Memorandum To: From: Subject: Date: The Executive Chamber Guidepost Solutions, LLC Summary Findings and Review Protocols September 23, 2016 As you are aware, in connection with our engagement over the past four and one half months relating to the so-called Buffalo Billion and Nano Projects in the State, we have analyzed payment requests for more than $193 million in New York State funds for Equipment, Professional, Property and Construction fees. We recommended payment upon receipt of executed Certifications of $129 million and we recommended against payment of $64 million of these requests and they were denied because required procedures and required documentation were not in compliance. Once required documentation was received with respect to a particular payment request, the applicable State agencies made such payments. We are currently awaiting information and production of documentation on more than another $45 million in pending requests for payments. As we previously indicated, our extensive reviews of payment and performance issues found problems with the approval, review and inspection processes for the authorization for release of New York State funds relating to the Buffalo Billion and Nano Projects. Frequently, required processes and procedures were not followed; required documentation was incomplete; and, review procedures were either not in place or not being followed to what we believe was the necessary level. To help strengthen the processes and to assure transparency, reliability and integrity in the review and payment processes of the Buffalo Billion and Nano Projects, we forwarded to you five Review Protocols. We recommended that the Review Protocols be adopted by the State funding agencies involved in the Buffalo Billion and Nano Projects. We recommended that these protocols be circulated to the appropriate individuals and agencies involved in grant initiation, grant disbursement and requisition payment processes so that there can be some assurance that the processes that the Grantors now have in place (EDC and DASNY) are being followed by the grantees (FRMC, FSMC and others); that Grantors, Grantees, contractors and material providers and others requesting payment, submit appropriate documentation and that for each grant and disbursement those requesting payment, as well as the grantees and grantors disbursing payment engage in and provide adequate review of the grant process, as well as the payment process. 1 The five Review Protocols cover areas most frequently involved in the grant process for the Buffalo Billion and Nano Projects: Equipment and Construction Acquisition or Purchase; Property Acquisition; Construction Forms Review; Grant Compliance Certification – Grantee; Grant Compliance Certification – Grantor; and, Grantor Grantee Exhibit B referred to and to be used in conjunction with the Grant Compliance Certification for both Grantee and Grantor. As we further indicated, we recommended that the Chamber consider the adoption and implementation of the Review Protocols. In subsequent meetings with Chamber Staff and Counsel, we discussed that the Review Protocols were recommendations that would have to be reviewed and in some instances modified on a grant by grant basis recognizing that “one size does not fit all”. We know that the Chamber and the Grantor agencies have been and are involved in review of the proposed Review Protocols since we have spoken with their staffs. We remain available to further discuss the Review Protocols and to help in the implementation and to provide further detail our findings. As discussed, we look forward to meeting with your Staff regarding the specific protocols and their implementation in manner which will ensure security and accountability and protect against fraud. * * * 2 Construction Forms Review Protocol     Documents Reviewed  Documents  Attached           1.)​     ​Summary Request for Payment  a.​       ​Period reviewed  b.​       ​Net changes  c.​       ​Adjustments to contract  d.​       ​Work completed to date  e.​       ​Less retainer  f.​        ​Amount due to date  g.​       ​Less previous payments  h.​       ​Total payment due  2.)​     ​Application & Certification for Payment Including Continuation  Sheets  a.​       ​Check all amounts  b.​       ​Current payment due  c.​       ​Signed and Notarized dated certification by construction  manager  3.)​     ​Contractor’s Affidavit by Manager  a.​       ​Signed and notarized and signed dated by officer   4.)​     ​Contractors Receipt and Waiver of Lien and Claim  a.​       ​Signed and Notarized dated waiver and release by  subcontractor  5.)​     ​Affidavit That All Taxes Are Paid  a. Signed and notarized dated affidavit that all taxes have been  paid by an officer  6.)​     ​Monthly Project Status Control Report  a.​       ​Review monthly subcontractor invoice amounts as well as  specific subcontractor description of work  b.​       ​Budget, budget change orders and revised budget  Approved for  Compliance with  Protocol  Comments                                                                                                                                                                                                                                                                                c.​       ​Invoice amounts for prior reimbursements, this month’s  reimbursement and total to date.  d.​       ​Projected cost amounts  e.​       ​Over/under budget amounts  f.​        ​% completed  7.)​     ​Contractor/Vendor Name Monthly Billing Statement  a.​       ​Billing amounts  b.​       ​Contract amount  c.​       ​Current billing amount  d.​       ​Amount of work completed to date  e.​       ​Balance to Finish  f.​        ​Retention amounts  g.​       ​Net billing this period  8.)​     ​Pay Application Invoice Amounts  a.​       ​Review of this and all previous application amounts on this  project  9.)​     ​Backup Invoices  a.​       ​Review of all subcontractor invoices for amounts and type  of work performed and location of subs utilized  10.)​ ​ Backup of other documents including correspondence, e­mails  and pictures  a.​       ​Review for any inconsistencies or questionable  correspondence notes  11.)​ ​ Certified Payrolls  a.​       ​Review all contractor or subcontractor certified payrolls                                                                                                                                                                                                                                                                          d.    Sign in Sheets or similar weekly sheets created by each  contractor or subcontractor to document workers hours and days  worked                12.)  GPS Certification and Authorization to do business in NYS            a. Prior to any disbursement to requisitioning entity,   ensure the GPS Certification regarding, bribery, collusive                                       b.​       ​Review rates of pay and benefits payments  c.​       ​Compare certified payrolls with related Monthly  Employment Utilization Reports with summary of monthly hours  worked by different classifications of workers  bidding and fair pricing has been executed by the requisitioning   entity  and received by GPS.             b. Prior to any disbursement ensure that requisitioning   entity is authorized to do business in NYS,                                                                                           THIS PROTOCOL AND THE ATTACHED DOCUMENTATION  WAS    COMPILED AND REVIEWED BY THE SIGNATORY BELOW,  WHO CERTIFIES THAT THE CONCLUSIONS ARE ACCURATE AND   ARE  BASED ON THE DOCUMENTATION COMPILED AND   ATTACHED.                                                ___________________________  (Name)                                                                              ___________________________  (Position)      _______________  (Date)            Equipment and Construction Acquisition or Purchase Review Protocol Document Requirement list for each equipment or construction purchase (RFP or Sole Source) 1.) RFP Communication a. Where and how RFP posted/communicated  to whom b. Certification by FSMC designated contact for this RFP that there was no contact w/ vendor and RF/SUNY POLY/CSNE/GE and NY PEMC program partner personnel during the black out period which was from ??? To ??? for this RFP. c. RFP Question Submittal Process: Were Q’s submitted by vendors and answered? Supply documentation. d. Identification of individuals reveiwing RFP's. 2.) Bid Receipt a. Did bids [successful bidder?] meet general information requirements on pp 5-6 of RFP process document? b. Did bids [successful bidder?] meet Qualifications and Costing requirements – Information on pp 6-7? c. Did bids [successful bidder?] meet Requirements for additional info on p 7 (MWBE etc) and 9? d. Was bidder acknowledgement signed? e. Are employees of successful bidder legally entitled to work in the US (see page 10 of RFP process document) f. If subcontractors, were pg 11 requirements met? g. Whether entity is authorized to do business in New York State? 3.) RFP attachments – compliance a. Certification that successful bid complies with the technical specifications in Attachments A (tool ID), B ( Tool Iist), C( Equipment Specs), C1 (Ionization or Electrostatic Control Spec), D1 ( Facilities Spec) Supporting Documents Document Preparer Date Prepared Approved for Compliance with Protocol Comments b. Completed and final insurance requirement form c. Completed lobbying disclosure form d. Completed vendor responsibility questionnaire e. Completed Commercial Terms form incl non-collusion paragraph 4.) RFP Responses & Consideration a. Completed bidder list b. Completed scorecard with rationale for choice c. Names of people who completed assessment reflected on scorecard d. Is rationale for assessment apparently reasonable – cost, feasibility? e. Ensure selected entity is authorized to do business in New York State f. Is final quote equal to RFP final amount? g. Determine whether selected entity or individuals had any connections with Federal, State or Local officials. 5.) Sole Source Procurement a. Provide verification of need for sole source procurement. b. Establish that specifications were not written to enable preferred source to be only qualified provider. c. Provide justification that for limitations and restrictions of the source. d. Ensure that RFP is broadly communicated. e. Ensure that restrictions on non-responsible bidders are not being utilized to minimize eligible bidders. f. Ensure selected entity is authorized to do business in New York State g. Determine whether slected entity had any connections with Federal State orLocal officials. 6.) Payment Request a. Exhibit G Payment Requisition Form: total imprest request; dates work completed/ equipment ordered or delivered b. Analyze Master Purchase Agreement Terms for each vendor/RFP including milestones: i. Amount due on: 1. 2. 3. 4. signing (if any) Purchase Order Delivery FAT c. For each milestone which supports a payment, proof of its completion, ie copy of invoice, copy of purchase order received, proof of delivery, proof of FAT d. Was work done/purchase order issued or delivery made within dates on requisition? e. Has the entity requesting payment submitted a GPS prepared Certification regarding, bribery, collusive bidding and fair pricing, as well as the Grantor and the Grantee? THIS PROTOCOL AND THE ATTACHED DOCUMENTATION WAS COMPILED AND REVIEWED BY THE SIGNATORY BELOW, WHO CERTIFIES THAT THE CONCLUSIONS ARE ACCURATE AND ARE BASED ON THE DOCUMENTATION COMPILED AND ATTACHED. ___________________________ (Name) ___________________________ (Position) _______________ (Date) Grant Compliance Certification Review Protocol - Grantee Description 1. 2. 3. a. The Project ESD or DASNY General Project Plan is attached hereto as Exhibit A Design and Construction requirements are attached hereto as Exhibit B Employment Goals & Reporting Baseline Employment (as hereinafter defined) set forth in Exhibit C Conditions Precedent to Disbursement of the Grant The Grant Amount exceeds $100,000, or if, as described in Exhibit A, it is expected that there will be additional grants that in the aggregate exceed $100,000, ESD or DASNY has received an opinion of Grantee’s counsel, in substantially the form appended to Grant Agreement as Exhibit D. b. ESD or DASNY has received a commitment fee, plus out-of-pocket expenses incurred by ESD or DASNY in the making of the Grant, if any, as set forth in Exhibit E. c. There have been no materially adverse changes in the financial condition of the Grantee since the date of submission of its application to ESD. d. The Grantee employs at least the Baseline Employment as evidenced by the Employment Reporting Form attached hereto as Exhibit H. 4. Disbursement and Recapture Terms a. A Payment Requisition Form, together with such supporting documentation as ESD or DASNY may require,has been submitted in the form attached to the Grant Agreement as Exhibit F and its attachments. b. Documentation establishing that this payment will not cause ESD’s or DASNY's aggregate disbursements to exceed the Grant Amount. 5. EXHIBIT F-1: FINANCIAL CONDITION DOCUMENTATION True, False or N/A Date Provided Name of Person who prepared document See Exhibit B Tab Comments a. The most recent financial statements on anniversary of ESD’s or DASNY'S approval and annually thereafter have been submitted to ESDC or to DASNY. 6. Exhibit F-2: DOCUMENTATION OF PROJECT COSTS* a. Project Cost Summary Exhibit F-2: DOCUMENTATION OF PROJECT COSTS has been submitted. b. EXHIBIT F-3: EQUITY EXPENDITURES AFFIDAVIT Exhibit F-3: Equity Expenditures Affidavit has been submitted. 7. Non Discrimination and Contractor & Supplier Diversity Certifications and documentations that the Grantee is in compliance with ESD’s or DASNY's Non-Discrimination and Contractor & Supplier Diversity policies set forth in Exhibit G to this Agreement. a. EXHIBIT G-1: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY M/WBE PARTCIPATION/EQUAL EMPLOYMENT OPPORTUNITY POLICY STATEMENT has been submitted. b. EXHIBIT G-2: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY STAFFING PLAN has been submitted. c. EXHIBIT G-3: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY WORKFORCE EMPLOYMENT UTILIZATION REPORT has been submitted. d. EXHIBIT G-4: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY M/WBE UTILIZATION PLAN has been submitted. e. EXHIBIT G-5: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY WAIVER REQUEST FORM has been submitted. f. EXHIBIT G-6: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY M/WBE CONTRACTOR COMPLIANCE AND PAYMENT REPORT has been submitted. g. EXHIBIT I: SPECIAL PROVISIONS Grantee is in compliance with special provisions. Attach special conditions. Grantee has executed and submitted a GPS prepared Certification regarding, bribery, collusive bidding and fair pricing to GPS. 8. Responsibility Provisions The Grantee affirms, that it is only requesting reimbursement for payments to entities that have the legal authority to do business in New York State. Attach authorization to do business for each of the entities. Neither the Grantee nor any of the members of its Board of Directors or other governing body or its employees have given anything of value to influence any official act or the judgment of any person in the award of the Grant or the performance of any of the terms of this Agreement. The Grant shall be used solely for Project expenses in accordance with the terms and conditions of Grant Agreement. Grantee is using ESD or DASNY grant funds, and submitting payment requisitions, exclusively for eligible expenses related to capital works or purposes in accordance with IRS rules and regulations relating to ESD's bonds and in accordance with the New York Debt Reform Act. Grantee acknowledges that grant funds must be used solely for authorized capital purposes and not for operating expenses or other working capital items or non-capital purposes, irrespective of whether the funds are still used for the benefit of the Project. A GPS Certification has been executed by the Grantee prio to the reciept of funds from the Grantor or prior to any disbursement from the Grant proceeds. THIS PROTOCOL AND THE ATTACHED DOCUMENTATION WAS COMPILED AND REVIEWED BY THE SIGNATORY BELOW, WHO CERTIFIES THAT THE CONCLUSIONS ARE ACCURATE AND ARE BASED ON THE DOCUMENTATION COMPILED AND ATTACHED. ___________________________ (Name) ___________________________ (Position) (Date) Grant Compliance Certification Review Protocol ­ Grantee      Date  Provided  Name of  Person who  prepared  document                                            See Exhibit B  Tab                 2.  Baseline Employment (as hereinafter defined) set forth in Exhibit C              3.  Conditions Precedent to Disbursement of the Grant              a.  The  Grant  Amount  exceeds  $100,000,  or  if,  as  described  in  Exhibit  A,  it  is  expected  that  there  will  be  additional  grants  that  in  the  aggregate   exceed $100,000,  ESD or  DASNY has  received  an  opinion  of  Grantee’s  counsel,  in  substantially  the  form  appended  to  Grant  Agreement as Exhibit D.                          c.  There  have  been  no  materially  adverse  changes  in  the  financial  condition of  the  Grantee  since the date of submission of its application to ESD.              d.  The  Grantee  employs  at  least  the  Baseline  Employment  as  evidenced  by  the  Employment  Reporting Form attached hereto as Exhibit H.              4.  Disbursement and Recapture Terms              Description  True, False  or N/A           The Project  1.  ESD or DASNY General Project Plan  is attached hereto as Exhibit A     Design and Construction requirements are attached hereto as Exhibit B      ​                                                    ​Employment Goals & Reporting                  ​Comments  b.  ESD  or DASNY has received a commitment fee, plus out­of­pocket expenses incurred by ESD  or DASNY in the making of the Grant, if any, as set forth in Exhibit E.  a.  A  Payment  Requisition  Form,  together  with  such  supporting  documentation  as  ESD  or  DASNY  may  require,has  been  submitted  in  the  form   attached   to  the Grant Agreement  as  Exhibit F and its attachments.              b.  Documentation  establishing  that  this  payment  will  not  cause  ESD’s  or  DASNY's  aggregate  disbursements to exceed the Grant Amount.                                       6.  Exhibit F­2: DOCUMENTATION OF PROJECT COSTS*              a.  Project Cost Summary                                                                                                                                                              5.  EXHIBIT F­1:​ ​FINANCIAL CONDITION DOCUMENTATION  a.  The most recent financial statements on anniversary of ESD’s or DASNY'S approval and  annually thereafter have been submitted to ESDC or to DASNY.     Exhibit F­2: DOCUMENTATION OF PROJECT COSTS has been submitted.  b.  EXHIBIT F­3: EQUITY EXPENDITURES AFFIDAVIT     Exhibit F­3: Equity Expenditures Affidavit has been submitted.  7.  Non Discrimination and Contractor & Supplier Diversity     Certifications and documentations that the Grantee is in compliance with ESD’s or DASNY's  Non­Discrimination and Contractor & Supplier Diversity​ ​policies set forth in Exhibit G to this  Agreement.  a.  EXHIBIT G­1: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY     M/WBE PARTCIPATION/EQUAL EMPLOYMENT OPPORTUNITY POLICY STATEMENT has been  submitted.  b.  EXHIBIT G­2: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY     STAFFING PLAN has been submitted.  c.  EXHIBIT G­3: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY     WORKFORCE EMPLOYMENT UTILIZATION REPORT has been submitted.  d.  EXHIBIT G­4: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY     M/WBE UTILIZATION PLAN has been submitted.                                                                             Grantee is in compliance with special provisions. Attach special conditions.                  Grantee has executed and submitted  a GPS prepared Certification regarding, bribery,  collusive bidding and fair pricing to GPS.                             The Grantee  affirms,  that  it  is  only  requesting reimbursement for payments to entities that  have  the  legal  authority  to  do  business   in  New  York  State.  Attach  authorization  to  do  business for each of the entities.                 Neither  the  Grantee  nor  any  of  the  members  of  its Board  of  Directors  or  other  governing  body  or  its  employees  have   given  anything  of  value   to  influence  any  official  act  or  the  judgment of  any  person  in the  award  of the  Grant  or  the  performance  of  any  of the terms  of this Agreement.                  The  Grant  shall  be  used  solely  for  Project  expenses  in  accordance  with  the   terms  and  conditions of Grant Agreement.              e.  EXHIBIT G­5: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY     WAIVER REQUEST FORM has been submitted.  f.  EXHIBIT G­6: OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY     M/WBE CONTRACTOR COMPLIANCE AND PAYMENT REPORT has been submitted.  g.  EXHIBIT I: SPECIAL PROVISIONS  8.  Responsibility Provisions      Grantee is using ESD or DASNY grant funds, and submitting payment requisitions,  exclusively for eligible expenses related to capital works or purposes in accordance with IRS  rules and regulations relating to ESD's bonds and in accordance with the New York Debt  Reform Act.  Grantee acknowledges that grant funds must be used​ solely​ for authorized  capital purposes and not for operating expenses or other working capital items or  non­capital purposes, irrespective of whether the funds are still used for the benefit of the  Project.  A GPS Certification has been executed by the Grantee prio to the reciept of funds  from the Grantor or prior to any disbursement from the Grant proceeds.                                              THIS PROTOCOL AND THE ATTACHED DOCUMENTATION  WAS      COMPILED AND REVIEWED BY THE SIGNATORY BELOW,    WHO CERTIFIES THAT THE CONCLUSIONS ARE ACCURATE AND     ARE  BASED ON THE DOCUMENTATION COMPILED AND             ATTACHED.                                                  ___________________________            (Name)                                    ___________________________            (Position)          (Date) Grantor Grantee Exhibit B Document Requirement list Design Phase Project and Construction Budget Plans & Specification or Description of Project Scope Design phase cost estimates (incl. quantities and unit prices) Code & Zoning Analysis (as applicable) Special Agency Approvals (as applicable) Design/Construction Schedule Architects/Engineers Copy of Contract Table of Approval Authority Contract Manager Table of Approval Authority Contractor Table of Approval Architect Start of Construction OTHER Building Permit Copy (as applicable) OTHER Asbestos Free Building Certificate (as applicable) Plans and Specs Signed and Sealed (as applicable) Plans with Building Dept. Approval (as applicable) Contractor/CM Agreements with cost 22 Construction & Demoliton Waste Management Plan (as applicable) OTHER ACORD Certificates of Insurance Current construction schedule Trade Payment Breakdown During Construction 16 C OTHER Arch/Eng Consultants Code Certification (as applicable) Progress schedules and updates Minutes of Project Meetings Architect's Bulletins Building Dept. Amendments (as applicable) YES Date Received Received by NO N/A Comments OTHER 08 07 07 10 11 12 13 05 04 D,D-1 105-A 105-B 105-C 105-D 105-G 105-H 105-E 106-C 106-C ESD OTHER Building Dept. Approvals (as applicable) Monthly Project Status Cost Control Report Summary Request For Payment Breakdown Request For Payment Breakdown Contractors Affadavit List of Subcontractors Contractor's Receipt and Waiver of Lien Subcontractors Receipt and Waiver of Lien Schedule of Change Orders Change Order Impact Justification For Change Approved Change Orders G703/G704 forms Invoices Labor & Performace Bonds (as applicable) Payment & Performance Bonds (as applicable) 20 19 D&C D&C OTHER Survey Statement (as applicable) Foundation Survey (as applicable) Pile Driving Report (as applicable) Controlled Inspection and Test Reports with A/E approvals (as applicable) Archaeological site report At Completion of Construction OTHER OTHER OTHER 14 105-I 15 B2,3,4,5 17,18 B,C OTHER Final Punch Lists Temporary Certificate of Occupancy (TCO) Certificate of Occupancy (CO) Certificate of Completion for Eq From Issuing Agency (as applicable) Affadavit & Final Waivers Unconditional Waiver & Release Architect, Engineer, CM, GC Contractor's/Consultant's Cert. of Completed Construction As-built Drawings NY Board of Fire Underwriters Approval (except in NYC) Other Requirments Access to Guarantees, Warantees, and O&E Manuals Dedication of Offsite Infrastructure to Local Municipality Applicable Regulatory Agency/Approval Authority Site Access for ESD Inspections Field Office Access to Approved Shop Drawings Property Acquisition Review Protocol     Prepare a memorandum that addresses the  issues identified below    Comments  1  Identify the need for which  the property is being acquired.                                                                                        2  Identify the Grant and GURF number under which property is  being acquired.  3  Specify at what period of time the property and location  requirements became known.  4  Explain the timing of the purchase.  5  Explain the use to be made of the acquired property.  6  Summarize plans and documentation of expected usage,  development or  construction on the acquired parcel.  7  Identify persons and entities that participated in the site  selection process.  8  Identify who from the seller  was contacted for property and  site information and who from the acquirerer, agency or  other contacted the seller.  9  Identify the individuals and entities that handled the  negotiations for Purchaser and Seller.                           1 Indicate whether any individuals involved in the negotiations  0  or sale are or were connected in any way with any Federal,  State, County or Local elected or appointed officials or any  lobbyists or counsel representing any of those individuals or  entities or made any political contributions to any of them.              1 Identify  whether   any  brokers,   consultants  or  others  were  1  involved in bringing about the transaction or in arranging any  meetings  among  the  parties  to  the  transaction,  the  role  of  each  and  identify  who  was  involved  in   reaching  out  to  the  Seller initially.               1 Determine whether the property was acquired close to the  2  time the Project was being conceived?              1 Determine whether recent prior owners had any connections  3  to local development authorities or government officials or  other political figures presenting possible conflicts of interest  or other ethical issues.               1 Establish whether the Purchaser prior to contract, is aware  4  of any potential issues regarding the Seller’s ownership of  the property or violations for which the Purchaser will be  liable, will be assuming or run with the land. If such issues  exist, provide an explanation and details why the sale should  proceed.              1 Demonstrate  whether Purchaser requested any  5  environmental testing. If so the results should be provided. If  none were conducted, a reasobable explanation why no  tests were conducted should be presented.               1 Explain  why  the  of  the  type  of  deed  was  used  for  the  6  property  transfer.  For  example,  if  the  transfer  is  by  Quit  Claim  rather  than  by  Bargain  and  Sale  with  Covenants,  explain  why  the  property  is  being  transferred  by Quit  Claim  Deed.              Document  Source  Document  Preparer     Documentation requirements  Approved for  Compliance  with Protocol     1 Provide two appraisals of the property. If none exist, furnish  7  an adequare written explanantion detailing the method used  to arrive at the sale price of the property to be acquired.              1 Provide Title Report (including identification of past  8  transactions for the parcel) and a Survey to determine the  existence of ownership, acreage or boundary issues  regarding the property.               1 Provide ownership history, with special attention to the  9  period of time the Seller owned the property.              2 Establish  that  the  property  transaction  complies  with  all  0  Federal,  State  and  Local  laws  and  regulations,  including  environmental,  zoning,  among  others,  such  that  the  purchasing  entity  is  not  acquiring  liabilities  for   which  the  Grant  will  be  used  to  satisfy  or  remediate  (unless  it  is  a  remediation grant).               2 Demonstrate that all appropriate environmental or other  1  tests and investigations have been conducted prior to  contract and the test results have been reviewed and are  available for review prior to closing.               2 If it appears that Seller knew the property has significant     2  environmental issues, demonstrate that the Purchaser was  fully knowledgeable about these; that the potential exposure  for environmental claims as well as the projected cost for  remediation to this parcel were considered and taken into  consideration when the purchase  price was agreed in  establishing a fair value.            2 Demonstrate that the Purchaser was fully knowledgeable  3  about the possible claims and liabilities, including furnishing  a list of the same.               2 Provide an explanation of and a copy of the contract for each     4  individual or entity representing the purchaser and an  explanation of how the individual or entity was selected to  represent the purchaser.            2 If broker, consultant or counsel fees are to be paid from the  5  Grant funds, provide invoice.               2 Provide documentation of the deal negotiations,.  6  Demonstrating  how the purchase price was set.               2 Prior to any payment from Grant funds, assure that the  7  Seller, Grantor and Grantee have excuted and submitted the  GPS Ceritifcation regarding, bribery, collusive bidding and  fair pricing.                                                                              ___________________________  (Name)                                            ___________________________  (Position)                                            _______________  (Date)                                THIS PROTOCOL AND THE ATTACHED    DOCUMENTATION  WAS COMPILED AND  REVIEWED BY THE SIGNATORY BELOW, WHO  CERTIFIES THAT THE CONCLUSIONS ARE  ACCURATE AND ARE  BASED ON THE  DOCUMENTATION COMPILED AND ATTACHED.