NY Rising Infrastructure Program POLICY AND PROCEDURE MANUAL

Andrew M. Cuomo, Governor of New York State Jamie Rubin, Commissioner/CEO, New York State Homes and Community Renewal Lisa Bova-Hiatt, Executive Director, Governor’s Office of Storm Recovery

November 2016 Version 2.1

Prepared by: Governor’s Office of Storm Recovery New York State Homes and Community Renewal Housing Trust Fund Corporation Office of Community Renewal

The procedures stated in this manual are current as of November 2016. This manual represents the current version of the Governor’s Office of Storm Recovery’s (GOSR) procedure which shall provide general guidance for the operation of the GOSR Program. All policy and procedure manuals will be reviewed periodically and will be updated to reflect the current needs and operation of the GOSR Program. GOSR will use its best efforts to keep all of its Policy and Procedure Manuals, as well as its Human Resources Policy Manual current. There may be times, however, when a policy or procedure will change before the manual can be revised. Therefore, you are strongly urged to contact the GOSR COO and our office of Human Resources to ensure that you have the latest version of GOSR’s policies and procedures. This page is intentionally left blank

November 2016 NY Rising Infrastructure Program Page 2 of 126 Policy and Procedure Manual Version 2.1 POLICY AND PROCEDURE MANUAL NY Rising Infrastructure Program Version Control Version Date Number Revised Description of Revisions Working Draft 2/17/2014 PA Match Program Initial Draft 1.0 8/11/2015 Non-Federal Match Policies and Procedures Manual Working Draft 6/4/2014 Modified Retrieval Plan Working Draft 9/4/2014 HMGP Plan Initial Draft Working Draft 12/16/2014 Modified QA/QC Plan Working Draft 12/23/2014 Combined Plan to create one Infrastructure Manual Added language reflecting match includes two (2) 2013 FEMA Working Draft 1/13/2015 events Working Draft 3/23/2015 Clarified Match Process for Long Island Power Authority Revised and Clarified Non-Federal Share Match policies and Draft for HUD 4/15/2015 procedures Comprehensive revision of Policies and Procedures for NY 2.0 6/4/2015 Rising Infrastructure Program 2.1 11/21/16 Updated procurement policies and procedures

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November 2016 NY Rising Infrastructure Program Page 4 of 126 Policy and Procedure Manual Version 2.1 Table of Contents State of New York’s Program Goals ...... 10 Introduction ...... 10 Oversight of Storm Recovery ...... 10 Manual Overview ...... 11 Meeting CDBG-DR Program Goals ...... 12 Fulfilling the Principles Established by New York State’s Action Plan ...... 12 Citizen Participation Plan ...... 14 1.0 Summary of NY Rising Infrastructure Program and Funding Resources ...... 15 1.1 Non-Federal Share Match Sub-Program ...... 15 1.2 Local Government and Critical Infrastructure Sub-Program ...... 17 2.0 HUD Requirements for NY Rising Infrastructure Projects ...... 18 2.1 Tie to the Storm, National Objective, and Eligible Activity ...... 18 2.1.1 Tie to the Storm ...... 18 2.1.2 Meeting a National Objective ...... 19 2.1.3 Meeting an Eligible Activity ...... 20 2.2 Timely Expenditure of Funds ...... 21 2.3 Duplication of Benefits ...... 21 2.4 Program Income ...... 21 2.5 Monitoring and Compliance Oversight ...... 21 2.6 Investigations ...... 23 2.7 Cross-Cutting Federal Regulations ...... 23 2.7.1 Americans with Disabilities Act (ADA) ...... 23 2.7.2 Davis-Bacon Labor Standards...... 23 2.7.3 Force Account Labor ...... 24 2.7.4 Equal Employment Opportunity ...... 24 2.7.5 Fair Housing ...... 25 2.7.6 Fair Labor Standards Act of 1938, as Amended (FLSA) ...... 25 2.7.7 Limited English Proficiency (LEP) ...... 26 2.7.8 Minority- and/or Women-Owned Business Enterprises ...... 26 2.7.9 Section 3 ...... 26 2.7.10 Uniform Relocation Act and Real Property Acquisition ...... 27 2.7.11 Financial Management ...... 29 2.7.12 Procurement Policy ...... 29 2.7.13 Insurance and Property Management ...... 29 2.7.14 Record Keeping, Retention and File Management ...... 29 2.7.15 Audit Trail ...... 31 2.7.16 Conflicts of Interest and Confidentiality ...... 33 2.8 Infrastructure Requirements ...... 35 2.8.1 Comprehensive Risk Analysis ...... 35

November 2016 NY Rising Infrastructure Program Page 5 of 126 Policy and Procedure Manual Version 2.1 2.8.2 Green Infrastructure ...... 35 2.8.3 Resilience Performance Standards ...... 35 2.9 Covered Project Requirements ...... 35 2.9.1 Sandy Regional Infrastructure Resilience Coordination Group ...... 36 3.0 Non-Federal Share Match Sub-Program Policies ...... 38 3.1 Introduction ...... 38 3.2 Funding Sources ...... 40 3.2.1 FEMA ...... 40 3.2.2 Other Federal Agencies ...... 40 3.3 Determining the Non-Federal Share Amount ...... 41 3.4 Eligibility ...... 42 3.4.1 Eligible Activities ...... 42 3.4.2 Eligible Applicants ...... 42 3.5 Project Prioritization and Review Order ...... 44 3.5.1 Source of Funding ...... 44 3.5.2 Date of Disaster ...... 44 3.5.3 Location ...... 44 3.5.4 FEMA Category (for FEMA PA only) ...... 45 3.6 Special Provisions Concerning Environmental Review for Non-Federal Share Match Payments .... 46 3.7 Non-Federal Share Match Sub-Program Payment Policy ...... 47 3.7.1 FEMA IA Payments ...... 48 3.7.2 FEMA DFA Payments ...... 48 4.0 FEMA Public Assistance Non-Federal Share Local Match Program Procedures 49 4.1 Geographic Eligibility ...... 49 4.1.1 New York City ...... 49 4.2 Eligible Applicants ...... 49 4.3 FEMA PA Project Worksheet File Review Procedures ...... 50 4.3.1 FEMA Document System ...... 50 4.3.2 Hurricane Irene/Tropical Storm Lee ...... 50 4.3.3 GOSR Non-Federal Share PA Review Process: Superstorm Sandy, Upstate, flooding, winter storm NEMO ...... 52 4.3.4 Document Retrieval ...... 54 4.3.5 PA Selection Review Process ...... 57 4.3.6 FEMA PA Non-Federal Share Local Match Payment CDBG-DR Project Eligibility Review Process ...... 57 4.3.7 Special Large Projects ...... 63 4.3.8 Small Projects Funding Recommendations ...... 64 4.4 Records Management ...... 65 4.4.1 SharePoint: PA Infrastructure Site for Recovery Management ...... 65 4.4.2 Cost Documentation Review ...... 67

November 2016 NY Rising Infrastructure Program Page 6 of 126 Policy and Procedure Manual Version 2.1 4.4.3 Procurement Documentation Review ...... 67 4.4.4 Reporting ...... 68 4.4.5 QA/QC of Hurricane FEMA PA Match Files ...... 68 4.4.6 FEMA PA Non-Federal Share Local Match Program Technical Assistance ...... 69 4.4.7 FEMA PA Non- Federal Share Local Match Program Monitoring and Compliance ...... 70 4.4.8 Program Closeout ...... 73 5.0 Hazard Mitigation Grant Program (HMGP) Global Match Strategy Policy ...... 75 5.1 Global Match Strategy ...... 76 5.2 Meeting the State’s Hazard Mitigation Plan Goals ...... 79 5.2.1 Summary of HMGP...... 79 5.2.2 Eligibility Requirements ...... 79 5.3 Conforming with the State and Local Hazard Mitigation Plans ...... 80 5.4 Beneficial Impact ...... 80 5.5 Historical and Environmental Requirements ...... 81 5.6 Utility of a Project ...... 82 5.7 Cost-Effectiveness ...... 82 5.8 CDBG-DR Criteria...... 82 5.8.1 Property Eligibility for CDBG-DR funded Global Match Projects - NY Rising Buyout and Acquisition Program ...... 83 5.8.2 Eligibility for CDBG-DR funded Global Match projects - Infrastructure Program ...... 83 5.9 HMGP Project Prioritization and Review ...... 83 5.10 Location and LMI Benefit of a Project ...... 84 5.11 Feasibility of HMGP Eligibility and Approval ...... 84 5.12 Project Cost ...... 84 5.13 Project Selection and Review Procedures ...... 85 5.13.1 HMGP Application Submission Procedures - Global Match Projects Funded Under the HMGP Non-Federal Match Share Global Match Program ...... 85 5.13.2 100% CDBG-DR-Funded Global Match Projects Included in the HMGP Non-Federal Share Global Match Program ...... 85 6.0 Hazard Mitigation Grant Program Global Match Strategy Procedures ...... 87 6.1 CDBG-DR Funded Global Match Projects Implementation Procedures ...... 87 6.2 Buyout Project Implementation Procedures ...... 87 6.3 Infrastructure Project Implementation Procedures ...... 87 6.4 Superstorm Sandy Environmental Adoption Provision ...... 87 6.5 HMGP Global Match Projects - Additional Implementation Procedures ...... 88 6.6 Closeout ...... 88 6.6.1 Closeout of Buyout Projects ...... 88 6.6.2 Closeout of Infrastructure Projects ...... 88 7.0 Local Government and Critical Infrastructure Sub-Program Policies ...... 90 7.1 Energy Infrastructure ...... 90 7.1.1 Eligible Counties ...... 91

November 2016 NY Rising Infrastructure Program Page 7 of 126 Policy and Procedure Manual Version 2.1 7.1.2 Eligible Subrecipients ...... 91 7.1.3 Allocation Methodology ...... 91 7.1.4 Project Selection ...... 91 7.2 Local Government Support Program ...... 92 7.2.1 Eligible Counties ...... 93 7.2.2 Eligible Subrecipients ...... 93 7.2.3 Allocation Methodology ...... 93 7.2.4 Project Selection ...... 94 7.2.5 FEMA’s Community Disaster Loan (CDL) Program ...... 94 7.3 Water and Wastewater Treatment Facilities ...... 95 7.3.1 EPA Storm Mitigation Loan Program ...... 95 7.3.2 Standalone Water and Wastewater Treatment Facility Projects ...... 96 7.4 Natural Resources Infrastructure ...... 97 7.4.1 Eligible Counties and Geography ...... 98 7.4.2 Eligible Subrecipient ...... 98 7.4.3 Eligible Applicants ...... 98 7.5 Local Government and Critical Infrastructure Sub-Program Implementation Policies ...... 98 7.5.1 Project Coordinator Selection ...... 98 7.5.2 Subrecipient Selection and Capacity ...... 99 7.5.3 Contractual Agreement ...... 100 7.5.4 Pre-Application ...... 100 7.5.5 Application ...... 101 7.5.6 Application Acceptance ...... 102 7.5.7 Environmental Review ...... 102 7.5.8 Technical Assistance to Subrecipients ...... 103 7.5.9 Project Delivery Costs ...... 104 7.5.10 Subrecipient Procurement ...... 104 7.5.11 Payment ...... 105 7.5.12 Project Closeout ...... 106 8.0 Local Government and Critical Infrastructure Implementation Procedures .. 107 8.1 Subrecipient Selection ...... 108 8.1.1 Direct Selection ...... 108 8.1.2 Competitive Selection ...... 108 8.1.3 Selection Criteria ...... 108 8.1.4 Subrecipient Agreement ...... 109 8.2 Pre-Application Phase ...... 110 8.2.2 Pre-Application ...... 110 8.2.3 Pre-Application Review Panel ...... 110 8.3 Application Phase ...... 111 8.3.1 Subrecipient Policies and Procedures ...... 111

November 2016 NY Rising Infrastructure Program Page 8 of 126 Policy and Procedure Manual Version 2.1 8.3.2 Procurement of Professional Services ...... 111 8.3.3 Application ...... 112 8.3.4 Application Acceptance ...... 112 8.3.5 Application Acceptance ...... 112 8.3.6 Development of Scope, Budget, and Schedule ...... 112 8.4 Project Development Phase ...... 113 Creating and initiating Section 3, MWBE outreach strategies and plans for the project8.5 Construction Services Bidding/Preconstruction Phase ...... 113 8.5.1 Construction Services Bidding ...... 114 8.5.2 Preconstruction ...... 114 8.6 Construction Phase ...... 114 8.6.1 Substantial Change Order ...... 114 8.7 Monitoring Phase ...... 115 8.7.1 Monitoring and Compliance ...... 115 8.8 Closeout Phase ...... 116 9.0 Definitions and Acronyms ...... 118 9.1 Acronyms ...... 118 9.1 Definitions ...... 120 10.0 Exhibits..………………………………………………….…………………………….127

November 2016 NY Rising Infrastructure Program Page 9 of 126 Policy and Procedure Manual Version 2.1 State of New York’s Program Goals Introduction In response to the damage caused by Superstorm Sandy and other natural disasters that occurred across the nation in 2011, 2012, and 2013, the U.S. Congress, through Public Law 113-2, appropriated $16 billion in Federal Fiscal Year 2013 funds for the Community Development Block Grant - Disaster Recovery (CDBG-DR) program through Public Law 113-2. Enacted on January 29, 2013, this law stipulates that these funds be used for the following recovery efforts: “…necessary expenses related to disaster relief, long-term recovery, restoration of infrastructure and housing, and economic revitalization in the most impacted and distressed areas resulting from a major disaster declared pursuant to the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.) due to Hurricane Sandy and other eligible events in calendar years 2011, 2012, and 2013, for activities authorized under title I of the Housing and Community Development Act of 1974 (42 U.S.C. 5301 et seq.): Provided, that funds shall be awarded directly to the State or unit of general local government as a grantee at the discretion of the Secretary of Housing and Urban Development…” Prior to the appropriation in Fiscal Year 2013, in 2011 the U.S. Congress also appropriated $400,000,000 to recover from Hurricane Irene and Tropical Storm Lee through Public Law 112- 55. This appropriation included providing federal disaster aid to address damaged public infrastructure and housing by these events and providing New York State with $93,213,963 to assist communities with flood recovery. New York State Homes and Community Renewal (NYS HCR), through its Office of Community Renewal (OCR), received $71,654,116. As required by Federal Register Docket No. FR-5628-N-01, issued April 16, 2012, The State of New York outlined the disaster recovery initiatives for Hurricane Irene and Tropical Storm Lee in the State of New York Action Plan for community Development Block Grant Program Disaster Recovery (CDBG-DR) funding which was submitted to HUD in July of 2012. Additionally, as required by Federal Register Docket No FR-5696-N-01: March 5, 2013, the State of New York outlined the disaster recovery initiatives for Superstorm Sandy, Hurricane Irene, and Tropical Storm Lee in the State of New York Action Plan for Community Development Block Grant Program Disaster Recovery (Action Plan) which was submitted to HUD in April of 2013. The State has subsequently amendment the Action Plan through Action Plan Amendments. The Action Plan and all amendments are available at www.stormrecovery.ny.gov. Oversight of Storm Recovery Governor Cuomo established the Governor’s Office of Storm Recovery (GOSR), a program of the Housing Trust Fund Corporation in June 2013 to maximize the coordination of recovery and rebuilding efforts in storm-affected municipalities throughout New York State for Superstorm Sandy, Hurricane Irene and Tropical Storm Lee and other disasters. GOSR operates within the New York State Housing Trust Fund Corporation (HTFC). HTFC is a component of HCR, a unified leadership platform, encompassing a variety of New York State agencies and public benefit

November 2016 NY Rising Infrastructure Program Page 10 of 126 Policy and Procedure Manual Version 2.1 corporations involved in the provision of housing and community renewal. GOSR was formed to direct the administration of the Federal Community Development Block Grant-Disaster Recovery Funds. GOSR works in close collaboration with other Federal and State agencies who are engaged in disaster recovery actions provides focus on rebuilding and recovery actions, in New York, while also coordinating and providing funding to local governments and public entities in storm damaged counties. GOSR also works collaboratively with local and community leaders to respond to communities’ most urgent rebuilding needs while identifying long-term and innovative solutions to strengthen the State’s infrastructure and critical systems. GOSR also administers a variety of programs related to housing recovery, economic development, and community reconstruction following the devastating impact of Superstorm Sandy, Hurricane Irene and Tropical Storm Lee. Manual Overview This manual is designed to outline Program policies and procedures that the State and its agents will use to direct the operation of the NY Rising Infrastructure Program which comprises two subprograms: Non-Federal Share March Programs and Local Government and Critical Infrastructure Programs. This manual is intended to serve as a resource for New York State residents and other parties, including State agencies units of general local government, and non- profit organizations that are engaged as subrecipients to deliver assistance through the Program. It details how the NY Rising Infrastructure Program will be operated, including basic information on who will be served by each subprogram the types of assistance offered, and program recipient obligations. This manual only addresses the NY Rising Infrastructure Program. This manual, the State Action Plan and subsequent amendments, and the policy manuals for other NY Rising programs are available for public review and use at http://www.stormrecovery.ny.gov.

November 2016 NY Rising Infrastructure Program Page 11 of 126 Policy and Procedure Manual Version 2.1 Meeting CDBG-DR Program Goals To meet HUD disaster recovery objectives, New York State has specifically designed programs to help impacted residents and communities to recover from the damage inflicted by the storms of 2011, 2012 and 2013. As expressed in the Federal Housing and Community Development Act, the primary objective of the general CDBG program is “the development of viable urban communities by providing decent housing and a suitable living environment and expanding economic opportunities, principally for persons of low- and moderate- income (LMI).” CDBG funding appropriated in response to disasters must also meet this general objective. All CDBG-DR funded Infrastructure activities must meet one of the three national objectives required under the authorizing statute of the CDBG program:  Benefit low- and moderate- income (LMI) persons  Aid in the prevention or elimination of slums or blight (Slum and Blight)  Meet a need having a particular urgency (Urgent Need) Activities must also meet at least one CDBG-DR program eligible activity and funded projects must demonstrate a tie to one of the presidentially declared disaster events outlined in the Federal Register Notices, as well as within this manual. Fulfilling the Principles Established by New York State’s Action Plan The NY Rising Infrastructure Program is expected to encourage recovery in communities by ensuring that they are not just rebuilt to pre-storm condition but to the extent that it is feasible become safer, especially in areas where there is a high risk of future flooding. The program also strives to revitalize the vibrancy of New York State’s disaster-impacted communities while enhancing the quality of life of storm impacted residents; and help communities develop and implement strategies that facilitate the coordination and use of the CDBG-DR funding with other federal, State, and local community development resources. The NY Rising Infrastructure and Local Government Program and the other activities outlined in the Action Plan are based on the foundation of six key principles: 1. Building back better and smarter – As New York communities work to repair the severe damage caused by Superstorm Sandy and other events, the State will use the opportunity to ensure that damaged buildings are not simply restored to their pre-storm condition or replaced with the same kind of structures. Instead, New York State will invest in additional mitigation measures to prevent similar damage from occurring in the future. 2. State-led, community-driven recovery – New York State will collaborate closely with local governments and other organizations that were impacted by these events to ensure a coordinated and holistic response, while enabling and assisting individual communities to develop forward-looking local recovery plans that meet their specific needs. 3. Recovery from Irene, Lee, NEMO and Upstate Floods – New York State will address the recovery needs of communities recovering from Hurricane Irene and Tropical Storm Lee in

November 2016 NY Rising Infrastructure Program Page 12 of 126 Policy and Procedure Manual Version 2.1 2011 along with those impacted by Winter Storm NEMO and Upstate flooding in 2013. As these communities work to repair the severe damage caused by these events, the State will use the opportunity to ensure that damaged buildings are not simply restored to their pre- storm condition or replaced with the same kind of structures. Instead, New York State will to the extent feasible, invest in additional mitigation measures to prevent similar damage from occurring in the future. 4. Leveraging private dollars and Maximizing Public Funds – New York State seeks to develop programs that will help unlock capital markets and increase the amount of low- interest financing of key projects by reducing the risk for private sector lenders and increasing the amount of funds to assist local governments initiate projects. New York State will also work with individual communities and Federal recovery agencies to maximize available recovery dollars so that as communities engage in recovery actions they will not be forced to borrow or bond out recovery to undertake storm related repairs. 5. Spending accountability and transparency – New York State will implement rigorous controls and checks to ensure funds are spent responsibly and in compliance with federal and State guidelines. 6. Urgency in action – The recovery is a long-term endeavor, but people need immediate help. The projects and programs presented in the Action Plan have been shaped to achieve the fastest delivery and best support possible, while working within the parameters of HUD guidelines.

November 2016 NY Rising Infrastructure Program Page 13 of 126 Policy and Procedure Manual Version 2.1 Citizen Participation Plan The New York State Citizen Participation Plan provides New York citizens an opportunity to participate in the planning, implementation, and assessment of the State’s CDBG-DR recovery program. The Plan sets forth policies and procedures for citizen participation, in accordance with federal regulations, which are designed to maximize the opportunity for citizen involvement in the community development process. The State has attempted to provide all citizens with the opportunity to participate, with emphasis on low and moderate income individuals, individuals with limited English proficiency, and individuals requiring special accommodations due to disabilities. The State’s Citizen Participation Plan ensures that there is reasonable and timely access for public notice, appraisal, examination, and comment on the activities proposed for the use of CDBG-DR grant funds. In following HUD’s guidance in the November 2013 Federal Register, substantial Action Plan Amendments now include a thirty-day public period with at least one public hearing. The State has, and will continue to, coordinate technical and programmatic outreach meetings with State entities, local governments, non-profits, private sector, and involved associations. The State invites public comments to the Action Plan and Substantial Amendments as required by HUD. These documents are posted prominently and can be accessed on GOSR’s official website. The State uses means such as press releases, posting notices on the New York State Governor’s website and/or GOSR’s website, to maximize access of program information to the impacted citizens and businesses. The NY Citizen Participation Plan for CDBG-DR Sandy, Irene, and Lee Recovery is attached as Exhibit 1 to this Manual. For the Non-Federal Share Match Sub-program outlined in this manual, the eligibility of applicants who may participate is governed by the rules and regulations of the primary federal agencies administering these non CDBG-DR recovery dollars. Therefore, only applicants who have applied and are accepted into the federal recovery programs are eligible for participation in GOSR’s Non- Federal Share Match Program. Numerous federal agencies who administer recovery dollars require a match contribution from the applicant who applied assistance. CDBG-DR funding has the flexibility to be utilized as the match funding for those applicants. GOSR has detailed a robust outreach processes with these applicants which are outlined further in the Non-Federal Match Program section of this manual. This includes conducting technical and programmatic on-site Technical Assistance (TA) meetings with State entities, local governments, non-profits, and providing webinars and direct correspondence to inform them about the program. For the Local Government and Critical Infrastructure Program, GOSR follows both the Citizen Participation Plan along with additional requirements stipulated by HUD for Covered Projects as detailed in this manual.

November 2016 NY Rising Infrastructure Program Page 14 of 126 Policy and Procedure Manual Version 2.1 1.0 Summary of NY Rising Infrastructure Program and Funding Resources The State’s Infrastructure Program utilizes CDBG-DR funds to address two primary needs: (1) providing support to storm impacted units of government and other eligible entities with payment of their Non-Federal Share requirement so that they can access other federal disaster recovery resources without incurring an unexpected financial burden to address recovery needs; and (2) providing funds to units of government to develop stand-alone infrastructure projects which are funded with up to 100% CDBG-DR funding, that are necessary to address identified unmet disaster recovery needs in communities and counties that are not funded by other Federal recovery programs. This is accomplished through two Sub-Programs: 1. Non-Federal Share Match Sub-Program 2. Local Government and Critical Infrastructure Sub-Program The State continues to work with all federal partners to maximize available repair and mitigation funds that these agencies can provide. The State has created an Infrastructure and Local Government Program that addresses the outstanding needs that are not met by other Federal programs In particular, the State has been aggressively working to develop solutions to address the recovery needs of local, county, and State government agencies and has been focused on ensuring that publically-owned critical infrastructure assets in the energy, health care, transportation, and wastewater sectors are not only identified and funded, but also are being repaired and constructed in ways that is more resilient. This is intended to create a more resilient environment for New York’s residents and to safeguard the billions of dollars of federal investment provided to recover and rebuild New York following these disasters. All Sub-Programs and projects in the NY Rising Infrastructure Program must comply with the policies throughout Section 2.0. Other policies and procedures more specific to Sub-Programs are outlined in the subsequent sections of this manual. 1.1 Non-Federal Share Match Sub-Program Many federal disaster recovery programs require that grant recipients, including units of government and eligible non-profit organizations, provide a Non-Federal Share—a Local Match that is a portion of their overall project budget—as a condition of receiving disaster funding. In the aftermath of large disasters, this requirement can place a significant fiscal burden on storm- damaged communities and slow recovery as communities struggle to identify the financial resources to meet the requirements. To provide relief to these entities, Congress allows CDBG- DR funds to be a source of federal funding that can be used for this purpose. GOSR has designed the Non-Federal Share Match Sub-Program to assist storm-impacted entities with the cost share associated with other federal disaster recovery funds. Specifically the program uses CDBG-DR funds to provide the required Non-Federal Cost Share, or Match, payment so that eligible entities can complete recovery and draw down the larger share of federal recovery funds. Match rates for each of the federal programs vary by disaster and funding type but range from a

November 2016 NY Rising Infrastructure Program Page 15 of 126 Policy and Procedure Manual Version 2.1 10% local share to 25% local share per project. These are further defined in Section 3.3. The Non-Federal Share Match Sub-Program provides the Non-Federal Share to public entities (applicants) that have received disaster recovery funds from various federal agencies to address impacts from five Presidentially declared events: Hurricane Irene (4020), Tropical Storm Lee (4031), Superstorm Sandy (4085), Severe Winter Storms and Snowstorms (1957), Severe Storms, Flooding, Tornadoes, and Straight Winds (1993), Mohawk Valley Floods (4129) and Winter Storm NEMO (4111). The match program provides the required non-federal share, enabling repairs, rebuilding, replacement and/or mitigation of damage sustained from these events to occur in a timely manner. The Non-Federal Share Match Sub-Program currently assists public entities with match obligations from three federal agency’s disaster programs: Federal Emergency Management Agency (FEMA), Department of Transportation (DOT), and Environmental Protection Agency (EPA). The State may add additional federal disaster recovery programs to this list. A summary of funding sources begins in Section 3.2. Below, Table 1 outlines which GOSR policies and procedures apply to each federal program in the Non-Federal Share Match Sub-Program.

TABLE 1: NON-FEDERAL SHARE MATCH PROGRAM AND THEIR CORRESPONDING POLICIES AND PROCEDURES Non-Federal Share Match Program Policies Procedures FEMA Public Assistance (PA) Section 2.0 and Section 3.0 Section 4.0 Local Match FEMA Individual Assistance (IA) Section 2.0 and Section 3.0 Section 4.0 FEMA Direct Federal Section 2.0 and Section 3.0 Section 4.0 Assistance (DFA) EPA – Storm Mitigation Loan Section 2.0 and Section 7.0 Section 8.0 Program (SMLP) Federal Highway Administration Section 2.0 and Section 7.0 Section 8.0 Emergency Relief (FHWA-ER) [DOT] FEMA Hazard Mitigation Section 2.0 and Section 5.0 Section 6.0 Grant Program (HMGP)

November 2016 NY Rising Infrastructure Program Page 16 of 126 Policy and Procedure Manual Version 2.1 1.2 Local Government and Critical Infrastructure Sub-Program The majority of local governments’ recovery needs are being addressed through the Non-Federal Share Match Sub-Program detailed above. However, the State has developed the Local Government and Critical Infrastructure Sub-Program to provide resources to storm damaged communities who have identified recovery gaps in funding for public services and critical infrastructure that benefit the community and region. Under this program component, CDBG-DR funds will be used to repair, rebuild, enhance, or mitigate facilities that were impacted by Superstorm Sandy, Tropical Storm Lee, and Hurricane Irene. The Local Government and Critical Infrastructure Sub-Program is comprised of four sectors: 1. Energy Infrastructure 2. Local Government Support 3. Water and Waste-water Treatment Facility 4. Natural Resource Infrastructure

November 2016 NY Rising Infrastructure Program Page 17 of 126 Policy and Procedure Manual Version 2.1 2.0 HUD Requirements for NY Rising Infrastructure Projects All Sub-Programs and projects in the NY Rising Infrastructure Program must comply with the policies outlined throughout this section. Other policies and procedures that are more specific to Sub-Programs are outlined in the subsequent sections of this manual. 2.1 Tie to the Storm, National Objective, and Eligible Activity Before any activity can be funded in whole or in part with CDBG-DR funds, the activity must be determined eligible under Title I of the Housing and Community Development Act (HCDA), as amended. 2.1.1 Tie to the Storm All applicants and programs funded with CDBG-DR dollars in the NY Rising Infrastructure Program must be able to demonstrate that they were impacted by one of the following federally declared disasters:  Hurricane Irene  Tropical Storm Lee  Superstorm Sandy  Winter Storm NEMO in 2013  Upstate Flooding in the Summer of 2013  Severe Storms, Flooding, Tornadoes, and Straight Winds (eligible for FEMA HMGP Non- Federal Share Match Payments Only)  Severe Winter Storms and Snowstorms (eligible for FEMA HMGP Non-Federal Share Match Payments only) FEMA, as the nation’s primary disaster response agency, operates four distinct recovery programs that each requires a Local Match: Public Assistance program (PA), Direct Federal Assistance (DFA), Hazard Mitigation Grant Program (HMGP), and Individual Assistance (IA). FEMA disaster recovery programs, along with the U.S. Department of Transportation (DOT), Environment Protection Agency (EPA) and Federal Highway Administration Emergency Relief (FHWA-ER) disaster recovery programs, require clear documentation showing a direct storm related impact as a prerequisite for funding. Only after an impact threshold is met will the lead federal agency makes disaster funds available to the applicant. While GOSR will document tie to the storm in its program files, it is assumed that if the applicant received funding and support by another federal recovery program that applicants were impacted by one or more of the declared disasters listed above. The match program will not fund projects that are not related to the impact of a federally declared disaster.

2.1.1.1 Geographical Eligibility CDBG-DR funds can only be used in counties that were presidentially declared disaster areas. GOSR will only utilize and provide funds for work in these counties. A list of the counties is shown below and maps of the disasters are shown in Exhibit 2. Following each allocation, HUD required

November 2016 NY Rising Infrastructure Program Page 18 of 126 Policy and Procedure Manual Version 2.1 that the State ensure that 80% of the funds provided be used in HUD- defined most impacted counties as outlined in the federal notices. The specific counties for the Hurricane Irene and Tropical Storm Lee allocation as well as Superstorm Sandy allocation are shown below. These counties include:  Tropical Storm Lee (4020) and Hurricane Irene (4031): HUD-defined most impacted counties: Broome, Greene, Schoharie, and Tioga counties. Entities located in these presidentially-declared counties can receive funds: Albany, Bronx, Chemung, Chenango, Clinton, Columbia, Delaware, Dutchess, Essex, Franklin, Fulton, Hamilton, Herkimer, Kings, Montgomery, Nassau, New York, Oneida, Orange, Otsego, Putnam, Queens, Rensselaer, Richmond, Rockland, Saratoga, Schenectady, Suffolk, Sullivan, Tompkins, Ulster, Warren, Washington, and Westchester.  Superstorm Sandy (4085): HUD-defined most impacted counties: Nassau, Suffolk, Rockland, Westchester, Bronx, New York, Queens, Kings, and Richmond. Entities located in these presidentially-declared counties can receive funds: Greene, Ulster, Putnam, Sullivan and Orange.  Winter Storm NEMO (4111): HUD did not define most impacted counties. Entities located in these presidentially-declared counties can receive funds: Suffolk County  Upstate flooding (4129): HUD did not define most impacted counties. Entities located in these presidentially-declared counties can receive funds: Allegany, Broome, Chautauqua, Chenango, Clinton, Cortland, Delaware, Essex, Franklin, Herkimer, Madison, Montgomery, Niagara, Oneida, Otsego, and Warren. 2.1.2 Meeting a National Objective All activities funded with CDBG-DR dollars must meet one of the three national objectives outlined in the introduction of this manual. The CDBG-DR regulations state that a project is not considered as meeting a national objective until it is complete. This will require New York State and GOSR to track each match project through completion and closeout phase.

2.1.2.1 National Objective Documentation and Records Program records must demonstrate that funded activities meet one of the national objectives. Depending on the national objective, the files must contain, at a minimum, the documentation described in Table 2. This documentation may also be used in reporting performance measures.

November 2016 NY Rising Infrastructure Program Page 19 of 126 Policy and Procedure Manual Version 2.1 TABLE 2: REQUIRED DOCUMENTATION TO MEET A NATIONAL OBJECTIVE National Objective Required Documentation LMI Area 1. Boundaries of service area. 2. Census data including total persons and percentage LMI. 3. Evidence area is primarily residential. 4. Survey documentation (if applicable). LMI Limited Clientele Documentation that the beneficiaries are or presumed to be LMI (by category). Urgent Need 1. Documentation of urgency of need and timing. 2. Certification that other financing resources were unavailable and CDBG was the final option for funding. Slum and Blight 1. Designation of an area as Slum and Blight 2. Spot designation for Slum and Blight

2.1.3 Meeting an Eligible Activity For a detailed overview of all Community Development Block Grants, please refer to Title 24: Department of Housing and Urban Development Part 570 – Community Development Block Grants Subpart C – Eligible Activities.1 All CDBG-DR funded activities must meet one of the eligible activities outlined in Section 105(a) of HCDA.2 For the Local Government and Critical Infrastructure Sub-Program, GOSR will utilize CDBG-DR eligible activities that correspond to each project activity. This information will be maintained in the file. For the Non-Federal Share Match Sub-Program, HUD allows grantees to use CDBG-DR funds to support making matching payments as long as the funded project can meet the Non-Federal Share requirement of the lead agency and meet at least one additional HUD eligible activity. GOSR, in working with HUD Community Planning and Development (CPD) staff, has currently defined three specific eligible activities that correspond to payments being made in the FEMA PA Non- Federal Share Local Match Program. These activities include, but are not limited to, the non- Federal share [Section 105(a)(9)] and one of the following activities: 1. Public Facilities [Section 105(a)(2)] 2. Debris Removal [Section 105(a)(4)] 3. Public Services [Section 105(a)(8)] 4. Planning [Section 105(a)(12)] GOSR may need to add or modify eligible activities as needed as reviews are conducted.

1 24 CFR Part 570 – Community Development Block Grants. https://www.hudexchange.info/resources/documents/24-CFR-Part%20-570-CDBGs.pdf 2 https://portal.hud.gov/hudportal/documents/huddoc?id=DOC_16364.pdf

November 2016 NY Rising Infrastructure Program Page 20 of 126 Policy and Procedure Manual Version 2.1 2.2 Timely Expenditure of Funds As per the Appropriations Act (Public Law 113-2), CDBG-DR funds must be obligated no later than September 30, 2017, and expended within two years of the date funds are obligated. 2.3 Duplication of Benefits Disaster recovery activities may be funded from a variety of both public and private sources. Duplication of Benefits (DOB) occurs when financial assistance received from one source is provided for the same purpose as CDBG-DR funds provided, in accordance with HUD DOB guidance found at 76 FR 71060 and dated November 16, 2011. For each project implemented under the Local Government and Critical Infrastructure Sub- Program, subrecipients will complete an application which will include a DOB questionnaire that will itemize the funding mix and sources for the project. GOSR will then review to determine any potential DOB constraints. Per the subrogation clause in the subrecipient agreement, subrecipients must return to New York State any funds found to be a DOB, ineligible, unallowable, unreasonable, or non-compensable, no matter the cause. Under this clause, should a subrecipient receive CDBG-DR funding to support an activity and subsequently receive additional funding that would render the CDBG-DR funds a DOB, the duplicative CDBG-DR funds must be returned to GOSR. For the Non-Federal Share Match Sub-Program, GOSR works closely with the lead State and Federal agency to ensure that a duplication of benefits does not occur prior to a match payment being made. For the FEMA PA Non-Federal Share Local Match Program, prior to funds being made available to applicants to begin work—that is prior to project worksheet obligation—FEMA undertakes a duplication of benefits analysis and reduces eligible unmet amounts by the amount of anticipated insurance proceeds, thereby ensuring that no duplication of benefits occurs. As a project progresses through the FEMA implementation process, quarterly reports are filed through FEMA and additional funds can be de-obligated if additional insurance proceeds are realized or other funds for the project are found. As part of its FEMA PA Non-Federal Share Local Match Program process and through TA, GOSR will confirm that costs shown in each project’s worksheets are accurate. Further, monitoring of the projects will ensure that there is not additional duplication of benefits that have accrued to projects after work has begun. 2.4 Program Income Following the requirements of 24 CFR 570.489 in regards to program income, all program income must be returned to the State. Currently, the NY Rising Infrastructure Program does not anticipate implementing any projects which will generate program income. 2.5 Monitoring and Compliance Oversight Administered by GOSR’s Monitoring and Compliance Department (MCD), a monitoring plan has been established to ensure that all programs and projects comply with applicable federal, State, and local regulations and effectively fulfills the goals set forth in the Action Plan and the Action Plan Amendments. GOSR must ensure compliance with the HUD regulations, which may include but are not limited to: Record Keeping, Administrative and Financial Management, Environmental

November 2016 NY Rising Infrastructure Program Page 21 of 126 Policy and Procedure Manual Version 2.1 Compliance, Citizen Participation, Conflict of Interest, Procurement, Davis-Bacon Labor Standards, Diversity and Civil Rights regulations (Minority and Women’s Business Enterprise, Section 3, Fair Housing, Limited English Proficiency, and American with Disabilities Act), Property Acquisition and Management, Displacement, Relocation, and Replacement. The Monitoring Plan serves to identify risks, deficiencies, and remedies relating to GOSR directly administered programs, administrative and financial management, and programs administered via GOSR subrecipients. The Monitoring Plan seeks to accomplish the following objectives:  To determine if a grantee/subrecipient is carrying out its obligations, and its activities as described in the Action Plan for CDBG-DR assistance and its related Grant or Subrecipient Agreement (Agreement).  To determine if a grantee/subrecipient is carrying out its activities in a timely manner, in accordance with the schedule included in the Agreement.  To determine if a grantee/subrecipient is charging costs to the project that are eligible under applicable laws and CDBG-DR regulations, and reasonable in light of the services or products delivered.  To determine if a grantee/subrecipient is conducting its activities with adequate control over program and financial performance, and in a way that minimizes opportunities for waste, mismanagement, fraud, and abuse.  To assess if the grantee/subrecipient has a continuing capacity to carry out the approved project, as well as future grants for which it may apply.  To identify potential problem areas and to assist the grantee/subrecipients in complying with applicable laws and regulations.  To assist grantee/subrecipients in resolving compliance problems through discussion, negotiation, TA, and training.  To provide adequate follow-up measures to ensure that performance and compliance deficiencies are corrected by grantee/subrecipients, and not repeated.  To comply with the federal monitoring requirements of 24 CFR 570.501(b) and with 24 CFR 84.51 and 85.40, as applicable.  To determine if any conflicts of interest exist in the operation of the CDBG-DR program per 24 CFR 570.611.  To ensure that required records are maintained to demonstrate compliance with applicable regulations. Consistent with HUD requirements, MCD conducts risk assessments on all entities being monitored, including all programs, contractors, and subrecipients in order to identify the appropriate level of monitoring, including the frequency and depth of review. Entities being monitored are assessed on a scale ranging from low-risk to medium-risk to high-risk. Depending on the results of the risk assessment, MCD conducts levels of monitoring commensurate with the level of risk assessed. In general, the levels of monitoring range from desk auditing, to on-site monitoring, to integrity monitoring. GOSR makes necessary adjustments in its monitoring plan

November 2016 NY Rising Infrastructure Program Page 22 of 126 Policy and Procedure Manual Version 2.1 based on the most current information, data, and analyses available. Any risks and deficiencies identified result in a request for timely corrective action from the entity being monitored. GOSR provides TA to all entities being monitored in order to facilitate compliance with all applicable federal, State, and local regulations. Refer to the “Monitoring and Compliance Policy Manual” for additional guidance and protocols. 2.6 Investigations The Investigations Department at GOSR is responsible for the following duties: managing a fraud hotline; processing all incoming complaints relating to fraud, misconduct, and wrongdoing; reviewing and analyzing such complaints; obtaining relevant programmatic information to assess such complaints; and determining appropriate further action, including but not limited to further internal investigation, referral to the appropriate law enforcement agency, and corrective action to address any risks or deficiencies in existing programmatic policies and procedures. Refer to the “Investigations Department Policy Manual” for additional guidance and protocols. 2.7 Cross-Cutting Federal Regulations GOSR and its subrecipients must adhere to all applicable State and federal laws, rules, and regulations. This section provides a summary of the significant and applicable Federal regulations. 2.7.1 Americans with Disabilities Act (ADA) GOSR takes affirmative steps to ensure that qualified persons with disabilities are informed of the availability of program services and activities, and GOSR’s programs or services are readily accessible to, and usable by, individuals with disabilities. GOSR also ensures that handicapped persons are provided with benefits and services as those provided to non-handicapped individuals, and that all programs and activities are accessible, both structurally and administratively, to handicapped and disabled persons. The types of reasonable accommodations that can be provided include accommodations or adjustments to a rule, policy, practice, or service. All subrecipients are required to follow the ADA. 2.7.2 Davis-Bacon Labor Standards The Davis-Bacon Act3 and Related Acts (DBRA) applies to contractors and subcontractors performing on federally funded or assisted contracts in excess of $2,000 for the fringe benefits for corresponding work on similar projects in the area. In some cases, New York State Prevailing Wage Law is in effect. In these cases, the higher prevailing wage rate between the federal and State must be adhered to and made applicable. For prime contracts in excess of $100,000, contractors and subcontractors must also, under the provisions of the Contract Work Hours and Safety Standards Act, as amended, pay laborers and mechanics, including guards and watchmen, at least one and one-half times their regular pay for all hours worked over 40 in a work week. Additionally, GOSR must follow the reporting requirements per HUD and Department of Labor (DOL) regulations. This requirement also extends to GOSR subrecipients and contractors.

3 40 U.S.C. 3141 et seq.

November 2016 NY Rising Infrastructure Program Page 23 of 126 Policy and Procedure Manual Version 2.1 HUD has issued specific guidance for Davis Bacon Labor standards for Sandy Grantees on the application of Davis-Bacon on CDBG-DR funds for FEMA Non-Federal Share Match activities. This letter is attached as Exhibit 3. Further details on the implementation of Davis Bacon and FEMA match activities including the above referenced guidance is also reflected in the FEMA PA Non-Federal Share Local Match Program procedures in Section 4.0.

The MCD ensures that GOSR’s applicable programs and services are in compliance with DBRA which includes the submission of certified payroll records and through onsite interviews of prime and sub-contractor laborers. For the Local Government and Critical Infrastructure Sub-Program GOSR utilizes the following systems for Davis Bacon compliance: its Davis-Bacon FTP Submission website and Elation Systems to both track and monitor weekly payroll submissions by contractors. GOSR procured Elation Systems—a cloud-based Davis-Bacon, labor and contract compliance management system—to streamline the Davis Bacon compliance efforts agency wide. For the Non -Federal Share Match Program, depending on the stage of completion of a specific project, payroll information is maintained in either FTP website or in program specific drives (I:drive). In either case GOSR ensures that Davis Bacon compliance per regulation and disaster specific guidance is met.

2.7.3 Force Account Labor Force account labor occurs when subrecipients use their own workforce to complete construction of a NY Rising Infrastructure Program project. For standalone projects implemented through the Local Government and Critical Infrastructure Sub-program this is not the preferred method of construction. However, it is allowed. Force account labor requires advance review and approval by GOSR. This may be indicated by approval of a budget that includes force account labor. Subrecipients that proceed without prior approval risk disallowance of all incurred costs. Subrecipients must justify the use of force account labor by demonstrating that this labor is cost effective and that qualified personnel are available to accomplish the work. For the FEMA PA Non-Federal Share Local Match Program, units of government frequently utilize departmental staff to undertake repairs following a disaster. For this Sub-Program, GOSR as part of its review process, monitors and documents if projects included work that was performed using force account labor, contractual labor or a combination of force account and contractual labor. GOSR does not require the advance review requirement for FEMA PA Non-Federal Share Local Match force account labor. 2.7.4 Equal Employment Opportunity Executive Order 11246, Equal Employment Opportunity, as amended, prohibits federal contractors and federally-assisted construction contractors and subcontractors, who do over $10,000 in government business in one year from discriminating in employment decisions on the basis of race, color, religion, sex, sexual orientation, gender identity or national origin. The Executive Order also requires government contractors to take affirmative action to ensure that

November 2016 NY Rising Infrastructure Program Page 24 of 126 Policy and Procedure Manual Version 2.1 equal opportunity is provided in all aspects of their employment.4 This regulation is adhered to within GOSR programs. 2.7.5 Fair Housing The Fair Housing Act requires all grantees, subrecipients, and/or developers funded in whole or in part with HUD financial assistance to certify that no person was excluded from participation in, denied the benefit of, or subjected to discrimination in any housing program or activity because of their age, race, color, creed, religion, familial status, national origin, sexual orientation, military status, sex, disability or marital status. GOSR enforces the Fair Housing Act by ensuring that all grantees, subrecipients, and/or developers meet the applicable Fair Housing and Affirmative Marketing requirements, provide a marketing plan, and report on compliance in accordance with the Fair Housing Act and the associated forms on HCR’s website, where applicable. The Affirmative Marketing Plan must be in compliance with applicable Fair Housing Laws and demonstrate how the Applicant will affirmatively further fair housing throughout applicable GOSR disaster recovery programs. 2.7.6 Fair Labor Standards Act of 1938, as Amended (FLSA) The Fair Labor Standards Act of 1938 (FLSA) establishes the basic minimum wage levels for all work and requires the payment of overtime at the rate of at least one and one-half times the basic hourly rate of pay for hours worked in excess of 40 per week.5 These labor standards are applicable to the entire construction contract whether or not CDBG-DR funds finance only a portion of the project. Excluding the exceptions listed below, all workers employed by contractors or subcontractors in the performance of construction work financed in whole or in part with assistance received under GOSR CDBG-DR program must be paid wages at rates not less than those prevailing on similar construction in the locality as determined by the Secretary of Labor in accordance with the Davis-Bacon Act, as amended. In some cases, New York State Prevailing Wages and Davis-Bacon Prevailing Wages both apply. In such instances, the higher of the two prevails. Exceptions to Fair Labor Standards Act of 1938, as Amended include:  Construction contracts of $2,000 or less;  Real property acquisition;  Architectural and engineering fees;  Other services (such as legal, accounting, construction management);  Other non-construction items (such as furniture, business licenses, real estate taxes);  Rehabilitation of residential property designed for fewer than eight families; and,  Debris removal, Demolition and/or clearance activities, unless related to construction (demolition and clearance as independent functions are not considered construction). Contact a GOSR CDBG-DR Labor Specialist for assistance.

4 41 CFR Part 60 5 Id.

November 2016 NY Rising Infrastructure Program Page 25 of 126 Policy and Procedure Manual Version 2.1 2.7.7 Limited English Proficiency (LEP) Federal Executive Order 131661 and State Executive Order #26 require GOSR and all satellite offices, programs, subrecipients, contractors, subcontractors, and/or developers funded whole or in part with CDBG-DR financial assistance to ensure fair and meaningful access to programs and services for families and individuals with LEP and/or Hearing Impaired. GOSR ensures fair access through the implementation of a Language Assistance Plan (LAP) which includes non-English based outreach, translation services of vital documents, free language assistance services, and staff training. GOSR’s LEP Coordinator is responsible for coordinating all activities associated with the LAP, and MCD monitors its implementation. Refer to the “Language Assistance Plan” Provision of Language Assistance Services for additional guidance and protocols. Refer to the “Language Assistance Plan” provision of Language Assistance Services for additional guidance and protocols. 2.7.8 Minority- and/or Women-Owned Business Enterprises The federal Executive Order 12432 guidelines requires for selected federal agencies to promote and increase the utilization of Minority Business Enterprises. 2 CFR 200.321 requires the Non- Federal entity to take all necessary steps to ensure that all subrecipients, contractors, sub- contractors, and/or developers funded in whole or in part with HUD CDBG-DR financial assistance ensure that contracts and other economic opportunities are directed to small and minority firms, women’s business enterprise, and labor surplus area firms when possible. In addition, for Local Government and Critical Infrastructure Sub-program projects executed prior to January 30, 2015 GOSR ensures compliance by requiring, as applicable, subrecipients and contractors to make best efforts to achieve an overall M/WBE participation goal of 20% of the entire contract value consisting of 10% for Minority-Owned Business Enterprises (MBE) and 10% for Women-Owned Business Enterprises (WBE). . All projects and agreements executed after January 30, 2015 will be required to make best efforts to achieve an overall M/WBE participation goal of 30% of the entire contract, consisting of 15% for MBE and 15% for WBE. GOSR verifies MWBE certification and monitors to ensure compliance with all reporting requirements. For the Non-Federal Share Local Match Program, depending on the stage of completion of each project and project bid dates, GOSR ensures that best efforts towards adequate M/WBE goals are met. 2.7.9 Section 3 Section 3 of the Housing and Urban Development Act of 1968 requires grantees, subrecipients, contractors, sub-contractors, and/or developers funded in whole or in part by the CDBG-DR funding, to the greatest extent feasible, extend hiring opportunities and contracts to Section 3 eligible residents and businesses. Section 3 eligible residents are low- and very low- income persons, particularly those who live or reside in public or government assisted housing. For those entities that receive more than $200,000 in HUD CDBG-DR assistance and contractors that are awarded covered contracts that exceed $100,000, GOSR requires that an approved Section 3 plan be in place before the project is awarded and approved. MCD monitors contracts with, subrecipients, contractors, sub-contractors, and/or developers. GOSR manages the education and outreach efforts, reviews the proposed Section 3 Plans, and provides TA when needed. Refer to

November 2016 NY Rising Infrastructure Program Page 26 of 126 Policy and Procedure Manual Version 2.1 the “Section 3” Policy Manual in Section 3 Policy for Prospective Bidders or Policies and Procedures for additional guidance and protocols. For Local Government and Critical Infrastructure Sub-Programs, projects are required to meet Section 3 requirements as shown above. For the FEMA PA Non-Federal Share Local Match Program, GOSR also requires and checks for Section 3 compliance, however, Section 3 goals and objectives are set depending on the stage of completion of each project and project bid dates. GOSR ensures that Section 3 objectives are addressed through direct TA with individual applicants and file reviews of projects by program staff. 2.7.10 Uniform Relocation Act and Real Property Acquisition CDBG-DR federal funds, administered by the GOSR and disbursed to subrecipients and direct contractors and/or beneficiaries, are subject to the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (Uniform Act or URA) and/or Section 104(d) of the Housing and Community Development Act of 1974. The applicable federal regulations are located at 49 CFR Part 24 (URA), 24 CFR Part 42 (Section 104(d)), and in the Real Estate Acquisition and Relocation Policy and Guidance Handbook (HUD Handbook 1378). The March 5 FR Notice waived the one-for-one replacement requirements at Section 104(d)(2)(A)(i)-(ii) and (d)(3) and 24 CFR 42.375. Subrecipients or contractors must provide the following benefits to households that they displace:  Relocation advisory services;  A minimum of 90 day notice to vacate;  Reimbursement for moving expenses; and  Payments for added cost of renting or purchasing comparable replacement housing. GOSR programs subject to the Uniform Act and Section 104(d) includes the CDBG-DR programs. GOSR rules, Notices of Funding Availability (NOFAs), applicant certifications and/or written agreements for funds subject to the Uniform Act and Section 104(d) shall refer to federal and State rules, as appropriate.

2.7.10.1 Real Property If CDBG-DR funds are used to acquire real property, MCD ensures that the property continues to be used for its intended (and approved) purpose, proper records are maintained to keep track of it, steps are taken to protect and maintain it, and that if the property is sold, GOSR is reimbursed for the CDBG-DR share of the property’s value. GOSR, as the grantee, along with its subrecipients and contractors, must tag and log all property valued greater than $1,000 and update inventory records annually. This fairly straightforward proposition about the ownership, use, management, and disposition of property is complicated by two facts. First, the rules about property management and disposition differ slightly depending on whether a grantee is a public-sector grantee. (The rules are generally more explicit for governmental grantees). Second, the rules depend on the nature of the property. Real property (e.g., land, buildings) is treated differently than personal property (e.g., equipment,

November 2016 NY Rising Infrastructure Program Page 27 of 126 Policy and Procedure Manual Version 2.1 supplies, intangible property like copyrights). (Property Management and Disposition Regulations 24 CFR 570.503; all subrecipients (subs) 24 CFR 85.32; 85.34, govt. subs 24 CFR 84.32; 84.34, nonprofit subs). The federal requirements relating to real property are organized according to title (ownership), use, and disposition. In general, the property management system must provide for accurate records, the conduct of regular inventories, adequate maintenance and control and proper sales procedures. Grantees must follow sales procedures that provide for competition, to the extent practicable, and that result in the highest possible return. 2.7.10.2 Acquisition of Real Property Upon notification of permission from GOSR, the subrecipient proceeds with efforts to acquire any real property, including easements and right-of-ways, required for the project. CDBG-DR federal funds, administered by GOSR and disbursed to subrecipients and direct contractors and/or beneficiaries, are subject to the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (Uniform Act or URA) and/or Section 104(d) of the Housing and Community Development Act of 1974. The applicable federal regulations are located at 49 CFR Part 24 (URA), 24 CFR Part 42 (Section 104(d)), and in the Real Estate Acquisition and Relocation Policy and Guidance Handbook (HUD Handbook 1378). Section 104(d) requires relocation assistance for lower-income individuals displaced as a result of the demolition or conversion of a lower-income dwelling and requires one-for-one replacement of lower-income units demolished or converted to other uses. Subrecipients or contractors must provide the following benefits to households that they displace:  Relocation advisory services;  A minimum of 90 day notice to vacate;  Reimbursement for moving expenses; and  Payments for added cost of renting or purchasing comparable replacement housing. A purchase option agreement on a proposed site or property prior to the completion of the environmental review is allowed if the option agreement is subject to a determination by the subrecipient on the desirability of the property for the project after the environmental review is completed and the cost of the option is a nominal portion of the purchase price. Prior to advertising for bids, the subrecipient must have obtained all lands, rights-of-way and easements necessary for carrying out the project. GOSR rules, Notices of Funding Availability (NOFAs), applicant certifications and/or written agreements for funds subject to the Uniform Act and Section 104(d) shall refer to federal and State rules, as appropriate. GOSR’s MCD ensures that if CDBG-DR funds are used to acquire real property, and the property continues to be used for its intended (and approved) purpose, proper records are maintained to keep track of it, steps are taken to protect and maintain it, of it and that if the property is sold, GOSR is reimbursed for the CDBG-DR share of the property’s value. GOSR, as the grantee, along with its subrecipients and contractors, must tag and log all property valued greater than $1,000 and update inventory records annually.

November 2016 NY Rising Infrastructure Program Page 28 of 126 Policy and Procedure Manual Version 2.1 2.7.11 Financial Management Pursuant to the Disaster Relief Appropriations Act, 2013 (Public Law 113-2) GOSR maintains and has in place proficient financial controls. As the grantee, the MCD ensures that GOSR, as well as those administering CDBG-DR disaster recovery resources; continuously demonstrate conformity with financial management requirements as required by the Department at 78 FR 14329 (published March 5, 2013). These requirements include, but are not limited to, areas covering: Financial Management; Advances; Internal Controls; Accuracy of Report Information; Program Income; Salaries and Wages; Indirect Costs; Lump Sum Drawdowns; and OMB Circular A-133. GOSR's financial management system will be consistent with and in compliance with 24 CFR Parts 84, 85 (cross reference 2 CFR Part 200), and 570 (as applicable), which ensures that GOSR funds are managed with high levels of accountability and transparency. The MCD ensures that GOSR's Financial Management practices adhere to the following:  Internal controls are in place and adequate;  Documentation is available to support accounting record entries;  Financial reports and statements are complete, current and reviewed periodically; and  Audits are conducted in a timely manner and in accordance with applicable standards. 2.7.12 Procurement Policy GOSR has established and adopted a procurement policy. With a procurement policy in place, MCD reviews the policy, as amended, to ensure it meets State and federal requirements, and ensures that GOSR adheres to its established policies. Procurement policies that are Sub-Program specific are located in the appropriate sections of this manual. 2.7.13 Insurance and Property Management Subrecipients must procure and maintain insurance for the duration of the subrecipient agreement to protect all contract assets from loss due to any cause, such as theft, fraud and physical damage. Each subrecipient must maintain fidelity bond coverage for all employees in an amount equal to cash advances from GOSR. At a minimum, subrecipients must comply with the bonding requirements at 24 CFR 85.36 or 84.48 (or, for awards issued after December 26, 2015, with the relevant provisions of 2 CFR Part 200), as applicable, and with the requirements of their subrecipient agreement. If CDBG-DR funds are used to acquire real property or personal property, the subrecipient is responsible for ensuring that:  The property continues to be used for its intended (and approved) purpose;  The subrecipient keeps track of, and takes care of, the property; and  If the subrecipient sells or disposes of the property within five years after expiration of the subrecipient agreement or a longer period as GOSR deems appropriate, the subrecipient reimburses GOSR for the share of the property’s value according to the subrecipient agreement. 2.7.14 Record Keeping, Retention and File Management In accordance with HUD regulations, GOSR as a grantee and recipient of CDBG-DR funds follow the records retention as cited in 24 CFR 84.53 (or, for awards issued after December 26, 2015, with the relevant provisions of 2 CFR Part 200), which includes financial records, supporting

November 2016 NY Rising Infrastructure Program Page 29 of 126 Policy and Procedure Manual Version 2.1 documents, statistical records and all other pertinent records are maintained for five years. GOSR established record keeping and retention requirements in its subrecipient and contractor agreements in accordance with the guidelines established in 24 CFR 570.503(b)(2). For all subrecipients, their retention of records shall be kept in accordance with 24 CFR 85.42 (or, for awards issued after December 26, 2015, with the requirements of 2 CFR Part 200), as modified by 24 CFR 570.502(a)(16), which requires for records to be maintained at least for a period of five years following the close out of all activities associated with each program. Every subrecipient and contractor is required to establish and maintain at least three major categories of records: Administrative, Financial, and Project/Case Files. Administrative Records: These are files and records that apply to the overall administration of the subrecipient’s CDBG-DR activities. They include the following: a. Personnel files; b. Property management files; c. General program files: Files relating to the sub grantee, subrecipient’s, or contractor’s application to the grantee, the subrecipient agreement, program policies and guidelines, correspondence with grantee and reports, etc.; and, d. Legal files: Articles of incorporation, bylaws of the organization, tax status, board minutes, contracts and other agreements. Financial Records: These include the chart of accounts, a manual on accounting procedures, accounting journals and ledgers, source documentation (purchase orders, invoices, canceled checks, etc.), procurement files, bank account records, financial reports, audit files, etc. Project/Case Files: These files document the activities undertaken with respect to specific individual beneficiaries, property owners, and/or properties. 2.7.18.1 Reporting As a recipient of CDBG-DR funds, GOSR established reporting requirements for all subrecipients and contractors in their respective subrecipient and contractor agreements and contracts in accordance with 24 CFR 570.503(b)(2). GOSR established its own reporting requirements in accordance with the provisions as found in 24 CFR 85.40(a) and (e) and 85.41(c) and (d) for Units of General Local Government (UGLGs) or 24 CFR 84.51(a) for non-profit subrecipients reporting requirements. Generally speaking, GOSR monitors reporting requirements at five different program intervals: 1. At execution of agreements; 2. Monthly; 3. Quarterly; 4. Annually; and 5. As required. Subrecipients and contractors submit the documents and reports to the State at the times indicated in the subrecipient and grant and/or contract agreement, and in the format prescribed by GOSR staff. Deviations from this requirement must be approved by GOSR staff.

November 2016 NY Rising Infrastructure Program Page 30 of 126 Policy and Procedure Manual Version 2.1 2.7.18.2 Record Retention Record retention is a requirement of the Program. Records are maintained to document compliance with Program requirements and federal, State, and local regulations and to facilitate an audit review by HUD. Records are maintained in accordance with 24 CFR 570.3, which states they must be maintained for a period of 5 years following the closeout of the award to the State. The GOSR Records Management Program seeks to ensure that:  GOSR complies with all requirements concerning records and records management practices under Federal and State regulations;  GOSR has the records it needs to support and enhance ongoing business and citizen service, meet accountability requirements and community expectations;  These records are managed efficiently and can be easily accessed and used for as long as they are required; and  These records are stored as cost-effectively as possible and when no longer required they are disposed of in a timely and efficient manner based on HUD Handbook 2225.6, Records Disposition Schedules and HUD Handbook 2228.2. 2.7.18.3 Access to Records 24 CFR 570.49 Recordkeeping requirements: “(c) Access to records. (1) Representatives of HUD, the Inspector General, and the General Accounting Office shall have access to all books, accounts, records, reports, files, and other papers, or property pertaining to the administration, receipt and use of CDBG funds and necessary to facilitate such reviews and audits. (2) The State shall provide citizens with reasonable access to records regarding the past use of CDBG funds and ensure that units of general local government provide citizens with reasonable access to records regarding the past use of CDBG funds consistent with State or local requirements concerning the privacy of personal records.” The availability of records is subject to the exemptions to public disclosure set forth in section 87(2) of the New York State Public Officers Law. All Freedom of Information Law (FOIL) requests under the Public Officers Law must be made in writing to the Records Access Officer and will be processed in accordance with the procedures set forth therein. 2.7.15 Audit Trail All records defined by the organization as important are captured into GOSR’s recordkeeping systems (e.g., SharePoint, Intelligrants, Tribuo, Elation, IMARC, I: Drive, DR Infrastructure SharePoint, GSP, etc.) so they can be appropriately managed. Within the NY Rising Housing Recovery Program, Intelligrants serves as GOSR’s management information system. Intelligrants provides immediate tracking and imaging of all Program

November 2016 NY Rising Infrastructure Program Page 31 of 126 Policy and Procedure Manual Version 2.1 documentation, including but not limited to, applicant notification, eligibility verification documentation, financial funds disbursement documentation to ensure data security and Program oversight to create a clear audit trail of the Program. Additional financial funds disbursement documentation is available from the Tribuo database. The GOSR Subrecipient Portal (GSP) will serve as the management information and model file system for all projects in the Local Government and Critical Infrastructure Sub-programs of the NY Rising Infrastructure Program, as well as the NY Rising Rebuild by Design and NY Rising Community Reconstruction projects. GSP contains both grantee and project level files, providing immediate tracking and imaging of Program documentation, including but not limited to, project selection, development and implementation activities, subrecipient agreements and other agreements, financial management and citizen participation data. Ensuring data security and oversight to creating a clear audit trail of the Programs. For the FEMA PA Non-Federal Share Local Match Program, GOSR’s I: drive serves as the system of record for the FEMA PA Match files. The I: drive and DR Infrastructure SharePoint holds all FEMA PA Non-Federal Share Local Match documentation including but not limited to CDBG- DR documentation for each project worksheet, FEMA and GOSR approvals for payment, cost determination and cost reasonableness determination. Elation Systems, Inc. is a provider of diversity and labor compliance reporting and management services. The Governor’s Office of Storm Recovery (GOSR) has adopted this cloud-based compliance management system to help all its Contractors and Subrecipients receiving Federal funds to adhere to Labor Compliance (Davis-Bacon), Minority and Women Owned Business (MWBE) and Section 3 Federal reporting requirements. The Elation Systems application will serve as the system of record for all MWBE, Section 3 and Davis-Bacon report submissions from GOSR subrecipients and direct contractors.

All applicant data is secured in GOSR’s management information system for a specified period of time in accordance with the current Record Retention and Disposition Schedule. Recordkeeping, including scanning, uploading to GOSR’s management information system, and filing of pertinent Program documentation retention policies are to provide both a physical and an electronic record of activities so that documentation is accessible for audit purposes. In order to protect non-public personal information, data security measures are in place. For example, hardware and software data security protocols such as the requirement for signed non- disclosure agreements prior to receipt of access credentials for Intelligrants. GOSR also requires that hard copy files containing non-public personal information are kept in locked file cabinets to ensure their physical security.

2.7.15.1 Audit Requirements In accordance with OMB A-133 Circular (or for awards issued after December 26, 2014, the provisions of 2 CFR Part 200), “Audits of States, Local Governments and Non-Profit Organizations,” all agencies expending $750,000 or more in federal funds must have an annual

November 2016 NY Rising Infrastructure Program Page 32 of 126 Policy and Procedure Manual Version 2.1 audit conducted, as detailed in the Circular. Subrecipients expending $750,000 or more in federal funds should submit their audits to GOSR. Subrecipients that fall within this category must submit a copy of their A-133 audit report to GOSR. GOSR is collecting information on each subrecipient’s expenditures to confirm each subrecipient’s A-133 status. Any deficiency noted in the audit report must be fully cleared by the subrecipient within 30 days after subrecipient. 2.7.16 Conflicts of Interest and Confidentiality Conflicts of interest between applicants, subrecipients, program administrator, contractors, program staff and other parties are strictly prohibited by federal law. A “covered person” is an employee, agent, consultant, officer, or elected official or appointed official of the state, or of a unit of general local government, or any designated public agencies, or subrecipients that are receiving CDBG-DR funds. Generally, no person who is a covered person, and who exercises or has exercised any functions or responsibilities with respect to CDBG-DR activities and who are in a position to participate in a decision making process or gain inside information with regard to such activities, may obtain a financial interest or benefit from the activity, or have an interest in any contract, subcontract or agreement with respect thereto, or the proceeds thereunder, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. The conflict of interest regulations contained in the contract between the subrecipient and the HCR prohibit local elected officials, HCR staff, subrecipient employees, and consultants who exercise functions with respect to CDBG Disaster Recovery activities or who are in a position to participate in a decision-making process or gain inside information with regard to such activities, from receiving any benefit from the activity either for themselves or for those with who they have family or business ties, during their tenure or for one year thereafter.

2.7.16.1 Conflicts of Interest The Program requires all Program staff to disclose any relationship with an Applicant or contractor. State program staff, sub-grantees, program administrators, and contractors who disclose such relationships are placed in roles where there is no opportunity for them to display favoritism or collude in order to financially or otherwise benefit themselves, the Applicant, the or contractor. For example, a Customer representative may not perform work on the application of family. For purposes of this regulation, “family” is defined to include spouse, parents, mother-in- law, father-in-law, grandparents, siblings, brother-in-law, sister-in-law, and children of an official covered under the CDBG conflict of interest regulations at 24 CFR 570.489(h). GOSR may consider granting an exception to the conflict of interest provisions per 24 CFR 570.489(h)(4) if GOSR has determined that the subrecipient has adequately and publicly addressed all of the concerns generated by the conflict of interest and that an exception would serve to further the purposes of Title I of the Housing and Community Development Act of 1974, as amended and the subrecipient has complied with the requirements listed in 24 CFR 570.489(h)(4)(i) and (ii). GOSR considers whether the exception provides a significant cost benefit or essential degree of expertise; whether the opportunity was provided for under open competitive bidding or

November 2016 NY Rising Infrastructure Program Page 33 of 126 Policy and Procedure Manual Version 2.1 negotiation; whether the person affected is a LMI person, whether the affected person has withdrawn from his or her functions or responsibilities; whether the interested or benefit was present before the affected person was in a position to benefit from the conflict of interest; or whether undue hardship results from failure grant the exception.

2.7.16.2 Confidentiality/Privacy The NY Rising Infrastructure Program is committed to protecting the privacy of all of our individual stakeholders, including the public and those individuals working on the Program. The Program’s policies describe how information is to be handled and protected. The purpose of this privacy policy is to establish when and under what conditions certain information relating to individuals may be disclosed. The data collected from applicants for the NY Rising Infrastructure Program may contain personal information on individuals that is covered by the Federal Privacy Act of 1974, the Personal Privacy Protection Act (NYS POL §95, et. seq.) and the State’s Public Housing Law (see, PHL §159), among others. These laws provide for confidentiality, and restrict the disclosure of confidential and personal information. Unauthorized disclosure of such personal information may result in personal liability with civil and criminal penalties. The information collected may only be used for limited official purposes: 1. NY CDBG-DR Grant program may use personal information throughout the award process to ensure compliance with program requirements, reduce errors and mitigate fraud and abuse. 2. Independent Auditors, when hired by the program to perform a financial or programmatic audit of the program, for use in determining program compliance with all applicable HUD and federal regulations, including the Stafford Act, CDBG-DR requirements and State and Local law. 3. NY CDBG-DR Program may disclose personal information on an Applicant to those with official Power of Attorney for the Applicant or for whom the Applicant has provided written consent to do so. 4. Organizations assisting the State in executing the CDBG-DR Program must comply with all Federal and State Law Enforcement and Auditing requests. This includes, but it not limited to, HUD, FEMA, FBI, NYS Office of the Comptroller, and the Office of the Inspector General.

November 2016 NY Rising Infrastructure Program Page 34 of 126 Policy and Procedure Manual Version 2.1 2.8 Infrastructure Requirements Per FR-5696-N-06, an infrastructure project is defined as an activity, or a group of related activities, designed by the grantee to accomplish, in whole or in part, a specific objective related to critical infrastructure sectors such as energy, communications, water and wastewater systems, and transportation, as well as other support measures such as flood control. This definition is rooted in the implementing regulations of the National Environmental Policy Act (NEPA) at 40 CFR part 1508 and 24 CFR Part 58. Further, consistent with HUD’s NEPA implementing requirements at 24 CFR 58.32(a), a grantee must group together and evaluate as a single infrastructure project all individual activities which are related to one another, either on a geographical or functional basis, or are logical parts of a composite of contemplated infrastructure-related actions. Consistent with 40 CFR part 1508, infrastructure projects are ‘‘related’’ if they automatically trigger other projects or actions, cannot or will not proceed unless other projects or actions are taken previously or simultaneously, or are interdependent parts of a larger action and depend on the larger action for their justification. 2.8.1 Comprehensive Risk Analysis FR-5696-06 requires that each grantee must describe the science-based risk analysis it has or will employ to select, prioritize, implement, and maintain infrastructure projects or activities. GOSR has outlined this Risk Analysis in their Action Plan Amendments and will adhere the analysis for all infrastructure projects.

2.8.2 Green Infrastructure Per FR-5696-06, each grantee must describe its process for the selection and design of green infrastructure projects or activities, and/or how selected projects or activities will incorporate green infrastructure components. GOSR is committed to utilizing green infrastructure where applicable in infrastructure projects implemented within this manual.

2.8.3 Resilience Performance Standards The State has committed to implementing resilience performance standards for Infrastructure projects outlined in the State’s Action Plan Amendments. 2.9 Covered Project Requirements In the FR-5696-06, HUD included requirements for the funding of infrastructure programs. “HUD approval is required for each major infrastructure project with such projects defined as having a total cost of $50 million or more (including at least $10 million of CDBG–DR funds), or benefits multiple counties. Additionally, two or more related infrastructure projects that have a combined total cost of $50 million or more (including at least $10 million of CDBG–DR funds) must be designated as major infrastructure projects.” This includes placing additional reporting and consultation requirements on grantees for projects that exceeded award thresholds and were tied to multiple funding sources. GOSR will be administering projects which meet this threshold through the Non-Federal Share Match Program as well as in the Local Government and Critical Infrastructure Sub-program. GOSR is actively engaged with the Sandy Regional Infrastructure Resilience Coordination Group (SRIRC) and

November 2016 NY Rising Infrastructure Program Page 35 of 126 Policy and Procedure Manual Version 2.1 HUD to ensure compliance with these processes. GOSR will submit all covered projects to HUD as required through a substantial action plan amendment and address the following requirements as outlined in FR-5696-N-06; 2013 FR-5696-N-11, and any other Federal Register notices issued for Public Law 113-2. For each identified covered project GOSR will provide the following information as required in the Notice: 1. Identification/Description. A description of the Covered Project, including: Total estimated project cost, how it will meet a national objective, and the project’s connection to the disaster. 2. Use of Impact and Unmet Needs Assessment, the Comprehensive Risk Analysis and the Rebuild by Design Collaborative Risk Analysis. A description of how the Covered Project is supported by GOSR’s updated impact and unmet needs assessment, as well as the GOSR’s comprehensive risk analysis. The description must describe how Covered Projects address the risks, gaps, and vulnerabilities in the region as identified by the comprehensive risk analysis. Additionally, the description must also describe how the collaborative risk analysis developed through the Rebuild by Design initiative has been or will be used for the evaluation of covered projects. 3. Transparent and Inclusive Decision Processes. A description of the transparent and inclusive processes that have been or will be used in the selection of a Covered Project(s) including accessible public hearings and other processes to advance the engagement of vulnerable populations. GOSR should demonstrate the sharing of decision criteria, the method of evaluating a project(s), and how all project stakeholders and interested parties were or are to be included to ensure transparency including, as appropriate, stakeholders and parties with an interest in environmental justice or accessibility. 4. Long-Term Efficacy and Fiscal Sustainability. A description of how GOSR will monitor and evaluate the efficacy and sustainability of Covered Projects, including how it will reflect changing environmental conditions (such as sea level rise or development patterns) with risk management tools, and/or alter funding sources if necessary. 5. Environmentally Sustainable and Innovative Investments. A description of how the Covered Project(s) will align with the commitment expressed in the President’s Climate Action Plan to ‘‘identify and evaluate additional approaches to improve our natural defenses against extreme weather, protect biodiversity, and conserve natural resources in the face of a changing climate…’’ 2.9.1 Sandy Regional Infrastructure Resilience Coordination Group As required by FR-5696-06, all covered projects must be approved by the SRIRC. The objective of the SRIRC is to support regional resilience across federal infrastructure investments by gathering, discussing, and considering technical information about individual planned and proposed projects in order to identify and seize opportunities to enhance resilience, consistent with grant requirements through the Disaster Relief Appropriations Act of 2013 (“Sandy Supplemental”), and the Infrastructure Resilience Guidelines ( p ages 50-52) of the Rebuilding

November 2016 NY Rising Infrastructure Program Page 36 of 126 Policy and Procedure Manual Version 2.1 Strategy by: 1. Gathering, discussing, and considering technical information related to planned and proposed projects in order to identify opportunities to enhance resilience; 2. Advising grantees and project sponsors on project scopes so that the projects may have enhanced resilience, individually or together; 3. Identifying potential implementation challenges such as funding and/or federal review and permitting issues that can be addressed through collaboration or referral to appropriate federal committees or groups dedicated to the issues; and 4. Federal grantees are also able to request that projects are considered/discussed by the Sandy Regional Team for Federal Review and Permitting (FRP Team) at any time to help coordinate and expedite the collective review and permitting processes necessary. The FRP process is required for all RBD projects. Additionally, the FRP team may be utilized for any covered infrastructure project. Management of the SRIRC and administration sits at the FEMA Sandy Recovery Office (SRO) with support from each of the Regional Administrators for Region II of FEMA and HUD. Additional leadership and support is provided by federal officials in the affected region from DI- IS (FEMA), DOC (NOAA), DOD (USACE), DOE, DOI (FWS, NPS, USGS), DOL, DOT, EPA, GSA, HHS, HUD, and VA, and the infrastructure project sponsors as federal grantees from the States of Connecticut, New Jersey, New York, The City of New York, The Port Authority of New York and New Jersey, and tribal nations in the affected region ("Federal Grantees"). The SRIRC comprises decision-makers as the Principal Members ("Members"), and their Primary Points of Contact (POC), who are responsible for the integration of SRIRC principles and information with their organization.

November 2016 NY Rising Infrastructure Program Page 37 of 126 Policy and Procedure Manual Version 2.1 3.0 Non-Federal Share Match Sub-Program Policies 3.1 Introduction The Non-Federal Share Match Sub-Program will work with applicants to ensure that disaster recovery resources provided by federal agencies to entities in New York are leveraged with CDBG-DR dollars to facilitate and ensure recovery from declared disasters outlined in this manual. All Non-Federal Share Match payments will be reimbursement based payments for cost incurred. The Non-Federal Share Match Sub-Program is broken into six processes which are outlined within this document and provided in Table 3.

TABLE 3: NON-FEDERAL SHARE MATCH PROGRAM AND THEIR CORRESPONDING POLICIES AND PROCEDURES Non-Federal Impacted Policies Procedures Share Match Storms Program FEMA PA Superstorm Sandy, Section 2.0 and Section 3.0 Section 4.0 Local Match Hurricane Irene, Tropical Storm Lee, Winter Storm NEMO, Upstate Flooding FEMA IA Superstorm Sandy Section 2.0 and Section 3.0 Section 4.0 FEMA DFA Superstorm Sandy Section 2.0 and Section 3.0 Section 4.0 EPA – SMLP Hurricane Irene, Tropical Section 2.0 and Section 7.0 Section 8.0 Storm Lee, Superstorm Sandy FHWA-ER Hurricane Irene, Tropical Section 2.0 and Section 7.0 Section 8.0 (DOT) Storm Lee, Superstorm Sandy FEMA HMGP Superstorm Sandy, Section 2.0 and Section 5.0 Section 6.0 Hurricane Irene, Tropical Storm Lee, Winter Storm NEMO, Upstate Flooding, Severe Winter Storms and Snowstorms (1957), Severe Storms, Flooding, Tornadoes, and Straight Winds (1993)

November 2016 NY Rising Infrastructure Program Page 38 of 126 Policy and Procedure Manual Version 2.1  FEMA Non-Federal Share Public Assistance (PA) Local Match program: All FEMA Non-Federal Share PA Local Match projects will follow the procedures outlined in this section. GOSR is providing the PA match for five presidentially declared events that occurred in 2010, 2011 and 2012. For PA match projects where a single match payment exceeds $20 million dollars, GOSR will follow a modified procedure as outlined in Section 4.0 in this manual, FEMA PA Non-Federal Share Local Match Program.  FEMA Individual Assistance (IA) Program: FEMA IA includes a variety of programs which are designed to help meet disaster applicants’ sustenance, shelter, and medical needs during their path to recovery. GOSR is providing the FEMA IA match for Superstorm Sandy. GOSR will provide a direct reimbursement to the State of New York Department of Budget (DoB). These procedures follow those in Section 4.  FEMA Direct Federal Assistance Program (DFA): FEMA will provide direct Federal assistance through a mission assignment to another Federal agency, upon request of the State, when the State and local government certify they lack the capability to perform or contract for the requested work. The duration of mission assignments for debris removal will be limited to 60 days from the disaster declaration date. To date, GOSR has not paid the match on such assistance but is still working with DHSES and DoB to determine if match payment will be made for DFA.  EPA Superstorm Sandy Storm Mitigation Loan (SMLP) Program: The EPA Non- Federal share requirement for the SMLP Program, will be implemented under the Water and Wastewater facilities subprogram outlined in the Local Government and Critical Infrastructure section of this manual. GOSR only provides the match for wastewater treatment facilities funded under this appropriation.  DOT Federal Highway Administration Emergency Relief (FHWA-ER) Program: All Non-Federal share requirement payments for the DOT FHWA-ER program will follow the process for implementation outlined in the Local Government and Critical Infrastructure section of this manual. GOSR is providing the local match for three eligible disaster events which were funded by DOT in New York.  FEMA Hazard Mitigation Grant Program (HMGP) Non-Federal Match Share: To satisfy the FEMA Non-Federal Share requirement for HMGP, GOSR along with the New York Department of Homeland Security and Emergency Services (DHSES) and FEMA have approved an innovative financing strategy that known as Global Match Strategy which is outlined in Section 5.0 and 6.0 this manual. GOSR uses this strategy to address the match obligation for seven events that occurred in 2010, 2011, 2012.

November 2016 NY Rising Infrastructure Program Page 39 of 126 Policy and Procedure Manual Version 2.1 3.2 Funding Sources Every Non-Federal Share Match Sub-Program project leverages CDBG-DR dollars with other federal disaster recovery funding sources. This section briefly describes those other federal funding sources. 3.2.1 FEMA When a disaster occurs, it is the responsibility, first of the local community and then the State to respond. Often, their combined efforts are not sufficient to address the direct results of the disaster. These situations call for federal assistance to supplement state, tribal, and local efforts. The Robert T. Stafford Disaster Relief and Emergency Assistance Act of 1988 (Stafford Act), as amended, authorizes the President to provide such assistance. Assistance is coordinated through Federal Emergency Management Agency, FEMA, which is the primary disaster response agency in the Federal government. It is an agency of the U.S. Department of Homeland Security (DHS). FEMA provides grants to assist communities in addressing the immediate post storm response needs while also assisting individuals who have housing needs due to the storm. Through the HMGP and PA program FEMA provides grants to address the long term rebuilding, recovery and resilience needs of communities. Following a disaster, and upon official declaration by the President of the United States, FEMA designates area(s) as eligible for assistance. Following the 2010, 2011 and 2012 events, FEMA provided the following program funds to the State of New York state and eligible entities: 1. Public Assistance (PA) Program 2. Individual Assistance (IA) 3. Direct Federal Assistance (DFA) 4. Hazard Mitigation Grant Program (HMGP) Each program is controlled by the Robert T. Stafford Disaster Relief and Emergency Assistance Act, USC 5121, The Code of Federal Regulations Title 44 Parts 13.36, 13.37 and 13.40, and the FEMA Disaster Assistance Guidance 9500 Series. 3.2.2 Other Federal Agencies For certain types of facilities, other federal agencies have the primary authority to provide disaster assistance. When an applicant requests Public Assistance for a facility whose repair FEMA considers to be within the authority of another federal agency, FEMA will ask the specific federal agency with responsibility to review the request and advise FEMA whether the work would be eligible under that agency’s authority. If the work falls outside the statutory authority of that agency, FEMA may consider providing assistance for the work under the Stafford Act. Federal agencies that often have authority to provide disaster assistance are detailed below.

3.2.2.1 Department of Transportation The Department of Transportation oversees the Federal Highway Administration Emergency Relief Program (FHWA-ER). The FHWA-ER assists state and local governments with the repair of specific types of federal aid roads and bridges damaged during disasters. T h e U.S. DOT provides FHWA-ER funds to New York State through the State’s Department of Transportation.

November 2016 NY Rising Infrastructure Program Page 40 of 126 Policy and Procedure Manual Version 2.1 Funds from this program are used only for facilities on routes identified by the FHWA as being eligible to receive these funds and work must comply with US DOT and other Federal regulations. The FHWA-ER coordinates closely with FEMA Public Assistance (PA) program at the federal level. The FHWA-ER routes include most public roads except those functionally classified as rural or minor collector routes. FHWA-ER funds are used for both emergency and permanent work and are granted on the basis of inspections performed by FHWA and state highway department personnel. Eligible emergency work may include debris removal even when there is no physical damage to the roads. Restoration of certain road systems and facilities falls under the authority of FHWA while rural or minor collector routes are eligible for FEMA assistance through the PA program, the, Therefore, FHWA-ER program coordinates closely with FEMA (PA) program at the federal level to confirm the eligibility and ineligibility of work to be performed for permanent repair of these facilities in the FEMA PA program (Category C). FEMA categories are defined in section 3.5.4. FEMA may also provide funds to address emergency repairs and debris clearance on a case-by-case basis and only for those cases in which there is an immediate threat to the public health and safety.

3.2.2.2 Environmental Protection Agency (EPA) The Environmental Facilities Corporation (EFC), a public benefit corporation of New York State, administers the EPA, Clean Water State Revolving Fund (CWSRF), which provides low- or no- interest rate financing to construct water quality protection projects. Following Sandy Congress appropriated similar founds through the “Disaster Relief Appropriations Act, 2013” (DRAA) that were targeted to Sandy impacted facilities. As a part of the CWSRF, EFC is administering these additional Sandy related funds which are known as Storm Mitigation Loan Program (SMLP). This program provides funding to eligible municipalities to protect water treatment facilities from future storm events. The SMLP operates as a grant – loan program with a 25% grant and 75% zero- interest loan. As part of the local match requirement of 16%, GOSR pays up to 25% of the grant portion of the SMLP program. GOSR will work with EFC and eligible wastewater systems to provide the match. 3.3 Determining the Non-Federal Share Amount The non-Federal share match payment amount varies by federal disaster relief program and disaster. GOSR will only provide reimbursement for the state cost share or local match for the portion of a project that meets a HUD eligible activity under CDBG-DR, as described below. The table below shows the current Non-Federal Share Rate by disaster and federal program. As such, the match rates below represent the maximum federal share that GOSR may provide. On a per project basis GOSR may match less than the full project amount because items within the scope of work do not meet HUD CDBG-DR guidelines or because HUD required documentation maybe lacking.

November 2016 NY Rising Infrastructure Program Page 41 of 126 Policy and Procedure Manual Version 2.1 TABLE 4: FEDERAL PROGRAMS AND SHARE RATE ELIGIBLE UNDER THE STATE’S MATCH PROGRAM Federal Program Federal Federal State Disasters Agency Cost Cost Share Share Storm Mitigation Loan EPA 84% 16% Sandy Program (SMLP) Hazard Mitigation Grant FEMA 75% 25% Sandy, Irene, Lee, Program (HMGP) NEMO, Mohawk Floods, Severe Storms, Flooding, Tornadoes, and Straight Winds, Severe Winter Storms and Snowstorms Individual Assistance (IA) FEMA 90% 10% Sandy Public Assistance (PA) FEMA 75% 25% Irene, Lee, NEMO, Mohawk Floods. Public Assistance (PA) FEMA 90% 10% Sandy Direct Federal Assistance FEMA 90% 10% Sandy (DFA) Federal Highway DOT 75% 25% Irene, Lee, Sandy Administration Emergency Relief (FHWA-ER)

The maximum amount of assistance per federal program will be determined by the program specific match requirements. The total amount of non-Federal share match provided to a specific entity is based on the non- Federal share match requirement for specific eligible and approved projects and funding sources available to the entity. 3.4 Eligibility 3.4.1 Eligible Activities All non-federal share projects implemented must be an eligible activity. These activities are outlined Section 2.1.3 and include but are not limited to the following: Public facilities 105(a)(2); Clearance 105(a)(4); Public services 105(a)(8); non-Federal share 105(a)(9) Planning 105(a)(12); 3.4.2 Eligible Applicants 3.4.2.1 FEMA-Funded Programs: PA, HMGP, Mission Assignments (DFA) and Individual Assistance (IA) Examples of eligible entities that may receive match funding include the following:  State Agencies, New York State Public Authorities, Trusts and Boards  County Governments (including departments and divisions)  Local and Municipal Governments (including departments and divisions)  Free-standing local and municipal governments (libraries, parks, fire departments, and first responder facilities, wastewater treatment facilities, etc.)

November 2016 NY Rising Infrastructure Program Page 42 of 126 Policy and Procedure Manual Version 2.1  Public Schools, including Districts and Charter schools  Public Universities and Colleges  Public Hospital and Health Systems  Nonprofits determined by FEMA to be eligible to receive funding (only Superstorm Sandy, Winter storm NEMO and Upstate Flooding event in the Summer of 2013)

3.4.2.2 Eligibility Information: Hurricane Irene (4020) and Tropical Storm Lee(4031) Prior to the creation of GOSR, the State of New York announced that it would assist specific entities in FEMA’s PA program and address their match obligations for Hurricane Irene and Tropical Storm Lee. The entities that were eligible to receive funds included:  State Agencies and Authorities, trusts and boards  County Governments – including departments and divisions  Local and Municipal Governments - including departments and divisions  Free-standing Local and municipal governments (libraries, parks, fire departments, and first responder facilities, wastewater treatment facilities, etc.)  Public Schools, including districts and charter schools  Public Universities and Colleges  Public Hospital and Health Systems Note: Many Nonprofit entities eligible for FEMA PA were determined not eligible by the State for projects funded under the Irene and Lee allocation.

3.4.2.3 FHWA-Emergency Relief Program This FHWA-ER program is a specialized disaster recovery program that addresses public road system repairs following a declared event. Only State agencies, county and municipal governments and the specialized subdivisions who operate, maintain and oversee these eligible road sections may receive non-Federal share match assistance payments. For Hurricane Irene, Tropical Storm Lee and Superstorm Sandy, eligible applicants must be:  A State Agency or Authority  A County Government – including departments and divisions  A Local or Municipal Government - including departments and divisions  A Other County and Municipal entity engaged in road related activities

3.4.2.4 EPA’s Sandy-appropriated Storm Mitigation Loan Program Public wastewater systems that are operated by a county, local and or municipal governments and/or water related subdivisions that provide these services are eligible to receive Non-Federal Share assistance. Private entities are not eligible to participate. Eligible applicants for the program must be a:  State agency or Authority  County Government – including departments and divisions  Local or Municipal Government - including departments and divisions; or  Other County and Municipal entity engaged in wastewater related activities

November 2016 NY Rising Infrastructure Program Page 43 of 126 Policy and Procedure Manual Version 2.1 3.5 Project Prioritization and Review Order GOSR will analyze federal databases and determine the non-Federal share match exposure based on five elements. FEMA HMGP Non-Federal Share Match payments will be reviewed in a separate process which is outlined in Section 5.0 (HMGP Policies) and 6.0 (HMGP Procedures) of this document. For all other Non-Federal Share Match Sub-Program payments, file reviews will be conducted based on the following items: 1. Source of Funding 2. Date of the disaster 3. Location 4. FEMA Category (For FEMA PA match payments only) 5. Project Size (For FEMA PA match payments only) 3.5.1 Source of Funding GOSR will prioritize match payments to disaster recovery programs in the following order: 1. FEMA IA 2. FEMA - PA 3. EPA-SMLP 4. FEMA DFA 5. FHWA-ER 3.5.2 Date of Disaster Because of the time lapse between Hurricane Irene and Tropical Storm Lee, public entities who applied to a federal recovery program with a Non-Federal Share Local Match component under these storms are generally further along in their recovery than Superstorm Sandy applicants. GOSR will prioritize Hurricane Irene and Tropical Storm Lee applicants before moving onto Superstorm Sandy applicants. However, GOSR may at its discretion alter this review process as needed based on project urgency and as more information on the stage of projects is determined. 3.5.3 Location As shown in the State’s Hurricane Irene and Tropical Storm Lee Action Plan, funds were allocated to address the non-Federal share match needs of the most impacted counties from these events. However, in addition to HUD-defined most impacted counties, all applicants in the Hurricane Irene and Tropical Storm Lee counties are eligible to receive Superstorm Sandy funds. The review order below allows for all applicants in the Hurricane Irene and Tropical Storm Lee counties, in addition to the Superstorm Sandy county applicants, to receive Non-Federal Share Match assistance. Due to the large number of public entities that were impacted by these storms, GOSR will additionally prioritize applicants by the type of entity within a county. 1. Hurricane Irene and Tropical Storm Lee HUD-defined most impacted counties 2. Hurricane Irene, Tropical Storm Lee and Superstorm Sandy State agencies 3. Hurricane Irene and Tropical Storm Lee remaining counties 4. Superstorm Sandy HUD-defined most impacted counties 5. Superstorm Sandy remaining counties

November 2016 NY Rising Infrastructure Program Page 44 of 126 Policy and Procedure Manual Version 2.1 3.5.4 FEMA Category (for FEMA PA only) FEMA categorizes work by the type of project that needs to repaired, restored or removed following a disaster. PA projects can be described as either being for emergency work, response related or for permanent work or recovery related. Emergency work takes place immediately after an event. Permanent work is done to restore or rebuild a damaged asset. PA applicants can have work at the same facility that is both response and recovery related, however FEMA when obligating funds clearly distinguishes the work through a series of work categories shown below, so that a duplication of benefits does not occur. Only public entities, organizations and specific not-for-profit entities are eligible for PA funding. Private companies and utilities cannot receive funding. FEMA categorizes work in the following manner: Emergency Work: Response Related (Categories A and B) Category A: Debris Removal Clearance of trees and woody debris; certain building wreckage; damaged/ destroyed building contents; sand, mud, silt, and gravel; and other disaster-related material deposited on public and, in very limited cases, private property. Category B: Emergency Protective Measures Measures taken before, during and after a disaster to eliminate/reduce an immediate threat to life, public health, or safety, or to eliminate/reduce an immediate threat of significant damage to improved public and private property through cost-effective measures. Permanent Work: (C-G) Recovery Related Category C: Roads and Bridges Repair of roads, bridges, and associated features, such as shoulders, ditches, culverts lighting, and signs. Category D: Water Control Facilities Repair of drainage channels, pumping facilities, and some irrigation facilities. Repair of levees, dams and flood control facilities fall under Category D, but the eligibility of these facilities is restricted. Category E: Buildings and Equipment Repair or replacement of buildings, including their contents and systems; heavy equipment and vehicles; Category F: Utilities Repair of water treatment, and delivery systems; power generation facilities, and distribution facilities; sewage collection and treatment facilities; and communications; Category G: Parks, Recreation Facilities, and Other Facilities Repair and restoration of parks, playgrounds, pools, cemeteries, mass transit facilities, and beaches. This category also is used for any work or facility that cannot be characterized by Categories A-F. Generally, GOSR will analyze response categories prior to reviewing recovery categories. But it reserves the right to alter this practice on an applicant by applicant basis.

November 2016 NY Rising Infrastructure Program Page 45 of 126 Policy and Procedure Manual Version 2.1 3.5.4.1 Project Size When FEMA obligates a project worksheet, it provides funds to an applicant to initiate work. To facilitate how FEMA finance processes and reimburses applicants for the work, FEMA categorizes the work into two categories small and large projects, based on the total dollars provided. The split between the small and large categories is determined by using the annual Consumer Price Index. This means that the small project threshold varies by year. For fiscal year 2014, a small project is any eligible work, either emergency or permanent, costing up to $68,500. Projects above this threshold are classified as large projects. FEMA undertakes this categorization so that it can facilitate review, approval and funding of repair projects. In most disasters, the vast majority of work consists of small projects. Large projects are not only more costly but also typically more complex to manage than small projects. To facilitate the oversight of large projects, a streamlined formulation process is used that consolidates specialized expertise in the disaster area. When FEMA receives a request for reimbursement, for small projects it provides the entire federal share as a single reimbursement however for large projects, FEMA reimburses only for work completed. GOSR through its project review process collects documentation equally for large and small projects to determine eligibility; however it may decide to use the project size categorization to conduct review for an applicant if they have large and small project worksheets. 3.6 Special Provisions Concerning Environmental Review for Non- Federal Share Match Payments Prior to CDBG-DR program funds being expended, an environmental review will be completed. The environmental process for all projects which follow the implementation procedures outline Local Government and Critical Infrastructure Section of this manual (Section 7.5.7). Under PL 113-2, the Sandy allocation, grantees are allowed to adopt the environmental review of another federal agency as long as the grantee notifies HUD of this intent. GOSR informed HUD that the State would utilize this provision for the FEMA PA, IA and HMGP Non-Federal Match Payment Program, relying on the environmental review of federal agencies for all eligible applicants when Sandy CDBG-DR funds are used. Therefore, since February 2014, in an effort to streamline the PA match process, and to utilize the environmental flexibility allowed in the FR- 5669-061 all projects and match payment for Hurricane Irene and Tropical Storm Lee applicants, have and continue to be made with the Superstorm Sandy allocation. To document the environmental review process, for each project reviewed, GOSR maintains in its program files a letter adopting FEMA’s environmental review process, along with the FEMA environmental review record (REC). An example of this is shown in the Exhibit 4 of this document. Prior to February 2014, the FEMA PA Non-Federal Share Local Match Program made payments using funds from the Irene and Lee CDBG-DR allocation. For those match payments the State followed HUD’s environmental review process, utilizing exemption set forth in 24 CFR Part 58.34 for emergency work. GOSR is working with HUD and other federal partners through the SRIRC to explore if similar environmental reviews standards that exist between FEMA and HUD for

November 2016 NY Rising Infrastructure Program Page 46 of 126 Policy and Procedure Manual Version 2.1 environmental reviews can also be put in place for DOT and HUD, and EPA and HUD. The summary below shows which environmental reviews are being used based on the allocation and federal program. 1. FEMA PA Program a. Hurricane Irene and Tropical Storm Lee Applicants  Payments made prior to October 31, 2013 use HUD Environmental Review. Project worksheets, funded with the Hurricane Irene/Tropical Storm Lee allocation.  Payments made after November 1, 2013 use FEMA’s Environmental Review. Project worksheets are funded with the Superstorm Sandy allocation. b. Superstorm Sandy Applicants  Payments use FEMA’s Environmental Review Process. 2. U.S. DOT FHWA-ER Program a. Hurricane Irene and Tropical Storm Lee Applicants  Payments would require HUD Environmental Review Process unless payments utilize Sandy Appropriation and HUD consents to DOT FHWA-ER process. b. Superstorm Sandy Applicants  Payments would require HUD Environmental Review Process unless HUD consents to DOT FHWA-ER process, similar to FEMA. GOSR will utilize Superstorm Sandy allocation for these projects. 3. EPA SMLP a. Superstorm Sandy Applicants  Payments use HUD Environmental Review requirements. 3.7 Non-Federal Share Match Sub-Program Payment Policy While the Non-Federal Share Match Sub-Program supports the recovery efforts of units of local government, Non-Federal Match payment is made to the State of New York’s Division of Budget (DoB). DoB, working with the lead State agency, provides the match reimbursement directly to communities for their Non-Federal Share requirement. For the HMGP non-Federal share global match strategy payments, payments are made directly through subrecipients and the process is outlined in the Section 5 (HMGP Policy) and 6 (HMGP Procedure) of this document. Payment from GOSR to DoB instead of directly to the applicant is used to streamline payments so that as applicants draw down federal funds for repairs they are able to receive reimbursement for the full amount of funds, federal plus State share at the same time. This is also necessary as GOSR, through the Non-Federal Share Match Sub-Program will reimburse DoB only for HUD eligible storm-related damages. It is possible that while projects are FEMA, EPA or DOT compliant, they may not fully be compliant with HUD CDBG-DR criteria. However, the Non-Federal Share Match Sub-Program will work directly with local entities that initiated the projects to verify project eligibility and collect necessary documentation so that payments made by GOSR to the State General Fund are HUD compliant. These local entities will be required to comply with applicable CDBG-DR program requirements. The policies govern both allocations under GOSR’s jurisdiction, the Superstorm Sandy allocation, made possibly under Public Law 113-12, as well as

November 2016 NY Rising Infrastructure Program Page 47 of 126 Policy and Procedure Manual Version 2.1 the allocation following Hurricane Irene and Tropical Storm Lee (Public Law 112-55). Through the Sandy allocation the State was able to assist entities impacted by 2013 events, Winter Storm NEMO, and the Upstate Flooding. 3.7.1 FEMA IA Payments For FEMA IA Non-Federal Share Match, GOSR will only provide the required match funding for the Temporary Shelter Assistance (TSA) payments made in response to Superstorm Sandy. HUD regulations allow for Rental Assistance for up to 90 days, which was waived in FR–5696–N–08 (March 27, 2014) to include up to two years of rental assistance. GOSR’s Infrastructure and Monitoring and Compliance team will review all TSA documentation to ensure that all payments are made in accordance with the regulations. As with the payment policy outlined in Section 3.7, GOSR will reimburse the DoB for all match payments made by the State of New York for CDBG- DR eligible activities.

3.7.2 FEMA DFA Payments Currently, GOSR does not anticipate making any DFA payments for Hurricane Irene, Tropical Storm Lee, or Superstorm Sandy. However, if at a time in the future, GOSR chooses to pay the DFA Non-Federal Share Match payment, this manual will be updated to reflect the procedures for these payments prior to the payment of any FEMA DFA match funds.

November 2016 NY Rising Infrastructure Program Page 48 of 126 Policy and Procedure Manual Version 2.1 4.0 FEMA Public Assistance Non-Federal Share Local Match Program Procedures Note: The below policies in Section 4.0 are unique to FEMA PA Non-Federal Share Local Match Program. 4.1 Geographic Eligibility The FEMA PA Non-Federal Share Local Match Program will fund eligible Non-Federal Share Local Match payments for the following declared disasters:  Hurricane Irene (4020)  Tropical Storm Lee (4031)  Super Storm Sandy (4085)  Upstate flooding (4129)  Winter Storm NEMO (4111) 4.1.1 New York City Since the City of New York received its own allocation of CDBG-DR funds under Superstorm Sandy, GOSR will not be making non-Federal share payments for eligible entities that are located within New York City. However, New York City did not receive a separate allocation following Hurricane Irene and Tropical Storm Lee. Therefore, the State of New York, prior to GOSR’s creation, agreed to cover a percentage of the City’s FEMA PA Local Match costs by providing 12.5% of the 25% Non-Federal Share payment required under the Irene and Lee allocation. GOSR continues to work closely with New York City’s Mayor’s Office of Recovery and Resiliency to determine how to address New York City’s match obligation for Irene and Lee and to determine if there are Sandy applicants within the five New York City borough’s that will be provided Non- Federal Share Local Match in the future. 4.2 Eligible Applicants Eligible applicants include public entities and private nonprofits that have applied to FEMA for a declared disaster and have been accepted into the PA program. Eligible applicants must also be able to receive funds by having eligible and obligated Project Worksheets (PWs) for Hurricane Irene, Tropical Storm Lee, Superstorm Sandy Winter Storm NEMO, or Upstate flooding Eligible applicants include:  State Agencies, New York State Public Authorities, Trusts and Boards  County Governments (including departments and divisions)  Local and Municipal Governments (including departments and divisions)  Free-standing local and municipal governments (libraries, parks, fire departments, and first responder facilities, wastewater treatment facilities, etc.)  Public Schools, including districts and charter schools  Public Universities and Colleges  Public Hospital and Health Systems  Nonprofits determined by FEMA to be eligible to receive PA funding for damages caused

November 2016 NY Rising Infrastructure Program Page 49 of 126 Policy and Procedure Manual Version 2.1 by Superstorm Sandy, Winter storm NEMO and Upstate Flooding Applicants must also have been reimbursed by FEMA for the federal share and or have had the State provide the Non-Federal Share or Local Match. A list of eligible applicants who have opted into the FEMA PA Non-Federal Share Local Match Program by disaster is listed in Exhibit 5. 4.3 FEMA PA Project Worksheet File Review Procedures All FEMA PA projects considered for Non-Federal Share Local Match with CDBG-DR funds must have funding and a scope of work that is contained in an eligible and obligated Project Worksheet (PW). GOSR treats each PW as individual project. PWs are drafted and agreed to by the applicant, State of New York, and FEMA. Each PW contains the entire funded project and only items contained in a PW are eligible for FEMA reimbursement. At a minimum, files for each PW created by FEMA document the project, the location, the damage, the scope of work, the cost estimate, as well as back-up documentation. FEMA, working in conjunction with the lead State agency, the New York State Division of Homeland Security and Emergency Services (DHSES) and DoB Budget processes, complies and ensures that each PW has met the federal requirements. GOSR works with DHSES and DoB as well as State and local entities, to obtain the information contained in the file for each PW. GOSR also obtains, processes, and analyzes PWs so that match payments comply with the requirements governed by HUD CDBG-DR regulations. It is only when GOSR is confident that it has sufficient documentation and has completed its analysis of a PW, that GOSR processes a reimbursement with HUD CDBG-DR funds. The procedures in this manual document the steps that GOSR takes to process a match payment after the other agencies have already completed their due diligence. GOSR, as a matter of course, will document the storm impact in its program files. However, given the nature of the FEMA PA Non-Federal Share Local Match Program it is assumed that if the applicant and project is being supported by another federal disaster recovery program, the applicants have met the tie to the storm criteria and can show that funds were used to assist an applicant that was impacted by one or more of the declared disasters eligible for CDBG-DR assistance. 4.3.1 FEMA Document System FEMA’s recordkeeping system, Emergency Management Mission Integrated Environment (EMMIE) tracks grant applications and associated documents after each disaster declarations. This system manages all files related to the PWs, keeping applicants in compliance with FEMA regulations. HUD, however, has additional and differing regulations that which their grantees need to comply with as part of their grant. In order to make certain that the FEMA PA Non-Federal Share Local Match Program applicants are compliant with CDBG-DR in an efficient manner, GOSR starts project reviews by obtaining and reviewing the documents in EMMIE to see if it they can be utilized for HUD purposes.

4.3.2 Hurricane Irene/Tropical Storm Lee Prior to February 2014, all FEMA PA Non–Federal Share Local Match Program activities which were funded through the Hurricane Irene and Tropical Storm Lee CDBG-DR allocation were

November 2016 NY Rising Infrastructure Program Page 50 of 126 Policy and Procedure Manual Version 2.1 managed by HCR, Community Renewal office. In February 2014, the management of the Hurricane Irene and Tropical Storm Lee allocation officially transitioned to GOSR. This section of the manual describes the transition of the management of the Irene/Lee CDBG-DR funded FEMA PA Non-Federal Share Local Match Program files to GOSR. It also highlights and discusses how outreach to PA applicants was conducted, as well as any previous policies and procedures that existed for this Program, prior to GOSR assuming management of the Hurricane Irene and Tropical Storm Lee FEMA PA Non-Federal Share Local Match Program. All FEMA PA Non-Federal Share Local Match payments made prior to October 31, 2013 were funded using the Hurricane Irene and Tropical Storm Lee CDBG-DR allocation under these processes. After the transition to GOSR in February 2014, all FEMA PA Non-Federal Share Local Match payments for all disasters, including additional Irene and Lee payments were made with the Superstorm Sandy CDBG-DR allocation.

4.3.2.1 Hurricane Irene and Tropical Storm Lee: Outreach Applicant Notification Prior to the February 2014 transition to GOSR, only a select number of eligible PA applicants in the five Hurricane and Tropical Storm Irene most impacted counties were notified by HCR that the State would make the Non-Federal Share payment on the applicant’s behalf and that CDBG- DR funds would be used to cover the match, a list of these applicants by disaster is shown in Exhibit 6. For all other applicants, there was no direct communication to the applicant, other than an official press release stating that New York would cover the FEMA PA Non-Federal Share Local Match for applicants impacted by Hurricane Irene and Tropical Storm Lee. The press release did not detail how or with what funds New York would cover the local match. While DHSES worked with applicants on the PA program, no official letter or guidance was provided that HUD CDBG-DR funding would be used for applicants’ program(s) or that compliance with HUD regulations and/or requirements would be necessary to have the State make a matching payment. DHSES, working with the DoB, continued using this process until GOSR was created and formal meetings with GOSR, DoB and DHSES began in November 2013. After this time, GOSR staff began to assess the files for applicants that had received a match payment using the Irene and Lee allocation. GOSR has engaged local eligible applicants and their corresponding lead State agencies to collect the required program documentation to ensure payments for Hurricane Irene and Tropical Storm Lee applicants were CDBG-DR eligible.

4.3.2.2 Hurricane Irene and Tropical Storm Lee: Funded FEMA PA Non-Federal Share Local Match Payment Document Retrieval For payments made prior to October 31, 2013, GOSR reviewed EMMIE to determine if all the necessary items needed by GOSR and HUD to determine CDBG-DR eligibility and to maintain the file for desktop monitoring. In the event that additional documentation was not available in EMMIE, and was needed, GOSR staff scheduled a meeting with the public entity to obtain the missing documentation. The process for the obtaining missing documentation included:  Program analyst documented the missing information on the file review sheet and provided the information to the eligibility review manager.  The eligibility review managers then contacted the GOSR field coordinator team to initiate

November 2016 NY Rising Infrastructure Program Page 51 of 126 Policy and Procedure Manual Version 2.1 a strategy on how to obtain the missing documentation and provided the list of items that are needed.  GOSR’s field coordinator then contacted the public entity electronically and informed the entity that additional documentation was needed to make the file HUD eligible and support the payment and/or complete the documentation necessary for the file. A sample letter is attached in Exhibit 7.  GOSR field coordinator then followed up with the public entity and arranged to either obtain the documentation electronically from the entity or schedule an in- person meeting at the location of the applicants office. .  After the files are obtained, the field coordinator uploads the documents to the SharePoint site and the FEMA PA Non-Federal Share Local Match Program’s electronic data warehouse. Then the Field Coordinator informs the Eligibility Review Manager that the missing documentation has been obtained.  The file review is then completed and forwarded to the State for additional review processes as needed.

4.3.2.3 Hurricane Irene and Tropical Storm Lee: Funded PA Match Payments FEMA PA Non-Federal Share Local Match payments made prior to October 31, 2013, were made using the Hurricane Irene and Tropical Storm Lee CDBG-DR allocation. All payments made using this allocation were solely for FEMA PA project worksheets related to Hurricane Irene and Tropical Storm Lee. As part of its management process for the Hurricane Irene and Tropical Storm Lee FEMA PA Non-Federal Share Local Match Program, GOSR developed an electronic and hard copy file for each PW that is filed by applicant. Both files include HUD required documentation including items that are contained in the primary federal agency’s database (EMMIE) and materials and documentation that is obtained through GOSR document collection process. All of these items are necessary to determine CDBG-DR eligibility and to document the payment for the project additionally allowing HUD, GOSR Monitoring and Compliance, and other auditors to have access to the files. After February 2014, GOSR began payments for all FEMA PA Match payments, including the Hurricane Irene and Tropical Storm Lee using the Superstorm Sandy allocation and implemented the below process for all FEMA PA Match payments with the exception of requiring Hurricane Irene and Tropical Storm applicants to opt-into the GOSR Non-Federal Share Local Match Program. As GOSR finds that certain PWs do not contain HUD CDBG-DR required documentation, it follows the document retrieval process outlined below in Section 4.3.4. 4.3.3 GOSR Non-Federal Share PA Review Process: Superstorm Sandy, Upstate, flooding, winter storm NEMO 4.3.3.1 Applicant Notification When using funds from the Superstorm Sandy allocation, GOSR will coordinate with DHSES and DoB to notify eligible applicants of the opportunity to participate in the FEMA PA Non-Federal

November 2016 NY Rising Infrastructure Program Page 52 of 126 Policy and Procedure Manual Version 2.1 Share Local Match Program. Only applicants who have applied for and been approved by the FEMA to participate in the PA program are eligible for GOSR’s FEMA PA Non-Federal Share Local Match Program. The correspondence will inform applicants that HUD CDBG-DR funds are being used as the local match for these events and that in addition to providing GOSR with access to necessary information depending on the type of work, stage of completion for a project or when work was completed, additional HUD regulations will be required. The correspondence also includes the CDBG-DR requirements that applicants will have to follow to be considered viable for receiving funding under the FEMA PA Non-Federal Share Local Match Program. Through this direct correspondence, all applicants are aware that HUD funds may be used to cover their Local Match obligation. GOSR will organize this communication in the following sequence: 1. GOSR will issue a notification to eligible applicants. Included in the notification will be information on the FEMA PA Non-Federal Share Local Match Program. An example of the notification letter is attached in Exhibit 8. 2. GOSR will make available on its website the names of eligible applicants that the State will assist with match payments. In addition, GOSR will conduct outreach to eligible applicants through its Communications Department and the NY Rising Infrastructure Program. 3. GOSR utilizes an outreach process which includes a two letter notification to eligible entities to encourage the decision to “opt-in” to GOSR’s FEMA PA Non-Federal Share Local Match Program. If after second letter, an entity has not responded to the program, the GOSR PA Match team will continue follow up to that entity notifying them of the option to “opt in” to the program. GOSR will begin to log each communication with each applicant. 4. If an entity has responded to GOSR that they decline to take part in the program, GOSR will remove the potential applicant from the list. GOSR will notify the entity of this activity along with DHSES and DoB.

4.3.3.2 Entities with an Interest in GOSR’s FEMA PA Non-Federal Share Local Match Program Following notification to GOSR of an interest in the program, GOSR will: 1. Inform the entity of additional steps and actions that the entity must take as a condition of being in the Non-Federal Match Program for FEMA PA. This will include agreeing to comply with CDBG-DR and GOSR program requirements and providing GOSR with necessary documentation. 2. Provide TA workshops: Each applicant must attend a TA workshop where GOSR will provide additional opportunity to learn about program requirements such as Section 3, MWBE and Davis Bacon. Following the TA workshop, applicants will have the opportunity to formally “opt-out” of the FEMA PA Non-Federal Share Local Match Program.

November 2016 NY Rising Infrastructure Program Page 53 of 126 Policy and Procedure Manual Version 2.1 3. Work with the DoB and DHSES, the lead agency, to make the reimbursement payments for the entity through the State’s PA payment system. 4.3.4 Document Retrieval During the PW Review Process outlined below, all documentation in EMMIE, at the time of review, is copied and uploaded to GOSR’s servers and drives, and SharePoint system. GOSR moves the information into these locations so it can be reviewed and preserved for CDBG-DR requirement compliance. If a project is missing documentation that is necessary to document and determine HUD compliance, a list of missing documents will be created by the Project team and GOSR commences the document retrieval process outlined in this section. Once an applicant has completed the TA workshop, GOSR will begin the document retrieval process. For all applicants, GOSR will first review and obtain all information from EMMIE relating to the PW. Additionally, GOSR will request, obtain, scan, and upload required supporting documentation that the applicant possesses and which is related to the work completed on the PW and is necessary for HUD compliance and/or eligibility.. All PW applicants will be in one of the following different stages upon entering into the FEMA PA Match program:  Project work completed: For PWs where the work has been completed prior to the applicant “opt in” to the FEMA PA Non-Federal Share Local Match Program, GOSR will follow the document collection process outlined in this manual to collect all relevant documents needed for program compliance. This collection will include necessary documentation that will allow external reviewers, auditors and others to see that some HUD and US Department of Labor regulations do not apply.  Project work in progress: For PWs where the work has begun but is not complete, at the time the applicant “opts in” to the FEMA PA Non-Federal Share Local Match Program, GOSR will follow the document retrieval process outlined in this manual to collect all relevant documents needed for program compliance. In addition, GOSR will work with the applicant through TA to ensure that all CDBG-DR requirements are included in all future work phases until the project is completed.  Project work not begun: For PWs where the work has not begun at the time the applicant opts in to the FEMA PA Non-Federal Share Local Match Program, GOSR will follow the document retrieval process outlined in this manual to collect all relevant pre construction documents needed for program compliance. In addition, GOSR will work with the applicant through TA to ensure that the project will be compliant with all CDBG-DR requirements prior and during the construction. Additionally, GOSR may, at its discretion, direct GOSR staff and or vendors to provide TA to the applicant to ensure that the project remains CDBG-DR compliant.

4.3.4.1 Document Retrieval Process The Document Retrieval Process is an integral part of the FEMA PA Non-Federal Share Local Match Program. It provides GOSR, New York State, individual PA applicants, and HUD with the documentation required for maintaining CDBG-DR compliance while imposing only a minor

November 2016 NY Rising Infrastructure Program Page 54 of 126 Policy and Procedure Manual Version 2.1 burden on applicants. The document retrieval process may include Program staff traveling to the applicant’s physical location to obtain and scan the required supporting documentation or having the applicant scan and send the supporting the documentation to GOSR. Document retrieval begins with outreach to the applicant requesting files and is completed when the obtained supporting documentation is transferred to GOSR servers and drives, and SharePoint site. Once documents are obtained, and files are further reviewed for eligibility and completeness. The following phases are included in the document retrieval process: 1. Grantee pre-site visit preparation: a. Creation of a Grantee Document Checklist that identifies the required CDBG-DR documentation on file in EMMIE and also identifies missing CDBG-DR required documentation for all PWs per applicant. This Grantee Document Checklist, and a letter setting an appointment for an on-site visit, is sent to the grantee at least two (2) weeks prior to the site visit. A Grantee specific Document Checklist and letter are sent to the applicant. These are attached in Exhibit 9. b. After site visits are scheduled, GOSR will follow-up with the grantee(s) prior to the site visit to confirm the time and date of the scheduled appointment(s). 2. Site visit: a. GOSR staff or vendors obtain and scan PW documentation provided by the applicant. b. Document and provide listing to the applicant of any items that remain outstanding and determine next steps, if any, to obtain the remaining items. c. An applicant may choose to forgo a site visit and instead scan and either electronically submit the missing documentation or ship a media device containing the same. In this instance, GOSR will follow up with the applicant once the files are received to request any items that remain outstanding and determine next steps, if any, to obtain the remaining items. 3. Post-site visit: a. GOSR staff or vendors upload collected PW documents to GOSR’s servers and drives. b. Organize and name documents according to the agreed-upon GOSR approved naming convention. This facilitates the storage and retrieval of records and enables users to browse file names more efficiently and effectively.

November 2016 NY Rising Infrastructure Program Page 55 of 126 Policy and Procedure Manual Version 2.1 FIGURE 1: GOSR DOCUMENT COLLECTION REVIEW PROCESS

Document Collection • On-Site Scanning of Documents • Upload to the I-Drive

Weekly Progress • Update Progress on internal GOSR drive Report • Provide Progress report to Infrastructure Team

• Prepare schedule for site visits Schedule • Notify DHSES of pending appointments • Set up Site Visits and assign Applicant Teams

• Applicant Teams conduct EMMIE Review to ensure collection is only for documentation not currently uploaded Document Review • Prepare tracker and provide to teams for each collection site indicating documents needed to collect

• Mail Appointment Letters two weeks prior to visit. Letters will contain list of documents Contact Applicant needed • Confirm Appoint via e-mail or phone of site visit at least three days prior to visit.

November 2016 NY Rising Infrastructure Program Page 56 of 126 Policy and Procedure Manual Version 2.1 4.3.5 PA Selection Review Process Reviews of projects for CDBG-DR funding will include short- and long-term recovery activities, addressing disaster relief, restoration of infrastructure and public assistance, directly related to the storm damage from Hurricane Irene (4020, Tropical Storm Lee (4031), Hurricane Sandy (4085), Winter Storm Nemo (4111), and Upstate Floods (4129), and). GOSR will begin with eligible PWs deemed eligible by FEMA. Upon validation of CDBG-DR eligibility review, projects will be recommended for CDBG-DR funding disbursement. GOSR will analyze each project worksheet to obtain beneficiary information in an attempt to maximize the Low and Moderate Income (LMI) requirement as identified in the Federal Register Docket FR-5696-N-01.6 Funding recommendations will be categorized to assist the state in meeting program specific and overall CDBG-DR statutory requirements that relate to the 80% geographic threshold. The GOSR office will continue to track all projects for timely submittal to HUD for release of eligible CDBG-DR funding. GOSR has designed this process to assist in maximizing funding to the catastrophically affected applicants, while minimizing the risk of CDBG-DR funding de- obligation. 4.3.6 FEMA PA Non-Federal Share Local Match Payment CDBG-DR Project Eligibility Review Process 4.3.6.1 FEMA PA Non-Federal Share Local Match Payment CDBG-DR Compliance Review In addition to meeting a national objective, eligible activity and tie to the storm, applicants, as mandated by HUD, must satisfy and maintain records of several areas of compliance. The files will be reviewed for completion and compliance in the areas listed below: A. Financial Management Applicants should record amounts budgeted for eligible activities, as well as encumbrances and obligations when contracts are executed, purchase orders issued, etc. [24 CFR 570, Subpart C][24 CFR 85.20(b)(2)] (or for awards issued after December 26, 2014, the provisions of 2 CFR Part 200). Source documentation must be maintained [24 CFR 85.20(b)(6)]. Detailed chart of accounts and accounting records should be maintained; grant awards, obligations, unobligated balances, assets, liabilities, expenditures, and program income [OMB Circular A-87][24 CFR 85.20(b)(2)]. Effective internal controls must be maintained and annual audits must be submitted [24 CFR 85.20(b)(3)][OMB Circular A-133].

B. Procurement Due to the emergency nature of most projects funded through the FEMA PA program, many projects began and were completed before applicants were made aware that HUD CDBG-DR funds may be used to meet their Non-Federal Share obligation. To be eligible

6 Office of the Assistant Secretary for Community Planning and Development, Allocations, Common Application, Waivers, and Alternative Requirements for Grantees Receiving Community Development Block Grant Disaster Recovery Funds in Response to Hurricane Sandy, Docket No. FR–5696–N–01, (March 11, 2013). http://www.gpo.gov/fdsys/pkg/FR-2014-10-16/pdf/2014-24662.pdf

November 2016 NY Rising Infrastructure Program Page 57 of 126 Policy and Procedure Manual Version 2.1 to receive funding through FEMA’s PA Program, applicants are required to adhere to FEMA procurement rules, 44 CFR 13.36, which requires applicants to use their own procurement procedures which reflect applicable State and local laws and regulations, provided that the procurements conform to applicable Federal law, and/or meet cost reasonableness requirements set forth in 2 CFR 225 (as amended by 2 CFR 200 as needed).

For projects that are ongoing or have not been initiated when GOSR notifies FEMA PA applicants that they may be eligible to have the State cover their local match obligation using CDBG-DR funds, applicants are informed that work must adhere to HUD procurement requirements. Applicants must adopt a procurement policy in conformance with HUD requirements, as shown in 24 CFR 85.36 (as amended by 2 CFR 200 as needed). GOSR also requests that applicant submit their proposed bid packages to GOSR for review and requests an affidavit to ensure the bid was properly advertised. GOSR reviews the bid package using a CDBG-DR checklist of required of components and requests that modifications be made to the bid package, if necessary. GOSR provides applicants with the current Davis-Bacon wage schedule.

As part of its review and recommendation process, GOSR confirms that costs funded through CDBG-DR funds meet the applicable procurement requirements. To make this determination, GOSR completes the following process: 1. Obtain the applicant’s procurement policy and maintain an electronic copy of the policy 2. Determine the costs associated with the match obligation and record this on the Cost Determination Review (CDR) 3. Determine applicable procurement requirements, if any, for costs associated with the non-federal share obligation. Many applicants in the PA program use force account labor and materials to perform work: a. If the work is completed only using force account resources, procurement documentation is not required, however, supporting documentation contained in the file supports the use of force account labor b. If the work is completed in part or in whole using contracted resources, GOSR determines if the contracted resources are procured before or after the applicant was notified they may be eligible to received CDBG-DR funds for their non-federal share obligation: i. If the work is complete prior to notification, the applicant is required to adhere to FEMA’s procurement requirements and use their own procurement procedures ii. If the work is ongoing or has not started at the time of notification, the applicant is required to adhere to procurement requirements that conform with HUD requirements when and where practical 4. GOSR verifies that a procurement policy is present in the PW files 5. GOSR documents the results of its review as part of the Procurement Documentation Review process (set out in Section 4.4.3). Due to the technical build-out of systems, all storms preceding Superstorm Sandy have documentation regarding procurement present in their project file.

November 2016 NY Rising Infrastructure Program Page 58 of 126 Policy and Procedure Manual Version 2.1 C. Fair Housing and Equal Opportunity For Fair Housing and Equal Opportunity compliance, GOSR uses the date of notification to applicants of CDBG-DR being used as the FEMA Non-Federal Share Local Match as the trigger date for compliance.

a. Fair Housing i. Title VIII of the Civil Rights Act of 1968 (Fair Housing Act), as amended, prohibits discrimination in the sale, rental, and financing of dwellings, and in other housing-related transactions, based on race, color, national origin, religion, sex, familial status (including children under the age of 18 living with parents or legal custodians, pregnant women, and people securing custody of children under the age of 18), and disability. b. Title VI of the Civil Rights Act of 1964 i. Title VI prohibits discrimination on the basis of race, color, or national origin in programs and activities receiving federal financial assistance. c. Equal Opportunity i. Actions must be undertaken to assure equal employment opportunity to all persons regardless of race, color, national origin, sex or disability [24 CFR 570.506 (g)(3)] d. Section 3 i. The Section 3 program requires that recipients of certain HUD financial assistance, to the greatest extent possible, provide job training, employment, and contract opportunities for low- or very-low income residents in connection with projects and activities in their neighborhoods. [24 CFR 135.32 (a)] e. Section 504 Section 504 provides that no qualified individual with a disability should, only by reason of his or her disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. The program participant must have a formal, written grievance procedure for resolution of complaints alleging discrimination based on disability [24 CFR 8.52(b)]. D. Labor Davis Bacon [40 USC 276(a) 276(a) 7], Copeland “Anti‐Kickback” [40 USC 276(c)], and other state and local laws are to be used when enforcing labor standards. (Per GOSR, “FEMA Category A” projects are exempt from Labor and Davis Bacon requirements) These include: a. The Davis-Bacon Act (DBA) The Davis-Bacon Act requires the payment of prevailing wage rates (which are determined by the U.S. Department of Labor) to all laborers and mechanics on Federal government and District of Columbia construction projects in excess of $2,000.

November 2016 NY Rising Infrastructure Program Page 59 of 126 Policy and Procedure Manual Version 2.1 Construction includes alteration and/or repair, including painting and decorating, of public buildings or public works. For Davis Bacon Compliance, GOSR will adhere to the HUD guidance letter in Exhibit 3. This guidance outlines the Davis Bacon requirements for matching funds. Prior to notifying applicants that CDBG-DR funding was going to be used as the FEMA PA Non-Federal Share Local Match payment, there were PWs that had already began construction and some PWs that had already been completed. Therefore, GOSR places each PW into a correct “bucket” as outlined below. Each bucket will follow the specific procedure for the respective bucket to ensure Davis Bacon compliance. Bucket 1: Includes PW’s where all work is complete, work shows up as 100% complete by May 13, 2013 for Superstorm Sandy and July 27, 2012 for Hurricane Irene and Tropical Storm Lee, the CDBG-DR Grant Agreement dates, or is Category A (Debris Removal) work. Bucket 1 Procedure: PW is not subject to the Davis Bacon Related Act. “Bucket 1 Justification Memo” will be added to file. Bucket 2A: Includes PW’s where all work is understood to be complete by May 13, 2013 for Superstorm Sandy and July 27, 2012 for Hurricane Irene and Tropical Storm Lee but shows up in FEMA's EMMIE system as less than 100% complete. The completion percentage in EMMIE lags behind the real-time status of projects. Bucket 2A Procedure: PW is not subject to the Davis Bacon Related Act. Required source documentation to demonstrate completion by May 13, 2013 for Superstorm Sandy and July 27, 2012 for Hurricane Irene and Tropical Storm Lee and “Bucket 2A Justification Memo” are added to file. Bucket 2B: Includes PW’s where the work is ongoing and not completed, PW’s show as less than 100% complete in EMMIE, and the work remaining as of May 13, 2013 for Superstorm Sandy and July 27, 2012 for Hurricane Irene and Tropical Storm Lee, the Grant Agreement dates, would be subject to Davis-Bacon standards. Bucket 2B Procedure: For those PWs which include construction work which triggers Davis Bacon, GOSR will ensure compliance with Davis-Bacon requirements. GOSR will instruct applicants to amend existing contracts to include Exhibit E as provided by GOSR, which outlines Davis-Bacon standards that all contractors and subcontractors must adhere to. GOSR will provide additional Davis Bacon TA to these grantees to ensure that they are compliant with Davis Bacon for this universe of projects. Each PW file will have a Davis Bacon checklist which will track Davis Bacon for the life of the PW and ensure compliance. GOSR staff will complete the checklist for each file. Construction conferences are held with the applicant and contractor for each project to outline the steps to ensure Davis Bacon compliance. All contractors and subcontractors are trained by GOSR and instructed

November 2016 NY Rising Infrastructure Program Page 60 of 126 Policy and Procedure Manual Version 2.1 to utilize the Elation system to submit all Davis Bacon required paperwork including certified payrolls. GOSR is utilizing the Elation System as the system of record for all Davis Bacon documentation. Bucket 3: Includes PW’s that have not started construction to date. Bucket 3 Procedure: All construction work must comply with Davis-Bacon standards. GOSR will instruct applicants to include Exhibit E in all bid packages and contracts, outlining Davis-Bacon standards that all contractors and subcontractors must adhere to. GOSR will provide additional Davis Bacon TA to these grantees to ensure that they are compliant with Davis Bacon for this universe of projects. Each PW file will have a Davis Bacon checklist which will track Davis Bacon for the life of the PW and ensure compliance. GOSR staff will complete the checklist for each file. Pre-construction conferences are held for each project. All contractors and subcontractors are trained by GOSR and instructed to utilize the Elation System to submit all Davis Bacon required paperwork including certified payrolls. GOSR is utilizing the Elation System as the system of record for all Davis Bacon documentation. Additionally, all Davis Bacon payroll reviews will occur following the NY Rising Monitoring and Compliance Manual – Davis Bacon Standard Operation Procedures. b. The Copeland Act (Anti-Kickback Act) The Copeland Act makes it a Federal crime for anyone to require any laborer or mechanic (employed on a Federal or Federally- assisted project) to kickback (i.e., give up or pay back) any part of their wages. The Copeland Act requires every employer (contractors and subcontractors) to submit weekly certified payroll reports (CPRs) and regulates permissible payroll deductions. c. NYS Department of Labor - The Bureau of Public Work Under New York State Labor Law, contractors and subcontractors must pay the prevailing rate of wage and supplements (fringe benefits) to all workers under a public work contract. Employers must pay the prevailing wage rate set for the locality where the work is performed. Prevailing wage is the pay rate set by law for work on public work projects. This applies to all laborers, workers or mechanics employed under a public work contract. GOSR is providing assistance through TA to ensure that applicants are adhering to labor compliance. 4.3.6.2 FEMA PA Non-Federal Share Local Match: PW Funding Review Process GOSR will analyze PWs by disaster, utilizing the disaster period declared by FEMA. Within each disaster GOSR will review PWs with a focus on HUD-declared most impacted counties. Within a county, GOSR will prioritize reviews of FEMA emergency response categories (A and B) before reviewing those PWs corresponding to permanent work (C-G). GOSR will then review specific PWs based on the FEMA-determined size threshold (Small or Large) and the project completion status, focusing on those projects that are closest to being 100% complete. GOSR will prioritize

November 2016 NY Rising Infrastructure Program Page 61 of 126 Policy and Procedure Manual Version 2.1 reviews based on the following elements:  Disaster date  Location  FEMA Category  Project Size  Project Completion Status 4.3.6.3 Large Projects Funding Recommendations Prior to April 1, 2015, GOSR and its vendors analyzed large PWs and made payment recommendations based on the current project completion status listed in the Entire Application form for each PW contained in EMMIE. This approach was used under the assumption that the application in EMMIE contained the most up-to-date project status. GOSR has since modified its review and funding recommendation policy for large projects, as the percent complete field shown in EMMIE was found to often be inaccurate. After April 1, 2015, GOSR will analyze all large projects by initially conducting an assessment to determine if the necessary files and supporting documentation are maintained in EMMIE. GOSR and/or its vendor will directly communicate with applicants to assess the completion status for all large projects. As needed and determined by the percent complete, GOSR will obtain documentation, as needed, through the document retrieval process. If projects are not complete, GOSR will provide TA and assist applicants so that they remain in compliance with HUD CDBG- DR and other federal guidelines as contained in this manual. Large match payment recommendations will be made when projects are complete and a full review of the file is complete. While partial, or progress, payments are consistent with the DHSES and FEMA’s policy on funding large projects, GOSR will only pay the match on PWs that can be confirmed as 100% complete. Because FEMA funds the majority of a project’s cost through the provision of a Federal share payment, and DHSES has a system in which applicants who have opted-in to the FEMA PA Non-Federal Share Local Match Program can be advanced match payments corresponding to a project’s completion status, GOSR does not expect this policy change to adversely affect applicants.

As outlined by FEMA, Large Projects are funded using a final accounting of actual costs. The steps for processing a large project are described below. 1. A Project Worksheet is prepared by the Project Officer. FEMA approves funding using the estimate and obligates the federal share of the funds to the state. 2. As the project proceeds, the Applicant periodically requests funds from the state to meet expenses that have been incurred or that are expected in the near future. 3. When the project is complete, the State determines the final cost of accomplishing the eligible work, often performing inspections or audits to do so. The state then submits a report on the completed project to FEMA, certifying that the Applicant's costs were incurred during the completion of eligible work. Upon completion of this process, a Final Inspection Report (FIR) is released by FEMA.

November 2016 NY Rising Infrastructure Program Page 62 of 126 Policy and Procedure Manual Version 2.1 4. After reviewing the State's report, FEMA will consider adjusting the amount of the grant to reflect the actual cost of the FEMA eligible work. While proceeding with the project, the Applicant must ensure that grant funds are only used for eligible work. When reviewing final costs, GOSR cannot provide funds for costs that are outside the scope of work approved by FEMA. This action ensures that the FEMA PA Non-Federal Share Local Match payment made on the behalf of the applicant meets a HUD CDBG-DR tie to the storm and that documentation maintained in GOSR files is comprehensive for the work performed. 4.3.7 Special Large Projects On a case by case basis, GOSR will review special projects outside of the order of prioritization identified in this section. Special projects include, but are not limited to, projects funded under FEMA’s 428, or Public Assistance Alternative Procedures (PAAP), Pilot Program. In addition, PWs with significant funding amounts, unique scopes of work, and those projects requiring specific HUD input and approval will be prioritized for reviews. Special large projects identified through the FEMA PA Non-Federal Share Local Match Program include eligible PA performed on the Long Island Power Authority’s (LIPA) Transmission and Distribution System and Nassau County’s Bay Park Wastewater Sewer Treatment Plant.

4.3.7.1 Long Island Power Authority Payments (LIPA) LIPA, a public utility company, is eligible for CDBG-DR assistance through the FEMA PA Non- Federal Match Local Match Program for eligible activities. Recognizing the magnitude of damages and the need to make this critical infrastructure asset more resilient to future disaster events following two major hurricanes, the State with LIPA worked with FEMA to apply for FEMA’s 428, or Public Assistance Alternative Procedures Pilot Program. . GOSR will assist LIPA with match payments for those activities which addressed the immediate restoration of the Transmission and Distribution System damaged by Hurricane Irene and Superstorm Sandy. GOSR’s non-Federal share match payment reimburses the State General Fund, managed by the Division of Budget (DOB), for LIPA’s eligible restoration costs. These match payments are made upon consultation with HUD CPD staff. GOSR maintains a library of all documents related to the non-Federal share match payment in the GOSR data warehouse—including those downloaded from FEMA’s database and those items requested and obtained from LIPA. As outlined in this manual, LIPA’s payment was over the threshold of $20 million dollars in a FEMA PA Non-Federal Share Local Match payment, therefore triggering an additional set of reviews for the project.

4.3.7.2 Bay Park Wastewater Treatment Facility As a public facility, Bay Park Waste-water treatment facility was eligible to receive FEMA PA funding following Superstorm Sandy. Recognizing the magnitude of damages and the need to make this critical infrastructure asset more resilient to future disaster events, the State with Nassau County worked with FEMA to apply for FEMA’s Public Assistance Alternative Procedures Pilot Program, or 428 Program. A settlement was reached between FEMA, the State and Nassau County that provided $810,708,377 to not only repair but also to make the facility more resilient to future

November 2016 NY Rising Infrastructure Program Page 63 of 126 Policy and Procedure Manual Version 2.1 storms. This FEMA PA Non-Federal Share Local Match payment exceeds the $20 million dollar threshold outlined in this document, and therefore triggering a separate set of procedures to be followed. Bay Park will follow the Local Government and Critical Infrastructure Sub-Program procedures for implementation located in Section 8 of this document. 4.3.8 Small Projects Funding Recommendations “Small Projects” are fully funded by FEMA at the time the applicant submits their first payment request to FEMA, regardless of completion percentage. Therefore, GOSR will conduct its review of each small project following its process and guidelines and may pay up to 100% of the Non- Federal Share of eligible costs once a review has been completed.

This funding recommendation policy for 100% of the Non-Federal Share is consistent with the DHSES process for funding small projects. DHSES releases payment for small projects based on the FEMA small project Validation Process.

The Validation Process7 completed by FEMA and outlined below, is initiated prior to GOSR review of the file. GOSR will analyze all small projects, initially conducting an assessment to determine if the necessary files and supporting documentation is maintained in EMMIE. GOSR and/or its vendor will then, as needed, communicate with applicants in an effort to obtain documentation. This will be done through the document retrieval process explained above. GOSR will provide TA and assist applicants so that they remain in compliance with HUD CDBG-DR and other Federal guidelines as described below: 1. Visit the sites to confirm all aspects of the project description are accurate; complete and all Special Considerations have been identified. 2. Confirm the damage description is complete, accurate and eligible. 3. Confirm the scope of work is complete, accurate and eligible. 4. Review all actual cost records to ensure completeness, accuracy and eligibility. 5. Review the cost estimate to ensure it is complete, reasonable and eligible. Upon completion of the Validation Process and analysis of the results, FEMA releases funds, under the following auspices: 1. Funding for all small projects without Special Considerations that have been validated and have had corrections made, are obligated at one time. 2. Projects needing reformulation are obligated as each PW is completed and reviewed. 3. Small Projects with Special Considerations are obligated as each one completes the necessary Special Considerations review. 4. Small projects submitted after 30 days from the kickoff meeting may be validated on an individual basis and will be obligated as each validation is completed.

7 Federal Emergency Management Agency, Public Assistance Program Validation of Small Projects, 9570.6 SOP, September 1999, http://www.fema.gov/media-library-data/20130726-1847-25045- 1794/9570.6_validation_of_small_projects_sop.pdf

November 2016 NY Rising Infrastructure Program Page 64 of 126 Policy and Procedure Manual Version 2.1 4.4 Records Management GOSR established record keeping and retention requirements in accordance with the guidelines established in 24 CFR 570.503(b)(2). For GOSR, documentation must be maintained for a minimum of five years after project close-out and be available to GOSR or HUD for review and monitoring upon request.

4.4.1 SharePoint: PA Infrastructure Site for Recovery Management GOSR developed a SharePoint Infrastructure Site that stores and maintains the required documentation for the FEMA PA Non-Federal Share Local Match Program. The system was also built to efficiently review FEMA PWs and assess the eligible scope of work in concert with the regulations for CDBG-DR Funding. The SharePoint system and the State’s network I:Drive server serves as the official system of record for all PW reviews and associated processes for a complete funding recommendation. Utilizing GOSR’s SharePoint system, GOSR has created a PA Infrastructure site to track every PW eligible to receive match funding using a corresponding Review and Recommendation page. From this page a three-level review designed to ensure compliance with eligible CDBG-DR activities, determine the presence of supporting documentation in GOSR’s I: drive, and ascertain project status and size can be performed. An Eligibility Analyst (EA), Eligibility Analyst Manager (EM), and Project Manager (PM) comprise the first three levels of review. Based on the compliance review and funding review policy outlined above in this manual, a funding recommendation is made that takes ineligible costs and missing documentation into account. The procedures for the compliance review and funding review processes are outlined in Exhibit 10.

4.4.1.1 SharePoint: PA Infrastructure Approval Procedures Once the Project Manager signs off on the Review and Recommendation page indicating that the compliance, funding, and procurement reviews are complete, the file is transferred to the GOSR Coordinator queue. The coordinator is responsible for comparing the funding recommendation to the current payment status supplied by the DHSES, checking FEMA’s EMMIE system to ensure that the recommendation corresponds to the current PW version and project amount, and ensuring that all calculations are accurate. Upon sign-off by the GOSR Coordinator, the Review and Recommendation page is transferred to the GOSR Manager queue. The manager review represents a final check before sign-off triggers the transfer of the PW to an IDA Microsoft Access tool built by GOSR. The tool serves to consolidate all PWs ready for draw and facilitates the creation of a draw request form. Prior to the actual draw request being sent to HUD, the draw request form is shared with DHSES’ Finance Department and DoB so that the State can complete one final review to ensure that the recommended draw amount can be reimbursed to the State. This final action also ensures that once funds are transferred to the State from HUD they can quickly be transferred to the general fund and credited to the appropriate PW in compliance with HUD requirements. Components of the three-level review include the population of a Document Checklist, Cost Documentation Review spreadsheet (for Large projects), Procurement Documentation Review

November 2016 NY Rising Infrastructure Program Page 65 of 126 Policy and Procedure Manual Version 2.1 spreadsheet, and the sections of the Review and Recommendation page. The DR Infrastructure site documents the review and approval process including noting where PWs are assigned to an Eligibility Analyst (EA) and Eligible Analysis Manager (EM) for review. By assigning a PW to a particular EA, EM, and Project Manager (PM), the workflow is initiated (i.e. Review and Recommendation and CDBG Checklist for that respective PW); and the EA, EM and PM are notified that a PW is in their queue for review.

FIGURE 2: PW REVIEW ASSIGNMENT QUEUE

The image above shows the review queue as currently set up in the DR Infrastructure SharePoint for EA, EM, and PM. The EA will complete both the CDBG-DR/PA Review and Recommendation AND the CDBG-DR/PA Review Checklist. The EM and PM will subsequently review the documentation and sign off as necessary. After the EA, EM, and PM sign-off on the CDBG-DR/PA Review and Recommendation the GOSR Coordinator is notified that the funding recommendation for a PW is pending their review. Subsequently, after the GOSR Coordinator signs-off on the CDBG-DR/PA Review and Recommendation, it is then ready for FINAL sign-off by the GOSR Manager.

FIGURE 3: SHAREPOINT GOSR COORDINATOR SIGN-OFF QUEUE

November 2016 NY Rising Infrastructure Program Page 66 of 126 Policy and Procedure Manual Version 2.1

FIGURE 4: CDBG-DR/PA REVIEW AND RECOMMENDATION SHAREPOINT STATE SIGN-OFF SCREEN

The above Image shows the GOSR Coordinator and GOSR Manager Sign off screen from the DR Infrastructure SharePoint page. Once the GOSR Manager conducts their FINAL review of the information within the CDBG- DR/PA Review and Recommendation, and signs-off, the data/documentation/recommendation is then forwarded to IDA Microsoft Access tool for eventual inclusion in a draw request form to be sent to GOSR Finance. 4.4.2 Cost Documentation Review The CDR spreadsheet is used to capture financial documentation associated with each PW. Within the DR Infrastructure Site there is also a Document Library that “houses” the Cost Documentation Review Template. An Eligibility Analyst, Eligibility Analyst Manager and/or a Project Manager has the ability to create a “New Document” (screen shot below) and begin recording all necessary documentation pertinent to the review. The Cost Documentation Review Spreadsheet associated with a PW will be a living document and as information is received/reviewed, the document can (and will) be updated. Furthermore, as a CDBG-DR Review and Recommendation is updated or modified within SharePoint, the information will flow seamlessly to the Cost Documentation Review Spreadsheet.

FIGURE 5: COST DOCUMENTATION REVIEW SPREADSHEET SCREEN

4.4.3 Procurement Documentation Review Prior to March 8, 2015, GOSR utilized the retrieval process to document procurement for PWs. Due to the large amount of PWs, GOSR implemented the Procurement Documentation Review spreadsheet to provide additional tracking of the procurement documentation. Following March

November 2016 NY Rising Infrastructure Program Page 67 of 126 Policy and Procedure Manual Version 2.1 8, 2015, a Procurement Documentation Review is completed in conjunction with the CDR for both Large and Small PWs associated with Superstorm Sandy, Winter Storm Nemo, and Upstate Flooding.

4.4.4 Reporting After the review of a Project Worksheet (along with the supporting documentation) and the eligible scope of work is assessed to see if it meets the requirements for CDBG–DR funding with FEMA- Public Assistance, all pertinent information flows to the Infrastructure Dashboard.

FIGURE 6: GOSR PA CDBG-DR DASHBOARD

The review of a PW is a point-in-time review that is documented by the percentage of work complete in EMMIE and review date that is inputted into in the tracker or signed-off in SharePoint. This information will act as a “Stop-Light/Risk Analysis” for identifying eligible CDBG-DR funding to offset the state/local share. The “Stop-Light/Risk Analysis,” along with the CDBG National Objective, allows for accurate and timely reporting on eligible CDBG-DR funding to be potentially disbursed.

FIGURE 7: GOSR FEMA PA LOCAL MATCH REVIEW TRACKER

4.4.5 QA/QC of Hurricane FEMA PA Match Files For FEMA PA Non-Federal Share Local Match payments where the total PW is equal or above $1,000,000 in total PW costs, the State is putting in place increased internal audit functions prior

November 2016 NY Rising Infrastructure Program Page 68 of 126 Policy and Procedure Manual Version 2.1 to payments being made. From a non-Federal share perspective this represents a $250,000 match payment for Hurricane Irene, Tropical Storm Lee, winter storm NEMO and Upstate Floods. For Superstorm Sandy this equates to a $100,000 match share payment. In summary, at a minimum, match payments that exceed this threshold have two internal reviews done by the GOSR prior to a payment being made. For the remaining large projects where the total PW is under $1,000,000 but is classified by FEMA as a large PW, and where the FEMA PA Non-Federal Share Local Match payments are less than $250,000 for Hurricane Irene, Tropical Storm Lee, winter storm NEMO and Upstate Floods, and less than $100,000 for Superstorm Sandy, GOSR conducts a QA/QC of files based off of the monitoring and compliance FEMA PA Risk assessment thresholds. Beginning in April 2015, where applicable all QA/QC of files is completed prior to payment. Prior to April 2015, GOSR completed a QA/QC on the PWs funded using the Hurricane Irene/Tropical Storm Lee allocation, GOSR also completed an additional QA/QC of the 15 PWs with the largest PW total cost. For PW’s funded with Superstorm Sandy allocation prior to April 2015, there was an additional review completed on the 25 PWs with the highest Non-Federal Share recommended match payment. Additionally, on an as needed basis additional QA/QC was performed. Additionally, some reviews were completed post payment due to the fact that payments were made prior to the creation of GOSR.

4.4.5.1 Risk Assessment In coordination with GOSR’s Monitoring and Compliance team, a risk assessment will be completed for each small PW in the FEMA PA Match Program. This risk assessment will inform the frequency of additional QA/QC prior to payment and program monitoring. A copy of the risk assessment is available in Exhibit 11.

4.4.6 FEMA PA Non-Federal Share Local Match Program Technical Assistance All program participants who opt into the Superstorm Sandy, Winter Storm NEMO, and Upstate Floods FEMA PA Non-Federal Share Local Match Program are required to attend in person a Round 1 TA Training Workshop that explains the rules and general information for compliance with the CDBG-DR program as utilized in conjunction with the FEMA PA Non-Federal Share Local Match Program. As applicants start initiate PA projects or continue with projects that are already underway, they must attend a second webinar that goes deeper into the rules and regulations for compliance and establishes timelines for their projects. Once the program participants have attended a Round 1 TA workshop and participants are moving forward through the required webinars, the PA Match Teams would be run similar to the document retrieval process. They would first be available through phone conferences or e-mails to assist the participants through the initial stages of a CDBG-DR funded activity including the procurement process, stressing all the GOSR requirements and making sure the applicant remains compliant. As the participants notify GOSR that a new project is starting the procurement process, the PA Match Team would assist with this process and then sit down, in a one on one meeting as part of

November 2016 NY Rising Infrastructure Program Page 69 of 126 Policy and Procedure Manual Version 2.1 a “pre-construction” conference, with the applicant, contractor(s) and any subcontractor(s). For projects already in progress prior to the start of this process, the infrastructure team members would assist from this point forward and work with participants to build files with all back certified payrolls, assuring Davis Bacon compliance and other HUD required documents. They would assist the applicant, contactor(s) and subcontractor(s) with registration with Elations Systems and meeting all other compliance issues. For projects that were completed prior to the start of this process, the teams will work with the participants, as previously done for Irene (4020) and Lee (4031) to build files and collect necessary documentation. GOSR’s TA is included but not limited to the following areas:  CDBG- DR National Objective Compliance;  CDBG-DR Eligible Activity Compliance;  Financial Management and reporting;  General Record Keeping Requirements;  Procurement;  Environmental Requirements;  Cross Cutting and other federal requirements such as: a. FHEO Requirements b. Section 3 c. Section 504 d. Compliance with the American Disabilities Act of 1990 e. EEO f. Labor Standards including Davis Bacon 4.4.7 FEMA PA Non- Federal Share Local Match Program Monitoring and Compliance While match payments reimburse the State General fund which is managed by DoB, GOSR will pay particular attention to ensuring that the use of funds by the public entities are disaster related, and that the entity complies with primary federal funding source rules and regulations in addition the requirements from GOSR. While public entities in New York have traditionally been allowed to maintain and contain supporting documentation at the public entities location, GOSR while relying on the eligibility determination and accounting analysis by the primary State and federal agency, will obtain necessary supporting documentation from applicants and transfer these items to GOSR data warehouse to facilitate monitoring. GOSR’s programmatic staff will also conduct random sampled site visits of applicants to ensure compliance with program requirements. Additionally, the program staff will be providing a series of TA workshops to these public entities so that files and documents are maintained in a compliant manner. For FEMA PA Non-Federal Share Local Match Program, GOSR will work closely DHSES and the DoB to address changes and findings for projects funded to applicants with these disaster recovery resources.

November 2016 NY Rising Infrastructure Program Page 70 of 126 Policy and Procedure Manual Version 2.1 4.4.7.1 Monitoring of Hurricane Irene and Tropical Storm Lee CDBG-DR funded FEMA PA Non-Federal Share Local Match Program Once PWs are confirmed completed and reviewed by DHSES with a match reimbursement payment made, the Infrastructure PA match team will conduct a combination of remote monitoring and on-sight monitoring for the Hurricane Irene and Tropical Storm Lee CDBG-DR Allocation funds which were used for FEMA PA Non-Federal Share Local Match payments. All completed FEMA defined Large PWs for these two storms will have applicant based on-sight monitoring performed. . The Infrastructure PA Match team will perform desktop (remote) monitoring for each Hurricane Irene/Tropical Storm Lee funded applicant whose PW match payment corresponds to a FEMA defined small PWs. The Infrastructure PA match team will sample 10% of each applicant’s total PWs for desktop monitoring with a minimum sample of at least 1 sample from each. All desktop (remote) monitoring will occur once the PW is confirmed completed and reviewed by DHSES, and DHSES notifies GOSR the PW is 100% complete. In addition to the desktop monitoring of these files in the I:drive files, the program team may decide to send a “monitoring survey” to applicants with small PWs to compliment the desktop (remote) monitoring process. It may also conduct increased monitoring or require on-sight reviews if discrepancies are found.

4.4.7.2 Monitoring of Superstorm Sandy CDBG-DR funded FEMA PA Non-Federal Share Local Match Program The Infrastructure PA match team will conduct a combination of remote monitoring and on-sight monitoring for the Superstorm Sandy CDBG-DR Allocation funds used for FEMA PA Non- Federal Local Match payments. All completed FEMA defined Large PWs for these two storms will have applicant based on-sight monitoring performed for FEMA defined Large PWs. Once PWs are confirmed completed and reviewed by DHSES with a match reimbursement payment made. The Infrastructure PA match team will perform desktop (remote) monitoring for each Superstorm Sandy funded applicant whose PW match payment corresponds to a FEMA defined small PWs. The Infrastructure PA match team will determine the amount of FEMA defined small PWs to monitor based on budgetary restrictions and internal program determinations. All desktop (remote) monitoring will occur once the PW is confirmed completed and reviewed by DHSES, and DHSES notifies GOSR the PW is 100% complete. In addition to the desktop monitoring of the I:drive files, the program team may send a “monitoring survey” to applicants with small PWs to compliment the desktop (remote) monitoring process. It may also conduct increased monitoring or require on-sight reviews if discrepancies are found.

4.4.7.3 Monitoring Procedures for FEMA PA Non-Federal Share Match Activities Additionally, as CDBG-DR budget permits, the Monitoring and Compliance team will conduct a combination of remote monitoring and on-sight monitoring for the match payments made by GOSR. Monitoring frequency and thresholds will determined based on the outcomes of a risk assessment developed by the GOSR Infrastructure and Local Government Program staff and GOSR’s Monitoring and Compliance teams.

November 2016 NY Rising Infrastructure Program Page 71 of 126 Policy and Procedure Manual Version 2.1 Individual Monitoring Strategy

1. The PA Match Program and activities will be the subject of the monitoring review and performed by the PA Match Teams. 2. Documentation will be submitted to the participant that lists all CDBG-DR required data that needs to be submitted and will be reviewed prior to payment to the participant to be submitted 3. Each team member will be responsible to review all program aspects Monitoring Visit The process for the monitoring visit breaks down to four pieces: Notification, Entrance Conference, Assessment Process, and Exit Conference. A. Notification to the Program Participant. After the monitoring strategy has been developed, communicate with the program participant to establish a date (whether on-site or remote). Once a date has been set, a formal written letter to the program participant is to be sent. This letter should be sent at least two -three weeks prior to the monitoring. The letter will discuss the monitoring schedule, identify the areas to be reviewed, and the names and titles of the staff conducting the monitoring. For on-site monitoring, the letter should confirm the need for any required services (e.g., conference rooms, telephones, and computers). For remote monitoring, the letter should identify specific information to be submitted by the program participant and a timeframe for submission. B. Entrance Conference. The purpose of the entrance conference is to: 1. Explain how the monitoring will be conducted; 2. Verify the programs/activities to be reviewed and, if on-site, how access to files and work areas will be granted (some programs files can be sensitive; some work areas can be hazardous). C. The Assessment Process. This entails interviews and file reviews to verify and document compliance and performance. The Monitoring Guide questions are designed to assess and document compliance with program requirements based upon:

a. File reviews to determine the accuracy of the information, using both automated and manual data and reports submitted to GOSR by the program participant; and b. Interviews with program participant staff, contractors, subrecipients, and clients to clarify and determine the accuracy of the information, assess level of satisfaction with the provision of services or the “end products,” and document performance. Because it is unlikely that the PA Match Team reviewer will be able to monitor all of a program participant's activities, projects and/or functions, or even review activities in a specific area spanning a participant’s entire program year, sampling is generally expected

November 2016 NY Rising Infrastructure Program Page 72 of 126 Policy and Procedure Manual Version 2.1 to form the basis for drawing conclusions about the program participant's performance. For nonrandom samples, PA Match Team reviewers should give consideration to unresolved problems remaining from previous monitoring, any new types of activities being undertaken, and/or the extent of any activities considered high risk. Any sample review or spot-check of program participant records that raises questions concerning the accuracy of the data indicates the need for further follow-up. D. Exit Conference. At the end of the monitoring review, PA Match Team conducts an exit conference with the appropriate participant officials or staff to discuss preliminary conclusions. In part, this serves to confirm the accuracy and completeness of the information used to form the basis for the monitoring conclusions. It may also highlight areas of disagreement between GOSR and the participant. The PA Match Team reviewer is responsible for using the “Monitoring Summary Form”, not only to prepare for the exit conference by clearly and concisely summarizing the conclusions, but also to document the issues discussed at the exit conference, the date and time of the meeting, and the names and titles of the attendees. To the extent that a program participant signifies disagreement, the basis for any objections should be noted. Monitoring Letter Within 60 days after completion of monitoring, GOSR sends written correspondence to the program participant describing the results – in sufficient detail to clearly describe the areas that were covered and the basis for the conclusions. Each monitoring letter is to include: A. The program, project or entity monitored; B. The dates of the monitoring; C. The name(s) and title(s) of the PA Match Team staff who performed the monitoring review; D. A listing of the program/project/activity areas reviewed (which, in most cases, will repeat the areas outlined in the notification letter to the participant); E. If applicable, a brief explanation of the reasons why an area specified in the notification letter was not monitored F. Monitoring conclusions G. If applicable, clearly labeled findings and concerns H. If there are findings, an opportunity for the program participant to demonstrate, within a time prescribed by GOSR, that the participant has, in fact, complied with the requirements; I. Response time frames, if needed; J. An offer of TA, if needed, or a description of TA provided during the monitoring. 4.4.8 Program Closeout The project closeout will occur in coordination with DHSES closeout of the FEMA PA Match program. GOSR and or DSHES staff will complete the closeout process. a. Approved work, PW, has been finished; b. Any other responsibilities detailed in the FEMA PA Match program have been fulfilled; and

November 2016 NY Rising Infrastructure Program Page 73 of 126 Policy and Procedure Manual Version 2.1 c. All monitoring or audit findings have been cleared.

Further program closeout procedures are still under development.

November 2016 NY Rising Infrastructure Program Page 74 of 126 Policy and Procedure Manual Version 2.1 5.0 Hazard Mitigation Grant Program (HMGP) Global Match Strategy Policy FEMA makes HMGP funding available to communities after a Presidential disaster declaration to fund projects that reduce risk to individuals and properties with a goal of diminishing reliance on Federal disaster funding in the future. The amount of funding available to the State after a disaster is directly correlated to the amount of eligible expenses associated with and approved through the FEMA PA and Individual Assistance IA Programs. Similar to the FEMA PA Non-Federal Share Local Match Program, FEMA HMGP requires a Non-Federal Share Match of 25% of the total project cost. While HMGP grants are provided to individual communities and eligible entities, DHSES, is considered to be the applicant, or grantee, of HMGP funds as they are the State’s responsible entity for the administration and management of the Hazard Mitigation Grant for disasters. Similar to GOSR’s relationship with HUD, DHSES ultimately maintains the primary responsibility for HMGP in its entirety and for each grant cycle in New York and ensures that projects are in compliance with FEMA requirements. GOSR works in close coordination with DHSES to review and recommend HMGP projects to FEMA as well as leads the State’s effort in identifying and maximizing funding sources that are needed to satisfy the 25% HMGP Non-Federal Share Match requirement. Table 5 below shows the HMGP awards that were awarded to New York from 2011 to 2013.

TABLE 5: HMGP FUNDING BY DISASTER Declared Disaster Disaster Year 2011 1957 – Severe Winter Storms and Snowstorms

2011 1993 – Severe Storms, Flooding, Tornadoes, and Straight Winds

2011 4020 – Hurricane Irene

2011 4031 – Tropical Storm Lee

2012 4085 – Superstorm Sandy

2013 4111 – Severe Winter Storm and Snowstorm

2013 4129 – Severe Storms and Flooding

November 2016 NY Rising Infrastructure Program Page 75 of 126 Policy and Procedure Manual Version 2.1 5.1 Global Match Strategy In 2014, GOSR, in coordination with DHSES and DoB, established an agreement with FEMA which allowed the State to use CDBG-DR funds as a Non-Federal Share Match for HMGP funding. The activities undertaken with CDBG-DR funds by GOSR are in compliance with both HUD regulations and FEMA HMGP regulations. To fulfill the State’s Non-Federal Share Match requirement, GOSR operates two HUD eligible programs: the NY Rising Buyout and Acquisition Program and the Local Government and Critical Infrastructure Sub-Program. The sections that follow outline how these two programs requirements meet the HMGP Non-Federal Share Match requirement. The Buyout and Acquisition Program policies and procedures are documented in the Buyout and Acquisition Program manuals and can be found at www.stormrecovery.ny.gov. The Local Government and Critical Infrastructure Sub-Program policies and procedures can be found in Section 7.0 and 8.0 of this manual. As noted, GOSR continues to work in coordination with DHSES to maximize the utilization of CDBG-DR funds for HMGP Non-Federal Share Match.8 Leveraged together, HMGP and GOSR’s CDBG-DR programs ensure that New Yorkers receive the greatest benefit from funding while rebuilding in smarter, more resilient ways. By utilizing CDBG-DR funding to cover the HMGP Non-Federal Share Match, these two funding source leverage federal dollars to areas so that storm impacted communities do not need to pay a Non- Federal Share Match. Table 6 shows how a standard HMGP project is financed. In this scenario each project the applicant provides 25% cost share with FEMA providing 75% Federal share. The Federal Hazard Mitigation Grant Program and the FEMA Public Assistance Grant Program both require the recipient, New York State, to provide matching contributions. Required Non- Federal Match contributions vary from 10% to 25% depending on the program and storm. GOSR uses CDBG-DR to meet its Non-Federal Share Match requirements. Utilizing an approach known as Global Match, GOSR meets this requirement on aggregate level across multiple projects rather than a project-by-project level. This approach simplifies program administration by allowing the State to concentrate its Non-Federal Share Match spending in a small number of projects rather than funding portions of a large number of projects. GOSR coordinates with DHSES to invest match funds to replace funds advanced by DoB. The tables below show that the percentage of Federal Share and Non-Federal Share obligation for FEMA HMGP is met but the distribution of how it is met varies. In the example below, utilizing Global Match reduces the amount of CDBG-DR funding from a percentage of all projects in HMGP, to a smaller number of fully funded CDBG-DR projects. For example, in Table 6, a portion of all projects are funded with CDBG-DR dollars, and as identified below in Table 7, one project is fully funded with the Non-Federal Match (CDBG-DR) funding. GOSR, FEMA, and DHSES have approved this methodology and approval is referenced in the letters attached in Exhibit 12.

8 FEMA refers to entities who apply through the state designated applicant for HMGP funds as subapplicants and HUD refers to these types of entities as subrecipients. Subrecipients will be used herein and references the same definition for both FEMA and HUD.

November 2016 NY Rising Infrastructure Program Page 76 of 126 Policy and Procedure Manual Version 2.1 TABLE 6: SAMPLE STANDARD HMGP PROJECT BREAKDOWN Projects HMGP Non-Federal Match Total Funding Funding Funding Standard HMGP Project 1 75% 25% 100% Standard HMGP Project 2 75% 25% 100%

Standard HMGP Project 3 75% 25% 100%

Standard HMGP Project 4 75% 25% 100% Total Percentage of Project 75% 25% 100% Costs paid by Program

FIGURE 8: SAMPLE STANDARD HMGP PROJECT BREAKDOWN

1 2

3 4

TABLE 7: HMGP GLOBAL MATCH STRATEGY Projects HMGP Non-Federal Match Total Funding Funding Funding Standard HMGP Project 1 0% 100% 100% Standard HMGP Project 2 100% 0% 100%

Standard HMGP Project 3 100% 0% 100%

Standard HMGP Project 4 100% 0% 100% Total Percentage of Project 75% 25% 100% Costs paid by Program

FIGURE 9: HMGP GLOBAL MATCH STRATEGY

1 2

3 4

Note that funding percentages within Global Match may vary by project. Some projects may receive funding shares other than 75% HMGP and 25% Non-Federal Share Match or 100% HMGP and 0% Non-Federal Share Match based on timing, funding availability, and administrative considerations for individual projects.

November 2016 NY Rising Infrastructure Program Page 77 of 126 Policy and Procedure Manual Version 2.1 Due to budgetary constraints, some HMGP subrecipients will be providing their own Non-Federal Share funding to help meet match requirements. Collectively, the State will ensure that the total dollar value of the Non-Federal funds applied to HMGP projects will equal or exceed the minimum 25% Non-Federal Share Match for the overall statewide HMGP grant award. An advantage of the Global Match Strategy is that the strategy allows the State to utilize eligible CDBG-DR projects located in HUD eligible Hurricane Irene, Tropical Storm Lee, or Superstorm Sandy affected areas to meet the match for all FEMA HMGP disasters. Global match also allows the State to fund some HMGP projects using either 100% FEMA or HUD funds, thus maximizing project funding across the storm-affected areas, and create efficiencies in application and project administration while minimizing the need for individual applicants to comply with two Federal agency requirements. For 100% HUD funded projects some of these projects can further be located in counties and or areas that benefit persons of Low to Moderate Income and meet LMI funding requirements. Projects may initially come to GOSR’s HMGP Global Match Non-Federal Match Share Program through a DHSES and HMGP project or a GOSR and CDBG-DR project. Either way, the Global Match projects are subject to both FEMA and HUD regulations. Subrecipients initially submit projects to DHSES to be considered for HMGP funding. Through this “pre- application” process DHSES, in coordination with GOSR, reviews projects for HMGP eligibility. Additionally, GOSR reviews projects submitted in the “pre-application” phase for CDBG-DR eligibility to determine if they have met HUD HMGP Non-Federal Share Match requirements. Projects selected for the HMGP Non-Federal Share Global Match will either be buyouts or infrastructure projects in storm-affected counties. Buyouts9: Within the HMGP Buyout Program, a government the subrecipient – purchases a flood- prone structure from a willing seller and then demolishes or relocates it to a site outside the floodplain. The purchased property is deed-restricted and maintained as open space in perpetuity to restore and/or conserve the natural floodplain functions. This is similar to HUD Buyouts which are also deed restricted and maintained as open space. HMGP buyout projects purchased through the NY Rising Buyout and Acquisition Program will be subject to the Policies and Procedures of the NY Rising Buyout and Acquisition Program. Infrastructure: HMGP can also be used to address infrastructure needs. Infrastructure projects which are defined as non-buyout mitigation projects are intended to either protect a critical infrastructure asset necessary to the community, mitigate historical structures, or are needed fortify public space or structures such as shorelines, hospitals, and waste water systems. These projects are similar to HUD infrastructure projects 105(a)(2) and these HMGP infrastructure projects will be subject to the Policies and Procedures of the NY Rising Infrastructure Program outlined in this manual. The following section of the Infrastructure manual describes the requirements of the HMGP and GOSR’s policies and procedures for interfacing with the lead agency designated for

9 HMGP defines “acquisitions” as buyouts for deed-restricted open space; this is synonymous with CDBG-DR “buy- outs.” This should not be confused with CDBG-DR “acquisitions” which allow for redevelopment.

November 2016 NY Rising Infrastructure Program Page 78 of 126 Policy and Procedure Manual Version 2.1 the monitoring and compliance of FEMA funds – DHSES – to address changes to and findings for projects whose Non-Federal Share is funded with CDBG-DR funds. 5.2 Meeting the State’s Hazard Mitigation Plan Goals To receive federal mitigation funds, states must maintain a standard Hazard Mitigation Plan that details the State’s natural hazards and vulnerabilities, as well as the mitigation goals and priorities. A community or entity who wishes to receive FEMA HMGP funding after a disaster must have participated in and adopted a FEMA-approved Hazard Mitigation Plan in order to be eligible Projects submitted to DHSES for consideration must be consistent with the objectives of the below outlined New York State Hazard Mitigation Plan. Table 8 outlines the goals of the 2014 State Hazard Mitigation Plan. This is also found on the DHSES website at www.dhses.ny.gov/oem/mitigation/.

TABLE 8: GOALS OF THE 2014 STATE HAZARD MITIGATION PLAN Goals of the 2014 State Hazard Mitigation Plan Goal 1 Promote a comprehensive state hazard mitigation policy framework for effective mitigation programs that includes coordination between federal, state, and local organizations for planning and programs. Goal 2 Protect property including public, historic, private structures, and critical facilities and infrastructure. Goal 3 Increase awareness and promote relationships with stakeholders, citizens, elected officials, and property owners to develop opportunities for mitigation of natural hazards. Goal 4 Encourage the development and implementation of long-term, cost- effective, and resilient mitigation projects to preserve and/or restore the functions of natural systems. Goal 5 Build stronger by promoting mitigation actions that emphasize sustainable construction and design measures to reduce or eliminate the impacts of natural hazards.

5.2.1 Summary of HMGP Pursuant to 44 CFR §13.24 and illustrated in the diagram below, the Federal government has established the Federal cost share for HMGP funds as 75% of total HMGP funding. The remaining funding – 25% at minimum – is matched from Non-Federal sources, which may include a variety of funding sources, including CDBG-DR funding, per 42 U.S.C. 5305(a)(9). 5.2.2 Eligibility Requirements Before any activity, including CDBG-DR funded Global Match activities, can be approved

November 2016 NY Rising Infrastructure Program Page 79 of 126 Policy and Procedure Manual Version 2.1 through the Hazard Mitigation Grant Program, the activity must meet all eligibility requirements outlined in 44 CFR §206, Subpart N as outlined below. Any HMGP project being funded in part by CDBG-DR dollars must meet the below HMGP criteria and CDBG-DR eligibility criteria.

TABLE 9: HMGP CRITERIA SUMMARY HMGP Criteria Summary

 The activity conforms to the State's Hazard Mitigation Plan (see Section 5.3).

 The project has a beneficial impact on the disaster area, i.e. the State (see Section 5.4).

 The project meets the necessary environmental requirements (see Section 5.5).

 The project is autonomous of other projects, solving a problem independently (see Section 5.6).

 The project is considered cost-effective (see Section 5.7).

5.3 Conforming with the State and Local Hazard Mitigation Plans A subrecipient who wishes to receive HMGP funding after a disaster must have a FEMA-approved local or Indian Tribal Mitigation Plan at the time of the disaster declaration and at the time HMGP funding is obligated to the State in order to receive funding. The FEMA Regional Administrator may grant an exception to the local jurisdiction or Indian Tribal mitigation plan requirement in extraordinary circumstances, when justification is provided. If this exception is granted, a local jurisdiction or Indian Tribal mitigation plan must be approved by FEMA within 12 months of the award of the project funds to that community. In order to ensure that the proposed projects are eligible and in line with State and local planning initiatives, projects will be reviewed against both the plan adopted by the subrecipient and the State’s plan to ensure that it: 1. Addresses the hazards and risks identified in each plan; 2. Meets the State’s primary goals as identified in the State’s Hazard Mitigation Plan; and, 3. Has one of the actions identified by the subrecipient as a viable mitigation measure in the subrecipient’s adopted plan. If a subrecipient’s proposed project is not in agreement with the State’s HMGP plan, GOSR should notify both the subrecipient and DHSES for possible corrective action. It is often possible for a subrecipient to join a local plan or modify an existing plan with their proposed project in order to meet this requirement. If this happens it will be done in coordination with DHSES and the local planning agencies, and will need to be approved prior to the commitment of funding. 5.4 Beneficial Impact Projects chosen for HMGP funding must have the potential to reduce loss of life and property over the long-term. Further, it must be both feasible and effective, in that it can be completed in a timely

November 2016 NY Rising Infrastructure Program Page 80 of 126 Policy and Procedure Manual Version 2.1 fashion and meets accepted best practices, codes, standards, or techniques. In order to assess beneficial impact of a project proposed for HMGP funding, GOSR will review the “history of hazards” in the impacted area, which includes the number of past disaster events, recurrence of events, amount of damage or loss of life from events, and other data that will provide relevant detail regarding the risk to the area, property, and residents. This information will provide the reviewer of an understanding of the need for action in an area, and can be found in the State Hazard Mitigation Plan or through various other resources, such as meteorological records. Beneficial impact can also be assessed by reviewing possible alternatives or the costs of no action. Subrecipients should provide these possible alternatives within a project proposal, which will be assessed in the same manner as the project for eligibility and cost efficacy. A reviewer will also assess the long-term costs or hazard impact of allowing the hazard to persist with no mitigation at all. If a subrecipient does not provide possible alternatives for their project, GOSR will work with subrecipients to determine possibilities and include them in their final review. A project can be considered to have beneficial impact when the history of hazards demonstrates quantifiable risk to the community over the long-term and when alternatives can be considered ineligible or more costly to the government and/or the community. Cost-effectiveness plays a significant role in beneficial impact; see Section 5.7 for more information on determining cost efficacy. 5.5 Historical and Environmental Requirements Projects funded using HMGP funds must conform to all applicable historical and environmental laws and regulations, as detailed in 44 CFR § 9 and 10. These include National Environmental Policy Act (NEPA), the National Historic Preservation Act (NHPA), the Endangered Species Act (ESA) and Executive Orders 11988, 11990, and 12898 for Floodplain Management, Protection of Wetlands, and Environmental Justice, respectively. This requires that subrecipients identify possible alternative projects and consider any possible impacts to the environment throughout the project approval process. To assess historical and environmental impact, GOSR will review the unique site information provided by the subrecipient on the State Historic Preservation Office’s (SHPO) Building Survey Form. This form will be completed by the subrecipient for infrastructure projects and by individual homeowners for buyout projects. GOSR will ensure that the form is complete and that any necessary supplemental information is gathered from the subrecipient or individual homeowners. Once complete, information will be included in the project application for a FEMA review. Following FEMA’s determination under NEPA, GOSR will, as necessary, adopt the environmental review pursuant to the provisions of Public Law 113-2. Additionally, GOSR’s Bureau of Environmental Review and Analysis (BERA) will work to form cooperative agreements with FEMA for the purposes of coordinating on environmental review determinations, whether made by FEMA or by GOSR under 24 CFR Part 58.

November 2016 NY Rising Infrastructure Program Page 81 of 126 Policy and Procedure Manual Version 2.1 5.6 Utility of a Project To be funded, a project must be independent of other projects, solving a given problem or condition in its own right. More specifically, the efficacy of a project’s hazard mitigation attributes cannot be conditional on the success of other projects. To successfully determine the Utility of a project, GOSR’s reviewers will determine the actual cause of damage and make a determination on whether or not the cause will be mitigated to an acceptable level through the steps related to the project. If not eliminated, the GOSR reviewer will need to determine whether or not the project will mitigate damage if the cause persists. Should additional possibilities for damage be found, or should it be found that more work will be necessary to eliminate causes of damage, GOSR may determine that the project does not have independent utility; GOSR will then work with the subrecipient to either alter the project’s scope to better achieve the project’s intended benefits, or will work with the subrecipient to find a new project to meet the same need. 5.7 Cost-Effectiveness Projects must be cost effective to be eligible for HMGP funding, meaning that the costs of undertaking and maintaining the project over the course of the project’s life must be less than the benefits it poses to bring. Project costs, costs of maintenance over the course of the project’s intended use, and previous damage costs are all included in a Benefit Cost Analysis (BCA) to project the intended savings, or benefit, of the proposed action. In order to determine cost efficacy, GOSR will use the FEMA-approved (BCA Tool, which evaluates the possible benefits of a project when compared directly to the costs associated. Future benefits of a project must be equal to or greater than the costs of the project, leading to a benefit- cost ratio (BCR) of 1.0 or higher in order to be eligible, with higher BCAs showing more cost- effective projects. As noted, alternative projects would also need to be evaluated for cost efficacy prior to rejection. 5.8 CDBG-DR Criteria In order to be administered by GOSR as a part of the CDBG-DR funded Global Match Non-Federal Share Match Strategy, each project will be reviewed for CDBG-DR project eligibility in accordance with 24 CFR §570 and the Federal Register Notices issued for Tropical Storm Lee, Hurricane Irene, and Superstorm Sandy.

November 2016 NY Rising Infrastructure Program Page 82 of 126 Policy and Procedure Manual Version 2.1 TABLE 10: CDBG-DR CRITERIA SUMMARY CDBG-DR Criteria Summary

 The project is located in an eligible county. (see Section 2.1.1.1)

 Project sustained damaged during a qualified storm event. (see Section 2.1.1)

 The subrecipient or homeowner meets one of the CDBG National Objectives. (see Section 2.1.2)

 The project meets HUD environmental requirements (see Section 3.6).

 The project meets one of the defined eligible activities (see Section 2.1.3).

The project also must meet any other Non-Federal Share Match criteria and CDBG-DR requirements outlined in the State’s Action Plans, this Infrastructure manual, and the NY Rising Buyout/Acquisition Manual. 5.8.1 Property Eligibility for CDBG-DR funded Global Match Projects - NY Rising Buyout and Acquisition Program To be eligible to enter the Buyout Program as part of the HMGP Non-Federal Share Global Match Program, potential applicants must have been impacted by Hurricane Irene (August 28, 2011), Tropical Storm Lee (September 7, 2011), or Superstorm Sandy (October 29, 2012), be located in HUD eligible county. The State will prioritize using properties that are part of the GOSR Buyout and Acquisition program that meet HUD and FEMA requirements. Applicants also must have received support from HMGP, a federally-funded disaster recovery program. GOSR will document the storm impact in its Program files; however, it is assumed that by being part of a supported federal disaster recovery program, applicants were impacted by one or more of the three named storms. Projects will not be funded if the project is not related to the impact of the disaster. 5.8.2 Eligibility for CDBG-DR funded Global Match projects - Infrastructure Program For a Global Match project to be funded with CDBG-DR funds under the Infrastructure Program, the project must meet all of the required policies outlined in Section 7.0 of this document for the Local Government and Critical Infrastructure Sub-Program, including being located in a storm impacted county. The project must have been impacted by Hurricane Irene (August 28, 2011), Tropical Storm Lee (September 7, 2011), or Superstorm Sandy (October 29, 2012).. GOSR will document the storm impact in its Program files; however, it is assumed that by being part of a supported federal disaster recovery program, applicants were impacted by one or more of the three named storms. Projects will not be funded if the project is not related to the impact of the disaster. 5.9 HMGP Project Prioritization and Review To prioritize New York State HMGP projects, DHSES and GOSR give preferences to “pre- applications” that meet the HMGP criteria outlined in Section 5.2.2.

November 2016 NY Rising Infrastructure Program Page 83 of 126 Policy and Procedure Manual Version 2.1 As outlined in Section 5.2.2, projects that meet these criteria, GOSR will utilize both DHSES’ HMGP pre-application files and NY Rising CDBG-DR program policy manual to further identify projects for the program. Based on this filtering, projects identified from the existing pool will: 1. Be in a county that is eligible for both HUD and FEMA funding; 2. Be eligible for both HUD and FEMA funding upon review; 3. Project meets eligibility requirements for applicable GOSR CDBG-DR programs; and, 4. Meet the goals of NY Rising, as identified in the introductory section entitled Fulfilling the Principles Established by New York State’s Action Plan. Once identified as potential HMGP Non-Federal Share Global Match projects, GOSR will prioritize these projects based on the following criteria: 1. Location and LMI benefit of a Project 2. Feasibility of HMGP Eligibility and Approval 3. Project Cost 5.10 Location and LMI Benefit of a Project As outlined in the State’s Hurricane Irene and Tropical Storm Lee Action Plan for use of CDBG- DR funds as well as Superstorm Sandy Action Plan and subsequent amendments, CDBG-DR funds were allocated to address the HMGP Non-Federal Share Match needs of the most impacted counties from these events. However, in addition to HUD-defined most impacted counties, all applicants in the Hurricane Irene and Tropical Storm Lee counties are eligible to receive Superstorm Sandy funds.  Superstorm Sandy HUD-defined most impacted counties  Hurricane Irene and Tropical Storm Lee most impacted counties  Eligible impacted LMI counties 5.11 Feasibility of HMGP Eligibility and Approval Projects which are used for HMGP Global Match are not officially approved for Global Match until the project is completed and closed out. Therefore, it is an essential first step to selecting a project for this process to select projects which have strong HMGP and HUD eligibility and meet all of the HMGP requirements outlined in this manual. Ensuring this eligibility and approval from FEMA is key to completing the Global Match Strategy for the State. 5.12 Project Cost Project costs will be a determining factor in the availability of funds within each program and the use of these funds for Global Match projects. Thus, project cost will be measured against funding availability to determine whether or not a project’s inclusion in HMGP is both possible and an effective use of the funding amounts available. Larger projects or more scalable projects will be given preference where possible financially to limit the number of projects exposed to both HUD CDBG-DR requirements and FEMA management requirements and to create efficiencies in project administration. Once GOSR has identified potential projects using the above criteria, GOSR will reach out to

November 2016 NY Rising Infrastructure Program Page 84 of 126 Policy and Procedure Manual Version 2.1 subrecipients to notify them of the available HMGP match, providing any technical training or insight necessary to aid subrecipients in the application and project processes. GOSR will continue to work with DHSES and NY Rising programs to identify new projects as needed to complete FEMA HMGP Non-Federal Match requirements for applicable HMGP allocations, and will continue to communicate with all stakeholders as final determinations are made as to which projects will receive HMGP Global Match funding and which will be funded until standard HMGP or CDBG-DR programs. 5.13 Project Selection and Review Procedures Final HMGP project selection and the amount or percentage of funding that will be allocated from each program – CDBG-DR and HMGP – will be made by the GOSR Managing Director of Infrastructure based on the amount of dollars allocated in the most recent CDBG-DR Action Plan amendment. Dollar amount or cost percentage will be determined based on the project amount and size, with the goal of using the greatest amount of CDBG-DR funding as possible. The amount of funding per project will be regularly measured against the funding available through the CDBG- DR and the FEMA 25% Non-Federal Match requirement to ensure that all funding is obligated to eligible projects and that all grant management requirements are met. 5.13.1 HMGP Application Submission Procedures - Global Match Projects Funded Under the HMGP Non-Federal Match Share Global Match Program For HMGP pre-applications to be matched in whole or in part by CDBG-DR funds as a part of the HMGP Non-Federal Share Match Sub-Program, a Global Match Strategy will be implemented. The Global Match Strategy will include:  Based on review of the pre application, the identification and resolution of documentation-related or eligibility-related issues;  The building of full HMGP applications from pre-applications within the State’s grants management system (if those HMGP applications do not yet exist);  Updating existing HMGP pre-applications as necessary for submission to FEMA;  Creating a CDBG-DR counterpart application as appropriate for the CDBG-DR program which will be funding the project (buyout or infrastructure);  The pursuit of, receipt of and filing of additional supporting documentation that is not essential to the application approval. Once completed, the HMGP applications will be submitted to FEMA through DHSES for review and approval. CDBG-DR applications will be submitted to the NY Rising Buyout/Acquisition Program and the NY Rising Infrastructure Program maintained for HUD review, as necessary. 5.13.2 100% CDBG-DR-Funded Global Match Projects Included in the HMGP Non- Federal Share Global Match Program As outlined in Section 5.0, HMGP projects are identified for CDBG-DR funding through the Global Match Strategy, allowing for the 75% HMGP funds for that project to be used for other FEMA-eligible projects. To include these projects in the HMGP Non-Federal Share Program strategy and best leverage all funds, these projects which will be funded with CDBG-DR funds

November 2016 NY Rising Infrastructure Program Page 85 of 126 Policy and Procedure Manual Version 2.1 will still undergo HMGP review, application development and FEMA approval. As with HMGP projects matched with CDBG-DR Funding, projects being funded wholly or partially by CDBG-DR as part of the HMGP Non-Federal Share Global Match Strategy funding will first be reviewed for eligibility within both programs, after which GOSR Staff will proceed with HMGP and CDBG-DR application creation. Once completed, the HMGP review applications will be submitted to FEMA through DHSES for review and approval. HMGP applications for projects wholly funded by CDBG-DR will require a “zero-dollar” review; that is, no request will be made to FEMA for additional project funding, but the HMGP application will exist to request Non-Federal Share Match credit for CDBG-DR-funded work and will receive a full and standard FEMA HMGP review. CDBG-DR applications will be maintained with the appropriate GOSR program for implementation of the CDBG-DR funded activity as well as HUD review, as necessary and in keeping with similar Policies and Procedures for GOSR.

November 2016 NY Rising Infrastructure Program Page 86 of 126 Policy and Procedure Manual Version 2.1 6.0 Hazard Mitigation Grant Program Global Match Strategy Procedures 6.1 CDBG-DR Funded Global Match Projects Implementation Procedures As indicated in Section 5.0 there are two types of projects which will be selected to fulfill the Global Match requirement, Buyout projects and Infrastructure projects. Each project will follow the below outlined procedures for implementation. These projects will similarly follow and comply with all GOSR identified monitoring and compliance requirements for Buyout and Infrastructure Programs. Global Match projects which receive 100% FEMA HMGP funding will be implemented through DHSES and are not addressed in this manual as there are no CDBG-DR funds tied to these projects. 6.2 Buyout Project Implementation Procedures Buyout designated HMGP projects which are designated to be funded in whole or in part with CDBG-DR dollars for the purposes of meeting the HMGP Non-Federal Match Share requirement, in addition to the Hazard Mitigation Grant Program Global Match policies and procedures; they will follow the NY Rising Buyout and Acquisition Program policies and procedures. Those policies are outlined in the program’s manual which is available on GOSR’s website. 6.3 Infrastructure Project Implementation Procedures Infrastructure designated HMGP projects which are designated to be funded in whole or in part with CDBG-DR dollars for the purposes of meeting the HMGP Non-Federal Share Match requirement, in addition to the HMGP Global Match policies and procedures; they will follow the NY Rising Local Government and Critical Infrastructure policies (outlined in Section 7.0) and procedures (outlined in Section 8.0) of this manual. 6.4 Superstorm Sandy Environmental Adoption Provision As outlined in Section 3.6 of this manual, under PL 113-2, the Superstorm Sandy allocation, grantees are allowed to adopt the environmental review of another federal agency as long as the grantee notifies HUD of this intent. GOSR informed HUD that the State would utilize this provision for the FEMA PA, IA and HMGP Non-Federal Match Payment Program, relying on the environmental review of federal agencies for all eligible applicants when Sandy CDBG-DR funds are used. Thus, HMGP Global Match projects using CDBG-DR funding, in part or in whole, are not required to undergo additional review under 24 CFR Part 58. Additionally, GOSR will work with FEMA to form cooperative agreements to coordinate on all environmental reviews implicating both CDBG-DR and FEMA programs, whether the review is performed by FEMA or by GOSR under 24 CFR Part 58. All other HMGP match projects receiving CDBG-DR funds, including CDBG-DR from the Hurricane Irene and Tropical Storm Lee allocation, will be required to undergo both HUD and FEMA’s environmental review processes, as there is no comparable waiver process. GOSR will work with FEMA to form cooperative agreements or practices to coordinate on all environmental

November 2016 NY Rising Infrastructure Program Page 87 of 126 Policy and Procedure Manual Version 2.1 reviews implicating both CDBG-DR and FEMA programs, whether the review is performed by FEMA or by GOSR under 24 CFR Part 58. 6.5 HMGP Global Match Projects - Additional Implementation Procedures For projects which are designated for the HMGP Global Match Non-Federal Share Match Sub- Program, in addition to meeting the NY Rising policies and procedures and HUD requirements the following implementation procedures will followed: FEMA HMGP Approval: All applications, including zero dollar applications, are submitted to FEMA for approval. GOSR HMGP match team will work with DHSES and FEMA to ensure that these projects which are being used in the Global Match Strategy, are approved by FEMA. FEMA HMGP Monitoring: Those projects with a FEMA approved application, including zero dollar applications, which are part of the Global Match Strategy, will undergo monitoring from both the CDBG-DR funded program as well as through FEMA/DHSES. This dual monitoring will ensure that both the FEMA requirements as well as CDBG –DR requirements are being met as these projects are funded in whole or part by CDBG-DR funds. Payment: Projects which are identified as being 100% CDBG-DR funded will follow the payment procedures for either the GOSR Buyout or Infrastructure program with GOSR documenting to DHSES and FEMA that the program match obligation has been met. For projects which are funded in part with FEMA funding and with HUD CDBG-DR funds, GOSR will coordinate with DHSES so that HMGP payments go directly from the State, through the DoB to the subrecipient. 6.6 Closeout The closeout of HMGP will be coordinated with GOSR and DSHES. GOSR will follow DHSES policies for all FEMA requirements related to closeout. This section outlines the closeout of the HMGP Non-Federal Share Match projects which will be funded with CDBG-DR funds. 6.6.1 Closeout of Buyout Projects Buyout designated HMGP Global Match projects will follow the Closeout Procedures for the NY Rising Buyout and Acquisition Program. The GOSR Infrastructure Team, in conjunction with MCD, will ensure that all necessary information from the NY Rising Buyout and Acquisition Program closeout process is shared with the HMGP team to closeout the HMGP Global Match project. Final policies and procedures are still under development for any additional programmatic coordination needed. 6.6.2 Closeout of Infrastructure Projects Infrastructure designated HMGP projects will follow the Closeout Procedures for the NY Rising Infrastructure Local Government and Critical Infrastructure Sub-Program (see Section 8.8). The GOSR Infrastructure Team, in conjunction with MCD, will ensure that all necessary information

November 2016 NY Rising Infrastructure Program Page 88 of 126 Policy and Procedure Manual Version 2.1 from the NY Rising Infrastructure Local Government and Critical Infrastructure Sub-Program closeout process is shared with the HMGP team to closeout the HMGP project. Final policies and procedures are still under development for any additional programmatic coordination needed.

November 2016 NY Rising Infrastructure Program Page 89 of 126 Policy and Procedure Manual Version 2.1 7.0 Local Government and Critical Infrastructure Sub- Program Policies As outlined in the overview of this manual, the Local Government and Critical Infrastructure Sub- program is designed to meet additional unmet recovery needs of communities impacted by Hurricane Lee, Tropical Storm Lee, and Superstorm Sandy. The Local Government and Critical Infrastructure Sub-program is divided into four sectors; Energy Infrastructure Sector, Local Government Sector, Water and Wastewater Infrastructure Sector, and Natural Resource Infrastructure Sector. This overarching program is designed to address unmet needs that are not met through other Federal disaster recovery programs. This program works in close collaboration with the FEMA PA Non-Federal Share Local Match Program and other federal disaster recovery programs to provide recovery assistance for the gaps which are not met through these programs. All projects funded under the four Sub-Program areas will be funded with 100% CDBG-DR funds and must meet all of the requirements outlined in the HUD requirement section of this manual. 7.1 Energy Infrastructure This Sub-Program is designed to both assist with the rebuilding of public energy infrastructure impacted by Superstorm Sandy, Hurricane Irene, and Tropical Storm Lee and to develop innovative energy infrastructure to enhance the resilience of storm impacted communities and enable residents and businesses to recover more quickly from future disasters This Sub-Program will provide funds to address both match requirements for the FEMA PA Non-Federal Share Local Match Program for eligible public energy utilities (LIPA) that were impacted by an eligible storm and to make storm impacted critical community assets more resilient to future events through the construction and development of microgrids. As discussed further below, designs and locations of microgrids will be selected through a competition being run by the State of New York has identified winning designs. LIPA: Sandy made landfall on Long Island crippling the region’s largest public energy system, the LIPA. Just two years earlier in 2012, LIPA’s system sustained massive power loss following Hurricane Irene. LIPA provides service to over 90% of Long Island residents and sections of Long Island were without power for weeks. The total match costs required to restore the LIPA system and others in the State from these events exceeds $200 million dollars. As a public authority, LIPA is eligible for federal programs, including FEMA’s PA program. GOSR will also assist LIPA and other eligible public utilities with rebuilding, repairing, and making more resilient elements of the system that were directly impacted by the storm.

Working in coordination with New York State Energy Research and Development Authority (NYSERDA), where New York’s energy czar is located, GOSR developed creative strategies for addressing power reliability challenges. . As such GOSR and NYSERDA, launched the three- phased NY Prize competition with the objective of repairing damaged energy systems and developing resilient “micro-grid” power systems. The NY Prize Competition will challenge New York communities, businesses, entrepreneurs, and electric utilities to design and implement community-based micro grids, which offer energy independence as well as local power generation and distribution.

November 2016 NY Rising Infrastructure Program Page 90 of 126 Policy and Procedure Manual Version 2.1 Additionally, these standalone energy systems that can operate independently in the event of a power outage advance the resilient recovery of some of the State’s most vulnerable communities. The competition will spur new business models and community partnerships with the private sector to increase reliability and reduce costs for consumers. The competition, run in three phases by NYSERDA, will result in the selection of a between 3-6 winning projects. Based on the location of the winning designs, GOSR will provide up to $20 Million in CDBG-DR funds to complete the final construction phase.

7.1.1 Eligible Counties For both assistance to LIPA and funding through the NY Prize Program, counties must be presidentially declared disaster counties for Hurricane Irene, Tropical Storm Lee, Superstorm Sandy, Winter Storm NEMO or Upstate Flooding. In addition for LIPA assistance only, counties must be determined by FEMA to be eligible to receive FEMA Public Assistance.

7.1.2 Eligible Subrecipients For assistance to LIPA, LIPA will be the eligible authority. For CDBG-DR funding through the CDBG-DR dollars, eligible entities include entities that are located in a HUD declared county. Entities must also either be classified by FEMA as public critical infrastructure asset, be a recognized Native American tribe a publically held utility; county, local or municipal government;, state agencies or state authority; water and wastewater treatment facility, public primary and secondary schools (k-12), public university, non-profit or Health Care facility.

7.1.3 Allocation Methodology Following Superstorm Sandy, GOSR began working with the DHSES to assess the match obligation for public utilities with FEMA PA PWs. Additionally GOSR met with NYSERDA to determine estimated needs to create a microgrid pilot program. GOSR estimates that there is a total of $145 million in unmet need that will be addressed for Energy Infrastructure sectors.

7.1.4 Project Selection GOSR will continue to work with LIPA, DHSES and DoB to determine eligible FEMA PA assistance. GOSR will work in coordination with NYSERDA to identify projects which meet an unmet recovery need in a disaster declared county as outlined in Section 7.1.1. The New York Prize Competition will operate within three distinct phases. Additionally, as part of the competition, each applicant must meet the criteria outlined by NY Prize competition guidelines.

7.1.4.1 NY Prize Competition Phases NY PRIZE Phase 1: Feasibility In Phase 1 of the competition, eligible applicants as described in Section 7.1.2 submitted microgrid proposals that align with the published competition guidelines. At the close of the Phase 1, NYSERDA reviewed all applications to see that submitted projects met the published program guidelines. NYSERDA and GOSR determined the proposed projects moving forward. NYSERDA send GOSR the applications to determine which projects meet HUD CDBG-DR criteria. In Phase 1, GOSR will focused on identifying if the project is located in a HUD eligible county, had a tie

November 2016 NY Rising Infrastructure Program Page 91 of 126 Policy and Procedure Manual Version 2.1 to one of the eligible disasters, and if the applicant is eligible to receive HUD CDBG-DR funds. Because the competition will use both CDBG-DR and State Funds, GOSR will score the proposed projects and classify them into three risk areas, this scoring tool is shown as Exhibit 13. After NYSERDA has reviewed the applications and obtained the HUD funding risk assessment, NYSERDA will inform applicants which projects will receive additional funds to move forward in the competition. To further the feasibility assessment and provide more specificity, NYSERDA will enter into a relationship with the design team and provide up to $100,000 of funding to each team to support the work for Phase 2 of the project. At the close of Phase 1, NYSERDA reviewed the submitted projects and reduce the number of projects moving into the final completion to less than 10 projects. NY PRIZE Phase 2: Design NYSERDA will enter into a contract with approximately 10 applicants selected to advance to Phase 2, provide up to $1,000,000 to each applicant to support the design of the proposed micro- grid project. GOSR will work with NYSERDA to conduct a more detailed review to ensure some of the Phase 2 candidate projects identified meet CDBG-DR criteria. No CDBG-DR dollars will be used or provided for the competition for this phase. In late spring 2016, NYSERDA is expected to advance up to five projects from Phase 2 into Phase 3 of the competition. NY PRIZE Phase 3: Construction In Phase 3, NYSERDA will fund up to 5 projects from Phase 2 for implementation. GOSR will work with NYSERDA to conduct a detailed review of the winning projects to determine which projects would meet CDBG-DR criteria. After the winning designs are announced, NYSERDA working with GOSR will announce the funding allocations for each project. Some winning designs may not be HUD CDBG-DR eligible due to a number of factors, including, but not limited to, working with private utilities, the location of the microgrid, and tie to the storm. However, for those winning designs which are HUD eligible and approved by GOSR’s internal review team, GOSR will work with NYSERDA to provide funding for the implementation of the winning design. GOSR as will provide up to $20 million of CDBG-DR funds for project construction. Municipalities with winning projects will be required to execute subrecipient agreements with GOSR and comply with all HUD CDBG-DR funding rules and guidelines. As this NY PRIZE competition progresses, GOSR will update the progress of the competition on the Infrastructure and Local Government webpage and in this manual. 7.2 Local Government Support Program This Sub-Program is designed to provide additional CDBG-DR funding to address unmet Superstorm Sandy recovery needs in HUD-declared most impacted counties. This program work closely with the FEMA PA Non-Federal Share Local Match Program to ensure that storm- impacted counties and municipalities can address unmet infrastructure and essential service recovery needs by advancing projects that meet CDBG-DR eligibility requirements, but do not fulfill of FEMA PA eligibility requirements. Funding for this program was based on damages to housing and public infrastructure. While GOSR provides funds to counties and municipalities to

November 2016 NY Rising Infrastructure Program Page 92 of 126 Policy and Procedure Manual Version 2.1 address unmet recovery needs each funded entity will be responsible for identifying and prioritizing eligible projects, bringing them to GOSR for consideration, and following processes detailed in this manual. GOSR along with its project coordinators (defined in Section 7.5.1), will work with local governments to assist the continued repair and mitigation of public facilities and services. GOSR is aware that many local and municipal governments, school districts and Public Housing Authorities, in HUD’s most impacted counties continue to find unmet recovery needs relating to Superstorm Sandy and that these emerging costs of recovery can put a strain on their capacity to provide essential services to residents in these counties currently and in the future. GOSR reserves the right to allocate additional recovery funds to these entities through this program as these unmet recovery needs are identified. GOSR pays particular attention to unmet needs that are tied to the FEMA PA program. When FEMA has determined that a recovery need is not be eligible for the PA program, but there is a direct and clear tie to community recovery and are related to the impacts of Sandy GOSR will continue to engage with units of local government, public housing, school districts and with DHSES to identify gaps in recovery that could be met through this Program.

7.2.1 Eligible Counties Most impacted and distressed counties for Superstorm Sandy are eligible for this program, as defined by HUD. Those counties are: Nassau, Suffolk, Rockland and Westchester counties and the five New York City counties: Kings, Queens, Richmond, Bronx, New York. 7.2.2 Eligible Subrecipients Eligible subrecipients for this program must either be a county, Public Housing Authority, school district or local government located in Eligible County listed above. Because the City of New York has its own of allocation of CDBG-DR funds, the five counties within the city omitted from eligibility. Westchester County government currently can also not receive HUD CDBG-DR funds and is excluded.

7.2.3 Allocation Methodology Funding for this program was initially based on damages to housing and public infrastructure using FEMA Public Assistance obligated funds and FEMA Housing Damage Estimates. Using a weighted formula, GOSR used 2/3 of the eligible PA dollars and 1/3 of housing damage estimates to allocate funds to the most impacted counties as these measures ensure that the two primary unmet needs of each the county are met In May of 2015, after the original allocation was made, DHSES informed the GOSR that FEMA was denying certain PA applications located in the most impacted and distressed counties. To account for this and similar future unmet needs additional funding has been allocated to this program and expanded the recipients to counties and municipalities.

7.2.3.1 FEMA PA Category C-G FEMA Category C-G work is referred to as permanent recovery work and includes the repair and restoration of roads and bridges; water control facilities; buildings and equipment; utilities; and

November 2016 NY Rising Infrastructure Program Page 93 of 126 Policy and Procedure Manual Version 2.1 parks, recreational facilities, and other items. Permanent recovery work, therefore, can be used as proxy for significant damages to an area and accurately reflects the level of infrastructure needs within each eligible county. GOSR utilized a weighted calculation by using 2/3 of FEMA PA dollars for a community after omitting Category A and Category B work address debris removal and emergency protective measures as once these actions are addressed the immediate post-storm disaster recovery needs are met.

GOSR used all FEMA C-G project worksheets within EMMIE that are located within the eligible counties and had been eligible PWs on December 8, 2014, for the purpose of determining total obligated amounts within each county. Additionally, all category C-G PWs where work was performed by a state agency in an impacted county has been geo-coded when possible, to the county that corresponds to where the work is located.

In the calculation, GOSR also excluded the PA Match of Bay Park Wastewater Treatment facility, as it is a part of FEMA’s Public Assistance Alternative Procedures Pilot Program.

7.2.3.2 FEMA Housing Damage To quantify housing damage for Local Government Support Program, GOSR totals the number of severe and major damaged units as determined by FEMA for each eligible county. FEMA calculates owner-occupied homes in each eligible county classified as having suffered severe damage are considered one unit, while those homes classified as having suffered major damage are considered a half unit

7.2.3.3 Total Allocation The weighted percentages calculated for the FEMA C-G work and the damage estimates for owner-occupied homes are combined for each county. The combined weighted percentages are then multiplied by the $40 million in program funding to obtain the initial allocation of funding each applicant is eligible to receive. 7.2.4 Project Selection GOSR will notify eligible applicants of the Local Government Support Program. Eligible will then provide a list of activities that represent an unmet need to in the county from the impacts of the Superstorm Sandy. The proposed projects must have a tie to the storms, represent an eligible CDBG-DR activity, meet one of the three HUD-defined National Objectives, and not represent any type of duplication of benefits. Once the list of potential recovery projects is sent to GOSR, the Infrastructure staff will work with the applicant to review projects and identify those projects which meet all CDBG-DR, program criteria, and fall within the program budget. Applicants may request assistance with essential services but must adhere to the criteria listed below. GOSR and the project coordinators will work with applicants to identify these eligible projects. Once a final project or projects are selected, GOSR will then work with the applicant to execute a subrecipient agreement and begin the application process outlined in Section 7.5 of this manual.

7.2.5 FEMA’s Community Disaster Loan (CDL) Program To ensure that there is not a duplication of benefit, in addition to working closely with the FEMA

November 2016 NY Rising Infrastructure Program Page 94 of 126 Policy and Procedure Manual Version 2.1 PA program, applicants requesting assistance with essential services through the Local Government Program need to document that they applied to FEMA’s Community Disaster Loan (CDL) Program. In the event that the applicant applied to the CDL Program and was denied it must explained why the denial occurred. If the applicant chose not to apply to the CDL Program a written justification must be submitted that explains why a loan was not sought. Due to the nature of CDBG-DR funds as the funding of last resort, an effort to obtain alternative disaster recovery assistance must be submitted for consideration. Additional information regarding the CDL Program can be found here: https://www.fema.gov/community-disaster-loan-program 7.3 Water and Wastewater Treatment Facilities This Sub-Program will include the EPA Storm Mitigation Loan Program Non-Federal Share Match payments, and standalone wastewater treatment facilities including Bay Park Wastewater Treatment Facility and Suffolk County Coastal Resiliency and Water Quality Improvement Initiative. Treatment facilities are generally located in low-lying areas and thus were heavily impacted by Superstorm Sandy. Total estimates to repair the full slate of storm-impacted facilities in New York State exceeds $1 billion. The recovery, repair and resilience of these treatment facilities are a priority for the Governor’s Office of Storm Recovery. 7.3.1 EPA Storm Mitigation Loan Program Through the EPA SMLP outlined in the Non-Federal Share Match section (see Section 7.0) of this manual, GOSR will pay the Non-Federal Share under the Local Government and Critical Infrastructure Sub-Program, water and waste water treatment facilities sector. These projects will follow the State lead agency, EFC’s application process. For SMLP financing from EFC, applicants need to complete the following steps: 1. A Project Listing Form. Each applicant is required to submit a project listing form for the program. This form includes project information. a. All projects are required to meet the following programmatic guidelines:  SMLP funding will be used for the planning, design, and construction of projects that serves one of the following purposes: o Reduces the likelihood of physical damage to a treatment works or drinking water system; o Reduces a treatment works’ or water system’s susceptibility to physical damage or ancillary impacts caused by floods; o Facilitates preparation for, adaptation to, or recovery from a sudden, unplanned change in the amount of and movement of water in proximity to a treatment works or water system; or, o Facilitates preparation for, adaptation to, or recovery from climate change or any other type of natural disaster 2. Then EFC will score each application and, ranking projects. 3. All ranked projects will be listed in New York State’s EFC Intended Use Plan (IUP). 4. The applicant will then complete a Clean Water State Revolving Fund (CWSRF) Financing Application- after the project is included in the Intended Use Plan. The application provides

November 2016 NY Rising Infrastructure Program Page 95 of 126 Policy and Procedure Manual Version 2.1 details regarding the project costs, applicant credit information, and other information to size the financing and prepare documentation. After completing the CWSRF Financing Application, GOSR will then work together with EFC, New York State Department of Environmental Conservation (DEC), and SMLP subrecipients to facilitate the application through GOSR’s application process. Through this process, GOSR will ensure that each match project funded through the SMLP will meet all required CDBG-DR projects. GOSR has agreed to pay the match on those projects which solely have future construction, as to ensure that all projects are CDBG-DR compliant throughout the project.

7.3.1.1 Eligible Counties SRF eligible entities within the 14 counties designated as disaster areas following Superstorm Sandy: Suffolk, Nassau, Queens, Kings, Richmond, New York, Bronx, Westchester, Putnam, Rockland, Orange, Sullivan, Ulster, and Greene and have a facility or equipment which has damage or have had a loss or disruption of a mission-essential function to the facility.

7.3.1.2 Eligible Subrecipients Eligible subrecipient are eligible counties.

7.3.1.3 Allocation Methodology As part of the commitment to pay the Non-Federal Share Match for federal recovery programs, GOSR will fund the 16% Non-Federal Match Share payment as outlined in the chart below.

TABLE 11: ALLOCATION METHODOLOGY Federal Program Federal Federal State State Cost Share Agency Cost Cost Methodology Share Share Storm Mitigation EPA 84% 16% To meet the State’s cost share Loan Program requirement of 16%, GOSR (SMLP) will fund up to 25% of CBDG- DR eligible construction costs associated with SMLP grants

7.3.2 Standalone Water and Wastewater Treatment Facility Projects Additionally, GOSR will identify standalone infrastructure projects in this category such as the covered project Suffolk County Coastal Resiliency and Water Quality Improvement Initiative, Bay Park Wastewater Treatment Facility and other projects that complement the FEMA PA Non- Federal Local Match payments which are being made to Water and Waste-water Treatment Facilities. Repairing the damage caused by Hurricane Irene, Tropical Storm Lee, and Superstorm Sandy to these critical facilities is essential to the impacted region’s recovery. GOSR has committed to ensuring that necessary repairs are completed and resilient systems are put in place. Below are two project overviews complete with the specific eligible applicants and allocation methodologies.

November 2016 NY Rising Infrastructure Program Page 96 of 126 Policy and Procedure Manual Version 2.1 A. Suffolk County Coastal Resiliency and Water Quality Improvement Initiative: The Suffolk County Coastal Resiliency and Water Quality Improvement was approved in Action Plan Amendment No. 8 as a covered project that aims to address public health and water quality. Suffolk County has a federally-designated sole source aquifer used as public drinking water. The severe flooding in this region during Superstorm Sandy raised the groundwater elevation above the top of the septic systems and cesspools, resulting in public health and water quality hazards. Nitrogen pollution has caused a degradation of water quality in the Great South Bay, resulting in the erosion of coastal wetlands. These coastal wetlands provide a natural shoreline and can reduce vulnerability from storm surge. Eligible Subrecipient: GOSR will enter into a subrecipient agreement with Suffolk County and all other required entities to administer this project. B. Bay Park Wastewater Treatment Facility: An additional covered project approved by HUD in APA 9, Bay Park is the largest wastewater treatment facility in Nassau County, treating 58 million gallons of wastewater a day and serving more than 550,000 residents representing 40% of the county’s population. Superstorm Sandy caused catastrophic damages to the facility. During Superstorm Sandy, engines for the plant’s main pumping system were flooded by over nine feet of water destroying the plant’s electrical system and comprising other critical components of the plant. The electrical failure resulted in over 200 million gallons of raw sewage being discharged into nearby neighborhoods, waterways and natural resource areas causing a public health crisis and safety hazard for these areas. The level of discharge also had a direct impact on already fragile natural resources surrounding Bay Park Wastewater Treatment Plant. Eligible Subrecipient: GOSR will enter into a subrecipient agreement with Suffolk County and all other required entities to administer this project. 7.4 Natural Resources Infrastructure This Sub-Program is designed to promote the State’s commitment to restoring and addressing damages that Superstorm Sandy had on the State’s natural resources. Additionally, this Sub- Program strives to fulfill the commitment the State made to use natural resource systems (dunes, wetland forests, marshlands), and green infrastructure to meet recommendations made by the Hurricane Sandy Rebuilding Task Force, and embrace HUD’s recommendation that grantees incorporate natural resiliency measures into infrastructure projects. The State will also use funds to address the recovery and rebuilding needs of State agencies and units of local government who pursue projects that are natural resource based and or incorporate green infrastructure methods in project design. Examples of projects that may be developed include: restoring, developing, and/or enhancing natural barrier dune systems, wetland habitats, near shore vegetation and forest canopies; creating living shorelines; and restoring man-made or natural beach or riverine environments.

November 2016 NY Rising Infrastructure Program Page 97 of 126 Policy and Procedure Manual Version 2.1 7.4.1 Eligible Counties and Geography Most impacted counties for Superstorm Sandy are eligible for this sector, as defined by HUD. Those counties are: Nassau, Suffolk, Rockland and Westchester and the five New York City counties: Kings, Queens, Richmond, Bronx, and New York. Funds may only be used in these counties to address unmet recovery needs in public spaces, public parks, preserves, nature areas, trails, beaches, waterways, and for publically accessible fishing piers and boat launches.

7.4.2 Eligible Subrecipient Eligible subrecipients for this sector must either be a county or local government or State agency located in county listed above. Westchester County government currently cannot directly receive or manage HUD CDBG-DR funds and is excluded from this Program. Other entities can manage CDBG-DR funding but public parks and lands managed and owned by public entities are eligible.

7.4.3 Eligible Applicants Applicants eligible for this sector are constrained to units of governments (Local, County or State) whose work is primarily focused on natural resources areas and outdoors. Examples of eligible applicants include local and county government’s park and recreation departments; New York State Parks Recreation and Historic Preservation, New York State Department of Environmental Conservation. 7.5 Local Government and Critical Infrastructure Sub- Program Implementation Policies This section of the Policy Manual provides an overview of the Local Government and Critical Infrastructure Sub-program’s project implementation policies. Though each project is funded through one of the unique sectors outlined above, all programs for implementation follow the same policies shown below. 7.5.1 Project Coordinator Selection To assist GOSR’s staff and provide Local Government and Critical Infrastructure Sub-program subrecipients with TA to remain compliant with HUD CDBG-DR regulations GOSR publically procured and retained a vendor to support the Local Government and Critical Infrastructure sub- program implement projects through the use of project coordinators. Project coordinators provide support to NY Rising Infrastructure Program staff and the subrecipients. The firm was chosen through a request for proposals (RFP). The RFP had the following criteria: 1. Experience and Capacity 2. Technical Approach 3. Proposal Rate Structure 4. Information Technology 5. Knowledge of Sandy Recovery in New York A copy of this contract and RFP can be found on www.stormrecovery.ny.gov.

November 2016 NY Rising Infrastructure Program Page 98 of 126 Policy and Procedure Manual Version 2.1 7.5.2 Subrecipient Selection and Capacity For the Local Government and Critical Infrastructure Program, GOSR will enter into subrecipient agreements with county and local governments, private non-profits or MOUs with state agencies to implement the projects in each program. GOSR selects a suitable subrecipient for each project by direct, discretionary selection. Because many of the Local Government and Critical Infrastructure programs are designed to further the recovery of the local governments and repair critical infrastructure impacted by Hurricane Irene, Tropical Storm Lee and Superstorm Sandy, GOSR has engaged the entities who have relevant jurisdictional oversight over the projects.

GOSR does review subrecipients’ A-133 and audits from the State Comptroller’s Office. All Local Government and Critical Infrastructure Program subrecipients and projects are provided with a project coordinator, which is a GOSR staff member or consultant, and are required to take part in ongoing TA without regard to risk or project size. GOSR’s TA is intended to not only build a subrecipient’s capacity, transfer knowledge, but to ensure compliance with CDBG-DR requirements for the life of the project.

7.5.2.1 Subrecipient Criteria Subrecipients should demonstrate the following qualities:  Prior experience with executing CDBG, CDBG-DR or other federal funded projects including but not limited to knowledge and prior experience with the following: o 24 CFR Part 85 and 84 requirements (or, for awards issued after December 26, 2014, 2 CFR Part 200). o Documentation that the project meets a CDBG National Objective; and o Documentation that the project’s expenditures are for CDBG Eligible Activities.  Staff capacity to effectively manage CDBG-DR grants, including but not limited to: o Capacity to perform financial monitoring and oversight; o Capacity to perform grants management functions as demonstrated through prior experience with managing grants with in-house staff or with a grants management consultant; o Internal auditing capability; o Administrative staffing; and o Knowledge of both federal and State procurement and contracting requirements.  Knowledge and experience in financial management of Federal grant funds, specifically of CDBG funds; and the ability of financial systems to meet all State and Federal requirements including but not limited to: o Accounting methods, and budget controls; o Proof that expenditures are necessary, reasonable and directly related to the grant; o Monitoring and controls of timely expenditure of Federal funds; o Compliance with OMB Circular A-87 (government agencies) or A-122 (for non- profits), A-121 (for higher learning institutions) (or, for awards issued after December 26, 2014, 2 CFR Part 200);

November 2016 NY Rising Infrastructure Program Page 99 of 126 Policy and Procedure Manual Version 2.1 o Completion and results of prior A-133 audits, if applicable; and o Completion and results of any other audits as it relates to financial capacity.  In good standing with the State of New York (for entities other than public entities).  Experience, knowledge, and compliance with all Federal regulations outside of direct CDBG requirements, as it applies to the grant including, but not limited to, the following requirements: o Davis Bacon and all labor standards, Section 3, M/WBE, environmental, lead based paint, Civil Rights, Section 504, Uniform Relocation Act, Fair Housing Act, ADA, Age Discrimination Act, and records management.

7.5.2.2 Direct Selection Under the Local Government and Critical Infrastructure Sub-Program, subrecipients are selected based upon sub-program requirements to implement the appropriate project. GOSR’s ability to directly select a qualified subrecipient is allowed under HUD Section 24 CFR 570.500(c).

GOSR may directly select a subrecipient:  When an entity is uniquely qualified to implement a project because either the entity has sole jurisdiction over the project or complete control/ownership over a project site;  When the jurisdiction is the applicant to another federal recovery program, and GOSR is paying the Non-Federal Share Match for the project being implemented  When there is a reasonable basis to conclude that the direct selection of the subrecipient will result in increased efficiencies for the State and more quickly result in the project being implemented thereby more quickly addressing the unmet need  When there is reasonable evidence to conclude that the minimum needs of the Program project can only be satisfied by the selected subrecipient. 7.5.3 Contractual Agreement GOSR works with the subrecipient to execute a subrecipient agreement or memorandum of understanding (MOU). The subrecipient agreement serves as the mechanism for transfer of funds to the subrecipient, and documents what is required to remain in compliance with all federal, state and local laws as applicable.

For projects receiving CDBG-DR funding for multiple project phases (i.e. planning, design, and construction), individual amendments may be utilized for each phase. Each amendment will include the scope, budget time and performance metrics of the applicable phase. Should scope and budget change significantly during construction, change orders will be considered on a case-by- case basis.

7.5.4 Pre-Application Project pre-applications are drafted by Program staff with consultation from subrecipients. The purpose of the pre-application process is to document:

November 2016 NY Rising Infrastructure Program Page 100 of 126 Policy and Procedure Manual Version 2.1  How the project meets one of HUD’s three National Objectives  How the project is an eligible activity  How the project is tied to one of the five disasters

The pre-application consists of:  A project description  Tie to the disaster  Assigned National Objective  Project eligibility review under 24 CFR §570.483  Statement of justification and recommendation  Other relevant information The project description contains a level of detail sufficient for assessing the appropriate level and scope of any environmental review requirements. A pre-application is attached to this document in Exhibit 14.

7.5.4.1 Pre-Application Review Panel Each project’s pre-application is reviewed by a GOSR pre-application review panel, composed of at a minimum of three rotating members from GOSR’s Compliance, Legal, Policy, Finance, and Environmental departments. The panel votes on if the project meets at least one National Objective, is an eligible activity, and has a tie to the storm. Pre-applications that receive two of the three panelists’ votes to advance move to the full project application phase. Pre-applications that do not receive a majority of the votes are not advanced. Pre-applications may be advanced with qualifications, which are noted on the voting sheets. Subrecipients will be notified of the pre- application review panel’s decision. 7.5.5 Application Once a project’s pre-application is approved, the subrecipient completes and submits to GOSR the full project application. GOSR staff and project coordinators (if applicable) provide the subrecipient with support in completing the application. The full application provides:

 A detailed description of the project  Tie to the disaster  Information pertaining to CDBG-DR eligibility  A project cost estimate  Project maps  Project time schedule  Activity beneficiary form

A sample application is provided in Exhibit 15.

November 2016 NY Rising Infrastructure Program Page 101 of 126 Policy and Procedure Manual Version 2.1 7.5.5.1 Application Review Panel Each project’s application is reviewed by a GOSR application review panel, composed of six members from GOSR’s Compliance, Legal, Policy, Procurement, Finance, and Environmental departments. The panel reviews all aspects of the project, including: scope, budget, eligibility, environmental review, legal/policy issues, procurement, and compliance. Any concerns noted in the pre-application panel are also reviewed prior to voting on the project. Projects that receive four of the six panelists’ votes are then considered accepted applications and can move to the Environmental Review stage. Applications may be advanced with qualifications, which are noted on the voting sheets. Applications that are rejected may be amended and submitted to a subsequent review panel at a later date. 7.5.6 Application Acceptance Once a project is advanced by the application panel, the subrecipient will be notified of the application review panel’s decision via an application acceptance letter that is sent electronically. A copy of this letter is place in the project file. 7.5.7 Environmental Review CDBG-DR funding is contingent upon compliance with both State and Federal environmental regulations. This includes compliance with the National Environmental Policy Act (NEPA) and related environmental and historic preservation legislation and executive orders. In addition, the Housing Trust Fund Corporation, as well as State agencies and units of local government (UGLGs) in New York State must comply with the State Environmental Quality Review Act (SEQRA). In general, GOSR serves as the lead agency for purposes of NEPA and SEQRA. Environmental review for GOSR projects is overseen by GOSR’s Bureau of Environmental Review and Assistance (BERA) and the policies and procedures implemented by BERA are set forth in the BERA Policy Manual. In certain circumstances, GOSR may decide to cooperate in a joint environmental review with another federal, State or UGLGs. GOSR may also choose to delegate its NEPA or SEQRA responsibilities if, in the discretion of a GOSR Certifying Officer, such delegation is warranted and supported by law. As explained in the BERA Policy Manual, HUD’s Environmental Review Procedures allow grantees, such as New York State to serve as the “Responsible Entity” to assume environmental review responsibilities under NEPA. In accordance with 24 CFR Part 58 and pursuant to the State’s Grant Agreement with HUD, BERA has two Certifying Officers that conduct and approve environmental review documents. Within GOSR the BERA will be responsible for performing environmental reviews and compiling the Environmental Review Records (ERRs). BERA conducts environmental reviews either directly or through the use of BERA-supervised qualified environmental service contractors. The GOSR Certifying Officers are ultimately responsible with certifying that GOSR’s environmental reviews are in compliance with NEPA and HUD environmental regulations. In accordance with Public Law 113-2, when GOSR uses CDBG-DR funds to supplement federal assistance provided under Section 402, 403, 404, 406, 407, or 502 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.) GOSR may adopt, without

November 2016 NY Rising Infrastructure Program Page 102 of 126 Policy and Procedure Manual Version 2.1 review or public comment, any environmental review, approval, or permit performed by a Federal agency, and such adoption shall satisfy the responsibilities of GOSR with respect to environmental review. In general, environmental review of projects will consist of the following steps:  Program provides BERA with a project description for review. Project descriptions must be detailed enough so that the scope of the project and its potential environmental impacts are clear. Generally, construction projects with 5% to 30% design have sufficient details to conduct an environmental review.  BERA reviews the project description categorizes the action with regard to the appropriate level of environmental scrutiny that must be applied.  With regard to NEPA, BERA will determine whether projects are Exempt from environmental review, Categorically Excluded Subject To (CatEx(a)), Categorically Exempt Not Subject To (CatEx(b)), , or require an Environmental Assessment. Certain large projects may proceed immediately to preparation of an environmental impact statement (EIS)  With regard to SEQRA, BERA determines whether Program projects are Type I, Type II, Exempt, or Unlisted.  BERA issues a general exemption for qualified activities associated with project development that are required to generate project information necessary for environmental reviews, project feasibility assessments, and the creation of funding applications.  BERA conducts the appropriate environmental analysis and prepare compliance documentation in support each project, except for qualified exempt activities that fall under the general exemption for project development, in accordance with HUD’s NEPA regulations and SEQRA.  Upon completion of the environmental review of an action that Categorically Excluded but subject to 24 CFR 58.5 (Cat Ex A) or that requires an Environmental Assessment (EA) or Environmental Impact Statement (EIS), BERA submits a Request for Release of Funds (RROF) to HUD.  HUD reviews and approves or denies the RROF. If approved, HUD will issue an Authority to Use Grant Funds (AUGF) authorizing the commitment of HUD funds to a particular project.

For projects that exceed and or meet the project covered project threshold, GOSR, through Program and BERA, will follow the steps listed above but will include consultation with SIRIC and utilize the Federal Permitting Review team. Further information concerning the environmental review process is set forth in the BERA Policy Manual. 7.5.8 Technical Assistance to Subrecipients To assist applicants and subrecipients in complying with all CDBG-DR regulations and any GOSR policies, as well as to build capacity, GOSR staff and project coordinators provide applicants and subrecipients with necessary TA throughout the life cycle of the project.

November 2016 NY Rising Infrastructure Program Page 103 of 126 Policy and Procedure Manual Version 2.1 GOSR’s TA is comprised of formal trainings (prepared materials, in-person presentations and webinars) and informal trainings (verbal or written advice, provided as needed, through in-person meetings, emails or telephone calls). TA occurs at every step of the process. TA is also provided to assist in preparing for GOSR’s monitoring. The nature and rigor of TA is continuously tailored to meet the subrecipient’s unique needs 7.5.9 Project Delivery Costs In general, only subrecipient administrative and project delivery costs incurred after the acceptance of a project application by GOSR and execution of an amendment to the subrecipient agreement are eligible for reimbursement. The Infrastructure and Local Government Sub-Program will coordinate and communicate with the subrecipient on whether project delivery and administrative costs are to be provided to supplement the grant or if these costs are included in the project amount. While GOSR may provide subrecipients with up to 10% of the cost of a project for subrecipient project delivery costs and up to 0.5% of the cost of a project for subrecipient administrative costs, depending on the type of project, a subrecipient must submit a detailed justification and budget for all requested administrative and project delivery services as part of the project application. Costs must not be duplicative of services provided by GOSR through its staff or consultants. All proposed subrecipient administrative and project delivery costs must be determined to be allowable, allocable, and reasonable during the project application review process.

7.5.10 Subrecipient Procurement Subrecipients must follow federal, State, and local procurement rules when purchasing services, supplies, materials or equipment. The procurement requirements found at 24 CFR 570.489, 24 CFR 85.36 (for local governments) and 84.42 (for non-profit organizations) establish CDBG-DR standards and guidelines for the procurement of supplies, equipment, construction, engineering, architectural, consulting, and other professional services (or, to the extent applicable for awards issued after December 26, 2014, the comparable provisions of 2 CFR Part 200). Subrecipients must also follow applicable conflict of interest provisions in federal, State, and local regulations. If a real or perceived potential conflict of interest is identified, subrecipients must contact GOSR for further guidance. To help assure that subrecipients’ procurement will be in compliance with regulations, GOSR provides subrecipients with considerable onsite TA via its project coordinators, RFP/Q procurement templates and a checklist to help develop procurement documents that comply with federal regulations. GOSR will also provide procurement TA consisting of:  Review of 24 CFR 85.36 and 85.42 procurement requirements related to competitive proposals and small purchases (or, to the extent applicable for awards issued after December 26, 2014, the comparable provisions of 2 CFR Part 200);  Review of existing subrecipient procurement policies and procedures for compliance with 24 CFR 85.36 and 85.42 (or, to the extent applicable for awards issued after December 26, 2014, the comparable provisions of 2 CFR Part 200). To the extent policies are out of compliance with those regulations, TA on coming into compliance will be provided; and

November 2016 NY Rising Infrastructure Program Page 104 of 126 Policy and Procedure Manual Version 2.1  Review of subrecipient procurement documents, with TA as necessary.

7.5.10.1 Professional Services In order to develop a detailed project description and a conceptual cost estimate for a project application, GOSR or the subrecipient may engage the services of professional architects or engineers. If the subrecipient engages the architect or engineer directly, the subrecipient must comply with CDBG-DR procurement guidelines. The scope of the procurement may also include future services for design, surveying, and construction inspection/representation services. However, the subrecipient may not authorize the design professional to proceed with any services other than those necessary for the preparation of the application until GOSR’s formal acceptance of the application. The infrastructure and local government program may allow units of local government to conduct professional services using force account labor with prior approval and with an understanding that additional oversight from GOSR will be required.

7.5.10.2 Construction Services GOSR provides substantial TA to subrecipients so that projects remain in compliance with all requirements through the life of the project. This is particularly true for the pre-construction bidding and construction phases of the project. GOSR issues a notice allowing the subrecipient to advertise for bids following the completion of:  GOSR review of plans and specifications  Environmental clearance of proposed construction activities  Verification that all lands, rights-of-way and easements have been acquired  Verification that all other program requirements have been met After authorization to advertise for bids has been issued, the subrecipient may proceed with public advertising for bids in accordance with federal, State, and local procurement standards. Generally, under New York law, local governments are required to advertise for competitive bids for contracts for public work in excess of $35,000. The contract should be awarded to the lowest priced responsible bidder that has complied with the specifications. In some cases, the lowest bid received will exceed the amount of funds allocated for the project. When this happens, the subrecipient must contact GOSR to determine the best option to proceed. 7.5.11 Payment 7.5.11.1 Subrecipient Payment All subrecipient payments are expended on a reimbursement based payment process. “Reimbursement-based” means that project costs must be incurred by subrecipient and documented as required by the terms of the subrecipient agreement for payment of invoices as per the payment terms in the subrecipient agreement. The subrecipient submits a draw request form. GOSR reviews and approves the form. Prior to receiving payment, all required reporting must be completed. Sub-recipients may request advances for work based on anticipated cash flow needs and capacity by project in consultation with GOSR.

November 2016 NY Rising Infrastructure Program Page 105 of 126 Policy and Procedure Manual Version 2.1 7.5.11.2 State DoB Payment This section discusses Non-federal Match Payments which follow the Local Government and Critical Infrastructure Program implementation policies and procedures. GOSR reimburses the State General fund for costs incurred. This procedure is currently applied for the FEMA PA Non- Federal Share Local Match program and EPA SMLP programs. It is anticipated that GOSR will follow similar protocols for the FHWA-ER program. In cases where match funds are combined with standalone CDBG-DR projects funded through the Local Government and Critical Infrastructure program, GOSR will follow the Local Government and Critical Infrastructure program procedures listed above. Currently this includes projects Bay Park Wastewater Treatment Facility. It is anticipated that this may also include work to be performed under the Suffolk Water quality initiative in the water and wastewater program.

7.5.11.3 Final Payment The final payment policy for the Program is being developed.

7.5.12 Project Closeout The project closeout is the process by which GOSR determines all requirements of the subrecipient agreement between the GOSR and the subrecipient have been completed in accordance with the terms and conditions of the subrecipient agreement. Project closeout begins when:  All project expenses to be paid with CDBG-DR funds (except for closeout costs) have been completed and payment requested;  Approved work has been finished;  Any other responsibilities detailed in the subrecipient agreement have been fulfilled; and  All monitoring or audit findings have been cleared. For projects which use funding from the Local Government Critical Infrastructure program and have other federal disaster recovery dollars (such as FEMA PA or EPA) in the project, GOSR will follow the closeout procedures detailed above as well as coordinate with the state lead agency so that the closeout of the Non-Federal Share funded portion of the program is also completed in a compliant manner for that program.

November 2016 NY Rising Infrastructure Program Page 106 of 126 Policy and Procedure Manual Version 2.1 8.0 Local Government and Critical Infrastructure Implementation Procedures Table 12 displays the major actions occurring in each phase of project implementation. Unless otherwise stated, Infrastructure Program staff or project coordinators take all actions below. The following paragraphs discuss implementation procedures in detail.

TABLE 12: PHASES OF INFRASTRUCTURE PROJECT IMPLEMENTATION Phase Action Pre- Subrecipient agreement executed. Application Pre-application completed. Phase Approval of pre-application and authorization to proceed to full application issued. Work necessary for development of scope and budget for project assigned by subrecipient or GOSR. If necessary, subrecipient procures A/E or other services Application necessary for this step. Phase Initial environmental review assigned. Application completed. Application acceptance. A/E procured if not previously procured. Environmental review completed (if applicable). Plans and specifications are reviewed for conformity with application and accepted. Project Property, rights of way, permits, etc. acquired by subrecipients. Development Environmental review record approved and formal “Release of Funds” for Phase construction letter sent. Subrecipient agreement amended for changes in scope or budget amended (if required). Authorization to proceed to advertise for bids issued. Approve invoices. Bidding/Pre- Approval of addendums issued during bidding phase (if required). Construction Approval of change orders (if required). Phase Respond to labor compliance issues. Subrecipient agreement amended for changes in scope or budget (if required). Subrecipient reporting on Elation Systems. Construction Change orders reviewed. Phase Project acceptance verified. Record drawing verified. Subrecipient continues to utilize Elation System to report on Section 3, Davis- Bacon, M/WBE, and other GOSR requirements. Periodic project site visits are conducted to interview employees. Monitoring Desk review of subrecipient documents on SharePoint conducted. Phase Onsite monitoring of subrecipient records conducted. Monitoring letter issued. Subrecipients respond to monitoring concerns and findings, with assistance from Infrastructure and Local Government Program staff. Clearance of monitoring findings issued. Closeout Program completion report completed. Phase Certificate of completion issued. Project closed out.

November 2016 NY Rising Infrastructure Program Page 107 of 126 Policy and Procedure Manual Version 2.1 8.1 Subrecipient Selection Subrecipients provide day-to-day administrative management and oversight of CDBG-DR activities. Subrecipients are responsible for establishing and maintaining financial accountability for CDBG-DR funds, and complying with CDBG-DR regulations, and establishing and maintaining project files and records. Subrecipients are chosen by one of two methods: 8.1.1 Direct Selection Infrastructure Program staff and project coordinators identify an appropriate subrecipient, taking into consideration concerns outlined in “Selection Criteria” 8.1.2 Competitive Selection Competitive Selection, such as a request for qualifications or proposals (RFQ/P) or notice of funding availability (NOFA), is used when it appears that more than one potential subrecipient is qualified to implement a project. Pursuant to HUD’s guidance, “Distinctions between Subrecipient and Contractor,” (August 13, 1993), if a RFP/Q is in compliance with the requirements contained in 24 CFR 85.36 (or, to the extent applicable for awards issued after December 26, 2014, the comparable provisions of 2 CFR Part 200), the selected bidder will be treated as a contractor. If the RFP/Q is not in full compliance, the selected bidder will be treated as a subrecipient. The process for competitive selection is: 1. GOSR issues a RFP/Q or NOFA 2. The RFP/Q or NOFA includes the scoring criteria and the selection methodology that will be used to select subrecipients 3. Eligible organizations respond to RFP/Q or NOFA with proposals 4. Infrastructure Program staff review proposals and select subrecipient(s) 8.1.3 Selection Criteria While an RFP/Q or NOFA may have additional criteria, all potential subrecipients are evaluated using the same general subrecipient selection criteria:  Prior experience with executing CDBG, CDBG-DR, or other federal funded projects including but not limited to knowledge and prior experience with the following: o 24 CFR part 85 and 84 requirements (or, to the extent applicable for awards issued after December 26, 2014, the comparable provisions of 2 CFR Part 200) o Documentation regarding meeting a National Objective o Documentation regarding Eligible Activities  Staff capacity to execute grants management. Including but not limited to: o Financial staff capacity o Grants management capacity (prior experience through in house staff or grants management consultant) o Internal auditing capability o Administrative staffing o Knowledge of both federal and State procurement and contracting requirements

November 2016 NY Rising Infrastructure Program Page 108 of 126 Policy and Procedure Manual Version 2.1  Knowledge and experience in financial management of federal grant funds, specifically CDBG funds: o Financial systems able to meet all state and federal requirements included but not limited to: a. Accounting methods and budget controls b. Proof that expenditures are necessary, reasonable and directly related to the grant c. Monitoring and controls of timely expenditure of federal funds d. Compliance with OMB Circular A-87 (government agencies), A-122 (for non-profits), A-121 (for higher learning institutions) (or, to the extent applicable for awards issued after December 26, 2014, the comparable provisions of 2 CFR Part 200); e. Completion and results of prior A-133 audits if applicable (or, to the extent applicable for awards issued after December 26, 2014, the comparable provisions of 2 CFR Part 200); f. Completion and results of any other audits as they relate to financial capacity  In good standing with the State of New York (for entities other than public entities).  Experience, knowledge, and compliance with all federal regulations outside of direct CDBG requirements as they apply to the grant, including but not limited to: o Davis Bacon and all Labor Standards, Section 3, M/WBE, Environmental, Lead Based Paint, Civil Rights, Section 504, Uniform Relocation Act, Fair Housing, ADA, Age Discrimination Act, Records Management. 8.1.4 Subrecipient Agreement After a subrecipient is selected, Infrastructure staff and project coordinators work with the subrecipient staff to execute a subrecipient agreement. The subrecipient agreement serves as the mechanism for transfer of funds to the subrecipient, and documents what is required to remain in compliance with all federal, state and local laws as applicable. As applications for specific projects are developed and submitted to GOSR, the subrecipient agreement is amended to reflect the scope and budget of each project. Any use of CDBG-DR funds must take into consideration all other funding sources and deduct all funds that could be considered DOB, including insurance proceeds and other federal disaster recovery grant funds. As part of the application process, each subrecipient submits a form detailing all funds received for a project. The subrogation clause in the subrecipient agreement ensures that DOB does not occur. Per this clause, subrecipients must return to New York State any funds found to be a DOB, ineligible, unallowable, unreasonable, or non-compensable, no matter the cause. Under this clause, should a subrecipient receive CDBG-DR funding to support an activity and subsequently receive outside funding that would render the CDBG-DR funds a DOB, these funds must be returned to GOSR.

November 2016 NY Rising Infrastructure Program Page 109 of 126 Policy and Procedure Manual Version 2.1 8.2 Pre-Application Phase During this phase, Infrastructure Program staff and project coordinators continue to do due diligence to ensure that the project to be implemented is eligible and meets CDBG-DR requirements. The pre-application process is also used by Infrastructure and Local Government program staff to determine the types of TA to provide to subrecipients during a project’s implementation. The pre-application phase culminates in pre-application review by a GOSR- staffed pre-application panel. 8.2.2 Pre-Application The pre-application determines whether a project may proceed into the full application. A pre- application is initially prepared by the Infrastructure Program staff and project coordinators and edited by the subrecipient. Pre-applications build on the justification report and provide critical information on a project, including a description of a project, and its:  CDBG-DR eligibility, including HUD matrix code;  National Objective;  Tie to the storm;  Estimated total costs (including sources and uses of funds);  Source of Funds Identified for the project;  Current status (whether any work has already been done);  Project context (whether the project is part of a larger project/plan);  Beneficiaries/public benefit/target areas;  Recovery rationale; and  Feasibility. The pre-application also provides descriptions of acquisition and construction that are expected, as well as a conceptual site plan.

8.2.3 Pre-Application Review Panel After the pre-application is complete, it is reviewed by a GOSR-staffed pre-application panel. The panel: 1. Consists of six members from GOSR’s Compliance, Legal, Policy, Procurement, Finance, and Environmental departments.  Three members of the panel are voting members; the voting responsibilities rotate meeting to meeting. 1. Consists of a presentation about the project, questions from the voting and non-voting members, and a spoken vote on whether the project is eligible for CDBG-DR funding and should move to the application phase. 2. Projects receiving two of the three of the panelist’ votes to advance to the full application phase are approved. Projects that do not receive a majority of the votes are not advanced. Projects maybe advanced with qualifications, which are noted on the voting sheets. Infrastructure staff will notify subrecipients on the outcome of the pre-application panel.

November 2016 NY Rising Infrastructure Program Page 110 of 126 Policy and Procedure Manual Version 2.1 8.3 Application Phase Once the pre-application is approved, the project advances to the full application phase. GOSR establishes deadlines for the submission of application related tasks. In order to develop a detailed project description and a cost estimate for the project to be included in the application, GOSR or the subrecipient may engage the services of professional architects or engineers. Applications are accepted in this phase, but applications are not approved until the project development phase, the subsequent phase. 8.3.1 Subrecipient Policies and Procedures GOSR works with subrecipients to determine whether certain critical subrecipient policies and procedures that are required by law or regulation are in place, and to confirm that any such policies or procedures are in compliance with all requirements. If necessary, GOSR provides subrecipients with templates and/or TA to assist in adopting or amending any required policies or procedures. Examples include:  Review of Procurement Policy; (to ensure HUD compliant language exists)  Review of Pre Construction and Construction Bid Document Packages  Section 504 Policy and Grievance Procedures, if required; and  Affirmative Action Plan  HUD required file management and record keeping requirements.  HUD required Section 3 Plans and Outreach Strategies 8.3.2 Procurement of Professional Services In order to complete an application, subrecipients may engage an architect or engineer directly. If subrecipients do this, subrecipients must comply with CDBG-DR procurement guidelines (24 CFR 85.36) (or, to the extent applicable for awards issued after December 26, 2014, the comparable provisions of 2 CFR Part 200). As discussed in Section 3.10.4, GOSR provides intensive TA on procurement on an ongoing basis. The scope of the procurement may also include future services for design, surveying, and construction inspection/representation services. However, subrecipients may not authorize the design professional to proceed with any services other than those necessary for the preparation of the application until GOSR’s formal acceptance of the application, or those services will be ineligible for reimbursement. The infrastructure and Local Government program may allow units of local government to conduct professional services using force account labor with prior approval and with an understanding that additional oversight from GOSR will be required. The procurement of professional services process is as follows: 1. The subrecipient prepares and publicizes RFP/RFQ, soliciting responses from an adequate number of sources. 2. The subrecipient conducts a technical evaluation of responses and selects most advantageous offer. 3. The subrecipient verifies response eligibility, using system for award management. 4. The subrecipient conducts contract negotiations.

November 2016 NY Rising Infrastructure Program Page 111 of 126 Policy and Procedure Manual Version 2.1 5. GOSR gives subrecipient consent to enter into a contract with the selected contractor. 6. The subrecipient executes contract. 8.3.3 Application An application includes a detailed description of the project, supplemental information about the project, a project budget, project timeline, activity beneficiary form, project maps, supplemental funds documentation, and applicant/recipient disclosure/update report. Infrastructure and Local Government Program staff working with its project coordinators prepares the application, working closely with the subrecipient. The subrecipient reviews and submits the application. In order to assist in identifying a project’s beneficiaries, Infrastructure Program staff and project coordinators created an online tool to enable Infrastructure Program staff to determine the demographics of a project’s beneficiaries. The tool provides information on the income demographics for the block groups affected by a project using the 2006-2010 American Community Survey as well as race and ethnicity demographics from the 2010 U.S. Census. Infrastructure Program staff review the application and notify the subrecipient if any clarifications, corrections or revisions are required. If the subrecipient is unwilling or unable to address issues identified in the application, a notice of denial is issued. The notice of denial includes guidance on actions the subrecipient can take for application reconsideration. 8.3.4 Application Acceptance Each project’s application is reviewed by a GOSR application review panel, composed of six members from GOSR’s Compliance, Legal, Policy, Procurement, Finance, and Environmental departments. The panel reviews all aspects of the project, including: scope, budget, eligibility, environmental review, legal/policy issues, procurement, and compliance. Any concerns noted in the pre-application panel are also reviewed prior to voting on the project. Projects that receive four of the six panelists’ votes are accepted to move forward. Applications may be advanced with qualifications, which are noted on the voting sheets. Applications that are rejected may be amended and submitted to a subsequent review panel at a later date. Once an application has been approved, applicants are notified of the decision via electronic means and an acceptance letter is placed in the GSP. 8.3.5 Application Acceptance Once a project is accepted by the application panel, the subrecipient will be notified of the application review panel’s decision via an acceptance letter that is sent electronically. A copy of this letter is place in the project file in the GSP. 8.3.6 Development of Scope, Budget, and Schedule As part of application development, subrecipients are required to produce and include in their application a detailed project description, cost estimate, and project schedule. The cost estimate may include project costs, project delivery costs, and administrative costs. The Infrastructure and Local government program will coordinate and communicate to with the subrecipient on whether project delivery and administrative costs are to be provided to supplement the grant or if these costs are included in the project amount. In the event that project delivery costs is granted it may

November 2016 NY Rising Infrastructure Program Page 112 of 126 Policy and Procedure Manual Version 2.1 not exceed 10% of project costs, and administrative costs may not exceed .5% of project costs. All project delivery costs and administrative costs must be justifiable. No project costs incurred prior to application acceptance will be eligible for reimbursement, except for those required for the development of the application itself. No project delivery or administrative costs incurred prior to application acceptance will be eligible for reimbursement. 8.4 Project Development Phase In the project development phase, GOSR provides substantial TA to subrecipients (see Section 7.5.8) so that subrecipients remain in compliance with all requirements through the life of the project including the project development phase. The following steps are taken in the project development phase: 1. Engagement of A/E professionals to design project if not previously procured. 2. Development of project design by A/E professionals. 3. Preparation of the bidding documents for construction by subrecipients. 4. Acquisition of real property, rights of way, permits, by subrecipients. 5. Obtainment of federal wage decisions and State wage decisions by subrecipients. 6. Preparation of the environmental review record by GOSR. 7. Authorization of the subrecipient to proceed to bidding/contract award by GOSR. 8. Creating and initiating Section 3, MWBE outreach strategies and plans for the project 8.5 Construction Services Bidding/Preconstruction Phase GOSR provides substantial TA to subrecipients so that subrecipients remain in compliance with all requirements through the life of the project. This is particularly true for the pre-construction bidding phases of the project. GOSR staff and the project coordinators will review and work closely with the subrecipient in this phase. Generally, subrecipients must advertise for competitive bids for contracts for public work in excess of $35,000. The contract should be awarded to the lowest priced responsible bidder that has complied with the specifications. In some cases, the lowest bid received will exceed the amount of funds allocated for the project. When this happens, subrecipients must contact Infrastructure and Local Government Program staff to determine the best option to proceed.

Subrecipients may advertise after receiving a letter, or e-mail notification from GOSR allowing them to do so. This communication, letter or email follows:  GOSR review of plans and specifications  Environmental clearance of proposed construction activities  Verification that all necessary lands, rights-of-way, and easements have been acquired  Verification that all other program requirements have been met Upon completion of bidding, subrecipients enter the preconstruction phase, which focuses on the subrecipients’ understanding of CDBG-DR compliance. During this phase specific pre- construction and construction phase TA is provided to keep sub-recipient projects HUD CDBG- DR eligible. All projects may not proceed to construction until environmental review is complete.

November 2016 NY Rising Infrastructure Program Page 113 of 126 Policy and Procedure Manual Version 2.1 8.5.1 Construction Services Bidding The process for project bidding is: 1. Subrecipient advertises for bids 2. Subrecipient procures construction contractor with GOSR TA 3. GOSR reviews bid process and contract award 4. Construction contract is executed 8.5.2 Preconstruction In the preconstruction phase, subrecipients, their contractors, Infrastructure Program staff, and project coordinators meet to discuss CDBG-DR requirements including:  Section 3/EEO  Labor standards  Payroll reporting  Project signs  Payment procedures  Inspection reports by project A/E and/or construction manager  Change orders

At the conclusion of the preconstruction conference, the subrecipient receives a notice to proceed. 8.6 Construction Phase In the construction phase, subrecipients are monitored by Infrastructure Program staff and project coordinators to ensure compliance with all applicable CDBG-DR regulations, particularly:  Labor standards  Section 3  EEO  Financial management 8.6.1 Substantial Change Order If a change to the project is necessary during construction, subrecipients submit the preliminary construction change order to GOSR and or its project coordinators for review. GOSR then revises the requested change order to ensure that all costs and changes are HUD eligible and procured according to CDBG-DR requirements including:  Sufficient grant or local funds are available to meet any increased costs;  Documentation that all items listed on the change order were reviewed for price reasonableness;  Documentation that all items listed on the change order are included in the scope of the environmental review record; and,  Documentation that all items listed on the change order are within the scope of the approved application. If a change of scope or cost occurs after application approval, but before construction begins GOSR will issue an application amendment.

November 2016 NY Rising Infrastructure Program Page 114 of 126 Policy and Procedure Manual Version 2.1 8.7 Monitoring Phase In addition to GOSR MCD (see Section 2.5), subrecipients are also monitored throughout implementation by Infrastructure and Local Government Program staff and project coordinators. Monitoring is done to ensure compliance with applicable State and Federal requirements. Subrecipients are monitored in key areas to determine whether:  Approved project is being constructed and implemented in a manner that is consistent with application and public procurement process  Approved activities are carried out and completed in a timely manner;  Activities and certifications are conducted in accordance with the requirements and the primary objectives of the approved application, subrecipient agreement, program requirements, and other applicable state and federal rules, regulations, policies, and related statures; and  Administrative systems, policies, and procedures provide adequate protection for the prevention and mitigation of fraud, waste, and abuse. In addition, throughout implementation, project coordinators conduct reviews to identify weaknesses. TA is provided throughout the implementation phase to ensure that subrecipients have the continuing capacity to carry out approved project and activities. 8.7.1 Monitoring and Compliance The goals of monitoring include, but are not limited to:  Determining whether a grantee/subrecipient is carrying out its CDBG-DR program or project in compliance with HUD and GOSR policy and procedures and laws;  Determining whether a grantee/subrecipient is carrying out its activities in a timely manner so that projects will be completed to meet HUD spending clock ;  Identifying potential problem areas and assisting the grantee/subrecipients in complying with applicable laws and regulations;  Assisting grantee/subrecipients in resolving compliance problems through discussion, negotiation, and the provision of TA and training; and  Ensuring that required records are maintained to demonstrate compliance with applicable regulations. To ensure that all statutory and regulatory requirements are met for activities using HUD funds, the MCD uses various monitoring standards and procedures, and issues corrective action and TA where deficiencies are noted. The MCD conducts four basic types of monitoring: Desk Review, Basic On-site Review, In-Depth Integrity Review, and Forensic Audits. In order to determine the type of monitoring needed, the MCD conducts a risk analysis for the entity being monitored. This enables the MCD to identify those entities and programs that are most susceptible to fraud, abuse, or mismanagement. The components for determining which level of review will be used are:  Amount of funding

November 2016 NY Rising Infrastructure Program Page 115 of 126 Policy and Procedure Manual Version 2.1  The number and type of approved projects overseen by subrecipient  Complexity of project  Implementation method  Relevant experience of subrecipient  Compliance history of subrecipient  Project timeline  Length of time since grantee monitored When monitoring, the MCD considers whether the program and project(s) meet all applicable CDBG-DR guidelines, program purpose is being accomplished, the program beneficiaries being served are as defined and intended, and the program requirements for administration and financial management are being met. Checklists are utilized to ensure that all issues are addressed in addition to interviews and observations during records and file reviews. The number of times a project is monitored depends upon the issues that arise during the initial monitoring and the risk category of the Subrecipient and project. Desk Review is an ongoing process that uses all available information to review the subrecipient’s performance in carrying out the approved project. This review process enables the MCD to identify problems requiring immediate attention and to schedule projects for on-site monitoring. Materials used for this review includes:  Executed Subrecipient Agreements and Attachments  Amendments/extensions to the Subrecipient Agreements CDBG-DR contract  Project status reports  Procurement documents  Environmental Reviews  Requests for a draw-down of funds  Other supporting documents Basic On-site Review is a structured review conducted by the MCD at the location where project activities are carried out or project records are maintained. One on-site monitoring visit is normally conducted during the course of a project, unless determined otherwise by the risk analysis process. Forensic Audits can be conducted in order to prosecute a party for fraud, embezzlement, or other financial claims. The MCD refers any matters requiring a forensic audit to GOSR’s Investigations Department and works in cooperation with the Investigations Department, HUD, HUD OIG and any other relevant agencies to identify and prosecute any matters that may indicate waste, fraud, abuse, and mismanagement of GOSR resources. 8.8 Closeout Phase In project closeout: 1. Subrecipients prepare closeout documents with TA from Infrastructure and Local Government staff and/or project coordinators. 2. Subrecipients resolve all monitoring/audit findings with TA from GOSR Infrastructure and

November 2016 NY Rising Infrastructure Program Page 116 of 126 Policy and Procedure Manual Version 2.1 Local Government staff, project coordinators or GOSR MCD staff and vendors. 3. GOSR reviews closeout documents, request clarifications or revisions if needed, and issues notice of completion for project.

November 2016 NY Rising Infrastructure Program Page 117 of 126 Policy and Procedure Manual Version 2.1 9.0 Definitions and Acronyms 9.1 Acronyms Acronym Meaning ABFE Advisory Base Flood Elevations AMI Area Median Income BCA Benefit Cost Analysis BCR Benefit Cost Ratio BFE Base Flood Elevation BIA Department of the Interior – Bureau of Indian Affairs CDBG Community Development Block Grant CDBG-DR Community Development Block Grant – Disaster Recovery CDR Cost Documentation Review CEF Cost Estimating Format CWSRF EPA Clean Water State Revolving Fund DAC Direct Administrative Costs DASNY Dormitory Authority of the State of New York DBRA Davis-Bacon and Related Acts DHCR Division of Housing and Community Renewal DHS United States Department of Homeland Security DHSES New York State Division of Homeland Security and Emergency Services DoB State of New York Department of Budget DOB Duplication of Benefits DOT Department of Transportation DRGR Disaster Recovery Grant Reporting System DWSRF EPA Drinking Water State Revolving Fund EA Eligibility Analyst EEO Equal Employment Opportunity EM Eligibility Analysis Manager EMMIE Emergency Management Mission Integrated Environment ERR Environmental Review Record EPA SRF Environmental Protection Agency State Revolving Fund FEMA Federal Emergency Management Agency FHWA Federal Highway Administration FHWA-ER Federal Highway Administration –Emergency Relief FIR Final Inspection Report FIRM Flood Insurance Rate Maps FLSA Fair Labor Standard Acts of 1938 FMV Fair Market Value FTA Federal Transit Authority GAR Governor’s Authorized Representative GOSR Governor’s Office of Storm Recovery HCDA Housing and Community Development Act HTFC Housing Trust Fund Corporation HUD United States Department of Housing and Urban Development IFB Invitation for Bid LEP Limited English Proficiency LMI Low and Moderate Income

November 2016 NY Rising Infrastructure Program Page 118 of 126 Policy and Procedure Manual Version 2.1 MWBE Minority and Women Business Enterprise NEPA National Environmental Policy Act NFIP National Flood Insurance Program NRCS Natural Resources Conservation Service NYS New York State OIA Office of Internal Audit OIG HUD Office of Inspector General PAP Public Assistance Alternative Procedures PDR Procurement Documentation Review PHA Public Housing Authority PM Project Manager PNP Private Nonprofit PWs Project Worksheets QA Quality Assurance QC Quality Control QPR Quarterly Performance Report RFP Request for Proposals RFQ Request for Qualifications RE Responsible Entity SAVE Systematic Alien Verification for Entitlements SBA Small Business Administration SEQR State Environmental Quality Review Act SMLP EPA Storm Mitigation Loan Program SOW Scope of Work URA Uniform Relocation Act USACE U.S. Army Corps of Engineers

November 2016 NY Rising Infrastructure Program Page 119 of 126 Policy and Procedure Manual Version 2.1 9.1 Definitions 100-Year Floodplain: Also referred to as the ‘base flood.’ This term, adopted by the NFIP as the basis for mapping, insurance rating, and regulating new construction, is the floodplain that would be inundated in the event of a 100-year flood. The 100-year flood has a 1% chance of being equaled or exceeded during any given year. Applicant: a homeowner, landlord, business or other entity who makes a formal application for a GOSR Program. Advisory Base Flood Elevations (ABFE): Provide a better picture of current flood risk than the existing Flood Insurance Rate Maps (FIRMs), which in some cases are more than 25 years old. The new ABFEs are the recommended elevation of the lowest floor of a building. State law, some communities, and the Residential Building Code may require that the lowest floor be built above the ABFE. The ABFEs are based on Federal Emergency Management Association’s (FEMA) coastal studies that were completed before Superstorm Sandy. The studies include data that has been collected and analyzed over a number of years. Though advisory now, eventually information used to develop the ABFEs will be incorporated into official FIRMs. Base Flood Elevation (BFE): The elevation that waters from a 100-year flood will reach. Bi-Party Agreement: Document between the Contractor and the Applicant that states the responsibilities of both parties before, during and after construction. Change Orders: Modifications to the Scope of Work required due to unforeseen circumstances. Coastal High Hazard Areas (V Zones): The areas subject to high velocity waters, including but not limited to hurricane wave wash or tsunami as designated by the Flood Insurance Rate Map (FIRM) under FEMA regulations as Zone V 1-30, VE or V (V Zones).

Community Development Block Grant (CDBG): A federal program administered by HUD, which provides grant funds to local and state governments. The CDBG program works to ensure decent affordable housing, to provide services to the most vulnerable in our communities, and to create jobs through the expansion and retention of businesses. Community Development Block Grant Disaster Recovery (CDBG-DR): Similar in many ways to the CDBG program, these federal funds are administered by HUD but are specifically dedicated to assist with disaster recovery in areas impacted presidentially declared events. The grant funds differ from the traditional CDBG program by providing added flexibility grantees to enact projects however all work must comply with HUD requirements. Contract for Deed (also referred to as a Lease Purchase Agreement): Legal document that establishes items to be met in order for the deed to a piece of property to transfer from one person to another, usually in exchange for monthly payments until the purchase price has been paid. Covered Project: A major infrastructure project with such projects defined as having a total cost of $50 million or more (including at least $10 million of CDBG–DR funds), or benefits multiple counties. Additionally, two or more related infrastructure projects that have a combined total cost

November 2016 NY Rising Infrastructure Program Page 120 of 126 Policy and Procedure Manual Version 2.1 of $50 million or more (including at least $10 million of CDBG–DR funds) must be designated as major infrastructure projects.

Davis Bacon Wage Requirements: The Davis Bacon and Related Acts (DBRA) requires all contractors and subcontractors performing work on federal or District of Columbia construction contracts or federally assisted contracts in excess of $2,000 to pay their laborers and mechanics not less than the prevailing wage rates and fringe benefits for corresponding classes of laborers and mechanics employed on similar projects in the area. The prevailing wage rates and fringe benefits are determined by the Secretary of Labor for inclusion in covered contracts. Disaster Recovery Grant Reporting System (DRGR): The Disaster Recovery Grant Reporting system was developed by HUD's Office of Community Planning and Development for the Disaster Recovery CDBG program and other special appropriations. Data from the system is used by HUD staff to review activities funded under these programs and for required quarterly reports to Congress. Duplication of Benefits (DOB): Financial assistance received from another source that is provided for the same purpose as the CDBG-DR funds. Earth Movement: A FEMA term where there are shifts to land caused by landslide, slope failure, saturated soil mass moving by liquidity down a slope, or sinking of the earth. Encroachment: Any floodplain development that could obstruct flood flows, such as fill, a bridge, or a building. A driveway, road, or parking lot at grade (without any filling) would not cause an obstruction. Development of lakeshore floodplains, where there is no flow, is not considered an encroachment.

Environmental Review Record (ERR): A permanent set of files containing all documentation pertaining to the environmental review compliance procedures conducted and environmental clearance documents. Federal Emergency Management Agency (FEMA): An agency of the United States Department of Homeland Security. The agency's primary purpose is to coordinate the response to a disaster that has occurred in the United States and that overwhelms the resources of local and state authorities. Non-compliant with flood insurance requirement (NCOMP): Records indicate that flood insurance on the damaged home has not been maintained as required. Failing to maintain flood insurance makes this home ineligible for assistance for damages to the property caused by flooding. Fair Market Value: The hypothetical price that a willing buyer and seller agree upon when they are acting freely, carefully, and with complete knowledge of the situation.

Floodplain: (also known as the “Base Flood”) The low, flat, periodically flooded lands adjacent to rivers, lakes and oceans and subject to geomorphic (land-shaping) and hydrologic (water flow)

November 2016 NY Rising Infrastructure Program Page 121 of 126 Policy and Procedure Manual Version 2.1 process. The 100-year floodplain is the land that is predicted to flood during a 100-year storm, which has a 1% chance of occurring in any given year. Areas within the 100-year floodplain may flood in much smaller storms as well. The 100-year floodplain is used by FEMA to administer the federal flood insurance program.

Floodplain fringe: the portion of the floodplain outside of the floodway, which is covered by floodwater during the 100-year Flood. The term, "flood-fringe" is generally associated with standing rather than flowing water. It is also that part of the floodplain wherein development is subject to a community's floodplain ordinance.

Floodway: (also known as the “regulatory Floodway”) is the portion of the Floodplain effective in carrying flow where flood hazard is generally the greatest, and water velocity is the highest. In the Floodway, fill or other development is likely to divert flow and contribute to increased water depths during a flood. Ideally, Floodways should be undeveloped areas that can accommodate flood flows with minimal risk.

Flood Zones: The land areas identified by the Federal Emergency Management Agency (FEMA). Each flood zone describes that land area in terms of its risk of flooding. Everyone lives in a flood zone; it's just a question of whether you live in a low, moderate, or high risk area.

Governor’s Office of Storm Recovery: An office for maximizing the coordination of recovery and rebuilding efforts in storm-affected municipalities throughout New York State, which operates within New York State Housing Trust Fund Corporation.

Grantee: The term ‘‘grantee’’ refers to any jurisdiction receiving a direct award from HUD under Notice FR–5696–N–01. Owner: A person or persons who are listed on the deed as owning that property. Housing Trust Fund Corporation (HTFC): New York State agency through which Program funds are administered to Applicants and other sub-recipients. Department of Housing and Urban Development (HUD): Federal department through which the Program funds are distributed to grantees. Invitation for Bid (IFB): The method used for the sealed bid process. IFBs usually include a copy of the specifications for the particular proposed purchase, instructions for preparation of bids, and the conditions of purchase, delivery and payment schedule. The IFB also designates the date and time of bid opening. Internal Revenue Service (IRS): Federal department responsible for tax collection and tax law enforcement. Limited English Proficiency (LEP): A designation for persons that are unable to communicate effectively in English because their primary language is not English and they have not developed fluency in the English language. A person with Limited English Proficiency may have difficulty

November 2016 NY Rising Infrastructure Program Page 122 of 126 Policy and Procedure Manual Version 2.1 speaking or reading English. An LEP person benefits from an interpreter who translates to and from the person’s primary language. An LEP person may also need documents written in English translated into his or her primary language so that person can understand important documents related to health and human services. Low-to-Moderate Income (LMI): Low to moderate income people are those having incomes not more than the “moderate-income’ level (80% Area Median Family Income) set by the federal government for the HUD-assisted Housing Programs. This income standard changes from year to year and varies by household size, county and the metropolitan statistical area. Minority Business Enterprise (MBE): A business that is owned and controlled (minimum of 51 % ownership) by a member of a minority group. Minority and Women-owned Business Enterprise (MWBE): A business that is owned and controlled (minimum of 51 % ownership) by a member of a minority group, or women. Noncitizen: A person who is neither a citizen nor a national of the United States.

National of the United States: A non-US citizen who owes permanent allegiance to the United States, for example, as a result of birth in a United States territory or possession. A National is not considered an alien. National Environmental Policy Act (NEPA): Establishes a broad national framework for protecting the environment. NEPA's basic policy is to assure that all branches of government give proper consideration to the environment prior to undertaking any major federal action that could significantly affect the environment. National Flood Insurance Program (NFIP): Created by Congress in 1968 to reduce future flood damage through floodplain management and to provide people with flood insurance through individual agents and insurance companies. FEMA manages the NFIP. Notice of Opportunity to Rescind: The Applicant has 3 business days to rescind the contract signing. On the fourth business day, the Applicant signs the form to either rescind the contract or to move forward with the Program. Office of Community Renewal (OCR): A department of New York State Homes and Community Renewal that oversees the New York Action Plan for disaster recovery programs. HUD Office of Inspector General (OIG): OIG’s mission is independent and objective reporting to the Secretary and the Congress for the purpose of bringing about positive change in the integrity, efficiency, and effectiveness of HUD operations. The Office of Inspector General became statutory with the signing of the Inspector General Act of 1978 (Public Law 95-452). Person with Disabilities: [24 CFR 5.403]. A person with disabilities for purposes of program eligibility: (1) Means a person who:

November 2016 NY Rising Infrastructure Program Page 123 of 126 Policy and Procedure Manual Version 2.1 (A) Has a disability, as defined in 42 U.S.C. 423; Inability to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment which can be expected to result in death or which has lasted or can be expected to last for a continuous period of not less than 12 months; or (B) In the case of an individual who has attained the age of 55 and is blind, inability by reason of such blindness to engage in substantial gainful activity requiring skills or abilities comparable to those of any gainful activity in which he/she has previously engaged with some regularity and over a substantial period of time. For the purposes of this definition, the term blindness means central vision acuity of 20/200 or less in the better eye with use of a correcting lens. An eye which is accompanied by a limitation in the fields of vision such that the widest diameter of the visual field subtends an angle no greater than 20 degrees shall be considered for the purposes of this paragraph as having a central visual acuity of 20/200 or less. (ii) Is determined, pursuant to HUD regulations, to have a physical, mental, or emotional impairment that: (A) Is expected to be of long-continued and indefinite duration, (B) Substantially impedes his or her ability to live independently, and (C) Is of such a nature that the ability to live independently could be improved by more suitable housing conditions; or (iii) Has a developmental disability, as defined in Section 102(7) of the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6001(8))

Property Owner: Property Ownership is defined as holding a fee simple title as evidenced by a warranty deed, bargain for sale deed, or a quitclaim deed to the Property to be assisted. The deed must be recorded with the county, city, or appropriate local municipality. Quality Assurance (QA): Planned and systematic production processes that provide confidence that the policy and procedures of the Program are being executed as planned. Quality Control (QC): Testing to ensure that the policy and procedures of the Program are being executed as planned. Quarterly Performance Report (QPR): Each grantee must submit a QPR through the DRGR system no later than 30 days following the end of each calendar quarter. Within 3 days of submission to HUD, each QPR must be posted on the grantee’s official web site. Reconstruction: The labor, materials, tools and other costs of rebuilding. Repair: The labor, materials, tools, and other costs of improving buildings, other than minor or routine repairs. Request for Proposal (RFP): A procurement document designed to solicit proposal services where cost is considered as a factor.

November 2016 NY Rising Infrastructure Program Page 124 of 126 Policy and Procedure Manual Version 2.1 Request for Qualifications (RFQ): A procurement document designed to solicit a quote for services defined. Responsible Entity (RE): Under 24 CFR Part 58, the term “responsible entity” (RE) means the grantee receiving CDBG assistance. The responsible entity must complete the environmental review process. The RE is responsible for ensuring compliance with NEPA and the Federal laws and authorities, for issuing the public notification, for submitting the request for release of funds and certification, when required, and for ensuring the Environmental Review Record (ERR) is complete. Site Specific Checklist (SSC): The environmental compliance checklist that is required to document environmental clearance before Federal funds are permitted to be awarded. Slum and Blight: “Blighted area” and “slum” mean an area in which at least 70% of the parcels are blighted parcels and those blighted parcels substantially impair or arrest the sound growth of the state or a political subdivision of the state, retard the provision of housing accommodations, constitute an economic or social liability, or are a menace to the public health, safety, morals, or welfare in their present condition and use. Small Business Administration (SBA): SBA’s Office of Disaster Assistance (ODA) provides affordable, timely and accessible financial assistance to Applicants, renters, and businesses. The SBA low-interest, long-term loans are the primary form of federal assistance for the repair and rebuilding of non-farm, private sector disaster losses. Subrogation: The process by which duplicative assistance paid to the Applicant after receiving an award, is remitted to the Program in order to rectify a duplication of benefit. Substantial Damage: Occurs when a property sustains damages that equals or exceeds 50% of its Fair Market Value (FMV) prior to the event, as determined by a local authorized official (e.g., a code officer) and is sent a Substantial Damage Letter, or if the ECR/AA value (minus elevation and bulkheads costs) meets or exceeds 50% of the Program cap. Substantial Improvement: Any repair, reconstruction, modernization or improvement of a structure, the cost of which equals or exceeds 50% of the market value of the structure either before the improvement or repair started or if the structure has been damaged before the damage occurred OR any repair reconstruction etc. that results in an increase of more than 20% of dwelling units or peak number of customers and employees (24 CFR 55.2(b)(8)

Trust: A legal vehicle to hold property subject to certain duties and to protect it for another individual. Uniform Relocation Act (URA): A federal law that establishes minimum standards for federally- funded programs and projects that require the acquisition of real property (real estate) or displace persons from their homes, businesses, or farms. Urgent Need Objective: Under the disaster recovery federal regulations, HUD has determined that an urgent need exists within the Presidentially Declared counties. An urgent need exists

November 2016 NY Rising Infrastructure Program Page 125 of 126 Policy and Procedure Manual Version 2.1 because existing conditions pose serious and immediate threats to the health/welfare of the community, the existing conditions are recent or recently became urgent (typically within 18 months), and the sub-grantee or state cannot finance the activities on its own because other funding sources are not available. All Applicants who cannot meet the LMI National Objective are placed into the Urgent Needs category.

November 2016 NY Rising Infrastructure Program Page 126 of 126 Policy and Procedure Manual Version 2.1

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 1: GOSR Citizen Participation Plan Citizen Participation Plan Community Development Block Grant Disaster Recovery Hurricane Irene, Tropical Storm Lee, and Superstorm Sandy January 5, 2015

The primary goal of the New York Citizen Participation Plan is to provide all New York citizens with an opportunity to participate in the planning, implementation, and assessment of the State’s CDBG-DR Sandy recovery program(s). The Plan sets forth policies and procedures for citizen participation, which are designed to maximize the opportunity for citizen involvement in the community redevelopment process. New York State developed the Citizen Participation Plan to meet the requirements of the CDBG Disaster Recovery (CDBG-DR) funding for Superstorm Sandy, Hurricane Irene, and Tropical Storm Lee. The Plan reflects the alternative requirements as specified by HUD in the Federal Register (FR-5696-N-01), Federal Register (FR-5696-N-06), Federal Register (FR-5696-N-11), and notice of specific waivers. The State will ensure that any Units of General Local Government (UGLG) or sub- recipients who receive funds will have a Citizen Participation Plan that meets the CDBG- DR regulations and takes into consideration the waivers and alternatives made available under CDBG-DR funding. In order to facilitate citizen participation requirements and to maximize citizen interaction in the development of the New York Disaster Recovery Action Plan, substantial amendments to the Action Plan, and the Quarterly Performance Reports (QPR), the State has laid out targeted actions to encourage participation and allow equal access to information about programs by all citizens, including those of low and moderate income, persons with disabilities, the elderly population, persons receiving Disaster Housing Assistance Program (DHAP) funding, and persons with limited English proficiency. Public Outreach GOSR is committed to ensuring that all populations impacted by the storms are aware of the programs available to assist in the recovery from Hurricane Irene, Tropical Storm Lee, and Superstorm Sandy. Through in person meetings, outreach events, online and traditional media, GOSR has publicized programs and conducted outreach efforts throughout the storm impacted areas. In addition, the Governor initiated the NYRCR Program, a grass-roots community driven process that engages the public as a key stakeholder in the planning and rebuilding process. Through 61 cross-jurisdictional Planning Committees representing 119 communities, the NYRCR stakeholders helped to inform their communities about the available recovery programs as they came online. Programmatic Outreach Through the NYRCR Program, there have been over 650 Planning Committee Meetings to construct a vision statement; to conduct an inventory of critical assets and an assessment of risks; and then ultimately to craft the strategies, and proposed projects or actions to address these risks. All meetings were open to the public and were publicized by media advisories, flyers, and posters hung in public buildings; radio announcements; and through social media. Where necessary, meetings were advertised in various languages to ensure the immigrant population was informed. Translators were also present at meetings so that information was clearly understood. For the hearing impaired, sign language interpreters were also available.

More than 250 Public Engagement Events attracted thousands of community members, who provided feedback on the NYRCR planning process and proposals and made additional suggestions. Planning Committees members were instrumental in representing communities that are traditionally underrepresented in disaster recovery, from engaging immigrant populations to working with high school students. Committee members made presentations at senior housing complexes, religious gatherings, schools, and at Chambers of Commerce.

For the Small Business program, GOSR worked in coordination with the Empire State Development Corporation (ESD) as well as its sub-recipient, the Small Business Development Center (SBDC) to create a multi-pronged approach to reach out to more than 3,000 businesses in the impacted communities has included paid advertising, door- to-door visits, press releases and other public relations efforts, and collaboration with various constituents and community organizations.

For the NY Rising Homeowner Program, early on the State partnered with the Long Island Housing Partners to target community outreach including but not limited to, persons with disabilities and other special needs, and senior households, with a focus on low- and moderate- income minority communities; outreach to and coordination with civic associations, religious and advocacy groups (racial equity), social service agencies, emergency aid not–for profits, educational institutions, and outreach to residences impacted by the disaster.

The State’s vendors on the project also held numerous meetings to inform the public about the availability of grants for home repairs. This outreach consisted of a variety of methods: media announcements, online updates on the Storm Recovery website and through Storm Recovery profiles on social media platforms including Facebook, Twitter, and Instagram, community meetings, and partnerships with sub-recipients. Additionally, staff frequently made presentations to community groups, specifically in Long Island, to provide updated program information. A similar effort has been conducted in counties in upstate New York to make sure that all impacted homeowners have the most up to date information about the program. In addition, frequent TA meetings were held with applicants to assist homeowners in better understanding the program and completing the rebuilding process successfully. Further the State also engaged the Welfare Council of Long Island/Long Island Long- Term Recovery Group (LTRG) to conduct targeted outreach to low and moderate income individuals that were affected by the Superstorm Sandy, in order to encourage these individuals to apply to the NY Rising Housing Recovery Assistance Program before the April 11, 2014 deadline.

For its rental programs, the State will continue to conduct outreach to potential landlords throughout the impacted areas that may be eligible for the program. As part of its implementation, the State will also conduct outreach to previous tenants of the damaged rental units to make them aware of potential repaired and newly built units as they are completed. Outreach to Vulnerable Populations The State has also conducted outreach to residents with more acute needs, particularly low and moderate income household and households headed by non-English speaking persons. As noted above, within the NYRCR program, where necessary, meetings were advertised in various languages to ensure the immigrant population was informed. Translators were also present at meetings so that information was clearly understood. For the hearing impaired, sign language interpreters were also available. As the State continues to implement programs and work with communities to recover from Hurricane Irene, Tropical Storm Lee and Superstorm Sandy, GOSR is committed to continued outreach and program accessibility to vulnerable populations and ensuring that program information is accessible to populations with language barriers. For example, the APA is translated into Spanish, Russian and Chinese, which are the three languages most needed for persons with language barriers in impacted counties (based on the 2008-2012 ACS 5-Year Estimates, Table B16001, Populations 5 Years and Over Who Speak English less than “very well”). Currently documents are translated into the three above-mentioned languages. The State will continue to translate programmatic materials within its programs. The State will also continue to provide translation services as needed in case management and public meetings. The State is in the process of upgrading its entire website. In the interim, prior to deployment of the revised website, the State continues to update its current website to enable language access capabilities. In addition, as it rolls out the revised website, the State will prioritize language translation functionality as one of the first phases of the development process. The State will also provide translation of any document into additional languages, braille, or any other formats for persons with visual impairments upon request. The State continues to further these efforts to reach out to all populations and ensure that the community is educated and aware of all of the recovery programs. As programs adjust and move into new phases, the State will continue to adjust their public outreach to ensure comprehensive outreach to all populations. Public Notices, Public Hearings, and Comment Period The State Citizen Participation Plan will ensure that there is reasonable and timely access for public notice and comment on the activities proposed for the use of CDBG-DR grant funds. In the Notices for the Second and Third Allocation HUD revised the requirements for public hearings. The State will always hold a minimum of one public hearing for each substantial amendment which started with APA6. Written minutes of the hearings and attendance rosters will be kept for review by State officials. The State will continue to coordinate outreach meetings with State entities, local governments, non-profits, private sector, and involved associations. The State invited public comment to the New York Disaster Recovery Action Plan and will continue to invite public comment for any future Substantial Amendments for a minimum thirty days, posted prominently and accessed on GOSR’s official website. Substantial Amendments to the Action Plan The State has defined Substantial Amendments to the Action Plan as those proposed changes that require the following decisions: Addition or deletion of any allowable activity described in the approved application; The allocation or re-allocation of more than $1 million; and, Change in the planned beneficiaries. Those amendments which meet the definition of a Substantial Amendment are subject to public notification, public hearings and public comment procedures. Citizens and units of local government will be provided with reasonable notice and an opportunity to comment on proposed Substantial Amendments to the Action Plan. A notice and copy of the proposed Substantial Amendment will be posted on the agency’s official website. Citizens will be provided with no less than thirty days to review and comment on the proposed amendment. Written comments may be submitted to: Governor’s Office of Storm Recovery 64 Beaver Street P.O. Box 230 New York, New York 10004 Comments may also be made at www.stormrecovery.ny.gov. A summary of all comments received and reasons why any comments were not incorporated into the Substantial Amendment will be included in the HUD request for a Substantial Amendment and posted.

Non-substantial Amendments to the Action Plan will be posted on GOSR’s website after notification is sent to HUD and the amendment becomes effective. Every Amendment to the Action Plan (substantial and non-substantial) will be numbered sequentially and posted on the website. Performance Reports The State must submit a Quarterly Performance Report through HUD’s Disaster Recovery Grant Reporting (DRGR) system no later than thirty (30) days following the end of each calendar quarter. Within three (3) days of submission to HUD, each QPR must be posted on GOSR’s official website for public review and comment. The State’s first QPR is due after the first full calendar quarter after the grant award. QPR’s will be posted on a quarterly basis until all funds have been expended and all expenditures have been reported. Each QPR will include information about the uses of funds in activities identified in the Action Plan as entered in the DRGR reporting system. This includes, but is not limited to: project name, activity, location, and National Objective; funds budgeted, obligated, drawn down, and expended; the funding source and total amount of any non-CDBG-DR funds to be expended on each activity; beginning and actual completion dates of completed activities; achieved performance outcomes such as number of housing units complete or number of low and moderate income persons benefiting; and the race and ethnicity of persons assisted under direct-benefit activities. The State must also record the amount of funding expended for each Contractor identified in the Action Plan. Efforts made by the State to affirmatively further fair housing will also be included in the QPR. During the term of the grant, the grantee will provide citizens, affected local governments, and other interested parties with reasonable and timely access to information and records relating to the approved program and to the grantee’s use of grant funds as well as contracts procured with CDBG-DR funding. This information shall be posted on the grantee’s official website and provided on request.

Technical Assistance The State will provide TA to facilitate citizen participation where requested, particularly to groups representative of persons of low and moderate income and vulnerable populations. The level and type of TA shall be determined by the applicant/recipient based upon the specific need of the community's citizens.

Citizen Participation Requirements for Sub-recipients and Local Governments Participating in CDBG-DR Programs To ensure applicant compliance with Section 508 of the Housing and Community Development Act of 1974, as amended, the citizen participation requirements for Units of General Local Government (UGLG) applying for or receiving DR funds from the State are as follows: Each applicant shall provide citizens with adequate opportunity to participate in the planning, implementation, and assessment of the CDBG program. The applicant shall provide adequate information to citizens, obtain views and proposals of citizens, and provide opportunity to comment on the applicant's previous community development performance. UGLGs receiving CDBG-DR funds must have a written and adopted Citizen Participation Plan which:  Provides for and encourages citizen participation, with particular emphasis on participation by persons of low- and moderate- income who are residents of slum and blighted areas and of areas in which funds are proposed to be used;  Provides citizens with reasonable and timely access to local meetings, information, and records relating to the State's proposed method of distribution, as required by regulations of the Secretary, and relating to the actual use of funds under Title I of the Housing and Community Development Act of 1974, as amended, and the unit of local government's proposed and actual use of CDBG funds;  Provides for TA to groups representative of persons of low- and moderate- income that request such assistance in developing proposals with the level and type of assistance to be determined by the grantee;  Provides for the review of proposed activities and program performance by potential or actual beneficiaries, and with accommodations for the disabled;  Provides for a timely written answer to written complaints and grievances, within 15 working days where practicable;  Identifies how the needs of non-English speaking residents will be met where a significant number of non-English speaking residents can be reasonably expected to be involved;  Establishes procedures and policies to ensure non-discrimination, based on disabilities, in programs, and activities receiving Federal financial assistance as required by Section 504 of the Rehabilitation Act of 1973, as amended. The plan must be made available to the public and must include procedures that meet the following requirements:  Performance Hearings: Prior to close out of the disaster recovery program, the Program, the UGLG and State sub-recipients may be required to hold a public hearing to obtain citizen views and to respond to questions relative to the performance of the program. This hearing shall be held after adequate notice, at times and locations convenient to actual beneficiaries and with accommodations for the disabled and non-English speaking persons provided. Written minutes of the hearings and attendance rosters will be kept for review by State officials. Nothing in these requirements shall be construed to restrict the responsibility and authority of the applicant for the development of the application.  Complaint Procedures: The State will ensure that each UGLG, or Sub-recipient funded with CDBG-DR funds will have written citizen and administrative complaint procedures. The written Citizen Participation Plan shall provide citizens with information relative to these procedures or, at a minimum, provide citizens with the information relative to the location and hours at which they may obtain a copy of these written procedures. All written citizen complaints which identify deficiencies relative to the UGLG, Sub-recipient’s community development program will merit careful and prompt consideration. All good faith attempts will be made to satisfactorily resolve the complaints at the local level. Complaints will be filed with the Executive director or chief elected official of the entity who is receiving the funds and who will investigate and review the complaint. A written response from the Chief Elected Official, Agency Head, or Executive Director to the complainant will be made within 15 working days, where practicable. A copy of the complaint and determination must be sent to GOSR’s head of Monitoring and Compliance.

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 2: Disaster Impact Maps  Hurricane Irene  Tropical Storm Lee  Superstorm Sandy  Winter Storm NEMO in 2013  Upstate Flooding in the Summer of 2013  Severe Storms, Flooding, Tornadoes, and Straight Winds (eligible for FEMA HMGP Non-Federal Share Match Payments Only)  Severe Winter Storms and Snowstorms (eligible for FEMA HMGP Non-Federal Share Match Payments only)

FEMA-1957-DR, New York Disaster Declaration as of 03/07/2011

Clinton ME Franklin St. Lawrence

Jefferson Essex VT

Lewis Hamilton

Warren NH Oswego Orleans Washington Niagara Oneida Herkimer Monroe Wayne Fulton Saratoga Genesee Onondaga Ontario Montgomery Livingston Madison Schenectady Erie Wyoming Seneca Cayuga Yates Tompkins Chenango Otsego Rensselaer Schoharie Albany Cortland Schuyler Chautauqua Cattaraugus Allegany Steuben Greene MA Tioga Delaware Chemung Broome Columbia

Ulster Sullivan Westchester Dutchess RI CT Bronx Putnam NJ Orange New York Nassau Suffolk PA Westchester OH Rockland Queens Kings Bronx Suffolk New York NJ Queens 0 40 80 Richmond Nassau Kings WV Richmond miles 2

Location Map Legend Designated Counties ME ND MN NH VT All counties in the State of New York No Designation ITS Mapping & Analysis Center SD WI NY MA are eligible to apply for assistance under MI CT RI Washington, DC PA NJ Public Assistance NE IA the Hazard Mitigation Grant Program. 03/07/11 -- 2:03 PM EDT OH MD IL IN DC DE CO WV VA Public Assistance (Category B) Source: Disaster Federal Registry Notice KS MO KY Ammendment No. 1 - 03/07/2011 NC TN OK Public Assistance & Public Assistance (Category B) TX AR SC MS AL GA

MapID d1e3ed9536e0307111354hqprod FEMA-1993-DR, New York Disaster Declaration as of 06/29/2011

Clinton

Franklin St. C A N A D A Lawrence ME Essex Jefferson VT

Lewis NH Hamilton Warren Oswego Washington Orleans Niagara Oneida Herkimer Monroe Wayne Fulton Saratoga Onondaga Genesee Montgomery Madison Ontario Seneca Schenectady Cayuga Erie Wyoming Yates Cortland Otsego Albany Livingston Chenango Rensselaer Schoharie Tompkins MA Allegany Schuyler Greene Chautauqua Cattaraugus Steuben Delaware Columbia Chemung Tioga Broome

Ulster Dutchess RI Sullivan CT

OH Orange Putnam PA Westchester Rockland

Suffolk 2 NJ Bronx 0 30 60 New York Nassau Queens WmViles Kings Richmond

Location Map Legend

WA MT ND ME OR MN VT ID WI NH SD NY RI WY MI Designated Counties IA PA NJ ITS Mapping & Analysis Center NV NE DE UT OH CO IL IN WV MD Washington, DC CA KS MO KY VA No Designation All counties in the State of New York are eligible to apply NC 06/29/11 -- 15:03 PM EST AZ OK TN NM AR SC for assistance under the Hazard Mitigation Grant Program. MS AL GA TX Source: Disaster Federal Registry Notice LA Public Assistance FL Amd.1: 06/29/2011

MapID a1af431e62b0629111457hqprod FEMA-4020-DR, New York Disaster Declaration as of 07/25/2013

Clinton Franklin St. Lawrence ME Essex Jefferson VT

C A N A D A Lewis Hamilton Warren Oswego Washington NH Orleans Niagara Oneida Herkimer Monroe Wayne Fulton Saratoga Genesee Onondaga Seneca Montgomery Ontario Madison Schenectady Rensselaer Cayuga Erie Wyoming Yates Otsego Schoharie Livingston Cortland Chenango Albany Tompkins MA Schuyler Greene Chautauqua Cattaraugus Allegany Steuben Delaware Tioga Columbia Chemung Broome

Ulster RI Dutchess Sullivan CT

PA Orange Putnam OH Westchester Rockland

Bronx Suffolk NJ Nassau I Queens Kings 0 20 40 Richmond Miles

Location Map Disaster Declarations WA MT ND ME MN OR VT ID NH No Designation SD WI NYMA WY MI CT IA NE PA NJ ITS Mapping & Analysis Center NV OH UT IL IN DE CO WV MD Public Assistance All counties in the State of New York are eligible to apply for Washington, DC KS MO KY VA CA assistance under the Hazard Mitigation Grant Program. 07/25/13 -- 16:57 PM EST TN NC AZ OK NM AR SC MS AL GA Individual Assistance LA Source: Disaster Federal Registry Notice TX FL Amendment No. 10 - 07/25/2013 Individual Assistance and Public Assistance

MapID a786a6cc9870726131113hqprod FEMA-4031-DR, New York Disaster Declaration as of 10/27/2011

Clinton

Franklin St. Lawrence C A N A D A ME Essex VT Jefferson

Lewis Hamilton NH Warren Herkimer Oswego Washington Orleans Niagara Oneida Monroe Wayne Fulton Saratoga Genesee Onondaga Montgomery Ontario Madison Seneca Schenectady Erie Livingston Cayuga Rensselaer Wyoming Yates Otsego Albany Cortland Chenango Schoharie Tompkins Schuyler MA Chautauqua Cattaraugus Allegany Steuben Greene Columbia Delaware Tioga Chemung Broome

Ulster Dutchess RI Sullivan CT

Orange Putnam OH PA Rockland Westchester

Suffolk I NJ Bronx Nassau 0 25 50 Queens Kings Miles Richmond

Location Map Designated Counties WA MT ND ME MN OR VT No Designation ID NH SD WI NY MA WY MI CT IA NE PA NJ ITS Mapping & Analysis Center NV OH All counties in the State of New York are eligible to apply UT IL IN DE CO WV MD Public Assistance Washington, DC KS MO KY VA for assistance under the Hazard Mitigation Grant Program. CA 10/27/11 -- 15:48 PM EST TN NC AZ OK NM AR SC Individual Assistance MS AL GA LA Source: Disaster Federal Registry Notice TX FL Amendment No. 10 - 10/27/2011 Individual Assistance and Public Assistance

MapID b82b4dd111e1027111546hqprod FEMA-4085-DR, New York Disaster Declaration as of 12/18/2012

Clinton Franklin St. Lawrence C A N A D A ME

Essex VT Jefferson

Lewis Hamilton NH Warren Herkimer Oswego Washington Niagara Orleans Oneida Monroe Wayne Fulton Saratoga Genesee Onondaga Montgomery Ontario Seneca Madison Schenectady Erie Wyoming Livingston Cayuga Rensselaer Yates Otsego Cortland Chenango Schoharie Albany Tompkins Schuyler MA Chautauqua Cattaraugus Allegany Steuben Greene Columbia Delaware Tioga Chemung Broome

Ulster Dutchess Sullivan RI CT Orange Putnam

OH PA Rockland Westchester

Bronx Suffolk NJ New York Nassau I Queens 0 25 50 Kings Richmond Miles

Location Map WA Designated Counties MT ND ME OR MN VT ID NH SD WI NY MA WY MI CT No Designation MS-CI-AE-EG NE IA PA NJ NV OH UT IL IN DE All counties in the State of New York are eligible to apply CO WV MD KS MO KY VA Mapping and Analysis Center CA Public Assistance for assistance under the Hazard Mitigation Grant Program. TN NC AZ OK NM AR SC 12/18/12 -- 11:37 AM EST MS AL GA LA Individual Assistance and TX FL Public Assistance Source: Disaster Federal Registry Notice Amendment No. 8 - 12/18/2012

MapID fbca0de133e1218121137hqprod FEMA-4111-DR, New York Disaster Declaration as of 04/23/2013

Clinton Franklin St. Lawrence ME C A N A D A Essex Jefferson VT

Lewis NH Hamilton Warren Oswego Washington Orleans Niagara Oneida Herkimer Monroe Wayne Fulton Saratoga Genesee Onondaga Seneca Montgomery Ontario Madison Schenectady Rensselaer Cayuga Erie Wyoming Otsego Livingston Yates Schoharie Albany Tompkins Chenango Cortland Schuyler MA Greene Chautauqua Cattaraugus Allegany Steuben Delaware Tioga Columbia Chemung Broome

Ulster RI Dutchess Sullivan CT

Orange Putnam Westchester OH PA Rockland

Bronx Suffolk I NJ Nassau Queens 0 20 40 Kings Miles Richmond

Location Map

WA MT ND ME MN OR VT NH Designated Counties ID SD WI NYMA WY MI CT IA All counties in the State of New York MS-CI-AE-EG NE PA NJ NV OH UT IL IN DE No Designation CO WV MD are eligible to apply for assistance KS MO KY VA Mapping and Analysis Center CA under the Hazard Mitigation Grant Program. TN NC AZ OK NM AR SC Public Assistance 04/24/13 -- 9:52 AM EST MS AL GA LA TX FL Source: Disaster Federal Registry Notice 04/23/2013

MapID 3715e5160a20424130950hqprod FEMA-4129-DR, New York Disaster Declaration as of 07/26/2013

Clinton Franklin St. Lawrence ME C A N A D A Essex Jefferson VT

Lewis Hamilton Warren NH Oswego Washington Orleans Niagara Oneida Herkimer Monroe Wayne Fulton Saratoga Genesee Onondaga Seneca Montgomery Ontario Rensselaer Madison Schenectady Cayuga Erie Wyoming Otsego Livingston Yates Schoharie Albany Tompkins Chenango Cortland Schuyler MA Greene Chautauqua Cattaraugus Allegany Steuben Delaware Tioga Columbia Chemung Broome

Ulster RI Dutchess Sullivan CT

PA Orange Putnam OH Westchester Rockland

Suffolk I NJ Bronx Nassau New York 0 10 20 Kings Miles Richmond

Location Map

WA MT ND ME MN OR VT NH ID SD WI NYMA Designated Counties WY MI CT IA MS-CI-AE-EG NE PA NJ All counties in the State of New York NV OH UT IL IN DE CO WV MD No Designation re eligible to apply for assistance under the KS MO KY VA Mapping and Analysis Center CA TN NC AZ OK Hazard Mitigation Grant Program. NM AR SC 07/29/13 -- 11:00 AM EST MS AL GA Public Assistance LA TX FL Source: Disaster Federal Registry Notice Amendment No. 2: 07/26/2013

MapID 59ea09f7f2f0729131058hqprod

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 3: HUD Davis Bacon Guidance Letter

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 4: Letter to HUD regarding Notice of FEMA ERR Adoption for Public Assistance

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 5: Eligible Applicants who have opted in for FEMA Public Assistance Non- Federal Share Local Match Program for Superstorm Sandy, Upstate Floods, and Winter Storm NEMO.

Upstate Flooding GOSR FEMA PA Local Match Applicnats (opt in) August 2015 Applicant ID Applicant Name County 000-001BA-00 DEPT OF MILITARY AND NAVAL AFFAIRS State Agency 000-U0065-00 DEPT OF TRANSPORTATION (DOT) State Agency 000-U0066-00 PARKS, RECREATION, HISTORIC PRESERVATION State Agency 000-U0105-00 DEPT ENVIRONMENTAL CONSERVATION State Agency 000-U017E-00 SUNY State Agency 000-U0FIQ-00 NEW YORK STATE OFFICE OF EMERGENCY MANAGEMENT State Agency 000-U30AQ-00 NEW YORK STATE POLICE HEADQUARTERS State Agency 000-U9YXN-00 PEOPLE WITH DEVELOPMENTAL DISABILITIES (OPWDD) State Agency 000-UJ1MN-00 NYS DIV. OFFICE OF FIRE PREVENTION AND CONTROL State Agency 003-05573-00 BELFAST (TOWN OF) Allegany 003-79103-00 WELLSVILLE (TOWN OF) Allegany 007-15110-00 CHENANGO (TOWN OF) Broome 007-17046-00 COLESVILLE (TOWN OF) Broome 007-20346-00 DEPOSIT Broome 007-39837-00 KIRKWOOD (TOWN OF) Broome 007-65112-00 SANFORD (TOWN OF) Broome 007-82535-00 WINDSOR (TOWN OF) Broome 013-08488-00 BROCTON Chautauqua 013-14069-00 CHAUTAUQUA (TOWN OF) Chautauqua 013-59421-00 PORTLAND (TOWN OF) Chautauqua 013-99013-00 CHAUTAUQUA (COUNTY) Chautauqua 013-99013-02 CHAUTAUQUA (COUNTY) / CHAUTAUQUA COUNTY DEPT. OF PUBLICChautauqua FACILITIES 017-17486-00 COLUMBUS (TOWN OF) Chenango 017-30422-00 GREENE (TOWN OF) Chenango 017-53297-00 NORTH NORWICH (TOWN OF) Chenango 017-66883-00 SHERBURNE Chenango 017-99017-00 CHENANGO (COUNTY) Chenango 017-ULW15-00 CHENANGO COUNTY INDUSTRIAL DEVELOPMENT AGENCY Chenango 019-06761-00 BLACK BROOK (TOWN OF) Clinton 019-99019-00 CLINTON (COUNTY) Clinton 023-44193-00 MCGRAW Cortlandt 023-68264-00 SOLON (TOWN OF) Cortlandt 025-20357-00 DEPOSIT (TOWN OF) Delaware 025-67345-00 SIDNEY (TOWN OF) Delaware 025-78047-00 WALTON (TOWN OF) Delaware 025-99025-00 DELAWARE (COUNTY) Delaware 031-23833-00 ELIZABETHTOWN (TOWN OF) Essex 031-38396-00 JAY (TOWN OF) Essex 031-99031-00 ESSEX (COUNTY) Essex 033-05716-00 BELLMONT (TOWN OF) Franklin 033-07839-00 BRANDON (TOWN OF) Franklin 033-20610-00 DICKINSON (TOWN OF) Franklin 033-44721-00 MALONE (TOWN OF) Franklin 033-99033-00 FRANKLIN (COUNTY) Franklin 033-99033-02 FRANKLIN (COUNTY) / HIGHWAY DEPARTMENT Franklin 043-058A5-00 HERKIMER COUNTY SHERIFF Herkimer Upstate Flooding GOSR FEMA PA Local Match Applicnats (opt in) August 2015 043-0A8AD-00 HERKIMER CENTRAL SCHOOL DIST Herkimer 043-1189A-00 OWEN D YOUNG CENTRAL SCHOOL Herkimer 043-19686-00 DANUBE (TOWN OF) Herkimer 043-24933-00 FAIRFIELD (TOWN OF) Herkimer 043-27188-00 FRANKFORT Herkimer 043-28750-00 GERMAN FLATTS (TOWN OF) Herkimer 043-34121-00 HERKIMER Herkimer 043-34132-00 HERKIMER (TOWN OF) Herkimer 043-37275-00 ILION Herkimer 043-42664-00 LITCHFIELD (TOWN OF) Herkimer 043-42741-00 LITTLE FALLS Herkimer 043-47108-00 MIDDLEVILLE Herkimer 043-47823-00 MOHAWK Herkimer 043-53968-00 NORWAY (TOWN OF) Herkimer 043-70794-00 STARK (TOWN OF) Herkimer 043-78278-00 WARREN (TOWN OF) Herkimer 043-99043-00 HERKIMER (COUNTY) Herkimer 043-99043-01 HERKIMER (COUNTY) / HERKIMER COUNTY HIGHWAY DEPARTMENTHerkimer 043-UJ42F-00 COLUMBIA-LITCHFIELD FIRE DIST Herkimer 043-ULDCN-00 ILION HOUSING AUTHORITY Herkimer 043-US12Y-00 HERKIMER HOUSING AUTHORITY Herkimer 053-08587-00 BROOKFIELD (TOWN OF) Madison 053-20390-00 DERUYTER Madison 053-20401-00 DERUYTER (TOWN OF) Madison 053-23305-00 EATON (TOWN OF) Madison 053-28695-00 GEORGETOWN (TOWN OF) Madison 053-31720-00 HAMILTON (TOWN OF) Madison 053-41674-00 LEBANON (TOWN OF) Madison 053-44435-00 MADISON (TOWN OF) Madison 053-49770-00 NELSON (TOWN OF) Madison 053-54837-00 ONEIDA Madison 053-71399-00 STOCKBRIDGE (TOWN OF) Madison 053-99053-00 MADISON (COUNTY) Madison 053-99053-01 MADISON (COUNTY) / HIGHWAY DEPARTMENT Madison 057-05B18-00 MONTGOMERY COUNTY SOCIAL SVC Montgomery 057-12122-00 CANAJOHARIE (TOWN OF) Montgomery 057-12C23-00 MONTGOMERY EMERGENCY MGMT Montgomery 057-26924-00 FORT PLAIN (RR NAME SOUTH FORT PLAIN) Montgomery 057-47614-00 MINDEN (TOWN OF) Montgomery 057-47834-00 MOHAWK (TOWN OF) Montgomery 057-63561-00 ROOT (TOWN OF) Montgomery 057-99057-00 MONTGOMERY (COUNTY) Montgomery 057-99057-01 MONTGOMERY (COUNTY) / SHERIFF'S OFFICE Montgomery 057-99057-03 MONTGOMERY (COUNTY) / PUBLIC HEALTH Montgomery 057-99057-04 MONTGOMERY (COUNTY) / SANITARY DISTRICT #1 Montgomery 057-UN4IT-00 FORT PLAIN FREE LIBRARY Montgomery 057-UNF66-00 HISTORIC FORT PLAIN, INC Montgomery Upstate Flooding GOSR FEMA PA Local Match Applicnats (opt in) August 2015 057-URD5T-00 FRIENDS OF FORT PLAIN INCORPORATED Montgomery 065-03155-00 AUGUSTA (TOWN OF) Oneida 065-45755-00 MARSHALL (TOWN OF) Oneida 065-50309-00 NEW HARTFORD (TOWN OF) Oneida 065-63418-00 ROME Oneida 065-65134-00 SANGERFIELD (TOWN OF) Oneida 065-76540-00 UTICA Oneida 065-77123-00 VERNON (TOWN OF) Oneida 065-81754-00 WHITESTOWN (TOWN OF) Oneida 065-99065-00 ONEIDA (COUNTY) Oneida 065-U9HHI-00 WHITESBORO CENTRAL SCHOOL DISTRICT Oneida 065-UTCO4-00 PRESBYTERIAN HOMES AND SERVICES Oneida 077-11209-00 BURLINGTON (TOWN OF) Otsego 077-15242-00 CHERRY VALLEY Otsego 077-15253-00 CHERRY VALLEY (TOWN OF) Otsego 077-18047-00 COOPERSTOWN Otsego 077-23613-00 EDMESTON (TOWN OF) Otsego 077-48494-00 MORRIS (TOWN OF) Otsego 077-61467-00 RICHFIELD (TOWN OF) Otsego 077-70310-00 SPRINGFIELD (TOWN OF) Otsego 077-99077-00 OTSEGO (COUNTY) Otsego 113-07234-00 BOLTON (TOWN OF) Warren 113-38715-00 JOHNSBURG (TOWN OF) Warren 113-99113-00 WARREN (COUNTY) Warren Winter Storm NEMO GOSR FEMA PA Local Match Applicants (opt in) August 2015 Applicant ID Applicant Name County 000-001BA-00 DEPT OF MILITARY AND NAVAL AFFAIRS State Agency 000-U0065-00 DEPT OF TRANSPORTATION (DOT) State Agency 000-U017E-00 SUNY State Agency 000-U0FIQ-00 NEW YORK STATE OFFICE OF EMERGENCY MANAGEMENT State Agency 000-UJ1MN-00 NYS DIV. OFFICE OF FIRE PREVENTION AND CONTROL State Agency 000-UUMIZ-00 LONG ISLAND POWER AUTHORITY State Agency 103-02044-00 AMITYVILLE Suffolk 103-02737-00 ASHAROKEN Suffolk 103-03408-00 BABYLON Suffolk 103-04000-00 BABYLON (TOWN OF) Suffolk 103-094AA-00 THREE VILLAGE CENTRAL SCHOOL Suffolk 103-0A91C-00 KINGS PARK CENTRAL SCHOOL DIST Suffolk 103-0AB03-00 EASTPORT FIRE DISTRICT Suffolk 103-0CBAE-00 SHOREHAM-WADING RIVER SCHOOL Suffolk 103-0CBE0-00 SUFFOLK COUNTY PARKS Suffolk 103-10000-00 BROOKHAVEN (TOWN OF) Suffolk 103-22183-00 EAST HAMPTON Suffolk 103-22194-00 EAST HAMPTON (TOWN OF) Suffolk 103-32963-00 HEAD OF THE HARBOR Suffolk 103-37000-00 HUNTINGTON (TOWN OF) Suffolk 103-38000-00 ISLIP (TOWN OF) Suffolk 103-40530-00 LAKE GROVE Suffolk 103-43005-00 LLOYD HARBOR Suffolk 103-46085-00 MASTIC BEACH Suffolk 103-51286-00 NISSEQUOGUE Suffolk 103-53396-00 NORTHPORT (RR NAME OLD NORTHPORT) Suffolk 103-56660-00 PATCHOGUE Suffolk 103-59157-00 POQUOTT Suffolk 103-59355-00 PORT JEFFERSON Suffolk 103-60422-00 QUOGUE Suffolk 103-66839-00 SHELTER ISLAND (TOWN OF) Suffolk 103-68000-00 SMITHTOWN (TOWN OF) Suffolk 103-68473-00 SOUTHAMPTON (TOWN OF) Suffolk 103-69463-00 SOUTHOLD (TOWN OF) Suffolk 103-77519-00 VILLAGE OF THE BRANCH (LOCAL NAME THE BRANCH) Suffolk 103-80181-00 WESTHAMPTON BEACH Suffolk 103-99103-01 SUFFOLK (COUNTY) / SUFFOLK COUNTY SHERIFF'S OFFICE Suffolk 103-99103-04 SUFFOLK (COUNTY) / HEALTH DEPT Suffolk 103-99103-05 SUFFOLK (COUNTY) / PUBLIC WORKS-SANITATION Suffolk 103-99103-06 SUFFOLK (COUNTY) / SUFFOLK COUNTY POLICE DEPARTMENT Suffolk 103-99103-07 SUFFOLK (COUNTY) / SUFFOLK COUNTY DEPARTMENT OF PROBATIONSuffolk 103-99103-09 SUFFOLK (COUNTY) / SUFFOLK COUNTY DEPT OF SOCIAL SERVICESSuffolk 103-99103-10 SUFFOLK (COUNTY) / SUFFOLK COUNTY ECONOMIC DVLPMT & PLANNINGSuffolk DEPT 103-U3CHU-00 COPIAGUE PUBLIC FREE SCHOOL DISTRICT Suffolk 103-U5YK7-00 WEST BABYLON FIRE DISTRICT Suffolk 103-U6E26-00 SUFFOLK COUNTY COMMUNITY COLLEGE Suffolk Winter Storm NEMO GOSR FEMA PA Local Match Applicants (opt in) August 2015 103-U8V07-00 SUFFOLK COUNTY WATER AUTHORITY Suffolk 103-U9XJN-00 LAKE RONKONKOMA FIRE DISTRICT Suffolk 103-UC7B7-00 NYSARC, INC. - AHRC Suffolk 103-UFFVN-00 BRENTWOOD U. F. S. D. Suffolk 103-UH052-00 SUFFOLK COUNTY FIRE RESCUE & EMERGENCY SERVICES Suffolk 103-UHX96-00 HALF HOLLOW HILLS CENTRAL SCHOOL DISTRICT Suffolk 103-UIWP5-00 SETAUKET FIRE DISTRICT Suffolk 103-UUHRS-00 BROOKHAVEN MEMORIAL HOSPITAL MEDICAL CENTER Suffolk 103-UWVI9-00 JOHN T. MATHER MEMORIAL HOSPITAL Suffolk 103-UZJCX-00 COMMACK UNION FREE SCHOOL DISTRICT Suffolk Superstorm Sandy GOSR FEMA PA Local Match Applicnats (opt in) August 2015 Applicant ID Applicant Name County 000-001BA-00 DEPT OF MILITARY AND NAVAL AFFAIRS State Agency 000-U0065-00 DEPT OF TRANSPORTATION (DOT) State Agency 000-U0066-00 PARKS, RECREATION, HISTORIC PRESERVATION State Agency 000-U0082-00 DEPT OF CORRECTIONAL SERVICES State Agency 000-U0099-00 NYS OFFICE OF GENERAL SERVICES INC State Agency 000-U0105-00 DEPT ENVIRONMENTAL CONSERVATION State Agency 000-U017E-00 SUNY State Agency 000-U0FIQ-00 NEW YORK STATE OFFICE OF EMERGENCY MANAGEMENT State Agency 000-U2KH7-00 GOVERNOR'S EXECUTIVE CHAMBER State Agency 000-U30AQ-00 NEW YORK STATE POLICE HEADQUARTERS State Agency 000-U3O4M-00 NYS JUDICIARY State Agency 000-U8JG3-00 DEPARTMENT OF HEALTH State Agency 000-U9A2J-00 ALCOHOLISM & SUBSTANCE ABUSE SERVICES State Agency 000-U9YXN-00 PEOPLE WITH DEVELOPMENTAL DISABILITIES (OPWDD) State Agency 000-UJ1MN-00 NYS DIV. OFFICE OF FIRE PREVENTION AND CONTROL State Agency 000-UJ3T5-00 JACOB K JAVITS CONVENTION CENTER State Agency 000-UJJHI-00 NYS OFFICE OF THE MEDICAID INSPECTOR GENERAL State Agency 000-UKDEC-00 DEPT. OF AGRICULTURE & MARKETS State Agency 000-ULU9X-00 NYS DEPARTMENT OF FINANCIAL SERVICES State Agency 000-UOTGB-00 TEMPORARY AND DISABILITY ASSISTANCE State Agency 000-UQ9TK-00 HUDSON RIVER PARK TRUST State Agency 000-UUA15-00 OFFICE OF MENTAL HEALTH State Agency 000-UUJK8-00 OFFICE OF CHILDREN & FAMILY SERVICES State Agency 000-UUMIZ-00 LONG ISLAND POWER AUTHORITY State Agency 000-UW7HB-00 DIVISION OF THE BUDGET State Agency 000-UXR1N-00 DEPARTMENT OF LABOR State Agency 000-UZCJ8-00 DEPT OF MOTOR VEHICLES State Agency 039-36178-00 HUNTER (TOWN OF) Greene 039-82480-00 WINDHAM (TOWN OF) Greene 039-99039-00 GREENE (COUNTY) Greene 039-UD1SL-00 MEDWAY GRAPEVILLE FIRE DISTRICT Greene 059-0270F-00 CARLE PLACE HIGH SCHOOL Nassau 059-0291E-00 OLD WESTBURY HEBREW CNGRGTN Nassau 059-02968-00 ATLANTIC BEACH Nassau 059-02C30-00 JERICHO UNION FREE SCHOOL DIST Nassau 059-02D36-00 SEAFORD UNION FREE SCHOOL DIST Nassau 059-02D97-00 JERICHO WATER DISTRICT Nassau 059-05034-00 BAYVILLE Nassau 059-0514F-00 BALDWIN UNION FREE SCHOOL Nassau 059-058B7-00 LAWRENCE UNION FREE SCHL DIST Nassau 059-058BA-00 HERRICKS UNION FREE SCHOOL Nassau 059-05934-00 OLD BROOKVILLE POLICE DEPT Nassau 059-05993-00 LONG BEACH CITY SCHOOLS Nassau 059-06E71-00 LIDO FIRE DEPARTMENT Nassau 059-07F6C-00 FREEPORT UNION SCHOOL DISTRICT Nassau 059-08106-00 OCEANSIDE UNION FREE SCHOOL Nassau Superstorm Sandy GOSR FEMA PA Local Match Applicnats (opt in) August 2015 059-08111-00 OYSTER BAY EAST NORWICH DIST Nassau 059-09320-00 YESHIVA TORAS CHAIM Nassau 059-0ADAD-00 LYNBROOK PUBLIC SCHOOL ADM OFC Nassau 059-0ADB8-00 OYSTER BAY SEWER DISTRICT Nassau 059-0ADD2-00 JERICHO FIRE DEPT Nassau 059-0ADD3-00 BETHPAGE FIRE DEPT Nassau 059-0AE2E-00 OCEANSIDE FIRE DEPT Nassau 059-0AE32-00 NORTH SHORE SCHOOLS ADM OFCS Nassau 059-0AE75-00 LOCUST VALLEY HIGH SCHOOL Nassau 059-0AEF4-00 ALERT ENGINE HOOK LADDER Nassau 059-0AF59-00 MANHASSET-LAKEVILLE WATER DIST Nassau 059-0B0C7-00 SYOSSET CENTRAL SCHOOL DIST Nassau 059-0DB35-00 BALDWIN FIRE DEPT Nassau 059-0DB54-00 ISLAND PARK SCHOOL Nassau 059-11E67-00 MALVERNE UNION SCHOOL DISTRICT Nassau 059-11E80-00 EAST ROCKAWAY FIRE DEPT Nassau 059-12137-00 CITY OF GLEN COVE PUBLIC SCHLS Nassau 059-122B7-00 MILL NECK SVC Nassau 059-122BD-00 OYSTER BAY WATER DISTRICT Nassau 059-12322-00 WESTBURY PUBLIC SCHOOLS Nassau 059-13618-00 CENTRE ISLAND Nassau 059-18595-00 INWOOD FIRE DISTRICT Nassau 059-19145-00 SOUTH NASSAU COMMUNITIES HOSP Nassau 059-22260-00 EAST HILLS Nassau 059-22876-00 EAST ROCKAWAY Nassau 059-23217-00 EAST WILLISTON Nassau 059-25384-00 FARMINGDALE Nassau 059-26264-00 FLORAL PARK Nassau 059-26352-00 FLOWER HILL Nassau 059-27485-00 FREEPORT Nassau 059-28178-00 GARDEN CITY Nassau 059-29113-00 GLEN COVE Nassau 059-30180-00 GREAT NECK (VILLAGE) (P.O. STA. NAME OLD VILLAGE) Nassau 059-30191-00 GREAT NECK ESTATES Nassau 059-30213-00 GREAT NECK PLAZA Nassau 059-33139-00 HEMPSTEAD / Incorporated Village of Nassau 059-34000-00 HEMPSTEAD (TOWN OF) Nassau 059-34308-00 HEWLETT HARBOR Nassau 059-37847-00 ISLAND PARK Nassau 059-39309-00 KENSINGTON Nassau 059-40937-00 LAKE SUCCESS Nassau 059-41432-00 LATTINGTOWN Nassau 059-41487-00 LAUREL HOLLOW Nassau 059-41553-00 LAWRENCE Nassau 059-43335-00 LONG BEACH Nassau 059-43874-00 LYNBROOK Nassau 059-44787-00 MALVERNE Nassau Superstorm Sandy GOSR FEMA PA Local Match Applicnats (opt in) August 2015 059-45106-00 MANORHAVEN Nassau 059-45997-00 MASSAPEQUA PARK Nassau 059-46107-00 MATINECOCK Nassau 059-47405-00 MILL NECK Nassau 059-47636-00 MINEOLA Nassau 059-49231-00 MUNSEY PARK Nassau 059-49330-00 MUTTONTOWN Nassau 059-50397-00 NEW HYDE PARK Nassau 059-53000-00 NORTH HEMPSTEAD (TOWN OF) Nassau 059-53022-00 NORTH HILLS Nassau 059-54562-00 OLD BROOKVILLE Nassau 059-54705-00 OLD WESTBURY Nassau 059-56000-00 OYSTER BAY (TOWN OF) Nassau 059-56011-00 OYSTER BAY COVE Nassau 059-58475-00 PLANDOME Nassau 059-58486-00 PLANDOME HEIGHTS Nassau 059-58497-00 PLANDOME MANOR Nassau 059-59531-00 PORT WASHINGTON NORTH Nassau 059-63264-00 ROCKVILLE CENTRE Nassau 059-63770-00 ROSLYN Nassau 059-63792-00 ROSLYN ESTATES Nassau 059-63803-00 ROSLYN HARBOR Nassau 059-64232-00 RUSSELL GARDENS Nassau 059-64430-00 SADDLE ROCK Nassau 059-65035-00 SANDS POINT Nassau 059-66047-00 SEA CLIFF Nassau 059-71267-00 STEWART MANOR Nassau 059-73605-00 THOMASTON Nassau 059-76331-00 UPPER BROOKVILLE Nassau 059-79444-00 WESTBURY Nassau 059-82117-00 WILLISTON PARK Nassau 059-99059-00 NASSAU (COUNTY) Nassau 059-99059-01 NASSAU (COUNTY) / NASSAU COUNTY PUBLIC WORKS Nassau 059-U0141-00 NASSAU COMMUNITY COLLEGE Nassau 059-U0UX1-00 GREAT NECK NORTH - WATER AUTHORITY Nassau 059-U1IFU-00 LAKEVIEW FIRE DISTRICT Nassau 059-U36UC-00 EAST MEADOW UNION FREE SCHOOL DIST Nassau 059-U3K7A-00 LEVITTOWN FIRE DISTRICT Nassau 059-U3WT6-00 PLAINVIEW WATER DISTRICT Nassau 059-U3XPG-00 NORTH MERRICK UNION FREE SCHOOL DISTRICT Nassau 059-U4EDU-00 UNITED CEREBRAL PALSY ASSN OF NASSAU COUNTY Nassau 059-U4HK5-00 LONG BEACH MEMORIAL NURSING HOME Nassau 059-U4JV0-00 PORT WASHINGTON FIRE DEPARTMENT Nassau 059-U4K6T-00 GARDEN CITY UNION FREE SCHOOL DISTRICT Nassau 059-U4PZF-00 OLD WESTBURY GARDENS, INC. Nassau 059-U4ZB4-00 SANITARY DISTRICT NO.6 TOWN OF HEMPSTEAD Nassau 059-U5EG3-00 CATHOLIC HEALTH SYSTEMS OF LONG ISLAND Nassau Superstorm Sandy GOSR FEMA PA Local Match Applicnats (opt in) August 2015 059-U5PXF-00 WATER AUTHORITY OF WESTERN NASSAU COUNTY Nassau 059-U5U74-00 HICKSVILLE FIRE DISTRICT Nassau 059-U7P26-00 COMMUNITY MAINSTREAMING ASSOCIATES, INC Nassau 059-U80TO-00 ADULTS & CHILDREN LEARNING & DVLP DISABILITIES Nassau 059-U84S1-00 CHABAD OF PORT WASHINGTON Nassau 059-U8CKR-00 NASSAU REGIONAL OFF-TRACK BETTING CORP. Nassau 059-U99VX-00 MUTTONTOWN POLICE DEPARTMENT Nassau 059-U9ELM-00 ROMAN CATHOLIC DIOCESE OF ROCKVILLE CENTRE Nassau 059-U9FNG-00 ISLAND TREES UNION FREE SCHOOL DISTRICT Nassau 059-UAOVN-00 SOUTH HEMPSTEAD FIRE DIST Nassau 059-UB86B-00 ISLAND PARK PUBLIC LIBRARY Nassau 059-UBKSQ-00 NORTH SHORE-LI JEWISH HEALTH CARE INC Nassau 059-UBOH9-00 ROCKVILLE CENTRE SCHOOL DISTRICT Nassau 059-UBWO9-00 INTERFAITH NUTRITION NETWORK Nassau 059-UCB5O-00 WOODMERE FIRE DISTRICT Nassau 059-UCE0R-00 BELLMORE MEMORIAL LIBRARY Nassau 059-UCZAS-00 GREAT NECK PARK DISTRICT Nassau 059-UD552-01 NORTH SHORE UNIVERSITY HOSPITAL Nassau 059-UD552-03 NORTH SHORE UNIVERSITY HOSPITAL / NORTH SHORE UNIV. HOSP.Nassau AT PLAINVIEW 059-UFXPM-00 NASSAU BOCES Nassau 059-UG1AJ-00 WINTHROP-UNIVERSITY HOSPITAL Nassau 059-UGHYO-00 MASSAPEQUA WATER DISTRICT Nassau 059-UH561-00 LONG BEACH MEDICAL CENTER Nassau 059-UHHHM-00 PORT WASHINGTON UNION FREE SCHOOL DISTRICT Nassau 059-UHJ8S-00 FREEPORT MEMORIAL LIBRARY Nassau 059-UHZHI-00 NORTH SHORE LIJ HEALTH SYSTEMS, INC. Nassau 059-UIN8N-00 NORTH BELLMORE UFSD Nassau 059-UJ0E8-00 HICKSVILLE WATER DISTRICT Nassau 059-UJ5RY-00 GREATER ATLANTIC BEACH WATER RECLAMATION DISTRICT Nassau 059-UL005-00 FLORAL PARK - BELLEROSE UNION FREE SCHOOL DISTRICT Nassau 059-ULEZJ-00 MANHASSET LAKEVILLE FIRE DISTRICT Nassau 059-UM0Z5-00 MINEOLA VOLUNTEER AMBULANCE CORPS., INC. Nassau 059-UN10T-00 EAST ROCKAWAY UNION FREE SCHOOL DISTRICT Nassau 059-UNG39-00 MASSAPEQUA PUBLIC LIBRARY Nassau 059-UPK89-00 GREAT NECK WATER POLLUTION CONTROL DIST. Nassau 059-UQFKO-00 ROSLYN WATER DISTRICT Nassau 059-UQW5G-00 PORT WASHINGTON POLICE DISTRICT Nassau 059-URXO0-00 SANITARY DISTRICT NO. 7 Nassau 059-USKS0-00 MERRICK JEWISH CENTER Nassau 059-USMWH-00 WEST HEMPSTEAD USFD Nassau 059-UT9TX-00 MANHASSET UNION FREE SCHOOL DISTRICT Nassau 059-UV7JG-00 LAWRENCE-CEDARHURST FIRE DEPARTMENT Nassau 059-UVLO8-00 PORT WASHINGTON WATER POLLUTION CONTROL DIST. Nassau 059-UVW04-00 WANTAGH FIRE DISTRICT Nassau 059-UVZS3-00 EAST MEADOW PUBLIC LIBRARY Nassau 059-UWU9Q-00 TOWN OF HEMPSTEAD HOUSING AUTHORITY Nassau 059-UX1UA-00 LEVITTOWN PUBLIC SCHOOLS Nassau Superstorm Sandy GOSR FEMA PA Local Match Applicnats (opt in) August 2015 059-UXSX4-00 FRIEDBERG JEWISH COMM CTR, BARRY AND FLORENCE Nassau 059-UYH6C-00 FRANKLIN SQUARE UNION FREE SCHOOL DISTRICT Nassau 059-UZQO9-00 SEAFORD FIRE DISTRICT Nassau 071-15308-00 CHESTER (TOWN OF) Orange 071-18333-00 CORNWALL-ON-HUDSON (PO CORNWALL ON HUDSON) Orange 071-18916-00 CRAWFORD (TOWN OF) Orange 071-29553-00 GOSHEN (TOWN OF) Orange 071-30752-00 GREENWOOD LAKE Orange 071-32325-00 HARRIMAN Orange 071-39853-00 KIRYAS JOEL Orange 071-47988-00 MONROE Orange 071-48142-00 MONTGOMERY Orange 071-48857-00 MOUNT HOPE (TOWN OF) Orange 071-55673-00 OTISVILLE Orange 071-59388-00 PORT JERVIS Orange 071-75781-00 TUXEDO (TOWN OF) Orange 071-77992-00 WALLKILL (TOWN OF) Orange 071-78355-00 WARWICK Orange 071-78366-00 WARWICK (TOWN OF) Orange 071-99071-00 ORANGE (COUNTY) Orange 071-UE5IZ-00 SOUTH BLOOMING GROVE Orange 071-UIOOK-00 ST. TERESA'S NURSING HOME Orange 071-UW2WV-00 KIRYAS JOEL VOLUNTEER EMS Orange 079-06A5F-00 PATTERSON FIRE DEPT Putnam 079-07F47-00 BREWSTER CENTRAL HIGH SCHOOL Putnam 079-08070-00 BREWSTER Putnam 079-0E1F1-00 KENT VOLUNTEER FIRE DEPT Putnam 079-0E1FE-00 CARMEL FIRE DEPT Putnam 079-0E250-00 MAHOPAC FALLS FIRE DEPT Putnam 079-12529-00 CARMEL (TOWN OF) Putnam 079-16936-00 COLD SPRING Putnam 079-39331-00 KENT (TOWN OF) Putnam 079-60147-00 PUTNAM VALLEY (TOWN OF) Putnam 079-99079-00 PUTNAM (COUNTY) Putnam 079-U1GK3-00 GARRISON VOL. FIRE COMPANY Putnam 079-UDJHE-00 PUTNAM COUNTY DEPT HIGHWAYS AND FACILITIES Putnam 079-UJVXS-00 PHILIPSTOWN (TOWN OF) HIGHWAY DEPARTMENT Putnam 087-00408-00 AIRMONT Rockland 087-0134A-00 RAMAPO CENTRAL SCHOOL SUPT Rockland 087-01417-00 SOUTH ORANGETOWN AMBULANCE Rockland 087-05179-00 CAMP VENTURE INC Rockland 087-05F66-00 NYACK UNION FREE SCHOOL Rockland 087-07849-00 SUMMIT PARK HOSPITAL Rockland 087-07F57-00 HAVERSTRAW-STONY PT CENT SCHL Rockland 087-0CF18-00 SOLID WASTE DEPT Rockland 087-0CF95-00 ENVIRONMENTAL HEALTH SVC Rockland 087-0CFFD-00 JOINT REGIONAL SEWERAGE BOARD Rockland Superstorm Sandy GOSR FEMA PA Local Match Applicnats (opt in) August 2015 087-0D00C-00 CLARKSTOWN CENTRAL SCHOOL Rockland 087-15968-00 CLARKSTOWN (TOWN OF) Rockland 087-29872-00 GRAND VIEW-ON-HUDSON (GRAND VIEW) Rockland 087-32754-00 HAVERSTRAW Rockland 087-32765-00 HAVERSTRAW (TOWN OF) Rockland 087-38934-00 KASER Rockland 087-50705-00 NEW SQUARE Rockland 087-54100-00 NYACK Rockland 087-55211-00 ORANGETOWN (TOWN OF) Rockland 087-57749-00 PIERMONT Rockland 087-58992-00 POMONA Rockland 087-60510-00 RAMAPO (TOWN OF) Rockland 087-67708-00 SLOATSBURG Rockland 087-69441-00 SOUTH NYACK Rockland 087-70420-00 SPRING VALLEY Rockland 087-71674-00 STONY POINT (TOWN OF) Rockland 087-71894-00 SUFFERN Rockland 087-76386-00 UPPER NYACK Rockland 087-80203-00 WEST HAVERSTRAW Rockland 087-99087-01 ROCKLAND (COUNTY) / HIGHWAY DEPARTMENT Rockland 087-99087-02 ROCKLAND (COUNTY) / DEPARTMENT OF PLANNING Rockland 087-99087-03 ROCKLAND (COUNTY) / DEPARTMENT OF PUBLIC TRANSPORTATIONRockland 087-99087-05 ROCKLAND (COUNTY) / ROCKLAND COUNTY HEALTH DEPARTMENTRockland 087-U02GS-00 ROCKLAND COUNTY DRAINAGE AGENCY Rockland 087-U0PXS-00 ROCKLAND COUNTY DEPT. OF SOCIAL SERVICES Rockland 087-U2YXV-00 HEAD START OF ROCKLAND, INC. Rockland 087-U3MWF-00 STONY POINT FIRE DISTRICT Rockland 087-U4UTP-00 ROCKLAND COUNTY SHERIFF'S OFFICE Rockland 087-U7V15-00 ROCKLAND COUNTY SEWER DISTRICT NO. 1 Rockland 087-UCEZP-00 ROCKLAND COUNTY CHAPTER OF NYSARC Rockland 087-UCYH0-00 YESHIVA OHR REUVEN Rockland 087-UDUKA-00 NANUET FIRE DISTRICT Rockland 087-UH0CF-00 REFUAH HEALTH CENTER, INC. Rockland 087-UIK33-00 JAWONIO Rockland 087-UJJS5-00 NANUET PUBLIC SCHOOLS Rockland 087-UJPP8-00 SPARKILL-PALISADES FIRE DISTRICT Rockland 087-UKOUO-00 NEW VISTAS OF ROCKLAND, INC. Rockland 087-UM5GE-00 ROCKLAND COUNTRY DAY SCHOOL Rockland 087-UNG9L-00 HAVERSTRAW KING'S DAUGHTERS PUBLIC LIBRARY Rockland 087-UNQ6F-00 EAST RAMAPO CENTRAL SCHOOL DISTRICT Rockland 087-UOK2M-00 HOMES FOR THE EXCEPTIONAL V, INC. Rockland 087-UP0KG-00 ROCKLAND COMMUNITY COLLEGE Rockland 087-UQC3G-00 HOMES FOR THE EXCEPTIONAL III, INC. Rockland 087-URCQ4-00 ST JOSEPH'S ADULT CARE HOME Rockland 087-URPRG-00 HOMES FOR THE EXCEPTIONAL IV, INC Rockland 087-US54A-00 HOMES FOR THE EXCEPTIONAL COMPANY, INC. Rockland 087-USA8N-00 ST. THOMAS AQUINAS COLLEGE Rockland Superstorm Sandy GOSR FEMA PA Local Match Applicnats (opt in) August 2015 087-UTGAC-00 DEPARTMENT OF GENERAL SERVICES Rockland 087-UTPCX-00 SOUTH ORANGETOWN CENTRAL SCHOOL DISTRICT Rockland 087-UUFMI-00 HOMES FOR THE EXCEPTIONAL II, INC Rockland 087-UVFBY-00 ROCKLAND COUNTY OFFICE OF FIRE -EMERGENCY SERVICES Rockland 087-UWE4W-00 ROCKLAND BOCES Rockland 087-UZ9IF-00 SOUTH NYACK/GRANDVIEW POLICE Rockland 103-02044-00 AMITYVILLE Suffolk 103-02737-00 ASHAROKEN Suffolk 103-02BEA-00 GREENLAWN WATER DIST Suffolk 103-03408-00 BABYLON Suffolk 103-04000-00 BABYLON (TOWN OF) Suffolk 103-05771-00 BELLPORT Suffolk 103-08323-00 BRIGHTWATERS Suffolk 103-094AA-00 THREE VILLAGE CENTRAL SCHOOL Suffolk 103-0A8F4-00 EAST NORTHPORT FIRE DEPT Suffolk 103-0A8F6-00 KINGS PARK FIRE DISTRICT Suffolk 103-0A91C-00 KINGS PARK CENTRAL SCHOOL DIST Suffolk 103-0A956-00 DEER PARK UNION FREE SCHOOL Suffolk 103-0AAFB-00 CUTCHOGUE FIRE DEPT Suffolk 103-0AB0D-00 VILLAGE OF SHOREHAM INC Suffolk 103-0CBAE-00 SHOREHAM-WADING RIVER SCHOOL Suffolk 103-0CBE0-00 SUFFOLK COUNTY PARKS Suffolk 103-10000-00 BROOKHAVEN (TOWN OF) Suffolk 103-20379-00 DERING HARBOR Suffolk 103-22183-00 EAST HAMPTON Suffolk 103-22194-00 EAST HAMPTON (TOWN OF) Suffolk 103-30576-00 GREENPORT Suffolk 103-32963-00 HEAD OF THE HARBOR Suffolk 103-37000-00 HUNTINGTON (TOWN OF) Suffolk 103-37022-00 HUNTINGTON BAY Suffolk 103-38000-00 ISLIP (TOWN OF) Suffolk 103-40530-00 LAKE GROVE Suffolk 103-42554-00 LINDENHURST Suffolk 103-43005-00 LLOYD HARBOR Suffolk 103-46085-00 MASTIC BEACH Suffolk 103-51286-00 NISSEQUOGUE Suffolk 103-52188-00 NORTH HAVEN Suffolk 103-53396-00 NORTHPORT (RR NAME OLD NORTHPORT) Suffolk 103-54430-00 OCEAN BEACH Suffolk 103-54617-00 OLD FIELD Suffolk 103-56660-00 PATCHOGUE Suffolk 103-59157-00 POQUOTT Suffolk 103-59355-00 PORT JEFFERSON Suffolk 103-60422-00 QUOGUE Suffolk 103-61984-00 RIVERHEAD (TOWN OF) Suffolk 103-64881-00 SALTAIRE Suffolk 103-66839-00 SHELTER ISLAND (TOWN OF) Suffolk Superstorm Sandy GOSR FEMA PA Local Match Applicnats (opt in) August 2015 103-68000-00 SMITHTOWN (TOWN OF) Suffolk 103-68462-00 SOUTHAMPTON Suffolk 103-68473-00 SOUTHAMPTON (TOWN OF) Suffolk 103-69463-00 SOUTHOLD (TOWN OF) Suffolk 103-77519-00 VILLAGE OF THE BRANCH (LOCAL NAME THE BRANCH) Suffolk 103-80181-00 WESTHAMPTON BEACH Suffolk 103-99103-00 SUFFOLK (COUNTY) Suffolk 103-99103-01 SUFFOLK (COUNTY) / Suffolk County Sheriffs Office Suffolk 103-99103-04 SUFFOLK (COUNTY) / HEALTH DEPT Suffolk 103-99103-05 SUFFOLK (COUNTY) / PUBLIC WORKS-SANITATION Suffolk 103-99103-06 SUFFOLK (COUNTY) / SUFFOLK COUNTY POLICE DEPARTMENT Suffolk 103-99103-07 SUFFOLK (COUNTY) / SUFFOLK COUNTY DEPARTMENT OF PROBATIONSuffolk 103-99103-09 SUFFOLK (COUNTY) / SUFFOLK COUNTY DEPT OF SOCIAL SERVICESSuffolk 103-99103-10 SUFFOLK (COUNTY) / SUFFOLK COUNTY ECONOMIC DVLPMT & PLANNINGSuffolk DEPT 103-99103-11 SUFFOLK (COUNTY) / SUFFOLK COUNTY EXECUTIVE OFFICE Suffolk 103-99103-12 SUFFOLK (COUNTY) / INFORMATION TECHNOLOGY Suffolk 103-99103-13 SUFFOLK (COUNTY) / SUFFOLK COUNTY DEPARTMENT OF LABORSuffolk 103-99103-14 SUFFOLK (COUNTY) / SUFFOLK COUNTY DEPARTMENT OF LAW Suffolk 103-99103-17 SUFFOLK (COUNTY) / DEPT. OF CIVIL SERVICE Suffolk 103-U21L1-00 CENTRAL SUFFOLK HOSPITAL Suffolk 103-U36LI-00 SOUTH COUNTRY CENTRAL SCHOOL DISTRICT Suffolk 103-U3CHU-00 COPIAGUE PUBLIC FREE SCHOOL DISTRICT Suffolk 103-U3WSL-00 COLD SPRINGS HARBOR FIRE DIST Suffolk 103-U5T34-00 ELWOOD UFSD Suffolk 103-U5YK7-00 WEST BABYLON FIRE DISTRICT Suffolk 103-U5YRV-00 SMITHTOWN CENTRAL SCHOOL DISTRICT Suffolk 103-U7AT1-00 NORTH BABYLON UNION FREE SCHOOL DISTRICT Suffolk 103-U81UC-00 HARBORFIELDS CENTRAL SCHOOL DISTRICT Suffolk 103-U8V07-00 SUFFOLK COUNTY WATER AUTHORITY Suffolk 103-U9XJN-00 LAKE RONKONKOMA FIRE DISTRICT Suffolk 103-UA38H-00 THE WAY BACK, INC. Suffolk 103-UA950-00 BABYLON CENTRAL FIRE ALARM & RESCUE ALARM CORP Suffolk 103-UAP74-00 DIX HILLS FIRE DISTRICT Suffolk 103-UBWUH-00 WEST BABYLON UFSD Suffolk 103-UC7B7-00 NYSARC, INC. - AHRC Suffolk 103-UDA2Z-00 SAYVILLE FIRE DISTRICT Suffolk 103-UE6KJ-00 WEST SAYVILLE - OAKDALE FIRE DISTRICT Suffolk 103-UEZ8I-00 SOUTH HUNTINGTON UNION FREE SCHOOL DIST Suffolk 103-UFFVN-00 BRENTWOOD U. F. S. D. Suffolk 103-UH052-00 SUFFOLK COUNTY FIRE RESCUE & EMERGENCY SERVICES Suffolk 103-UHX96-00 HALF HOLLOW HILLS CENTRAL SCHOOL DISTRICT Suffolk 103-UIP0Z-00 GURWIN JEWISH GERIATIRC CENTER Suffolk 103-UIWP5-00 SETAUKET FIRE DISTRICT Suffolk 103-UJWGZ-00 BAY SHORE FIRE DISTRICT Suffolk 103-UKLU0-00 MATTITUCK PARK DISTRICT Suffolk 103-UKRK9-00 HUNTINGTON UFSD Suffolk 103-UMAHH-00 ISLAND HARVEST Suffolk Superstorm Sandy GOSR FEMA PA Local Match Applicnats (opt in) August 2015 103-UMSK5-00 OCEAN BEACH FIRE Suffolk 103-UP38R-00 CATHOLIC CHARITIES - DIOCESE ROCKVILLE CENTER Suffolk 103-UQN4K-00 SACHEM CENTRAL SCHOOL DISTRICT Suffolk 103-UT6LY-00 PORT JEFFERSON UFSD Suffolk 103-UTSUF-00 MIDDLE COUNTRY CENTRAL SCHOOL DISTRICT Suffolk 103-UUHRS-00 BROOKHAVEN MEMORIAL HOSPITAL MEDICAL CENTER Suffolk 103-UWVI9-00 JOHN T. MATHER MEMORIAL HOSPITAL Suffolk 103-UWVUG-00 CONCERN FOR INDEPENDENT LIVING, INC. Suffolk 103-UZJCX-00 COMMACK UNION FREE SCHOOL DISTRICT Suffolk 105-0C2B1-00 YOUNGSVILLE FIRE DEPT Sullivan 105-11759-00 CALLICOON (TOWN OF) Sullivan 105-15763-00 JEFFERSONVILLE FIRE DISTRICT Sullivan 105-157CC-00 ELDRED CENTRAL SCHOOL Sullivan 105-25241-00 FALLSBURG (TOWN OF) Sullivan 105-42224-00 LIBERTY Sullivan 105-43786-00 LUMBERLAND (TOWN OF) Sullivan 105-48175-00 MONTICELLO Sullivan 105-49847-00 NEVERSINK (TOWN OF) Sullivan 105-63176-00 ROCKLAND (TOWN OF) Sullivan 105-73627-00 THOMPSON (TOWN OF) Sullivan 105-99105-00 SULLIVAN (COUNTY) Sullivan 105-99105-03 SULLIVAN (COUNTY) / SULLIVAN COUNTY DIVISION OF PUBLIC SAFETYSullivan 105-U4W72-00 MONTICELLO JOINT FIRE DIST Sullivan 105-U87H9-00 CATSKILL REGIONAL MEMORIAL CENTER Sullivan 105-UCFGC-00 WESTERN SULLIVAN PUBLIC LIBRARY Sullivan 105-UGRA3-00 ROCK HILL FIRE DIST Sullivan 111-15A2F-00 WOODSTOCK FIRE DISTRICT Ulster 111-39727-00 KINGSTON Ulster 111-42994-01 LLOYD (TOWN OF) / WATER AND SEWER DISTRICT Ulster 111-45722-00 MARLBOROUGH (TOWN OF) Ulster 111-58552-00 PLATTEKILL (TOWN OF) Ulster 111-65299-02 SAUGERTIES (TOWN OF) / SAUGERTIES (TOWN OF) PARKS & RECREATIONUlster 111-66674-00 SHAWANGUNK (TOWN OF) Ulster 111-75935-00 ULSTER (TOWN OF) Ulster 111-83052-00 WOODSTOCK (TOWN OF) Ulster 111-99111-00 ULSTER (COUNTY) Ulster 111-99111-01 ULSTER (COUNTY) / SHERIFF'S OFFICE Ulster 111-99111-02 ULSTER (COUNTY) / ULSTER COUNTY DEPARTMENT OF PUBLIC WORKSUlster 111-U2OND-00 TROLLEY MUSEUM OF NEW YORK, THE Ulster 111-UUND7-00 ULSTER HOSE FIRE DIST #5 Ulster 119-00E9A-00 IRVINGTON HIGH SCHOOL Westchester 119-00F09-00 WESTCHESTER JOINT WATER WORKS Westchester 119-0118D-00 WHITE PLAINS CITY SCHOOLS Westchester 119-05320-00 BEDFORD (TOWN OF) Westchester 119-08103-00 BRIARCLIFF MANOR Westchester 119-08532-00 BRONXVILLE Westchester 119-08C72-00 POUND RIDGE FIRE DEPT Westchester Superstorm Sandy GOSR FEMA PA Local Match Applicnats (opt in) August 2015 119-08D04-00 EASTCHESTER POLICE HEADQUARTER Westchester 119-08D07-00 EASTCHESTER FIRE DEPT Westchester 119-0E266-00 SOMERS CENTRAL SCHOOL DISTRICT Westchester 119-10341-00 BUCHANAN Westchester 119-15352-00 BYRAM HILLS DISTRICT OFFICE Westchester 119-15373-00 CROTON FALLS FIRE DEPT Westchester 119-18410-00 CORTLANDT (TOWN OF) Westchester 119-19213-00 CROTON-ON-HUDSON Westchester 119-19875-00 SOMERS FIRE DISTRICT Westchester 119-21820-00 EASTCHESTER (TOWN OF) Westchester 119-24295-00 ELMSFORD Westchester 119-30367-00 GREENBURGH (TOWN OF) Westchester 119-32413-00 HARRISON (TOWN OF) Westchester 119-32710-00 HASTINGS-ON-HUDSON Westchester 119-37803-00 IRVINGTON Westchester 119-41333-00 LARCHMONT Westchester 119-42136-00 LEWISBORO (TOWN OF) Westchester 119-44831-00 MAMARONECK Westchester 119-44842-00 MAMARONECK (TOWN OF) Westchester 119-48890-00 MOUNT KISCO Westchester 119-49011-00 MOUNT PLEASANT (TOWN OF) Westchester 119-49121-00 MOUNT VERNON Westchester 119-50078-00 NEW CASTLE (TOWN OF) Westchester 119-50617-00 NEW ROCHELLE Westchester 119-51693-00 NORTH CASTLE (TOWN OF) Westchester 119-53517-00 NORTH SALEM (TOWN OF) Westchester 119-55530-00 OSSINING Westchester 119-55541-00 OSSINING (TOWN OF) Westchester 119-56979-00 PEEKSKILL Westchester 119-57001-00 PELHAM Westchester 119-58728-00 PLEASANTVILLE Westchester 119-59685-00 POUND RIDGE (TOWN OF) Westchester 119-64309-00 RYE Westchester 119-64320-00 RYE (TOWN OF) Westchester 119-64325-00 RYE BROOK Westchester 119-65431-00 SCARSDALE Westchester 119-67638-00 SLEEPY HOLLOW Westchester 119-68308-00 SOMERS (TOWN OF) Westchester 119-73176-00 TARRYTOWN Westchester 119-75583-00 TUCKAHOE Westchester 119-81677-00 WHITE PLAINS Westchester 119-84000-00 YONKERS Westchester 119-84077-00 YORKTOWN (TOWN OF) Westchester 119-U3Q52-00 PHELPS MEMORIAL HOSPITAL CENTER Westchester 119-U5QO5-00 NORTH CASTLE FIRE DISTRICT 2 Westchester 119-U93CB-00 VALHALLA FIRE DISTRICT Westchester 119-UB17Y-00 GRAHAM WINDHAM INC. Westchester Superstorm Sandy GOSR FEMA PA Local Match Applicnats (opt in) August 2015 119-UCFN8-00 BEDFORD HILLS FIRE DIST Westchester 119-UFZ7K-00 WESTMORELAND SANCTUARY Westchester 119-UGDZ2-00 NEW ROCHELLE PUBLIC LIBRARY Westchester 119-USBJS-00 FOOD BANK FOR WESTCHESTER Westchester 119-UX45D-00 GREENVILLE FIRE DIST Westchester 119-UZW0G-00 KATONAH-LEWISBORO UFSD Westchester

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 6: FEMA Public Assistance Non- Federal Share Local Match Program Applicants for Hurricane Irene and Tropical Storm Lee Allocation

Hurricane Irene FEMA PA Applicants Applicant Name County DEPT OF MILITARY AND NAVAL AFFAIRS State Agency DEPT OF TRANSPORTATION (DOT) State Agency PARKS, RECREATION, HISTORIC PRESERVATION State Agency DEPT OF CORRECTIONAL SERVICES State Agency NYS OFFICE OF GENERAL SERVICES State Agency DEPT ENVIRONMENTAL CONSERVATION State Agency SUNY State Agency NEW YORK STATE OFFICE OF EMERGENCY MANAGEMENT State Agency STATE POLICE HEADQUATERS State Agency NYS JUDICIARY State Agency NYS - HOMELAND SECURITY - COUNTER TERRORISM OFFICE State Agency DEPT OF PUBLIC SERVICE State Agency DEPARTMENT OF HEALTH State Agency PEOPLE WITH DEVELOPMENTAL DISABILITIES (OPWDD) State Agency NYS DIV. OFFICE OF FIRE PREVENTION AND CONTROL State Agency NYS DEPARTMENT OF FINANCIAL SERVICES State Agency HUDSON RIVER PARK TRUST State Agency NYS DIV OFFICE OF CYBER SECURITY State Agency OFFICE OF CHILDREN & FAMILY SERVICES State Agency LONG ISLAND POWER AUTHORITY State Agency DEPARTMENT OF LABOR State Agency DEPT OF MOTOR VEHICLES State Agency ALBANY Albany ALTAMONT Albany VOORHEESVILLE CENTRAL SCHOOLS Albany BERNE FIRE DISTRICT Albany BERNE (TOWN OF) Albany BETHLEHEM (TOWN OF) Albany ALBANY CITY SCHOOL DISTRICT Albany KNOX VOLUNTEER FIRE CO Albany COEYMANS HOLLOW FIRE DEPT Albany CAPITAL REGIONAL BOCES Albany WESTERLO FIRE DEPT Albany Hurricane Irene FEMA PA Applicants ALBANY COUNTY HWY & PUB WORKS Albany COEYMANS (TOWN OF) Albany COHOES Albany COLONIE Albany COLONIE (TOWN OF) Albany BERNE-KNOX-WESTERLO JR/SR HIGH Albany GREEN ISLAND Albany GUILDERLAND (TOWN OF) Albany KNOX (TOWN OF) Albany NEW SCOTLAND (TOWN OF) Albany RAVENA Albany RENSSELAERVILLE (TOWN OF) Albany VOORHEESVILLE Albany WATERVLIET Albany WESTERLO (TOWN OF) Albany ALBANY (COUNTY) Albany S. W. PITTS HOSE COMPANY INC. Albany ALTONA (TOWN OF) Clinton AU SABLE (TOWN OF) Clinton BEEKMANTOWN (TOWN OF) Clinton MORRISONVILLE FIRE DEPT Clinton BLACK BROOK (TOWN OF) Clinton AUSABLE VALLEY SUPERINTENDANT Clinton KEESEVILLE FIRE STATION Clinton CLINTON (TOWN OF) Clinton PERU FIRE DEPT Clinton DANNEMORA Clinton DANNEMORA (TOWN OF) Clinton ELLENBURG (TOWN OF) / ELLENBURG,TOWN OF, HIGHWAY DEPARTMENT Clinton KEESEVILLE Clinton MOOERS (TOWN OF) Clinton PERU (TOWN OF) Clinton PLATTSBURGH Clinton PLATTSBURGH (TOWN OF) Clinton Hurricane Irene FEMA PA Applicants SCHUYLER FALLS (TOWN OF) Clinton CLINTON (COUNTY) Clinton CADYVILLE FIRE DISTRICT Clinton SOUTH PLATTSBURGH FIRE DISTRICT Clinton PLATTSBURGH HOUSING AUTHORITY Clinton ANCRAM (TOWN OF) Columbia AUSTERLITZ (TOWN OF) Columbia STUYVESANT FIRE DEPT Columbia CANAAN (TOWN OF) Columbia CANAAN FIRE DISTRICT Columbia STOCKPORT FIRE CO Columbia CHATHAM Columbia CHATHAM (TOWN OF) Columbia CLAVERACK (TOWN OF) Columbia CLERMONT (TOWN OF) Columbia COPAKE (TOWN OF) Columbia GALLATIN (TOWN OF) Columbia GERMANTOWN (TOWN OF) Columbia GHENT (TOWN OF) Columbia GREENPORT (TOWN OF) Columbia HILLSDALE (TOWN OF) Columbia KINDERHOOK Columbia KINDERHOOK (TOWN OF) Columbia LIVINGSTON (TOWN OF) Columbia NEW LEBANON (TOWN OF) Columbia PHILMONT Columbia STOCKPORT (TOWN OF) Columbia STUYVESANT (TOWN OF) Columbia TAGHKANIC (TOWN OF) Columbia COLUMBIA (COUNTY) Columbia CLAVERACK FIRE DISTRICT #1 Columbia SPENCERTOWN FIRE CO., INC. Columbia TOWN OF GREENPORT WATER & SEWER DEPT. Columbia MELLENVILLE FIRE DISTRICT Columbia Hurricane Irene FEMA PA Applicants TAGHKANIC FIRE COMPANY Columbia COPAKE FIRE DISTRICT Columbia HILLSDALE COPAKE FIRE DISTRICT Columbia ANDES (TOWN OF) Delaware ROXBURY CENTRAL SCHOOL Delaware MARGARETVILLE CENTRAL SCHOOL Delaware MIDDLETOWN HARDENBURGH FIRE Delaware BOVINA (TOWN OF) Delaware WALTON CENTRAL SCHOOL DISTRICT Delaware FRANKLIN FIRE DEPT Delaware ROXBURY FIRE DEPT Delaware EAST BRANCH FIRE DEPT Delaware GRAND GORGE FIRE DEPT Delaware DELAWARE DEPT-SOCIAL SVC Delaware DELAWARE COUNTY SHERIFF Delaware DELAWARE COUNTY PLANNING BOARD Delaware DELAWARE COUNTY PUBLIC HEALTH Delaware DELAWARE COUNTY PROBATION DEPT Delaware DELAWARE COUNTY OFC FOR AGING Delaware COLCHESTER (TOWN OF) Delaware DELAWARE COUNTY SOIL & WATER Delaware WALTON FIRE DEPT Delaware DELHI Delaware DELHI (TOWN OF) Delaware DEPOSIT Delaware DEPOSIT (TOWN OF) Delaware FLEISCHMANNS Delaware HAMDEN (TOWN OF) Delaware HANCOCK Delaware HANCOCK (TOWN OF) Delaware HARPERSFIELD (TOWN OF) Delaware MARGARETVILLE Delaware MASONVILLE (TOWN OF) Delaware MIDDLETOWN (TOWN OF) Delaware Hurricane Irene FEMA PA Applicants ROXBURY (TOWN OF) Delaware SIDNEY (TOWN OF) Delaware TOMPKINS (TOWN OF) Delaware WALTON Delaware WALTON (TOWN OF) Delaware DELAWARE (COUNTY) / MAINTENANCE DEPARTMENT Delaware DELAWARE COUNTY DPW Delaware HOBART FIRE DEPARTMENT Delaware DELAWARE COUNTY DEPT OF EMERGENCY SERVICES Delaware BLOOMVILLE FIRE DEPARTMENT Delaware DELHI JOINT FIRE DISTRICT/DELHI FIRE DEPARTMENT Delaware FLEISCHMANNS FIRE DISTRICT Delaware ARKVILLE FIRE DISTRICT Delaware BARD COLLEGE Dutchess AMENIA (TOWN OF) Dutchess BEACON CITY SCHOOLS Dutchess BEACON Dutchess BEEKMAN (TOWN OF) Dutchess PLEASANT VALLEY FIRE CO Dutchess AMENIA FIRE HOUSE Dutchess HYDE PARK CENTRAL SCHOOL DIST Dutchess FAIRVIEW FIRE DEPT Dutchess LA GRANGE FIRE DISTRICT Dutchess EAST CLINTON FIRE DISTRICT Dutchess DUTCHESS COUNTY SHERIFF Dutchess MILLBROOK FIRE DEPT Dutchess MILAN FIRE DEPT Dutchess CLINTON (TOWN OF) Dutchess UNION VALE FIRE HOUSE Dutchess DOVER SCHOOL DISTRICT Dutchess WAPPINGERS CENTRAL SCHOOL DIST Dutchess DUTCHESS COUNTY EMER RESPONSE Dutchess DOVER (TOWN OF) Dutchess EAST FISHKILL (TOWN OF) Dutchess Hurricane Irene FEMA PA Applicants FISHKILL Dutchess FISHKILL (TOWN OF) Dutchess HYDE PARK (TOWN OF) Dutchess LA GRANGE (TOWN OF) Dutchess MILAN (TOWN OF) Dutchess MILLBROOK Dutchess MILLERTON Dutchess NORTH EAST (TOWN OF) Dutchess PAWLING Dutchess PAWLING (TOWN OF) Dutchess PLEASANT VALLEY (TOWN OF) Dutchess POUGHKEEPSIE Dutchess POUGHKEEPSIE (TOWN OF) Dutchess RED HOOK Dutchess RED HOOK (TOWN OF) Dutchess RHINEBECK Dutchess RHINEBECK (TOWN OF) Dutchess STANFORD (TOWN OF) Dutchess TIVOLI Dutchess WAPPINGERS FALLS Dutchess WASHINGTON (TOWN OF) Dutchess DUTCHESS (COUNTY) Dutchess POUGHKEEPSIE CITY SCHOOLS Dutchess TOWN OF RHINEBECK (HIGHWAY DEPARTMENT) Dutchess STAATSBURG FIRE DISTRICT Dutchess NORTH EAST FIRE DISTRICT Dutchess ARLINGTON FIRE DISTRICT Dutchess TIVOLI FIRE DEPARTMENT Dutchess ROOSEVELT FIRE DISTRICT Dutchess POUGHKEEPSIE HOUSING AUTHORITY Dutchess CROWN POINT CENTRAL SCHOOL Essex TICONDEROGA FIRE COMM Essex ESSEX FIRE DEPT Essex CHESTERFIELD (TOWN OF) Essex Hurricane Irene FEMA PA Applicants CROWN POINT (TOWN OF) Essex KEENE FIRE DISTRICT Essex ELIZABETHTOWN (TOWN OF) Essex ESSEX (TOWN OF) Essex JAY (TOWN OF) Essex KEENE (TOWN OF) Essex LAKE PLACID Essex LEWIS (TOWN OF) Essex MORIAH (TOWN OF) Essex PORT HENRY Essex ST. ARMAND (TOWN OF) Essex TICONDEROGA (TOWN OF) Essex WESTPORT (TOWN OF) Essex WILMINGTON (TOWN OF) Essex ESSEX (COUNTY) Essex ESSEX (COUNTY) / ESSEX COUNTY EMERGENCY SERVICES Essex MORIAH FIRE DEPARTMENT Essex UPPER JAY FIRE DEPARTMENT Essex AUSABLE FORKS FIRE DEPARTMENT Essex BELLMONT (TOWN OF) Franklin BRANDON (TOWN OF) Franklin FRANKLIN (TOWN OF) Franklin FRANKLIN (COUNTY) / HIGHWAY DEPARTMENT Franklin JOHNSTOWN FIRE DEPT Fulton JOHNSTOWN POLICE HDQRS Fulton CAROGA (TOWN OF) Fulton GLOVERSVILLE FIRE DEPT Fulton MAYFIELD (TOWN OF) Fulton PERTH (TOWN OF) Fulton STRATFORD (TOWN OF) Fulton FULTON (COUNTY) Fulton ASHLAND (TOWN OF) Greene ATHENS Greene ATHENS (TOWN OF) Greene Hurricane Irene FEMA PA Applicants CATSKILL CENTRAL SCHOOL DIST Greene WINDHAM-ASHLAND-JEWITT CENTRAL Greene LEEDS FIRE DEPT Greene GREENVILLE CENTRAL SCHOOLS Greene CAIRO (TOWN OF) Greene HUNTER-TANNERSVILLE CENTRAL Greene WEST ATHENS LIMESTREET FIRE Greene CATSKILL Greene CATSKILL (TOWN OF) Greene EAST JEWETT FIRE DEPT Greene ASHLAND FIRE DEPT MEETING ROOM Greene COXSACKIE Greene COXSACKIE (TOWN OF) Greene DURHAM (TOWN OF) Greene GREENVILLE (TOWN OF) Greene HALCOTT (TOWN OF) Greene HUNTER Greene HUNTER (TOWN OF) Greene JEWETT (TOWN OF) Greene LEXINGTON (TOWN OF) Greene NEW BALTIMORE (TOWN OF) Greene PRATTSVILLE (TOWN OF) Greene TANNERSVILLE Greene WINDHAM (TOWN OF) Greene GREENE (COUNTY) Greene EARLTON FIRE DEPARTMENT Greene TANNERSVILLE FIRE DEPARTMENT Greene PRATTSVILLE FIRE DISTRICT Greene BATAVIAKILL WATER SHED DISTRICT Greene MEDWAY GRAPEVILLE FIRE DISTRICT Greene KISKATOM FIRE DEPARTMENT Greene CAIRO FIRE DISTRICT Greene WINDHAM FIRE DISTRICT #1 Greene KISKATOM FIRE DISTRICT Greene Hurricane Irene FEMA PA Applicants LEXINGTON FIRE DISTRICT (TOWN OF) Greene NEW BALTIMORE FIRE DISTRICT Greene PALENVILLE FIRE DISTRICT Greene HOPE (TOWN OF) Hamilton INDIAN LAKE (TOWN OF) Hamilton LAKE PLEASANT (TOWN OF) Hamilton MOREHOUSE (TOWN OF) Hamilton HAMILTON (COUNTY) Hamilton COLUMBIA (TOWN OF) Herkimer FRANKFORT Herkimer FRANKFORT (TOWN OF) Herkimer GERMAN FLATTS (TOWN OF) Herkimer HERKIMER Herkimer ILION Herkimer LITCHFIELD (TOWN OF) Herkimer MOHAWK Herkimer STARK (TOWN OF) Herkimer HERKIMER (COUNTY) Herkimer HERKIMER (COUNTY) / HERKIMER COUNTY HIGHWAY DEPARTMENT Herkimer COLUMBIA-LITCHFIELD FIRE DIST Herkimer AMES Montgomery AMSTERDAM Montgomery AMSTERDAM (TOWN OF) Montgomery MONTGOMERY DATA PROCESSING Montgomery MOHAWK FIRE DISTRICT Montgomery GREATER AMSTERDAM SCHOOL DIST Montgomery RURAL GROVE FIRE DEPT Montgomery FONDA-FULTONVILLE WASTEWATER Montgomery GLEN FIRE DEPT Montgomery CANAJOHARIE Montgomery CANAJOHARIE (TOWN OF) Montgomery CRANESVILLE FIRE DEPT Montgomery HAGAMAN VOLUNTEER FIRE DEPT Montgomery FORT JOHNSON FIRE CO Montgomery Hurricane Irene FEMA PA Applicants MONTGOMERY EMERGENCY MGMT Montgomery CHARLESTON (TOWN OF) Montgomery FORT HUNTER FIRE DEPT Montgomery FLORIDA (TOWN OF) Montgomery FONDA Montgomery FORT JOHNSON Montgomery FORT PLAIN (RR NAME SOUTH FORT PLAIN) Montgomery FULTONVILLE Montgomery GLEN (TOWN OF) Montgomery HAGAMAN Montgomery MOHAWK (TOWN OF) Montgomery ROOT (TOWN OF) Montgomery ST. JOHNSVILLE Montgomery MONTGOMERY (COUNTY) Montgomery MONTGOMERY (COUNTY) / SHERIFF'S OFFICE Montgomery MONTGOMERY (COUNTY) / PUBLIC HEALTH Montgomery CARLE PLACE WATER DISTRICT Nassau BELLMORE MERRICK CENTRAL HIGH Nassau ATLANTIC BEACH Nassau BAXTER ESTATES Nassau BAYVILLE Nassau BELLEROSE Nassau HERRICKS UNION FREE SCHOOL Nassau OLD BROOKVILLE POLICE DEPT Nassau ROSLYN PUBLIC SCHOOLS ADM Nassau ROSLYN HIGHLANDS FIRE DEPT Nassau OCEANSIDE UNION FREE SCHOOL Nassau LYNBROOK PUBLIC SCHOOL ADM OFC Nassau JERICHO FIRE DEPT Nassau BETHPAGE FIRE DEPT Nassau OCEANSIDE FIRE DEPT Nassau LOCUST VALLEY HIGH SCHOOL Nassau MANHASSET-LAKEVILLE WATER DIST Nassau GREAT NECK VIGILANT FIRE CO Nassau Hurricane Irene FEMA PA Applicants ISLAND PARK SCHOOL Nassau VALLEY STREAM PBLC SCH-DIST 13 Nassau BROOKVILLE Nassau CITY OF GLEN COVE PUBLIC SCHLS Nassau OYSTER BAY WATER DISTRICT Nassau WESTBURY PUBLIC SCHOOLS Nassau CEDARHURST Nassau CENTRE ISLAND Nassau COVE NECK Nassau EAST HILLS Nassau EAST ROCKAWAY Nassau EAST WILLISTON Nassau FARMINGDALE Nassau FLORAL PARK Nassau FLOWER HILL Nassau FREEPORT Nassau GARDEN CITY Nassau GLEN COVE Nassau GREAT NECK (VILLAGE) (P.O. STA. NAME OLD VILLAGE) Nassau GREAT NECK ESTATES Nassau GREAT NECK PLAZA Nassau HEMPSTEAD Nassau HEMPSTEAD (TOWN OF) Nassau HEWLETT BAY PARK Nassau HEWLETT HARBOR Nassau HEWLETT NECK Nassau ISLAND PARK Nassau KENSINGTON Nassau KINGS POINT Nassau LAKE SUCCESS Nassau LATTINGTOWN Nassau LAUREL HOLLOW Nassau LAWRENCE Nassau LONG BEACH Nassau Hurricane Irene FEMA PA Applicants LYNBROOK Nassau MALVERNE Nassau MANORHAVEN Nassau MASSAPEQUA PARK Nassau MATINECOCK Nassau MILL NECK Nassau MINEOLA Nassau MUNSEY PARK Nassau MUTTONTOWN Nassau NEW HYDE PARK Nassau NORTH HEMPSTEAD (TOWN OF) Nassau OLD BROOKVILLE Nassau OLD WESTBURY Nassau OYSTER BAY (TOWN OF) Nassau OYSTER BAY COVE Nassau PLANDOME Nassau PLANDOME HEIGHTS Nassau PLANDOME MANOR Nassau PORT WASHINGTON NORTH Nassau ROCKVILLE CENTRE Nassau ROSLYN Nassau ROSLYN ESTATES Nassau ROSLYN HARBOR Nassau RUSSELL GARDENS Nassau SANDS POINT Nassau SEA CLIFF Nassau STEWART MANOR Nassau UPPER BROOKVILLE Nassau VALLEY STREAM Nassau WESTBURY Nassau WILLISTON PARK Nassau WOODMERE Nassau WOODSBURGH Nassau NASSAU (COUNTY) Nassau Hurricane Irene FEMA PA Applicants NASSAU (COUNTY) / NASSAU COUNTY PUBLIC WORKS Nassau NASSAU (COUNTY) / NASSAU COUNTY POLICE DEPARTMENT Nassau NASSAU (COUNTY) / NASSAU COUNTY SHERIFF Nassau NASSAU (COUNTY) / DEPT. OF PARKS AND RECREATION Nassau NASSAU (COUNTY) / NASSAU COUNTY PROBATION DEPARTMENT Nassau NASSAU COMMUNITY COLLEGE Nassau GREAT NECK NORTH - WATER AUTHORITY Nassau WEST HEMPSTEAD FIRE DISTRICT Nassau LAKEVIEW FIRE DISTRICT Nassau NEW HYDE PARK - CARDEN CITY PARK UFSD Nassau LEVITTOWN FIRE DISTRICT Nassau PORT WASHINGTON FIRE DEPARTMENT Nassau SANITARY DISTRICT NO.6 TOWN OF HEMPSTEAD Nassau GREAT NECK PUBLIC SCHOOLS Nassau HICKSVILLE FIRE DISTRICT Nassau MUTTONTOWN POLICE DEPARTMENT Nassau HICKSVILLE UNION FREE SCHOOL DISTRICT Nassau ISLAND TREES UNION FREE SCHOOL DISTRICT Nassau NASSAU COUNTY OFFICE OF EMERGENCY MANAGEMENT Nassau NORTH BELLMORE FIRE DISTRICT Nassau NASSAU COUNTY DEPT OF HEALTH Nassau MASSAPEQUA WATER DISTRICT Nassau PORT WASHINGTON UNION FREE SCHOOL DISTRICT Nassau HICKSVILLE WATER DISTRICT Nassau GREATER ATLANTIC BEACH WATER RECLAMATION DISTRICT Nassau MANHASSET LAKEVILLE FIRE DISTRICT Nassau BELLMORE FIRE DISTRICT Nassau NEW YORK CITY VETERINARY EM RESP TEAM (NYCVERT) Nassau NEW HYDE PARK FIRE DISTRICT Nassau SOUTH FARMINGDALE FIRE DISTRICT Nassau ROSLYN WATER DISTRICT Nassau PORT WASHINGTON POLICE DISTRICT Nassau UNIONDALE FIRE DISTRICT Nassau MANHASSET UNION FREE SCHOOL DISTRICT Nassau Hurricane Irene FEMA PA Applicants HEMPSTEAD PUBLIC SCHOOLS Nassau LAWRENCE-CEDARHURST FIRE DEPARTMENT Nassau PORT WASHINGTON WATER POLLUTION CONTROL DIST. Nassau MERRICK UFSD Nassau WANTAGH FIRE DISTRICT Nassau LEVITTOWN PUBLIC SCHOOLS Nassau MASSAPEQUA UNION FREE SD Nassau WANTAGH UNION FREE SCHOOL DISTRICT Nassau ST FRANCIS HOSPITAL Nassau MEADOWMERE PARK FIRE DEPARTMENT Nassau GOSHEN CENTRAL SCHOOL DISTRICT Orange PORT JERVIS CITY SCHOOL DIST Orange BLOOMING GROVE (TOWN OF) Orange GREENWOOD LAKE FIRE DEPT Orange CANTEBURY FIRE DIST Orange ORANGE COUNTY COMMUNITY CLG Orange MINISINK VALLEY SCHOOLS Orange CUDDEBACKVILLE FIRE DEPT Orange MONELL ENGINE CO Orange CHESTER Orange CHESTER (TOWN OF) Orange WASHINGTONVILLE CENTRAL SCHOOL Orange FLORIDA UNION FREE SCHOOL DIST Orange WARWICK FIRE DEPT Orange HOWELLS FIRE DISTRICT Orange GOSHEN FIRE DEPT Orange WASHINGTONVILLE FIRE DEPT Orange CORNWALL (TOWN OF) Orange CORNWALL-ON-HUDSON (PO CORNWALL ON HUDSON) Orange CRAWFORD (TOWN OF) Orange DEERPARK (TOWN OF) Orange FLORIDA Orange GOSHEN Orange GOSHEN (TOWN OF) Orange Hurricane Irene FEMA PA Applicants GREENVILLE (TOWN OF) Orange GREENWOOD LAKE Orange HAMPTONBURGH (TOWN OF) Orange HARRIMAN Orange HIGHLAND FALLS Orange HIGHLANDS (TOWN OF) Orange KIRYAS JOEL Orange MAYBROOK Orange MIDDLETOWN Orange MINISINK (TOWN OF) Orange MONROE Orange MONROE (TOWN OF) Orange MONTGOMERY Orange MONTGOMERY (TOWN OF) Orange MOUNT HOPE (TOWN OF) Orange NEWBURGH Orange NEWBURGH (TOWN OF) Orange NEW WINDSOR (TOWN OF) Orange OTISVILLE Orange PORT JERVIS Orange TUXEDO (TOWN OF) Orange UNIONVILLE Orange WALDEN Orange WALLKILL (TOWN OF) Orange WARWICK Orange WARWICK (TOWN OF) Orange WASHINGTONVILLE Orange WAWAYANDA (TOWN OF) Orange WOODBURY Orange WOODBURY (TOWN OF) Orange ORANGE (COUNTY) Orange SALISBURY MILLS FIRE COMPANY Orange CRONOMER VALLEY FIRE DISTRICT Orange PINE BUSH FIRE DEPARTMENT Orange Hurricane Irene FEMA PA Applicants WALDEN FIRE DIST Orange MONROE WOODBURY CENTRAL SCHOOL DISTRICT Orange TUXEDO (TOWN OF) POLICE DEPARTMENT Orange MONTGOMERY FIRE DISTRICT Orange SOUTH BLOOMING GROVE Orange TUXEDO JOINT FIRE DISTRICT Orange PINE ISLAND FIRE DISTRICT Orange MIDDLETOWN CITY SCHOOL DISTRICT Orange SALISBURY MILLS FIRE DISTRICT Orange SOUTH BLOOMING GROVE FIRE DISTRICT Orange HUGUENOT FIRE COMPANY, INC. Orange GOOD WILL FIRE DISTRICT Orange CHESTER FIRE DISTRICT Orange MOUNTAIN LODGE PARK FIRE COMPANY, INC Orange CHERRY VALLEY FIRE DISTRICT Otsego WEST ONEONTA FIRE DISTRICT Otsego WELLS BRIDGE FIRE DEPT Otsego WESTFORD FIRE DEPT Otsego MIDDLEFIELD FIRE DEPT Otsego OTEGO FIRE DEPT Otsego CHERRY VALLEY Otsego CHERRY VALLEY (TOWN OF) Otsego COOPERSTOWN Otsego GARRATTSVILLE FIRE CO Otsego DECATUR (TOWN OF) Otsego EDMESTON (TOWN OF) Otsego HARTWICK (TOWN OF) Otsego ONEONTA Otsego ONEONTA (TOWN OF) Otsego OTEGO (TOWN OF) Otsego OTSEGO (TOWN OF) Otsego PLAINFIELD (TOWN OF) Otsego RICHFIELD (TOWN OF) Otsego ROSEBOOM (TOWN OF) Otsego Hurricane Irene FEMA PA Applicants SPRINGFIELD (TOWN OF) Otsego UNADILLA Otsego UNADILLA (TOWN OF) Otsego OTSEGO (COUNTY) Otsego FLY CREEK FIRE DISTRICT Otsego EDMESTON FIRE DEPT Otsego EAST WORCHESTOR HOSE CO. #1 Otsego UNADILLA FORKS FIRE DEPARTMENT Otsego MAHOPAC CENTRAL ADMINISTRATIVE Putnam BREWSTER Putnam CARMEL FIRE DEPT Putnam LAKE CARMEL FIRE DEPT Putnam MAHOPAC FALLS FIRE DEPT Putnam CARMEL (TOWN OF) Putnam BREWSTER FIRE DEPT Putnam PUTNAM VALLEY FIRE DEPT Putnam COLD SPRING Putnam KENT (TOWN OF) Putnam PATTERSON (TOWN OF) Putnam PHILIPSTOWN (TOWN OF) Putnam PUTNAM VALLEY (TOWN OF) Putnam SOUTHEAST (TOWN OF) Putnam PUTNAM (COUNTY) Putnam GARRISON VOL. FIRE COMPANY Putnam PHILIPSTOWN NORTH HIGHLANDS FIRE DISTRICT Putnam MAHOPAC VOLUNTEER FIRE DEPARTMENT Putnam PUTNAM COUNTY DEPT HIGHWAYS AND FACILITIES Putnam CONTINENTAL VILLAGE FIRE DEPARTMENT Putnam PHILIPSTOWN (TOWN OF) HIGHWAY DEPARTMENT Putnam PUTNAM LAKE FIRE DISTRICT Putnam BERLIN (TOWN OF) Rensselaer BERLIN CENTRAL SCHOOL DISTRICT Rensselaer HOOSICK FALLS JOINT FIRE DIST Rensselaer POESTENKILL FIRE CO Rensselaer Hurricane Irene FEMA PA Applicants MOUNTAIN VIEW FIRE CO Rensselaer BRUNSWICK (TOWN OF) Rensselaer MELROSE FIRE DISTRICT Rensselaer CLINTON HEIGHTS FIRE DEPARTMENT Rensselaer CASTLETON ON HUDSON (RR NAME CASTLETON-ON-HUDSON) Rensselaer AVERILL PARK & SAND LAKE FIRE Rensselaer AVERILL PARK CENTRAL SCHOOL Rensselaer EAST GREENBUSH (TOWN OF) Rensselaer EAST NASSAU Rensselaer GRAFTON (TOWN OF) Rensselaer HOOSICK (TOWN OF) Rensselaer HOOSICK FALLS Rensselaer NASSAU (TOWN OF) Rensselaer NORTH GREENBUSH (TOWN OF) Rensselaer PETERSBURGH (TOWN OF) Rensselaer PITTSTOWN (TOWN OF) Rensselaer POESTENKILL (TOWN OF) Rensselaer RENSSELAER Rensselaer SAND LAKE (TOWN OF) Rensselaer SCHAGHTICOKE (TOWN OF) Rensselaer SCHODACK (TOWN OF) Rensselaer STEPHENTOWN (TOWN OF) Rensselaer TROY Rensselaer VALLEY FALLS Rensselaer RENSSELAER (COUNTY) Rensselaer CENTER BRUNSWICK VOL. FIRE CO. Rensselaer BERLIN FIRE DISTRICT #1 Rensselaer PETERSBURGH FIRE DISTRICT #1 Rensselaer HOAGS CORNERS FIRE DISTRICT #1 Rensselaer NORTH GREENBUSH FIRE DISTRICT #1 Rensselaer HOOSICK FIRE DISTRICT Rensselaer PLEASANTDALE FIRE DISTRICT 5 Rensselaer EAGLE MILLS FIRE DISTRICT Rensselaer SCHODACK LANDING FIRE CO Rensselaer Hurricane Irene FEMA PA Applicants NASSAU FIRE DISTRICT Rensselaer RENSSELAER POLYTECHNIC INSTITUTE Rensselaer EASTERN PITTSTOWN FIRE DISTRICT Rensselaer WEST SAND LAKE FIRE Rensselaer SOUTH SCHODACK FIRE DISTRICT Rensselaer RAMAPO CENTRAL SCHOOL SUPT Rockland NYACK UNION FREE SCHOOL Rockland HAVERSTRAW-STONY PT CENT SCHL Rockland BLAUVELT VOLUNTEER FIRE CO Rockland SOLID WASTE DEPT Rockland TALLMAN FIRE DISTRICT Rockland JOINT REGIONAL SEWERAGE BOARD Rockland CLARKSTOWN CENTRAL SCHOOL Rockland CHESTNUT RIDGE Rockland CLARKSTOWN (TOWN OF) Rockland GRAND VIEW-ON-HUDSON (GRAND VIEW) Rockland HAVERSTRAW Rockland HAVERSTRAW (TOWN OF) Rockland HILLBURN Rockland KASER Rockland MONTEBELLO Rockland NYACK Rockland ORANGETOWN (TOWN OF) Rockland PIERMONT Rockland POMONA Rockland RAMAPO (TOWN OF) Rockland SLOATSBURG Rockland SOUTH NYACK Rockland SPRING VALLEY Rockland STONY POINT (TOWN OF) Rockland SUFFERN Rockland UPPER NYACK Rockland WEST HAVERSTRAW Rockland ROCKLAND (COUNTY) Rockland Hurricane Irene FEMA PA Applicants STONY POINT FIRE DISTRICT Rockland VALLEY COTTAGE FIRE DISTRICT Rockland KASER (VILLAGE OF) HOUSING AUTHORITY Rockland WEST NYACK FIRE DISTRICT Rockland NANUET FIRE DISTRICT Rockland SPARKILL-PALISADES FIRE DISTRICT Rockland EAST RAMAPO CENTRAL SCHOOL DISTRICT Rockland SOUTH ORANGETOWN CENTRAL SCHOOL DISTRICT Rockland NYACK JOINT FIRE DISTRICT Rockland CENTRAL NYACK FIRE DISTRICT Rockland THIELLS ROSEVILLE FIRE DISTRICT Rockland ORANGEBURG FIRE DISTRICT Rockland TAPPAN FIRE DISTRICT Rockland BALLSTON (TOWN OF) Saratoga BALLSTON SPA Saratoga MALTA RIDGE FIRE DEPT Saratoga SARATOGA COUNTY SEWER DIST Saratoga SHENENDEHOWA CENTRAL SCHOOL Saratoga VISCHER FERRY FIRE DISTRICT Saratoga HALFMOON-WATERFORD FIRE DIST Saratoga REXFORD FIRE DISTRICT Saratoga JONESVILLE FIRE DISTRICT Saratoga CHARLTON (TOWN OF) Saratoga CLIFTON PARK (TOWN OF) Saratoga CORINTH (TOWN OF) Saratoga DAY (TOWN OF) Saratoga EDINBURG (TOWN OF) Saratoga GALWAY (TOWN OF) Saratoga GREENFIELD (TOWN OF) Saratoga HADLEY (TOWN OF) Saratoga HALFMOON (TOWN OF) Saratoga MALTA (TOWN OF) Saratoga MILTON (TOWN OF) Saratoga MOREAU (TOWN OF) Saratoga Hurricane Irene FEMA PA Applicants NORTHUMBERLAND (TOWN OF) Saratoga PROVIDENCE (TOWN OF) Saratoga SARATOGA (TOWN OF) Saratoga SARATOGA SPRINGS Saratoga STILLWATER Saratoga STILLWATER (TOWN OF) Saratoga VICTORY (CORPORATE NAME FOR VICTORY MILLS) Saratoga WATERFORD Saratoga WATERFORD (TOWN OF) Saratoga WILTON (TOWN OF) Saratoga SARATOGA (COUNTY) / SARATOGA COUNTY OFFICE OF EMERGENCY SERVICES Saratoga SARATOGA (COUNTY) / SARATOGA COUNTY DEPT OF PUBLIC WORKS Saratoga SARATOGA SPRINGS FIRE DEPARTMENT Saratoga NORTHUMBERLAND FIRE DISTRICT Saratoga BURNT HILLS FIRE DISTRICT Saratoga CHARLTON FIRE DISTRICT # 1 Saratoga GREENFIELD FIRE DISTRICT Saratoga SARATOGA SPRINGS POLICE DEPARTMENT Saratoga WEST CRESCENT FIRE DISTRICT Saratoga GALWAY VOLUNTEER FIRE COMPANY, INC. Saratoga SCHENECTADY COUNTY COMM CLG Schenectady SCHALMONT CENTRAL SCHOOL Schenectady SCHENECTADY SCHOOL DISTRICT Schenectady DUANESBURG CENTRAL SCHOOLS Schenectady MARIAVILLE VOLUNTEER FIRE DEPT Schenectady ROTTERDAM JUNCTION VOL FIRE Schenectady NISKAYUNA FIRE DEPT Schenectady BEUKENDAAL VOLUNTEER FIRE DEPT Schenectady NISKAYUNA FIRE DISTRICT Schenectady DUANESBURG FIRE DEPT Schenectady WEST GLENVILLE FIRE DEPT Schenectady DELANSON Schenectady DUANESBURG (TOWN OF) Schenectady GLENVILLE (TOWN OF) Schenectady Hurricane Irene FEMA PA Applicants NISKAYUNA (TOWN OF) Schenectady PRINCETOWN (TOWN OF) Schenectady ROTTERDAM (TOWN OF) Schenectady SCHENECTADY Schenectady SCOTIA Schenectady SCHENECTADY (COUNTY) Schenectady ROTTERDAM FIRE DISTRICT #6 Schenectady GLENVILLE FIRE DIST #2 Schenectady ROTTERDAM VOLUNTEER FIRE CO DIST NO 2 Schenectady GLENVILLE HILL VOLUNTEER FIRE DEPARTMENT Schenectady ROTTERDAM FD #4-PATTERSONVILLE FIRE DEPARTMENT Schenectady PLOTTERKILL VOLUNTEER FIRE CO., INC Schenectady GLENVILLE FIRE DISTRICT #7 Schenectady SCHENECTADY MUNICIPAL HOUSING AUTHORITY Schenectady ROTTERDAM, PRINCETOWN FIRE DISTRICT #5 Schenectady MIDDLEBURGH HIGH SCHOOL Schoharie HUNTERSLAND FIRE DEPT Schoharie BLENHEIM (TOWN OF) Schoharie CENTRAL BRIDGE FIRE DEPT Schoharie MONTGOMERY-OTSEGO-SCHOHARIE Schoharie BROOME (TOWN OF) Schoharie COBLESKILL-RICHMONDVILLE CNTRL Schoharie SUMMIT FIRE DEPT Schoharie RICHMONDVILLE VOLUNTEER Schoharie CARLISLE (TOWN OF) Schoharie GILBOA CONESVILLE CENTRAL SCHL Schoharie COBLESKILL Schoharie COBLESKILL (TOWN OF) Schoharie CONESVILLE (TOWN OF) Schoharie JEFFERSON FIRE DEPT Schoharie SCHOHARIE CENTRAL SCHOOLS OFC Schoharie BLENHEIM FIRE DEPT Schoharie BROOME FIRE DEPT Schoharie WEST FULTON FIRE DEPT Schoharie Hurricane Irene FEMA PA Applicants ESPERANCE Schoharie ESPERANCE (TOWN OF) Schoharie FULTON (TOWN OF) Schoharie GILBOA (TOWN OF) Schoharie JEFFERSON (TOWN OF) Schoharie MIDDLEBURGH (TOWN OF) Schoharie MIDDLEBURGH (CORPORATE NAME FOR MIDDLEBURG) Schoharie RICHMONDVILLE Schoharie RICHMONDVILLE (TOWN OF) Schoharie SCHOHARIE Schoharie SCHOHARIE (TOWN OF) Schoharie SEWARD (TOWN OF) Schoharie SHARON (TOWN OF) Schoharie SHARON SPRINGS Schoharie SUMMIT (TOWN OF) Schoharie WRIGHT (TOWN OF) Schoharie SCHOHARIE (COUNTY) Schoharie SHARON SPRINGS FIRE DEPARTMENT Schoharie CONESVILLE FIRE DEPARTMENT Schoharie CARLISLE FIRE DEPARTMENT Schoharie NIAGARA ENGINE CO #6 - SCHOHARIE FIRE DEPT Schoharie CENTRAL BRIDGE SEWER Schoharie MIDDLEBURGH FIRE DEPT Schoharie GALLUPVILLE FIRE DEPARTMENT Schoharie AMITYVILLE Suffolk ASHAROKEN Suffolk BABYLON Suffolk BABYLON (TOWN OF) Suffolk BELLE TERRE Suffolk BELLPORT Suffolk FISHERS ISLAND UNION SCHL DIST Suffolk EAST ISLIP UNION FREE SCHOOL Suffolk BRIGHTWATERS Suffolk THREE VILLAGE CENTRAL SCHOOL Suffolk Hurricane Irene FEMA PA Applicants KINGS PARK FIRE DISTRICT Suffolk KINGS PARK CENTRAL SCHOOL DIST Suffolk MELVILLE FIRE DEPT Suffolk WEST ISLIP FIRE DEPT Suffolk EAST MARION FIRE DISTRICT Suffolk CUTCHOGUE FIRE DEPT Suffolk DAVIS PARK FIREHOUSE Suffolk EASTPORT FIRE DISTRICT Suffolk VILLAGE OF SHOREHAM INC Suffolk RIDGE FIRE DISTRICT Suffolk CENTER MORICHES UNION FREE Suffolk MATTITUCK-CUTCHOGUE SCHL DIST Suffolk BELLPORT FIRE DISTRICT Suffolk BLUE POINT FIRE DEPT Suffolk FARMINGVILLE FIRE DISTRICT Suffolk NORTH PATCHOGUE FIRE DISTRICT Suffolk SHOREHAM-WADING RIVER SCHOOL Suffolk STONY BROOK FIRE DEPT Suffolk WEST SAYVILLE FIRE DEPT Suffolk SUFFOLK COUNTY PARKS Suffolk FLANDERS FIRE DEPT Suffolk BROOKHAVEN (TOWN OF) Suffolk PATCHOGUE FIRE DEPT Suffolk HAMPTON BAYS SCHOOL DISTRICT Suffolk EAST HAMPTON Suffolk EAST HAMPTON (TOWN OF) Suffolk GREENPORT Suffolk HEAD OF THE HARBOR Suffolk HUNTINGTON (TOWN OF) Suffolk HUNTINGTON BAY Suffolk ISLANDIA Suffolk ISLIP (TOWN OF) Suffolk LAKE GROVE Suffolk LINDENHURST Suffolk Hurricane Irene FEMA PA Applicants LLOYD HARBOR Suffolk MASTIC BEACH Suffolk NISSEQUOGUE Suffolk NORTH HAVEN Suffolk NORTHPORT (RR NAME OLD NORTHPORT) Suffolk OCEAN BEACH Suffolk OLD FIELD Suffolk PATCHOGUE Suffolk POOSPATUCK INDIAN RESERVATION Suffolk POQUOTT Suffolk PORT JEFFERSON Suffolk QUOGUE Suffolk RIVERHEAD (TOWN OF) Suffolk SAG HARBOR Suffolk SALTAIRE Suffolk SHELTER ISLAND (TOWN OF) Suffolk SHINNECOCK INDIAN RESERVATION Suffolk SMITHTOWN (TOWN OF) Suffolk SOUTHAMPTON Suffolk SOUTHAMPTON (TOWN OF) Suffolk SOUTHOLD (TOWN OF) Suffolk VILLAGE OF THE BRANCH (LOCAL NAME THE BRANCH) Suffolk WESTHAMPTON BEACH Suffolk WEST HAMPTON DUNES Suffolk SUFFOLK (COUNTY) Suffolk SUFFOLK (COUNTY) / SUFFOLK COUNTY SHERIFF'S OFFICE Suffolk SUFFOLK (COUNTY) / HEALTH DEPT Suffolk SUFFOLK (COUNTY) / PUBLIC WORKS-SANITATION Suffolk SUFFOLK (COUNTY) / SUFFOLK COUNTY POLICE DEPARTMENT Suffolk SUFFOLK (COUNTY) / SUFFOLK COUNTY DEPARTMENT OF PROBATION Suffolk SUFFOLK (COUNTY) / SUFFOLK COUNTY LEGISLATURE Suffolk LINDENHURST UFSD Suffolk HUNTINGTON FIRE DISTRICT Suffolk LONG ISLAND STATE VETERANS HOME Suffolk Hurricane Irene FEMA PA Applicants SOUTH COUNTRY CENTRAL SCHOOL DISTRICT Suffolk COPIAGUE PUBLIC FREE SCHOOL DISTRICT Suffolk SUFFOLK COUNTY COMMUNITY COLLEGE Suffolk SOUTHOLD UNION FREE SCHOOL DISTRICT Suffolk NORTH BABYLON UNION FREE SCHOOL DISTRICT Suffolk HARBORFIELDS CENTRAL SCHOOL DISTRICT Suffolk BAY SHORE UNION FREE SCHOOL DISTRICT Suffolk SUFFOLK COUNTY WATER AUTHORITY Suffolk STONY BROOK UNIVERSITY HOSPITAL Suffolk TERRYVILLE FIRE DISTRICT Suffolk WESTHAMPTON BEACH FIRE DISTRICT Suffolk REMSENBURG - SPEONK UNION FREE SCHOOL DISTRICT Suffolk NORTH AMITYVILLE FIRE COMPANY Suffolk BRENTWOOD FIRE DISTRICT Suffolk SAYVILLE FIRE DISTRICT Suffolk CENTRAL ISLIP FIRE DISTRICT Suffolk FAIR HARBOR FIRE DISTRICT Suffolk SUFFOLK COUNTY FIRE RESCUE & EMERGENCY SERVICES Suffolk EAST BRENTWOOD FIRE DISTRICT Suffolk SAYVILLE PUBLIC SCHOOLS Suffolk HALF HOLLOW HILLS CENTRAL SCHOOL DISTRICT Suffolk OCEAN BAY PARK FIRE DISTRICT Suffolk SETAUKET FIRE DISTRICT Suffolk BAY SHORE FIRE DISTRICT Suffolk BOHEMIA FIRE DISTRICT Suffolk SOUND BEACH FIRE DISTRICT Suffolk OCEAN BEACH FIRE Suffolk ISLIP FIRE DEPARTMENT Suffolk BAYPORT FIRE DISTRICT Suffolk SACHEM CENTRAL SCHOOL DISTRICT Suffolk FIRE ISLAND PINES FIRE DISTRICT Suffolk EAST FARMINGDALE VOL. FIRE CO. INC. Suffolk RONKONKOMA FIRE DISTRICT Suffolk PORT JEFFERSON UFSD Suffolk Hurricane Irene FEMA PA Applicants NESCONSET FIRE DISTRICT Suffolk WEST BABYLON SCHOOL DISTRICT Suffolk HOLBROOKE FIRE DISTRICT Suffolk ST. JAMES FIRE DISTRICT Suffolk YOUNGSVILLE FIRE DEPT Sullivan CALLICOON (TOWN OF) Sullivan JEFFERSONVILLE FIRE DISTRICT Sullivan COCHECTON (TOWN OF) Sullivan DELAWARE (TOWN OF) Sullivan FALLSBURG (TOWN OF) Sullivan FORESTBURGH (TOWN OF) Sullivan HIGHLAND (TOWN OF) Sullivan LIBERTY (TOWN OF) Sullivan LUMBERLAND (TOWN OF) Sullivan MAMAKATING (TOWN OF) Sullivan MONTICELLO Sullivan NEVERSINK (TOWN OF) Sullivan ROCKLAND (TOWN OF) Sullivan THOMPSON (TOWN OF) Sullivan WURTSBORO Sullivan SULLIVAN (COUNTY) Sullivan SULLIVAN (COUNTY) / SULLIVAN COUNTY DIVISION OF PUBLIC SAFETY Sullivan RIFTON FIRE DEPT Ulster HIGHLAND FIRE DIST Ulster BLOOMINGTON FIRE DEPT Ulster KERHONKSON FIRE CO Ulster NEW PALTZ CENTRAL SCHOOL DIST Ulster HURLEY FIRE DEPT Ulster ACCORD FIRE CO Ulster WOODSTOCK FIRE DISTRICT Ulster MARLBORO CENTRAL SCHOOL DIST Ulster DENNING (TOWN OF) Ulster ELLENVILLE Ulster ESOPUS (TOWN OF) Ulster Hurricane Irene FEMA PA Applicants GARDINER (TOWN OF) Ulster HARDENBURGH (TOWN OF) Ulster HURLEY (TOWN OF) Ulster KINGSTON Ulster KINGSTON (TOWN OF) Ulster LLOYD (TOWN OF) Ulster LLOYD (TOWN OF) / WATER AND SEWER DISTRICT Ulster MARBLETOWN (TOWN OF) Ulster MARLBOROUGH (TOWN OF) Ulster NEW PALTZ Ulster NEW PALTZ (TOWN OF) Ulster OLIVE (TOWN OF) Ulster PLATTEKILL (TOWN OF) Ulster ROCHESTER (TOWN OF) Ulster ROSENDALE (TOWN OF) Ulster SAUGERTIES Ulster SAUGERTIES (TOWN OF) Ulster SAUGERTIES (TOWN OF) / SAUGERTIES (TOWN OF) HIGHWAY DEPARTMENT Ulster SHANDAKEN (TOWN OF) Ulster SHAWANGUNK (TOWN OF) Ulster ULSTER (TOWN OF) Ulster WAWARSING (TOWN OF) Ulster WOODSTOCK (TOWN OF) Ulster ULSTER (COUNTY) Ulster ULSTER (COUNTY) / SHERIFF'S DEPT Ulster ULSTER (COUNTY) / ULSTER COUNTY DEPARTMENT OF PUBLIC WORKS Ulster ESOPUS FIRE DISTRICT Ulster MT MARION FIRE DISTRICT Ulster ULSTER COUNTY INDUSTRIAL DEVELOPMENT AGENCY Ulster ELLENVILLE (VILLAGE OF) HOUSING AUTHORITY Ulster PORT EWEN FIRE DISTRICT Ulster WEST CAMP FIRE DISTRICT Ulster KRIPPLEBUSH-LYONSVILLE FIRE DISTRICT Ulster ULSTER COUNTY RESOURCE RECOVERY AGENCY Ulster Hurricane Irene FEMA PA Applicants OLIVE FIRE DISTRICT Ulster WALKER VALLEY CHEMICAL ENGINE CO #1 Ulster SAXTON FIRE DISTRICT Ulster WEST HURLEY FIRE DISTRICT Ulster ULSTER HOSE FIRE DIST #5 Ulster MALDEN FIRE COMPANY Ulster PHOENICIA FIRE DISTRICT Ulster BOLTON (TOWN OF) Warren NORTH QUEENSBURY VOL FIRE CO Warren CHESTER (TOWN OF) Warren GLENS FALLS Warren HAGUE (TOWN OF) Warren HORICON (TOWN OF) Warren JOHNSBURG (TOWN OF) Warren LAKE GEORGE Warren LAKE GEORGE (TOWN OF) Warren LAKE LUZERNE (TOWN OF) Warren QUEENSBURY (TOWN OF) Warren STONY CREEK (TOWN OF) Warren THURMAN (TOWN OF) Warren WARRENSBURG (TOWN OF) Warren WARREN (COUNTY) Warren WEST GLENS FALLS VOL. FIRE COMPANY Warren HORICON FIRE DEPARTMENT, INC Warren BOLTON FIRE DISTRICT Warren BAY RIDGE VOLUNTEER FIRE COMPANY, INC Warren QUEENSBURY CENTRAL FIRE Warren ARGYLE (TOWN OF) Washington SALEM CENTRAL SCHOOL DISTRICT Washington WEST FORT ANN VOLUNTEER FIRE Washington DRESDEN (TOWN OF) Washington EASTON (TOWN OF) Washington FORT ANN (TOWN OF) Washington GRANVILLE Washington Hurricane Irene FEMA PA Applicants GRANVILLE (TOWN OF) Washington GREENWICH (TOWN OF) Washington HARTFORD (TOWN OF) Washington HEBRON (TOWN OF) Washington JACKSON (TOWN OF) Washington KINGSBURY (TOWN OF) Washington SALEM Washington SALEM (TOWN OF) Washington WHITE CREEK (TOWN OF) Washington WASHINGTON (COUNTY) Washington WASHINGTON (COUNTY) / DEPT. OF PUBIC WORKS Washington WASHINGTON (COUNTY) / WASHINGTON COUNTY SOIL & WATER CONSERVATION DISTRICT Washington SARAH LAWRENCE COLLEGE Westchester BRONXVILLE PUBLIC SCHOOL Westchester ARDSLEY Westchester BEDFORD (TOWN OF) Westchester BRIARCLIFF MANOR Westchester BRONXVILLE Westchester POUND RIDGE FIRE DEPT Westchester EASTCHESTER FIRE DEPT Westchester GREENBURGH-GRAHAM SCHOOL Westchester MAMARONECK SCHOOL Westchester GOLDENS BRIDGE FIRE DEPT Westchester SOMERS CENTRAL SCHOOL DISTRICT Westchester BUCHANAN Westchester CROTON FALLS FIRE DEPT Westchester CORTLANDT (TOWN OF) Westchester CROTON-ON-HUDSON Westchester DOBBS FERRY Westchester EASTCHESTER (TOWN OF) Westchester ELMSFORD Westchester GREENBURGH (TOWN OF) Westchester HARRISON (TOWN OF) Westchester HASTINGS-ON-HUDSON Westchester Hurricane Irene FEMA PA Applicants IRVINGTON Westchester LARCHMONT Westchester LEWISBORO (TOWN OF) Westchester MAMARONECK Westchester MAMARONECK (TOWN OF) Westchester MOUNT KISCO Westchester MOUNT PLEASANT (TOWN OF) Westchester MOUNT VERNON Westchester NEW CASTLE (TOWN OF) Westchester NEW ROCHELLE Westchester NORTH CASTLE (TOWN OF) Westchester NORTH SALEM (TOWN OF) Westchester OSSINING Westchester OSSINING (TOWN OF) Westchester PEEKSKILL Westchester PELHAM Westchester PELHAM MANOR Westchester PLEASANTVILLE Westchester PORT CHESTER Westchester POUND RIDGE (TOWN OF) Westchester RYE Westchester RYE (TOWN OF) Westchester RYE BROOK Westchester SCARSDALE Westchester SOMERS (TOWN OF) Westchester TARRYTOWN Westchester TUCKAHOE Westchester WHITE PLAINS Westchester YONKERS Westchester YORKTOWN (TOWN OF) Westchester LAKE MOHEGAN FIRE DISTRICT Westchester NORTH CASTLE FIRE DISTRICT 2 Westchester HARTSDALE FIRE DISTRICT Westchester HAWTHORNE FIRE DISTRICT Westchester Hurricane Irene FEMA PA Applicants MOUNT KISCO FIRE DISTRICT Westchester VALHALLA FIRE DISTRICT Westchester MUTUAL ENGINE AND HOSE CO. #1 Westchester UNION HOOK & LADDER CO. NO. 1 Westchester VISTA FIRE DISTRICT #1 Westchester INDEPENDENT FIRE COMPANY OF MOUNT KISCO Westchester GREENVILLE FIRE DIST Westchester MOUNT KISCO RESCUE FIRE POLICE Westchester Tropical Storm Lee FEMA PA Applicants Applicant Name County DEPT OF MILITARY AND NAVAL AFFAIRS State Agency DEPT OF TRANSPORTATION (DOT) State Agency PARKS, RECREATION, HISTORIC PRESERVATION State Agency DEPT OF CORRECTIONAL SERVICES State Agency NYS OFFICE OF GENERAL SERVICES State Agency DEPT ENVIRONMENTAL CONSERVATION State Agency SUNY / ALBANY State Agency SUNY / BINGHAMTON State Agency NEW YORK STATE OFFICE OF EMERGENCY MANAGEMENT State Agency STATE POLICE HEADQUATERS State Agency NYS JUDICIARY State Agency NYS - HOMELAND SECURITY - COUNTER TERRORISM OFFICE State Agency DEPT OF PUBLIC SERVICE State Agency PEOPLE WITH DEVELOPMENTAL DISABILITIES (OPWDD) State Agency NYS DIV. OFFICE OF FIRE PREVENTION AND CONTROL State Agency NYS DEPARTMENT OF FINANCIAL SERVICES State Agency NYS DIV OFFICE OF CYBER SECURITY State Agency DEPT OF MOTOR VEHICLES State Agency UNION ENDICOTT SENIOR HIGH Broome BARKER (TOWN OF) Broome MAINE ENDWELL CENTRAL SCHOOL Broome BROOME COMMUNITY COLLEGE Broome BINGHAMTON Broome BINGHAMTON (TOWN OF) Broome SUSQUEHANNA VALLEY SCHOOL DIST Broome CHENANGO BRIDGE TOWN FIRE DEPT Broome WEST CORNERS FIRE PREVENTION Broome BINGHAMTON POLICE DEPT Broome JOINT TREATMENT PLANT Broome BOCES EDUCATION CTR Broome CHENANGO (TOWN OF) Broome COLESVILLE (TOWN OF) Broome CONKLIN (TOWN OF) Broome HARPURSVILLE FIRE DEPT Broome DEPOSIT Broome DICKINSON (TOWN OF) Broome ENDICOTT Broome FENTON (TOWN OF) Broome JOHNSON CITY Broome KIRKWOOD (TOWN OF) Broome LISLE (TOWN OF) Broome MAINE (TOWN OF) Broome NANTICOKE (TOWN OF) Broome PORT DICKINSON Broome SANFORD (TOWN OF) Broome UNION (TOWN OF) Broome Tropical Storm Lee FEMA PA Applicants VESTAL (TOWN OF) Broome WHITNEY POINT Broome WINDSOR Broome WINDSOR (TOWN OF) Broome BROOME (COUNTY) Broome PROSPECT TERRACE FIRE COMPANY Broome WHITNEY POINT CENTRAL SCHOOL DISTRICT Broome OUAQUAGA FIRE CO Broome ENDWELL FIRE DISTRICT Broome GLEN AUBREY FIRE CO., INC. Broome CONKLIN VOLUNTEER FIRE DEPARTMENT Broome WEST ENDICOTT HOSE CO. Broome CHENANGO VALLEY CSD Broome BINGHAMTON CITY FIRE DEPARTMENT Broome CHENANGO FIRE COMPANY Broome JOHNSON CITY CSD Broome WINDSOR CONSOLIDATED SCHOOL DISTRICT Broome BINGHAMTON CITY SCHOOL DISTRICT Broome WEST WINDSOR FIRE Broome KIRKWOOD FIRE CO. DISTRICT # 1 Broome LISLE FIRE COMPANY INC. Broome UNION CENTER FIRE COMPANY INC. Broome FIVE MILE POINT FIRE COMPANY Broome BINGHAMTON HOUSING AUTHORITY Broome ASHLAND (TOWN OF) Chemung BALDWIN (TOWN OF) Chemung CHEMUNG COUNTY SOIL & WATER Chemung CHEMUNG COUNTY HEALTH DEPT Chemung CHEMUNG (TOWN OF) Chemung ERIN (TOWN OF) Chemung HORSEHEADS Chemung HORSEHEADS (TOWN OF) Chemung VAN ETTEN (TOWN OF) Chemung WELLSBURG Chemung CHEMUNG (COUNTY) Chemung AFTON Chenango BAINBRIDGE Chenango BAINBRIDGE (TOWN OF) Chenango BAINBRIDGE FIRE DEPT Chenango COVENTRY (TOWN OF) Chenango GERMAN (TOWN OF) Chenango GREENE Chenango GREENE (TOWN OF) Chenango GUILFORD (TOWN OF) Chenango NEW BERLIN Chenango NEW BERLIN (TOWN OF) Chenango NORWICH Chenango Tropical Storm Lee FEMA PA Applicants NORWICH (TOWN OF) Chenango OXFORD Chenango OXFORD (TOWN OF) Chenango PRESTON (TOWN OF) Chenango SMITHVILLE (TOWN OF) Chenango SMYRNA (TOWN OF) Chenango CHENANGO (COUNTY) Chenango SOUTH NEW BERLIN FIRE DISTRICT Chenango GUILFORD TOWN OF - WATER DEPT. Chenango BORDEN HOSE CO. Chenango ANDES (TOWN OF) Delaware FRANKLIN CENTRAL SCHOOL Delaware MASONVILLE FIRE DEPT Delaware MIDDLETOWN HARDENBURGH FIRE Delaware BOVINA (TOWN OF) Delaware WALTON CENTRAL SCHOOL DISTRICT Delaware FRANKLIN FIRE DEPT Delaware EAST BRANCH FIRE DEPT Delaware DELAWARE DEPT-SOCIAL SVC Delaware DELAWARE COUNTY SHERIFF Delaware DELAWARE COUNTY PLANNING BOARD Delaware DELAWARE COUNTY PUBLIC HEALTH Delaware COLCHESTER (TOWN OF) Delaware TROUT CREEK FIRE DEPT Delaware WALTON FIRE DEPT Delaware SIDNEY CENTER FIRE DEPT Delaware DAVENPORT (TOWN OF) Delaware DEPOSIT (TOWN OF) Delaware FLEISCHMANNS Delaware HAMDEN (TOWN OF) Delaware HANCOCK Delaware HANCOCK (TOWN OF) Delaware MARGARETVILLE Delaware MASONVILLE (TOWN OF) Delaware MIDDLETOWN (TOWN OF) Delaware SIDNEY Delaware SIDNEY (TOWN OF) Delaware TOMPKINS (TOWN OF) Delaware WALTON Delaware WALTON (TOWN OF) Delaware DELAWARE (COUNTY) Delaware DELAWARE (COUNTY) / MAINTENANCE DEPARTMENT Delaware HOBART FIRE DEPARTMENT Delaware DELAWARE COUNTY DEPT OF EMERGENCY SERVICES Delaware BLOOMVILLE FIRE DEPARTMENT Delaware DELHI JOINT FIRE DISTRICT/DELHI FIRE DEPARTMENT Delaware ARKVILLE FIRE DISTRICT Delaware Tropical Storm Lee FEMA PA Applicants FRANKFORT (TOWN OF) Herkimer GERMAN FLATTS (TOWN OF) Herkimer HERKIMER Herkimer HERKIMER (TOWN OF) Herkimer ILION Herkimer LITTLE FALLS Herkimer MOHAWK Herkimer WARREN (TOWN OF) Herkimer AMSTERDAM Montgomery CANAJOHARIE Montgomery CANAJOHARIE (TOWN OF) Montgomery FULTONVILLE Montgomery GLEN (TOWN OF) Montgomery MOHAWK (TOWN OF) Montgomery ROOT (TOWN OF) Montgomery ST. JOHNSVILLE Montgomery MONTGOMERY (COUNTY) Montgomery CLINTON CENTRAL SCHOOL DIST Oneida BRIDGEWATER (TOWN OF) Oneida CLAYVILLE Oneida DEERFIELD (TOWN OF) Oneida FLOYD (TOWN OF) Oneida KIRKLAND (TOWN OF) Oneida MARSHALL (TOWN OF) Oneida NEW HARTFORD (TOWN OF) Oneida NEW YORK MILLS Oneida ORISKANY FALLS Oneida PARIS (TOWN OF) Oneida UTICA Oneida VERONA (TOWN OF) Oneida WHITESBORO Oneida WHITESTOWN (TOWN OF) Oneida ONEIDA CTY DEPT WTR QUALITY/POLLUTION CONTROL Oneida BLOOMING GROVE (TOWN OF) Orange GREENWOOD LAKE FIRE DEPT Orange ORANGE COUNTY COMMUNITY CLG Orange CUDDEBACKVILLE FIRE DEPT Orange FLORIDA UNION FREE SCHOOL DIST Orange HOWELLS FIRE DISTRICT Orange CRAWFORD (TOWN OF) Orange DEERPARK (TOWN OF) Orange FLORIDA Orange GOSHEN (TOWN OF) Orange MINISINK (TOWN OF) Orange MONTGOMERY Orange NEWBURGH Orange NEWBURGH (TOWN OF) Orange Tropical Storm Lee FEMA PA Applicants OTISVILLE Orange PORT JERVIS Orange UNIONVILLE Orange WALLKILL (TOWN OF) Orange WARWICK Orange WAWAYANDA (TOWN OF) Orange ORANGE (COUNTY) Orange PINE BUSH FIRE DEPARTMENT Orange WALDEN FIRE DIST Orange MONTGOMERY FIRE DISTRICT Orange HUGUENOT FIRE COMPANY, INC. Orange GOOD WILL FIRE DISTRICT Orange LAURENS CENTRAL SCHOOL Otsego ONEONTA CITY SCHOOL DISTRICT Otsego CHERRY VALLEY FIRE DISTRICT Otsego WEST ONEONTA FIRE DISTRICT Otsego WELLS BRIDGE FIRE DEPT Otsego WESTFORD FIRE DEPT Otsego UNATEGO CENTRAL SCHOOL DIST Otsego BUTTERNUTS (TOWN OF) Otsego UNADILLA FIRE DEPT Otsego OTEGO FIRE DEPT Otsego CHERRY VALLEY Otsego GARRATTSVILLE FIRE CO Otsego EDMESTON (TOWN OF) Otsego GILBERTSVILLE Otsego HARTWICK (TOWN OF) Otsego LAURENS Otsego LAURENS (TOWN OF) Otsego MARYLAND (TOWN OF) Otsego MIDDLEFIELD (TOWN OF) Otsego MILFORD (TOWN OF) Otsego MORRIS Otsego MORRIS (TOWN OF) Otsego ONEONTA Otsego ONEONTA (TOWN OF) Otsego OTEGO Otsego OTEGO (TOWN OF) Otsego OTSEGO (TOWN OF) Otsego RICHFIELD (TOWN OF) Otsego ROSEBOOM (TOWN OF) Otsego UNADILLA Otsego UNADILLA (TOWN OF) Otsego WESTFORD (TOWN OF) Otsego WORCESTER (TOWN OF) Otsego OTSEGO (COUNTY) Otsego MORRIS FIRE DISTRICT Otsego Tropical Storm Lee FEMA PA Applicants EDMESTON FIRE DEPT Otsego EAST WORCHESTOR HOSE CO. #1 Otsego CENTRAL BRIDGE FIRE DEPT Schoharie MONTGOMERY-OTSEGO-SCHOHARIE Schoharie BROOME (TOWN OF) Schoharie COBLESKILL-RICHMONDVILLE CNTRL Schoharie SUMMIT FIRE DEPT Schoharie RICHMONDVILLE VOLUNTEER Schoharie CARLISLE (TOWN OF) Schoharie COBLESKILL (TOWN OF) Schoharie BLENHEIM FIRE DEPT Schoharie ESPERANCE (TOWN OF) Schoharie GILBOA (TOWN OF) Schoharie MIDDLEBURGH (CORPORATE NAME FOR MIDDLEBURG) Schoharie RICHMONDVILLE Schoharie RICHMONDVILLE (TOWN OF) Schoharie SHARON (TOWN OF) Schoharie SHARON SPRINGS Schoharie SCHOHARIE (COUNTY) Schoharie SHARON SPRINGS FIRE DEPARTMENT Schoharie CANDOR HIGH SCHOOL Tioga BARTON (TOWN OF) Tioga BERKSHIRE (TOWN OF) Tioga OWEGO APALACHIN SCHOOL DIST Tioga CANDOR Tioga CANDOR (TOWN OF) Tioga NEWARK VALLEY CENTRAL SCHL ADM Tioga OWEGO FIRE DEPT Tioga TIOGA CENTRAL SCHOOL Tioga TIOGA COUNTY FIRE COORDINATOR Tioga TIOGA COUNTY IND DEVELOPMENT Tioga NEWARK VALLEY Tioga NEWARK VALLEY (TOWN OF) Tioga NICHOLS Tioga NICHOLS (TOWN OF) Tioga OWEGO Tioga OWEGO (TOWN OF) Tioga RICHFORD (TOWN OF) Tioga SPENCER Tioga SPENCER (TOWN OF) Tioga TIOGA (TOWN OF) Tioga WAVERLY Tioga TIOGA (COUNTY) Tioga TIOGA (COUNTY) / SOIL AND WATER CONSERVATION DISTRICT Tioga OWEGO FIRE DISTRICT Tioga EMERGENCY MANAGEMENT OFFICE Tioga APALACHIN FIRE DISTRICT Tioga Tropical Storm Lee FEMA PA Applicants CAROLINE (TOWN OF) Tompkins DANBY (TOWN OF) Tompkins FREEVILLE Tompkins ITHACA Tompkins NEWFIELD (TOWN OF) Tompkins TOMPKINS (COUNTY) Tompkins DENNING (TOWN OF) Ulster KINGSTON Ulster LLOYD (TOWN OF) / WATER AND SEWER DISTRICT Ulster MARBLETOWN (TOWN OF) Ulster PLATTEKILL (TOWN OF) Ulster SHAWANGUNK (TOWN OF) Ulster ULSTER (COUNTY) Ulster ULSTER (COUNTY) / SHERIFF'S OFFICE Ulster

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 7: GOSR document Collection Letter for Hurricane Irene and Tropical Storm Lee allocation Applicants to the FEMA Non- Federal Share Local Match Program

May 30, 2014

«Full_Name» «Job_Title», «Applicant» «Business_Address»

RE: HUD - Federal E-Grants EMMIE Files

Dear «Job_Title» «Full_Name»,

The Governor’s Office of Storm Recovery has reviewed documents in the Federal E-Grants EMMIE for the projects located within «Applicant» and need to collect documents that are required by U.S Department of Housing and Urban Development for the State of New York to utilize HUD funding for the projects.

The Governor’s Office of Storm Recovery would like to set an appointment for «Appointment_Date» at your offices to scan the documents needed to complete files for HUD’s review. We will also make the option available to the municipality the ability to submit the documents to the Governor’s Office of Storm Recovery in lieu of our appointment.

The documents that are needed are listed on the attached spreadsheet.

If you prefer to submit the documents, it is respectfully requested that these documents be scanned and submitted to our office within fourteen (14) days so that they may be placed in the on-line file established by the Governor’s Office of Storm Recovery.

Please contact me via e-mail to confirm the appointment day and time listed above or if you choose to scan and submit the document to us. Thanking you in advance.

Sincerely,

Joseph F Abate Program Manager, Municipal Government Governor’s Office of Storm Recovery NY Rising Housing Recovery Programs 25 Beaver Street New York, NY, 10004 (212) 480-7356 Office (845) 659-1517 Cell [email protected]

25 Beaver Street | New York, NY 10004 | Recovery Hotline: 1-855-NYS-SANDY | www.stormrecovery.ny.gov

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 8: Notification of CDBG-DR Funding availability for applicants to Superstorm Sandy, Upstate Flooding, and Winter storm NEMO for FEMA Non-Federal Share Local Match Program

January 2, 2015

«Full_Name» «Applicant» «STREET» «CITY», «State», «ZIP__CODE»

Dear «Full_Name»,

On November 13, 2014, Governor Andrew M. Cuomo announced that the State of New York would provide the local match under the Federal Emergency Management Agency (FEMA) public assistance (PA) program for entities that are participants in the PA program and were affected by Upstate flooding that occurred between June 26 – July 10, 2013, known as the Mohawk Valley Floods. As a participant in the PA program with a FEMA disaster declaration of 4129, you may be eligible to have the State cover your local match obligation for either of these events. The funds that may be used to cover your local match obligation come from the United States Department of Housing and Urban Development (HUD) Community Development Block Grant Disaster Recovery (CDBG-DR) program and are managed by the Governor's Office of Storm Recovery (GOSR). GOSR has been working collaboratively with FEMA, the New York State Department of Homeland Security and Emergency Services (DHSES) and the New York State Division of Budget to create an efficient local match program and simplify the federal participation requirements.

Prior to paying the local match for your Mohawk Valley Flood related FEMA PA project(s), the State of New York is required to confirm your interest in having the State cover your match obligation. Please confirm to this email address: LOCALMATCH@ stormrecovery.ny.gov that you wish to be included in the program, and provide contact information (name, title, email address, telephone number) so that follow-up conversations and materials may be provided. You must respond no later than January 20, 2015 to be included in this program.

As a requirement of participation in the program, and to provide your local match share, you may need to provide GOSR with HUD required documentation to ensure that your project complies with any and all applicable Federal and State regulations, including but not limited to the following HUD requirements: the Davis Bacon Act (40 U.S.C. §§ 276a to 276a-7) as supplemented by Department of Labor regulations (29 C.F.R. part S); Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. § 1701u (section 3); and taking all necessary affirmative steps to assure that minority firms, women's business enterprises and labor surplus area firms are used in subcontracting efforts when possible in accordance with 24 C.F.R. § 85.36 (e). GOSR will provide technical assistance to help you comply with the aforementioned requirements.

In an effort to minimize the burden or requesting information that you have previously provided to FEMA or DHSES, GOSR will only request documentation after identifying that necessary items are not already in the FEMA PA database. Examples of items that may be necessary to submit to GOSR include: cancelled checks, executed contracts, invoices, receipts, procurement documents and payrolls. GOSR will assist you in complying with applicable Federal and State regulations and will provide technical assistance, in-person trainings and written materials.

Upon receiving confirmation of your interest in the program, GOSR will schedule a follow-up telephone call to discuss the program requirements and to answer questions. We will also schedule a meeting in your area to discuss the process and finalize steps so that the State may/can address your match obligations.

We look forward to receiving an email from you so that we may explain the FEMA PA match program in more detail and begin the processes necessary to have the State cover your local share obligations.

Sincerely,

Jamie Rubin Director Governor's Office of Storm Recovery

CC: Governor’s Regional Representatives in Declared Counties NY State Senate & Assembly Members in Declared Counties NY State Congressional Delegation Division of Budget Department of Homeland Security and Emergency Preparedness Betsy Mallow GOSR Kris Van Orsdel GOSR Chanterelle Sung GOSR Amanda H – GOR NY Rising Upstate Regional Lead

December 30, 2014

«Full_Name» «Applicant» «STREET» «CITY», «State», «ZIP__CODE»

Dear «Full_Name»,

On November 13, 2014, Governor Andrew M. Cuomo announced that the State of New York would provide the local match under the Federal Emergency Management Agency (FEMA) public assistance (PA) program for entities that are participants in the PA program and were affected by Winter Storm Nemo, which occurred in February of 2013. As a participant in the PA program with a FEMA disaster declaration of 4111, you may be eligible to have the State cover your local match obligation for either of these events. The funds that may be used to cover your local match obligation come from the United States Department of Housing and Urban Development (HUD) Community Development Block Grant Disaster Recovery (CDBG-DR) program and are managed by the Governor's Office of Storm Recovery (GOSR). GOSR has been working collaboratively with FEMA, the New York State Department of Homeland Security and Emergency Services (DHSES) and the New York State Division of Budget to create an efficient local match program and simplify the federal participation requirements.

Prior to paying the local match for your Winter Storm NEMO related FEMA PA project(s), the State of New York is required to confirm your interest in having the State cover your match obligation. Please confirm to this email address: LOCALMATCH@ stormrecovery.ny.gov that you wish to be included in the program, and provide contact information (Name, Title, email address, Telephone number) so that follow-up conversations and materials may be provided. You must respond no later than January 20, 2015 to be included in the program.

As a requirement of participation in the program, and to provide your local match share, you may need to provide GOSR with HUD required documentation to ensure that your project complies with any and all applicable Federal and State regulations, including but not limited to the following HUD requirements: the Davis Bacon Act (40 U.S.C. §§ 276a to 276a-7) as supplemented by Department of Labor regulations (29 C.F.R. part S); Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. § 1701u (section 3); and taking all necessary affirmative steps to assure that minority firms, women's business enterprises and labor surplus area firms are used in subcontracting efforts when possible in accordance with 24 C.F.R. § 85.36 (e). GOSR will provide technical assistance to help you comply with the aforementioned requirements.

In an effort to minimize the burden or requesting information that you have previously provided to FEMA or DHSES, GOSR will only request documentation after identifying that necessary items are not already in the FEMA PA database. Examples of items that may be necessary to submit to GOSR include: cancelled checks, executed contracts, invoices, receipts, procurement documents and payrolls. GOSR will assist you in complying with applicable Federal and State regulations and will provide technical assistance, in-person trainings and written materials.

Upon receiving confirmation of your interest in the program, GOSR will schedule a follow-up telephone call to discuss the program requirements and to answer questions. We will also schedule a meeting in your area to discuss the process and finalize steps so that the State may/can address your match obligations.

We look forward to receiving an email from you so that we may explain the FEMA PA match program in more detail and begin the processes necessary to have the State cover your local share obligations.

Sincerely,

Jamie Rubin Director Governor's Office of Storm Recovery

CC: Suffolk County Governor’s Regional Representative Suffolk County NY State Senate & Assembly Members NY State Congressional Delegation Division of Budget Department of Homeland Security and Emergency Preparedness Betsy Mallow GOSR Kris Van Orsdel GOSR Chanterelle Sung GOSR Zach Richner – GOSR NY Rising Long Island Regional Lead

Applicant Applicant ID Full Name Address Email Address

October 7, 2014

On July 23, 2014 Governor Andrew M. Cuomo announced that the State of New York would provide the local match for entities that are in the Superstorm Sandy Federal Emergency Management Agency (FEMA) public assistance (PA) program. As a participant in that program, you may be eligible to have the State cover your local match obligation. The funds that may be used to cover your local match obligation come from the United States Department of Housing and Urban Development (HUD) Community Development Block Grant Disaster Recovery (CDBG‐DR) program and are managed by the Governor’s Office of Storm Recovery (GOSR). GOSR has been working collaboratively with FEMA, the New York State Department of Homeland Security and Emergency Services (DHSES) and the New York State Division of Budget to create an efficient local match program and simplify the federal participation requirements.

Prior to paying the local match for your Sandy‐related FEMA PA project(s), the State of New York needs to confirm your interest in having the state cover your match obligation. Please confirm via this email address [email protected] that you wish to be included in the program, and provide GOSR with a point of contact (Name, Title, email address, Telephone number) so that follow‐up conversations and materials can be provided. You must respond by November 7th to be included in the program.

As a requirement of participation in the program, and to provide your local match share, you may need to provide GOSR with required documentation to ensure that your project complies with any and all applicable Federal and State regulations, including but not limited to the following HUD requirements: the Davis Bacon Act (40 U.S.C. §§ 276a to 276a‐7) as supplemented by Department of Labor regulations (29 C.F.R. part 5); Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. § 1701u (section 3); and taking all necessary affirmative steps to assure that minority firms, women’s business enterprises, and labor surplus area firms are used in subcontracting when possible in accordance with 24 C.F.R. § 85.36 (e). GOSR will provide technical assistance to help you comply with the requirements.

In an effort to minimize the burden, GOSR will only request documentation after identifying that necessary items are not already in the FEMA PA database. Examples of items that may be necessary to submit to GOSR include: cancelled checks, executed contracts, invoices, receipts, procurement

documents and payrolls. GOSR will also assist you in complying with applicable Federal and State regulations and will provide technical assistance, in‐person trainings and written materials.

Upon receiving confirmation of your interest in the program, GOSR will schedule a follow‐up telephone call to discuss the program requirements and to answer questions. We will also schedule an in‐person meeting at your facility or in your area to discuss the process and finalize steps to have the State address your match obligations.

We look forward to receiving an email from you so that we can explain the FEMA PA match program in more detail and begin to put in place the processes necessary to have the State cover your local share obligations.

Sincerely,

Jamie Rubin Director Governor’s Office of Storm Recovery

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 9: Non- Federal Share FEMA Public Assistance Local Match Program Documentation Collection letters to Applicants and Checklist templates

(INSERT APPLICANT NAME HERE) Document Checklist

Procurement Policy

Emergency Declaration

Payroll Policy (Employee Contracts or Union Contracts)

Equipment Inventory Form

Signed PW (Following PWs Only)

Direct Administrative Costs Summary (Following PWs Only)

Time Sheets and Payroll Reports (Following PWs Only)

Equipment Daily Use Logs (Following PWs Only)

Bid Documents (Following PWs Only)

Contracts (Fully Executed, Following PWs Only) Canceled Checks (Following PWs Only)

Invoices (Following PWs only)

Permits (Following PWs only)

The following PWs were not completed at the time they were written so a Notes: description of work to be completed and documents needed is attached.

Monday, April 13, 2015

«Full_Name» «Job_Title», «Applicant» «Business_Address»

RE: Federal E-Grants EMMIE Files

Dear «Job_Title» «Last_Name»,

On November 13, 2014 Governor Cuomo announced that the State would provide the “match” for FEMA Public Assistance (PA) projects resulting from The Upstate Flooding Event (4129). This includes the match for project worksheets (PW’s) in the «Applicant». The funding for the match came from the State of New York’s allocation of the United States Department of Housing and Urban Development (HUD) Community Development Block Grant Disaster Recovery program (CDBG-DR) funds. These funds are managed by the Governor’s Office of Storm Recovery (GOSR).

Similar to the PA program, CDBG-DR funds have programmatic requirements that the State must comply with to satisfy Federal requirements. To compile files for HUD to support match payments made by the State for the «Applicant», GOSR uses FEMA’s Federal E-Grants database (EMMIE) to obtain necessary documentation. However, not all HUD required documents are currently contained in EMMIE.

As a requirement of participation in the GOSR local match program, and to provide your local match share, you will need to provide GOSR with the required documentation, provided on the attached worksheets, to ensure that your project complies with any and all applicable Federal and State regulations. This includes, but is not limited to, the following HUD requirements: the Davis Bacon Act (40 U.S.C. §§ 276a to 276a-7) as supplemented by Department of Labor regulations (29 C.F.R. part 5); Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. § 1701u (section 3); and taking all necessary affirmative steps to assure that minority firms, women’s business enterprises, and labor surplus area firms are used in subcontracting when possible in accordance with 24 C.F.R. § 85.36 (e).

GOSR is prepared to provide technical assistance to help you comply with these requirements. However, it is respectfully requested that the required and requested documents as shown on the attached checklist be scanned and uploaded to the USB flash drive provided to you by GOSR. Please ensure that all documents are clearly readable and not encrypted and mail to:

ATTN: John Scarpa, Infrastructure and Local Government Programs Governor’s Office of Storm Recovery 25 Beaver Street 5th Floor New York, NY 10004

Please send the documents within 21 days so that they may be placed in the file at the Governor’s Office of Storm Recovery. Also attached is set of simple instructions to aid you in uploading files onto the USB flash drive. If you have additional questions, please do not hesitate to email us at [email protected].

Please contact us via e-mail at [email protected] to confirm the receipt of this notice or if you have any issues regarding your USB flash drive.

Thanking you in advance for assistance on this matter.

Sincerely,

Kris Van Orsdel Director Infrastructure & Local Government Programs Governor’s Office of Storm Recovery 25 Beaver Street New York, NY 10004

Friday, April 3, 2015

«Full_Name» «Job_Title», «Applicant» «Business_Address»

RE: Federal E-Grants EMMIE Files

Dear «Job_Title» «Last_Name»,

On July 23, 2014 Governor Cuomo announced that the State would provide the “match” for FEMA Public Assistance (PA) projects resulting from Superstorm Sandy (4085). This includes the match for project worksheets (PW’s) in the «Applicant». The funding for the match came from the State of New York’s allocation of the United States Department of Housing and Urban Development (HUD) Community Development Block Grant Disaster Recovery program (CDBG-DR) funds. These funds are managed by the Governor’s Office of Storm Recovery (GOSR).

Similar to the PA program, CDBG-DR funds have programmatic requirements that the State must comply with to satisfy Federal requirements. To compile files for HUD to support match payments made by the State for the «Applicant», GOSR uses FEMA’s Federal E-Grants database (EMMIE) to obtain necessary documentation. However, not all HUD required documents are currently contained in EMMIE.

As a requirement of participation in the GOSR local match program, and to provide your local match share, you will need to provide GOSR with the required documentation, provided on the attached worksheets, to ensure that your project complies with any and all applicable Federal and State regulations. This includes, but is not limited to, the following HUD requirements: the Davis Bacon Act (40 U.S.C. §§ 276a to 276a-7) as supplemented by Department of Labor regulations (29 C.F.R. part 5); Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. § 1701u (section 3); and taking all necessary affirmative steps to assure that minority firms, women’s business enterprises, and labor surplus area firms are used in subcontracting when possible in accordance with 24 C.F.R. § 85.36 (e).

GOSR is prepared to provide technical assistance to help you comply with these requirements. However, it is respectfully requested that the required and requested documents as shown on the attached checklist be scanned and uploaded to the USB flash drive provided to you by GOSR. Please ensure that all documents are clearly readable and not encrypted and mail to:

ATTN: John Scarpa, Infrastructure and Local Government Programs Governor’s Office of Storm Recovery 25 Beaver Street 5th Floor New York, NY 10004

Please send the documents within 21 days so that they may be placed in the file at the Governor’s Office of Storm Recovery. Also attached is set of simple instructions to aid you in uploading files onto the USB flash drive. If you have additional questions, please do not hesitate to email us at [email protected].

Please contact us via e-mail at [email protected] to confirm the receipt of this notice or if you have any issues regarding your USB flash drive.

Thanking you in advance for assistance on this matter.

Sincerely,

Kris Van Orsdel Director Infrastructure & Local Government Programs Governor’s Office of Storm Recovery 25 Beaver Street New York, NY 10004

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 10: FEMA Public Assistance Non- Federal Share Local Match Program Procurement and Compliance Procedures

Exhibit 10 - PW Review Assistance Process Project Size: Small FEMA Categories: A – G Funding Threshold: FEMA Designated Small Projects Analyst Review:

 File transfer from EMMIE  Complete FEMA PW Review o FEMA Notes for special project comments/considerations o Environmental/Historic Preservation o Hazard Mitigation o Insurance o Cost Review and Ineligible Items o Procurement Review o Additional project comments o Funding Review . Project Obligated Amount . Ineligible Reductions . Eligible State Share Amount . CDBG Recommended Amount . Funding Recommendation Final Comments . Funding Recommendation Final Amount  Complete CDBG Checklist Review o FEMA Documentation o Environmental Clearance o Financial/Cost Management o Labor Compliance o Citizen Participation (as applicable) o Civil Rights (as applicable) o Section 3 (as applicable) o CDBG Missing Documentation Comments Eligibility Manager Review:

 Funding review check Project Lead Review:

 Funding recommendation confirmation  Funding recommendation comments verification

Project Size: Large FEMA Categories: A – G Funding Threshold: FEMA Designated Small Projects - $150,000 Analyst Review:  File transfer from EMMIE  Complete FEMA PW Review o FEMA Notes for special project comments/considerations o Environmental/Historic Preservation o Hazard Mitigation o Insurance o Cost Review and Ineligible Items o Procurement Review o Additional project comments o Funding Review . Project Obligated Amount . Ineligible Reductions . Eligible State Share Amount . CDBG Recommended Amount . Funding Recommendation Final Comments . Funding Recommendation Final Amount  Complete CDBG Checklist Review o FEMA Documentation o Environmental Clearance o Financial/Cost Management o Labor Compliance o Citizen Participation (as applicable) o Civil Rights (as applicable) o Section 3 (as applicable) o CDBG Missing Documentation Comments Eligibility Manager Review:

 Funding review check  Detailed CDBG checklist review Project Lead Review:

 Funding recommendation confirmation  Funding recommendation comments verification

Project Size: Large FEMA Categories: A – G Funding Threshold: $150,001 - $500,000 Analyst Review:

 File transfer from EMMIE  Complete FEMA PW Review o FEMA Notes for special project comments/considerations o Environmental/Historic Preservation o Hazard Mitigation o Insurance o Cost Review and Ineligible Items o Procurement Review o Additional project comments o Funding Review . Project Obligated Amount . Ineligible Reductions . Eligible State Share Amount . CDBG Recommended Amount . Funding Recommendation Final Comments . Funding Recommendation Final Amount  Complete CDBG Checklist Review o FEMA Documentation o Procurement: $150,001 - $500,000 threshold o Environmental Clearance o Financial/Cost Management o Labor Compliance o Citizen Participation (as applicable) o Civil Rights (as applicable) o Section 3 (as applicable) o CDBG Missing Documentation Comments Eligibility Manager Review:

 Funding review check  In depth CDBG checklist review with detailed procurement review of projects between $150,001 - $500,000 o Professional Services . Statements of Qualifications and/or Cost Proposals (when applicable) . Affidavit(s) of Proof(s) of Publication of Solicitation or proof of alternate method of publicizing Responses to RFP/RFQ . Copy of Rating/Scoring Sheet(s) . Cost Reasonableness Review . Executed Contract for Services and Any Amendments to Contract for Services . Contractor Clearance/Verification of Contractor Eligibility (SAMs- Federal Debarment Clearance) o Sealed Bid (Construction) . Advertisements for bids . Invitation to Bid . Plans and Specs . Special studies, surveys, investigations, tests results, etc., (as applicable) . Design documents and cost estimates . Bid documents . Permits . Tabulation of bids with copy of the bid proposal and bid bond submitted by each bidder . Bidder qualification information . Notice of award of the contract to the lowest responsible bidder . Executed Contract for Services . Notice to Proceed, if required . Evidence of contractor verification of eligibility and approval . Architect/engineer inspection reports or status reports . Records of claims, disputes, etc. . Change orders with supporting documentation and justification . Final inspection and acceptance of project . Clear lien certificate and final payment to contractor . Certificate of substantial completion Project Lead Review:

 Funding recommendation confirmation  Funding recommendation comments verification

Project Size: Large FEMA Categories: A – G Funding Threshold: >$500,001 Analyst Review:

 File Transfer from EMMIE  Complete FEMA PW Review o FEMA Notes for special project comments/considerations o Environmental/Historic Preservation o Hazard Mitigation o Insurance o Cost Review and Ineligible Items o Procurement Review o Additional project comments o Funding Review . Project Obligated Amount . Ineligible Reductions . Eligible State Share Amount . CDBG Recommended Amount . Funding Recommendation Final Comments . Funding Recommendation Final Amount  Complete CDBG Checklist Review o FEMA Documentation o Procurement: $500,001 threshold o Environmental Clearance o Financial/Cost Management o Labor Compliance o Citizen Participation (as applicable) o Civil Rights (as applicable) o Section 3 (as applicable) o CDBG missing documentation comments Eligibility Manager Review:

 Funding review check  In depth CDBG checklist review with detailed procurement review of projects over $500,001 o Professional Services . Statements of Qualifications and/or Cost Proposals (when applicable) . Affidavit(s) of Proof(s) of Publication of Solicitation or proof of alternate method of publicizing Responses to RFP/RFQ . Copy of Rating/Scoring Sheet(s) . Cost Reasonableness Review . Executed Contract for Services and Any Amendments to Contract for Services . Contractor Clearance/Verification of Contractor Eligibility (SAMs- Federal Debarment Clearance) o Sealed Bid (Construction) . Advertisements for bids . Invitation to Bid . Plans and Specs . Special studies, surveys, investigations, tests results, etc., (as applicable) . Design documents and cost estimates . Bid documents . Permits . Tabulation of bids with copy of the bid proposal and bid bond submitted by each bidder . Bidder qualification information . Notice of award of the contract to the lowest responsible bidder . Executed Contract for Services . Notice to Proceed, if required . Evidence of contractor verification of eligibility and approval . Architect/engineer inspection reports or status reports . Records of claims, disputes, etc. . Change orders with supporting documentation and justification . Final inspection and acceptance of project . Clear lien certificate and final payment to contractor . Certificate of substantial completion Project Lead Review:  Funding recommendation confirmation  Funding recommendation comments verification  In depth CDBG checklist review with detailed procurement review of projects over $500,001 o Professional Services . Statements of Qualifications and/or Cost Proposals (when applicable) . Affidavit(s) of Proof(s) of Publication of Solicitation or proof of alternate method of publicizing Responses to RFP/RFQ . Copy of Rating/Scoring Sheet(s) . Cost Reasonableness Review . Executed Contract for Services and Any Amendments to Contract for Services . Contractor Clearance/Verification of Contractor Eligibility (SAMs- Federal Debarment Clearance) o Sealed Bid (Construction) . Advertisements for bids . Invitation to Bid . Plans and Specs . Special studies, surveys, investigations, tests results, etc., (as applicable) . Design documents and cost estimates . Bid documents . Permits . Tabulation of bids with copy of the bid proposal and bid bond submitted by each bidder . Bidder qualification information . Notice of award of the contract to the lowest responsible bidder . Executed Contract for Services . Notice to Proceed, if Required . Evidence of contractor verification of eligibility and approval . Architect/engineer inspection reports or status reports . Records of claims, disputes, etc. . Change orders with supporting documentation and justification . Final inspection and acceptance of project . Clear lien certificate and final payment to contractor . Certificate of substantial completion  Complete review, recommendation, in-depth quality check, justification and approval of project recommendation  Memo to recommendation and file on any special considerations by FEMA, planned versioning, improved project follow up, etc.

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 11: FEMA Public Assistance Non- Federal Share Local Match Program QA/QC Risk Assessment

FEMA PA – QA/QC Procedures

Less than Irene / Lee $63,900 - $1,000,000 $1,000,000+ Project $63,900 Amount Sandy / Nemo Less than $67,500 - $1,000,000 $1,000,000+ / Upstate $67,500 Using the risk assessment*, select a random sample of PWs when they QA/QC all PWs when they are are submitted by the case manager submitted by the case manager to to GOSR for review or when they GOSR for review or when they are Project Selection Not applicable are included in a draw request to included in a draw request to HUD. PWs selected for review at HUD. PWs reviewed at time of time of submission to GOSR will submission to GOSR will not be not be included in sampling pool at reviewed at time of draw request time of draw request 1. Verify each of the documents on the checklist is found on the iDrive 2. Identify and document any discrepancies 3. Distribute initial observations to case manager and program staff for correction 4. Discuss discrepancies with case manager and program staff, and QA/QC Process Not applicable document any resulting action items 5. 10 business days following the distribution of initial observations, conduct a secondary review 6. Prepare final report and distribute to case manager, program staff, and Monitoring & Compliance Trends are assessed across all tested PWs and distributed to program Reporting Not applicable staff, case managers, and Monitoring & Compliance in a weekly report

*QA/QC Risk Assessment is outlined in slide 2 FEMA PA – QA/QC Risk Assessment

FEMA PA Risk Assessment Matrix

Criteria Description High Risk Medium Risk Low Risk

10 pts 5 pts 2 pts Total Project Amount Total Project Amount $750,000 + $250,000 – $750,000 Less than $250,000

10 pts 5 pts 2 pts Number of Grantee’s Number of Projects Eligible Projects 51 + 20 –50 1 –19

10 pts 5 pts 2 pts Complexity Category of Work Category C – G: Category B: Emergency Category A: Debris Permanent Work Protective Measures Removal Exceptions: 1. All PW’s less than the FEMA threshold for a large project are excluded from the analysis. 2. All PW’s greater than $1 million (>$1M) are automatically reviewed.

High Risk: Total Project Amount > $1M, Medium Risk: 30 – 21 Points, Low Risk: 20 - 10 Points, Very Low Risk: Less than 10 Points Total Number Sampling PWs to be Risk Category of PWs Percentage Reviewed* High Risk 219 100% 219 Medium Risk 439 10% 44 Low Risk 1239 7.5% 95 Very Low Risk 420 5% 22 Not Applicable 11791 0% 0 *Subject to change as population of eligible PWs change

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 12: HMGP Global Match Strategy Approval Letters

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 13: NY Prize CDBG-DR Risk Assessment Tool

Microgrid, NY Community Microgrid Proposal NYSERDA Stage 1 Feasibility Risk Assessment

County Project Location - Check for County, NY (Name, Unnamed, NotDeclared) Refer to PL 113-2 and GOSR Storm Damage by County Map dated 01-06-2015 ) HGA: confirm county is eligible for CDBG-DR funds Presdentially Declared Disaster County

Potential CDBG-DR National Objective CDBG-DR funds expended for planning and administration costs under Sec. 570.205 and Sec. 570.206 will be considered to address the national objective. HGA/GOSR Enter: (a) LMI (b) Urgent Need (c ) Slum Blight

HGA/GOSR Enter: Public Facility, Public Service, Economic Revitalization Potential CDBG-DR Eligible Activity Planning Activity etc.

Low Moderate High RATING 1 2 3 RATING Amount: $ - Non-Profit - Private Utility* - Unit of Local Government - State Agency - Private Corporation* Sponsoring Entity - Cities - SBA Certified Business - Individual* 1 - Municipalities - Public Private Partnerships

- Presidentially declared disaster - Project location is not within a - Presidentially declared disaster area (multiple- County, town, village) Tie to Presidentially Declared Disaster area (single-County, town, village) presidentially declared disaster 1 - Indirect tie to one or more storm events - Indirect tie to one or more storm events County

- CDBG funds only - Other sources of funds indicated, Funding - Additional funds committed, single or multiple sources 1 - NYSERDA funds only but not committed

- Requires an Environmental Assessment (EA) or Categorically Excluded, Subject to 58.35(a) Environmental Factors - Exempt or Categorically Excluded, Not Subject to 58.5 1 - Requires an Environmental Impact Statement (EIS) Land Acquisition/Relocation Factors - No land acquisition required - Land acquisition required 1 Involvement by Additional Entities - No other entities involved - One or more additional entities involved 1

Project Assessment Summary: Risk Score 1 Risk Levels ______risk level; (no) modifications required because the proposer is ______.The proposed Community Microgrid will be located within the______of ______in ______County, NY, a 1 - Low (CDBG-DR Eligible) presidentially declared disaster area OR (a Not Declared county). The project is a CDBG-DR eligible activity pursuant to 24 CFR §570.205 and §570.206. The project beneficiaries include APPLICATION CDBG OK 2 - Moderate (Needs Modification) ______NOTE that RISK LEVEL 3 - High (Not CDBG-DR Eligible)

;

NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 14: GOSR Local Government and Critical Infrastructure Pre-Application

PRE‐APPLICATION REPORT

SUBRECIPIENT SUBMISSION AUTHORIZATION

AUTHORIZED BY:

PRINTED NAME:

TITLE: DATE:

PROJECT DESCRIPTION

1. SUBRECIPIENT/APPLICANT NAME AND CONTACT PERSON: Insert all contact information for both the subrecipient/applicant and the contact person. At a minimum, include the name, mailing and physical addresses, Federal ID Number, DUNS Number, and SAMS CAGE Code of the subrecipient and the name, telephone number, and email address of the contact person.

2. PROJECT NAME AND ADDRESS: Insert the physical address of the proposed project, or of the entity if the project is a program/planning activity. If a project does not have a physical address, then provide latitude/longitude of the project site.

TARGET AREA: State the geographical area or limited clientele to benefit from the project.

LATITUDE/LONGITUDE OF PROJECT SITE:

3. CDBG‐DR ELIGIBILITY: State the eligible activity(ies), including the regulatory/statutory citations(s), and how this project fits that/those eligible activity(ies).

HUD MATRIX CODE: Please provide the HUD Matrix Code.

4. NATIONAL OBJECTIVE: State the National Objective and how the project meets that National Objective.

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5. TOTAL PROJECT COSTS, SOURCE, STATUS, AND USE OF FUNDS:

PROJECT FUNDS AMOUNT SOURCE AND STATUS USE CDBG‐DR $0.00 LOCAL FUNDS $0.00 PRIVATE FUNDS $0.00 OTHER STATE FUNDS $0.00 FEDERAL FUNDS $0.00 OTHER FUNDS $0.00 TOTAL $0.00

6. PROJECT DESCRIPTION: Insert concise description here. What is the project? What is being torn down, built, provided, etc.? What are the objectives of the project? What are the expected results? Does the project involve the construction of a new facility or modifications or repairs to an existing facility? Are any historic or landmarked properties impacted? Will the project break ground? Is land acquisition involved? What are the previous and proposed uses of the impacted property or site?

PROJECT STATUS: Has any component (i.e., procurement of A/E, construction, etc.) of the project begun: □ No □ Yes If yes, please provide a description as to which project activities (1) have been completed; (2) are currently underway and the percent complete; and, (3) if the intent is to use CDBG‐DR funds to pay for activities either completed or currently underway.

PROJECT CONTEXT: Narrative should provide answers to questions such as: Is this part of a larger plan/project? If so, is it sufficiently separate from that plan or project, in the sense that it does not rely on it and does not trigger CDBG‐DR requirements on other parts of the plan/project?

BENEFICIARIES/PUBLIC BENEFIT/TARGET AREA: Provide a narrative answering questions such as: Who are the beneficiaries? What are the benefits to these beneficiaries, and where do they live?

RECOVERY RATIONALE: Provide a narrative answering questions such as: How does this project address the impacts of Superstorm Sandy, Hurricane Irene, or Tropical Storm Lee? How does it foster the recovery of the community from these disasters?

DESCRIPTION OF CONSTRUCTION INVOLVED: Provide a narrative answering questions such as: How extensive is the proposed construction? Is there digging/earthwork, etc.? The purpose of this subsection is to assist in determining the level of environmental review required.

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DESCRIPTION OF ACQUISITION INVOLVED: Describe the nature of any necessary land or property acquisition.

MITIGATION/RESILIENCY PLAN: Provide a description as to how the design of the project considers and/or proposes a mitigation/resiliency plan to minimize damage in the event of future flooding or extreme weather.

7. PROJECT FEASIBILITY: Provide a narrative as to the likelihood of the project being implemented. Is it contained in a NY Rising Community Reconstruction Plan? Does it have any necessary stakeholder support? Are there any significant regulatory hurdles to overcome, and are any problems or issues with entitlement anticipated? If the project requires additional financial support beyond the NY Rising Community Reconstruction Program funding, are those funds committed?

8. CONCEPTUAL SITE PLAN: Provide a conceptual site plan depicting location of the project.

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NY RISING INFRASTRUCTURE POLICY AND PROCEDURE MANUAL EXHIBIT 15: GOSR Local Government and Critical Infrastructure Application

STATE OF NEW YORK INSERT NAME OF SUBRECIPIENT

NY STATE CDBG‐DISASTER RECOVERY PROGRAM

APPLICATION FOR FUNDING INSERT NAME OF PROJECT

INSERT MONTH, YEAR

PREPARED BY

HUNT, GUILLOT, & ASSOCIATES, LLC 25 BEAVER STREET 2ND FLOOR NEW YORK, NEW YORK 10004 (646) 797‐4993 TABLE OF CONTENTS

Page General Description Form ...... 1

Supplemental Information Form ...... 2

Budget/Cost Summary Form ...... 5

CDBG‐DR Program Time Schedule ...... 6

Activity Beneficiary Form ...... 7

Vicinity Map ...... 8

Target Area Map(s) ...... 9

Project Site Map(s) ...... 10

Project Description ...... 11

Architect’s/Engineer’s Cost Estimate ...... 12

Disclosure Report ...... 13

Appendices ...... 14 Appendix A Insert Name of Document Contained in Appendix

Appendix B Insert Name of Document Contained in Appendix

Appendix C Proof of Publication of Public Notice Requesting Public Comment on Submission of Application for Funding

Page i

General Description Form

Place a check mark in the appropriate box: Original Application Amended Application

Applicant Name, Address, Phone and Fax Nos.: Project Name:

Project Address:

Applicant’s Contact Person Name, Address, Name, Address, Phone Number and Email Address Phone Number, Email Address, DUNS Number, of HGA Administrative Consultant: (if applicable) and SAM CAGE Code Number.

Name, Address, Phone Number and Email Address of GOSR Project Manager:

Name, Address, Phone Number and Email National Objective to be Addressed (check one). Address of Architectural/Engineering Firm: _____ Activities Benefiting Low/Moderate Income Persons _____ Prevention/Elimination of Slums or Blight _____ Urgent Need _____ Not Applicable—Planning

Project Funds Amount Source and Status of Funds

CDBG‐DR $0.00

Local Funds $0.00

Private Funds $0.00

Other State Funds $0.00 Federal Funds $0.00 (non‐CDBG‐DR) Other Funds $0.00

TOTAL FUNDS $0.00 Signature (Authorizing Official) and Date Signed Typed Name/Title (Authorizing Official)

Page 1 SUPPLEMENTAL INFORMATION

Project Name:

1. Identify the name, telephone and District # of the State Senator(s) representing your jurisdiction:

Name: Senate District #:

2. Identify the name, telephone number, and District # of the State Representative(s) representing your jurisdiction:

Name: Representative District #:

3. Identify the U.S. Congressman representing your jurisdiction and congressional district number.

Name: Congressional District #:

4. Identify the members of your jurisdiction’s governing authority.

Name: Member District #:

5. Target Area Census Tract(s):

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6. Indicate by means of an “x” as to whether the proposed project will involve a community‐wide benefit or a target area(s) and enter the zip code of the project. If a target area is involved, enter the name(s) and zip code of the target area(s).

____Community‐wide (Zip Code:______) ___Target Area(s)

Name and Zip Code of Target Area: Name and Zip Code of Target Area: Name and Zip Code of Target Area:

Community‐wide projects should use the zip code of the location of city hall. Target‐area projects should use the zip code of the target area where the majority of the construction funds will be spent (for each target area). If the target area(s) does not have a name, please provide a brief geographical description of the area such as “western portion of the city.”

7. Provide Lat/Long for the Project Location at or near the geographical center: Latitude: ______Longitude: ______

8. How many other projects funded with CDBG‐DR funds relate to the project: __

9. Does the project relate to any other project GOSR should be aware? ______

10. Does the project encompass multiple counties: _____Yes _____No

11. If the proposed project is a “covered project,” please provide a narrative describing the “Resilience Performance Standards” to be used in the design/implementation of the project below.

12. If the proposed project is a “covered project,” please provide a narrative describing the “Green Infrastructure Project Activities” to be used in the design/implementation of the project below. For the purpose of completing this section, green infrastructure is defined as the integration of natural systems and processes, or engineered systems that mimic natural systems and processes, into investments in resilient infrastructure. “Green Infrastructure” takes advantage of the services and natural defenses provided by land and water systems such as wetlands, natural areas, vegetation, sand dunes, and forests, while contributing to the health and quality of life of those in recovering communities.

13. If the proposed project is a “covered project,” please provide a narrative describing the “Transparent and Inclusive Decision Processes” undertaken in selection of the proposed project. Include accessible public hearings and other processes to advance the engagement of vulnerable populations.

14. If the proposed project is a “covered project,” please provide a narrative describing the “Long Term Efficacy and Fiscal Sustainability” plans to monitor and evaluate efficacy and sustainability, including how it will reflect changing environmental conditions (such as sea level rise or development patterns) with risk management tools, and/or alternate funding sources, if necessary.

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15. If the proposed project is a “covered project,” please provide a narrative describing how the project will align with the commitment expressed in the President’s Climate Action Plan to “identify and evaluate additional approaches to improve our natural defenses against extreme weather, protect biodiversity, and conserve natural resources in the face of changing climate…”

16. Has an amendment to the Action Plan to include this project been submitted to HUD? ____ Yes; ____ No;

17. What is the status of the amendment request? Provide a narrative describing the status of the amendment request. (Include date of submission, date of approval, any requests for additional information, and current status)

18. Is this project receiving FEMA Public Assistance funding: ____Yes ____No

19. Is this project receiving FEMA Public Assistance 406 Hazard Mitigation Funds: ____Yes ____No Please provide the FEMA Project Worksheet number(s) for this project application: (The FEMA project work sheet number should include the FEMA disaster declaration number in the first four (4) digits and the project worksheet number in the last five (5) digits. A Hurricane Sandy related project with the project worksheet “567” would be entered as “4085‐00567)

20. Is this project receiving FEMA Section 404 Hazard Mitigation funds: ____Yes ____No

21. Is this project receiving any Army Corps of Engineers funding: ____Yes ____No If yes, please provide the type of funds applied for and application number:

22. Is this project receiving any Environmental Protection Agency funds: ____Yes ____No If yes, please provide the type of funds applied for and application number:

23. Is this project receiving any Department of Energy funds: ____Yes ____No If yes, please provide the type of funds applied for and application number:

24. Is this project receiving any Department of Transportation funds: ____Yes ____No If yes, please provide the type of funds applied for and application number:

25. Is this project receiving any Department of the Interior fund: ____Yes ____No If yes, please provide the type of funds applied for and application number:

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BUDGET/COST SUMMARY FORM

PROJECT NAME:

(A) Costs by Activity (B) CDBG‐DR (C) Other (D) Total (E) Source 1. Acquisition of Real Property $0.00 $0.00 $0.00 2. Public Facilities and Improvements $0.00 $0.00 $0.00 3. Rehabilitation Loans and Grants $0.00 $0.00 $0.00 (Hook‐ups) 4. Clearance Activities $0.00 $0.00 $0.00 5. Public Services $0.00 $0.00 $0.00 6. Other (identify) ‐ Planning $0.00 $0.00 $0.00 7. Project Delivery Costs $0.00 $0.00 $0.00 8. Administration $0.00 $0.00 $0.00 TOTAL $0.00 $0.00 $0.00

Architectural/Engineering (A/E) costs must be included in one of the activity costs above.

HUD Matrix Code: (Can be found at http://www.hud.gov/offices/cpd/systems/idis/cdbg/Matrix%20Code%20Definitions.pdf )

______

Page 5 CDBG‐DR PROGRAM TIME SCHEDULE APPLICANT NAME: Quarter Quarter Quarter Quarter Quarter Quarter Quarter Quarter Quarter Quarter Quarter Quarter MILESTONES 1 2 3 4 5 6 7 8 9 10 11 12 Activity (list activity from budget/cost summary form) a. Study (H&H, Feasibility, etc.) b. Environmental Review c. A/E Design d. Construction e. Closeout Activity (list activity from budget/cost summary form) a. Acquisition

Provide the following dates: *ERR Complete Date: Acquisition/Closing: *Required Construction Start Date: Design Complete: *Construction End Date:

Page 6 ACTIVITY BENEFICIARY FORM Project: Community-Wide Target Area Combined Insert Name of Project Here

List name of each activity excluding Admin & 1) 2) 3) Acquisition: # % # % # % Persons (total): Total LMI Income: Low Income: Owner (for Rehab activity only, i.e. hookups): Renter (for Rehab activity only, i.e. hookups): Moderate Income: Owner (for Rehab activity only, i.e. hookups): Renter (for Rehab activity only, i.e. hookups): Medium Income: Owner (for Rehab activity only, i.e. hookups): Renter (for Rehab activity only, i.e. hookups):

Percent Percent Percent Race and Ethnicity (%) (%) (%)

White: Black or African American: American Indian or Alaskan Native: Asian: Native Hawaiian or Other Pacific Islander: Other: Hispanic or Latino Data Sources: Low and moderate income persons for area benefit activities were determined using the 2006-2010 American Community Survey.

Percentages for race and ethnicity for area benefit activities were determined using the Census 2010 SF-1 100% data, Tables P3-Race, and P4-Hispanic or Latino Origin.

Page 7 VICINITY MAP

VILLAGE OF

Page 8 TARGET AREA MAP

Page 9 PROJECT SITE MAP

Page 10 PROJECT NAME: Insert Name of Project Here PROJECT DESCRIPTION: Page ? of ?

PROJECT DESCRIPTION. Insert Project Description Here

Page 11 ARCHITECT/ENGINEER’S COST ESTIMATE Estimated Number of Parcels to be Acquired: Not Applicable Anticipated Approvals/Permits to be Acquired: Not Applicable

PROJECT BUDGET INSERT PROJECT BUDGET HERE

Page 12 Applicant/Recipient U.S. Department of Housing OMB Approval No. 2510-0011 (exp. 8/31/2009) Disclosure/Update Report and Urban Development

Instructions (See Public Reporting Statement and Privacy Act Statement and detailed instructions on page 2.) Applicant/Recipient Information Indicate whether this is an Initial Report ___ or an Update Report ____ 1. Applicant/Recipient Name, Address, and Phone (include area code): 2. Social Security Number or Employer ID Number:

3. HUD Program Name 4. Amount of HUD Assistance Community Development Block Grant – Disaster Recovery Program Requested/Received

5. State the name and location (street address, City and State) of the project or activity:

Part I Threshold Determinations 1. Are you applying for assistance for a specific project or activity? 2. Have you received or do you expect to receive assistance within the These terms do not include formula grants, such as public jurisdiction of the Department (HUD) , involving the project or activity in this housing operating subsidy or CDBG block grants. (For further application, in excess of $200,000 during this fiscal year (Oct. 1 - Sep. 30)? information see 24 CFR Sec. 4.3). For further information, see 24 CFR Sec. 4.9 ___ Yes ___ No ___ Yes ___ No.

If you answered “No” to either question 1 or 2, Stop! You do not need to complete the remainder of this form. However, you must sign the certification at the end of the report.

Part II Other Government Assistance Provided or Requested / Expected Sources and Use of Funds. Such assistance includes, but is not limited to, any grant, loan, subsidy, guarantee, insurance, payment, credit, or tax benefit. Amount Department/State/Local Agency Name and Address Type of Assistance Expected Uses of the Funds Requested/Provided

(Note: Use Additional pages if necessary.)

Part III Interested Parties. You must disclose: 1. All developers, contractors, or consultants involved in the application for the assistance or in the planning, development, or implementation of the project or activity and 2. Any other person who has a financial interest in the project or activity for which the assistance is sought that exceeds $50,000 or 10 percent of the assistance (whichever is lower). Alphabetical list of all persons with a reportable financial Social Security Type of Participation in Financial Interest in interest in the project or activity (For individuals, give the last No. or Employee Project/Activity Project/Activity ($ and %) name first) ID No.

(Note: Use Additional pages if necessary.) Certification Warning: If you knowingly make a false statement on this form, you may be subject to civil or criminal penalties under Section 1001 of Title 18 of the United States Code. In addition, any person who knowingly and materially violates any required disclosures of information, including intentional non- disclosure, is subject to civil money penalty not to exceed $10,000 for each violation. I certify that this information is true and complete. Signature: Date: (mm/dd/yyyy) X

Insert Typed Name and Title Here

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APPENDIX A INSERT NAME OF DOCUMENT

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