~y.r~r, din_n $300,000 or more in total Federal or State financial assistance within its fiscal year is required to have an annual single audit or
a program-specific audit performed in accordance with the Federal Single Audit Act of 1984, the Single Audit Act Amendments of 1996, OMB Circular
A-133 Revised, "Audits of States, Local Goven~ments, and Non-Profit Organizations" and the New Jersey State Audit Policy as established by the New
Jersey Department of the Treasury, Office of Management and Budget in OMB Circular Letter 98-07.
A Recipient ~,y~nrlin_n less than $300,000, but $100,000 or more in Federal and/or State financial assistance dudng its fiscal year must have either an
annual financial ~tatement audit pedormed in accordance with C'-,nv~rnm~or Al~itin_n Rt~nd~rclR (The Yellt~w IRn~k) or a program-spedflc audit
performed in accordance with the Singte Audit ACt, its Amendments, OMB Circular A-133 Revised and State policy. State policy continues to require all
audits to be performed on an annual basis.
In accordance with OMB Circular A-133 Revised, a program-specific audit can be elected when a Redpient expends Federal or State awards under
only one Federal or State program and the Federal or State program's laws, regulations, and Grant/Loan Agreement do not require a financial
statement audit of the Recipient.
~A3479:10198 (Revised) PAGE 12
The Redpient is responsible for determining the type of audit to be conducted based on the total amount of p¥.n~n~l~tJ Federal and/or State funds.
Audits shall be made by an independent auditor in accordance with generally accepted government auditing standards covedng financial and
~-~m piiance audits.
la'annual single audit report shall be conducted on the Recipient's fiscal year. Any change to the Recipient's fiscal year must be reported
.,nmediatety to the Department.
The audit reporting package must include: the financial statements and two supplementary schedules: the Supplemental Schedule of Expenditures of
Federal Awards and the Supplemental Schedule of Expenditures of State Financial Assistance; the auditor's report(s) regarding the R ecipient's financial
statements, internal control, compliance, findings and questioned costs; a sum mary schedule of prior audit findings and audit results; and, if necessary,
a corrective action plan to address the findings.
Unless a funding department's or cognizant agency's policy requires an eadier submission, the audit report must be submitted by the Recipient within
thirteen (13) months after the end of the audit peded, except if the Recipient is a municipality or county it shall be submitted within six months; or for a
local authority or fire district it shall be submitted within four months. In the event of any reduction in this time period in any applicable Federal or State
regulation, the time pedod shall be adjusted accordingly. For fiscal yearn beginning on or after July 1, 1998, audit reports for recipients other than
municipalities, counties, author;ties or dist~cts are due nine (9) months after the end of the audit period.
The Recipient shall comply with Federal and State audit report distribution requirements. Federal distribution requirements are included in OMB
Circular No, A-133 Revised. The Recipient must forward a copy of the Data Collection form, Repo~ng Package and management letter to all State
funding departments.
The Recipient shall also submit .a copy of the audit(s) to the State Cognizant Department overseeing the audit) If the Recipient is a municipality, county,
fire district, or local authority, the cognizant agency is the New Jersey Department of Community Affairs, Division of Local Government Services; if a
scheel district, the New Jersey Department of Education; and if a welfare board, the New Jersey Department of Human Services. If the Recipient is a
nonprofit agency, the cognizant agency is usually determined by the New Jersey Department of the Treasury to be the State department that provides
the most grant/loan funding to the Recipient during its fiscal year.
? Department may not impose any addifiona~ audit requirements co Recipients or subrecipienls. Additional schedules m ay be requested by the
.~partment, if funding is made available by the Department to pay for such additional schedules. See the Grant/Loan Agreement to determine if
ditional schedules are reqolred.
The Department reserves the right to conduct or contract for an additional audit(s) which may be necessary to cam/out its responsibilities under
Federal and State laws and regulations. Any additional audit effort shall be planned and carried out in such a manner as to avoid duplication of audits
carried out under the Single Audit ACt of 1984 and Amendments of 1996, OMB Circular A-133 Revised, and New Jersey OMB Circular Letter 98-07.
Arrangements for funding the cost of such additional audit(s) shall be made by the Department.
XXVlll. El C)~FI31IT PR(3C. Fr)IIRF~
Closeout of the Agreement will occur when the Department determines that all applicable administrative actions and all required work resulting from the
funding have been completed by the Recipient. A final report shall be submitted by the Recipient within 60 days of the expiration date of the award
period or termination of the Agreement. This final report shall be in accordance with the terms stated within the Grant/Loan Agreement. An extension
to the due date may be granted upon written request by the Recipient to the Department.
The Recipient shall liquidate all obligations within 90 days of the expiration date of the award peded or termination date of the Grant/Loan Agreement.
Any unexpended funds or unobligated (unencumbered) cash advanced, except such sums that have been otherwise authorized in writing by the
Department to be retained, must be refunded by the Recipient with the submission of the final report. Adjustments of costa either upward or downward
within the limits of the award shall be made after these reports are received.
In the event a final audit has not been performed prior to the closeout of the Agreement, the Department retains the right to disallow costs and recover
funds after fully considedng recommendations in the audit report. Disallowed costs are those costs charged against the Agreem ant which the
Department or its representatives determine to be beyond the scope of the purpose of the Grant/Loan Agreement, excessive, or otherwise unallowable.
.A3479:10/98 (Revised) PAGE 13
CREATING A TRANSIT
DEVELOPMENT PLAN
REDEVELOPMENT
APPLICATION
FOR
OFFICE OF SMART GROWTH
SMART GROWTH PLANNING GRANT
BY
BOROUGH OF CARTERET
MIDDLESEX COUNTY, NEW JERSEY
Prepared by:
'l M
,a $~OCIATE~
11 Tindall Road
M~lleto~n, New Jersey 07748
(732) 671~400
T&M Staff Contacts:
Stanley Slachetka, P.P.
December 12, 2002
Application for Smart Growth Planning Grant, Office of Smart Growth
Borough of Carteret, Middlesex County
A. GENERAL CONTACT INFORMATION
Grant Applicant ~,orough of Carteret, Middlesex Count
Contact Person Stanley Slachetka, P.P.
Address 11 Tindall Road
Middletown, NJ 07748
Phone 732-671-6400
Fax 732-671-7365
E-mail Slachetka@tandmassociates.com
B. FUNDING REQUESTED:
Amount: $59,300.00
Matching Funds Available by Municipality: Pending
C. PROJECT DESCRIPTION
Purpose:
Carteret Borough is seeking to consolidate previous municipal planning efforts and
recently completed redevelopment studies into a comprehensive redevelopment plan
that envisions the Borough as a transit oriented village. The transit village development
(TVD) plan is a concept that encourages new growth and redevelopment along transit
routes and nodes. TVD produces mixed-use, pedestrian-friendly communities, generally
with higher densities than surrounding areas. The Borough would like build upon the
existing infrastructure by rehabilitating existing structures, infilling with new structures,
provide for new mixed use development opportunities, promulgate urban design
guidelines, construct waterfront recreation facilities and establish a water and/or rail
based commuter transit facility.
1
C:~¢!Y.TEMP~SmartGrowthProposal-Carteret.doc I
Application for Smart Growth Planning Grant, Office of Smart Growth
Borough of Carteret, Middlesex County
Growth Management:
Carteret seeks to reinvent and redevelop its once industrialized waterfront as a transit
village development. The Borough recently concluded its lower Rooseve]t Avenue
Business District Redevelopment Plan and the Chrome Waterfront Redevelopment
investigation Report. The Chrome Waterfront Redevelopment Investigation Report
recommends developing a comprehensive program of redevelopment for the entire
area. The Chrome neighborhood includes a mix of residential, commercial, and
industrial facilities located in the southwest corner of the Borough directly across from
Staten Island on the Arthur Kill. Carteret Borough also owns numerous parcels, both
developed and vacant, in the study area. The TVD would be an overlay district plan
that includes areas closest to the proposed transit village center and the Chrome area
waterfront.
The key to the plan is establishing transit nodes by either water or light rail. According
to the Middlesex County and Staten Island to Manhattan Ferry Service Assessment
report (1996), initiating ferry service between Carteret and New York City (Lower
Manhattan) is a distinct possibility. Proposed ferry service would provide the most
expedient trip during the A.M. peak period but at a cost greater than alternative modes.
Commuters living in the TVD may be willing to pay a higher cost for ferry service
because the cost would be offset by the convenience of living within walking distance to
the ferry terminal. As the TVD develops, improves and expands, the demand for
commuter transit services will also increase. Light rail connectors could also link the
TVD with neighboring municipalities and passenger line service along the Northeast
Corridor Line.
C:hMY.TEMFSSmartGrowthProposal-Carteret.d°c2
Application for Smart Growth Planning Grant, Office of Smart Growth
Borough of Carteret, Middlesex County
Smart Growth:
Smart growth requires either the allocation or reallocation of resources in a way that
protects the environment and promotes the efficient use of land. This grant proposal
relies heavily on the principles of smart growth; particularly the interests and talents to
devise ways of improving the efficient use of land through infiil and redevelopment. The
plan also supports the principals of smart growth by: (1) providing opportunities for
economic redevelopment and revitalization in an Urban Enterprise Zone community; (2)
reclamation and reuse of environmentally contaminated lands; (3) advocate transit
oriented communities; (4) the use and expansion of existing infrastructure facilities; (5)
providing appropriate amounts of open space and recreation facilities for under served
urbanized areas, (6) improving pedestrian linkages; (7) provide for a mix of affordable
housing options; (8) promulgate livable communities; and (9) creating an aesthetically
pleasing environment.
The Borough has already undertaken a number of redevelopment efforts that have a
direct association with revitalization throughout the Borough including redevelopment
studies and a waterfront development concept plan. The TVD plan would recommend
a balanced mix of land uses that support the goal of establishing a viable TVD as an
extension of an existing neighborhood, lnfill and urban design improvements within
existing neighborhoods would be done in a manner compatible with new development
proposals. The plan would be consistent with Middlesex County Planning Board's
Strategic Plan. The Strategic Plan, currently under development, envisions a coastal
trail extending between Joseph Medwick Park along the Rahway River to the Arthur Kill,
and eventually south to Radtan Bay. This coastal trail would facilitate improved
waterfront access for residents of the Borough, and would pass through the TVD.
3
C:~Vly.TEMP\SmartGrowthProposal-Ca~rtcret.doc3
Application for Smart Growth Planning Grant, Off~ce of Smart Growth
Borough of Carteret, Middlesex County
Circulation improvements would rely heavily on pedestrian network of walkways that
reinforce the intrinsic connection between existing neighborhoods and new facilities
centered about the transit node, The TVD redevelopment approach is consistent with
the State Plan of focusing revitalization efforts into centers and reestablishing livable
communities in New Jersey.
Public Participation:
A refined image for the TVD would be conceived through the visioning process.
Visioning would be conducted through a series of public meetings to garner community
wants, needs and opinions. Input from the public would be requested and a
community survey taken on issues such as aesthetic design, types of mixed uses,
pedestrian linkages, circulation improvements, waterfront redevelopment facilities
including parkland and similar planning issues. Once this is done, a plan will be
developed to improve the built environment consistent with the community vision. The
plan will recommend changes to current land use regulations and establish design
standards to ensure that redevelopment will occur in a manner consistent with visioning
process. Upon completion, a draft of the plan will go back to the public for comment
before a final draft is submitted to the appropriate government entity for adoption.
C:~vlY.TEMP\SmartGrowthProposal-Cartcret.doc4
Application for Smart Growth Planning Grant, Office of Smart Growth
Borough of Carteret, Middlesex County
D. 1. Detailed Budget:
TASK 1. Visioning $ 4,000
2 municipal public meetings with notification
Community Survey
Visioning Report
(Estimated Time: 2.5 months)
TASK 2. Plan Preparation $ 45,000
Review of Existing Planning Efforts
Consolidation of Previous Efforts
Land Use Mapping (Existing and Proposed)
TransitJCirculation Opportunity Analysis
Land Use Recommendations
Establishment of Design Guidelines
Design sketches/Modeling
Redevelopment Implementation Strategies
(Estimated Time: 6 months)
TASK 3. Public Participation $ 2,300
Two municipal meetings
Press Releases/Notification
(Estimated Time: 2 months)
TASK 4. Revisions stemming from public hearings $ 4,000
(Estimated Time: t.5 months)
TASK 5. Deliverable Reproduction Costa $ 2,000
5 Draft Copies (color)
20 Draft Copies (b/w)
5 Draft Copies (color)
20 Final Copies (b/w)
I digital copy (CD)
MISCELANEOUS
Two meetings with OSG officials/staff $2,000
TOTAL $ 59,300
Total Estimated Project Time: 12.0 Months
5
C:~vlY.TEMP~SmartGrowthProposal-Carteret.doc5
Application for Smart Growth Planning Grant, Office of Smart Growth
Borough of Carteret, Middlesex County
D-2. Staffing Allocation:
TASK 1. Visioning
25Hours
PrincipalStaff 12
[ Senior
TASK 2. Plan Preparation
Staff 285Hours
Principal 40
Senior
Technical t60
TASK 3. Public Participation
10
Senior 10
TASK 4. Revisions stemming from public hearings
Staff 32Hours
Principal 8
Senior
TASK 5. Deliverable Reproduction Costs
lin-House Staff [N/A Hours
MISCELANEOUS
IPrincipal Staff 88 Hours
Senior
6
C:LMY.TEMP\SmartGrowthProposaI-Carteret.doc6
N.J. DEPARTMENT OF COMMUNITY AFFAIRS
SMART GROWTH PLANNING
PAYMENT VOUCHER
Grantee Name: Borough of Carteret
Note: If this payment is to be sent to a different address ~ mdicated on your. W9, please subnut the
change of address request on your letterhead staling beth your former address and the new address.
Grant Agreement Number: 04-0203-00
Grant Period: 12/31/2003 through 06/30/2005
Initial Advance Payment: $15,000.00
Amount of Request:
Payee Reference: · · - This
Payee must his own invoice or billing number or any other ~donfificat~on for ref~ace purposes.
information is recorded on thc check stud and aids the payee to identify the invoices that have been paid.
Do not use more than 30 characters.
I certify that the within payment voucher is correct in all its particulars, that the described
goods or services have been furnished or rendered and that no bonus has been given or
received on account of said document.
NO SIGNATURE REQUIRED
DCA Certifications (DCA Use Only)
We certify that the articles have been receivcd or services rendered as staled herei~
DCA Program Repm~sontafive Date DCA Program AdminisWator Date
N.J. DEPARTMENT OF COMMUNITY AFFAIRS
SMART GROWTH PLANNING
PAYMENT VOUCHER
Grantee Name: Borough of Carteret submit the
Note: If this payment is to be sent to a different address than indicated on your. W9, pleaseaddress.
change of address request on your letterhead stating both your former address and the new
Grant Agreement Number: 04-0203-00
Grant Period: 12/31/2003 through 06/30/2005
Reporting Period:
Amount of Request: $25,000.00 (Interim Payment #1)
Payee Reference: . . . - - - ~ purposes. Thi~
Payee must his own invmce or billing number or any other ~dontificatton for rctc~ace
information is reeordcd on the check stud and rods the payee to ~dentify the mvorces that have been prod.
Do not use more than 30 character~
I certify that the within payment voucher is correct in all its particulars, that the described
goods or services have been furnished or rendered and that no bonus has been given or
received on account of said documem.
Chief Financial Officer Date
DCA Certifications (DCA Use Only)
We certify that the articles have been received or services rendered as stated herein.
DCA Program Representative Date DCA Program Administrator Date
N.J. DEPARTMENT OF COMMUNITY AFFAIRS
SMART GROWTH pLANNING
pAYMENT VOUCHER
Grantee Name: Borough of Carteret -
Note: If this payment is to be sent to a different address than indicated on your W9, please subnut the
change of address request on your letterhead slating both your former add, ss and the new address.
Grant Agreement Number: 04-020~-00
Grant Period: 12/51/2003 through 06/30/2005
Reporting Period:
Amount of Request: $19,300.00 (Final Payment)
fence:
Payee Ref_e. ................. ."~r identification for reference purposes. Thi:~
Paye~ 111115[ ]lis OVv'[l IIIVOIC~ or Olllmg IlUlH~t oz oa~y vu~
information is recorded on thc check stud and rods the payee to identify the mvmces that have been pm&
Do not use more than 30 characters.
I certify that the within payment voucher is correct in all its particulars, that the described
goods or services have been furnished or rendered and that no bonus has been given or
received on account of said document.
Chief Financial Officer Date
DCA Certifications (DCA Use Only)
We certify that the articles have been received or ser~ccs rendered as stated hereur
DCA Program Rep~sentafive Date DCA Program Administrator Date