CORPORATE POLICY

CP:

DATE:

REVISION:

11-1

2/19/09

7

 

 

SUBJECT:   CONTRIBUTIONS AND SPONSORSHIPS

 

1.0             SCOPE

 

The Authority plays a significant role in providing electric energy in New York State.  In light of the extensive facilities and activities of the Authority throughout the State, and recognizing its role as a responsible public entity, the Authority may provide support to various organizations for purposes related to its mission as that mission is expressed through the Authority’s enumerated powers, duties and purposes as found in its enabling legislation, the Power Authority Act.  Such support may take the form of a sponsorship or a financial contribution to community not-for-profit organizations and state and local governmental units which conduct a variety of projects, programs and activities in the categories outlined below and which relate to the Authority’s mission.  This policy provides rules governing Authority support of these various groups and procedures assuring proper allocation and use of the Authority’s contributions.  This policy does not address activities undertaken in conjunction with the licensing and construction of generating and/or transmission facilities or activities that are otherwise provided for by law.

 

In general and for illustrative purposes, Authority support may be provided for projects, programs and activities in the following five major categories: 

 

·        Economic Development – to expand employment and investment in the state and to attract and expand high load factor industry

·        Energy Services – to advance and promote the development and implementation of new energy technologies

·        Emergency Services – such as first responders, including but not limited to, rescue squads, hospitals, police and fire departments that benefit and support Authority Projects

·        Community, Local and State Government  – such as local youth clubs, farm bureaus, county fairs and festivals where there is a direct nexus to the Authority’s mission to provide clean, economical and reliable energy consistent with the Authority’s commitment to safety, while promoting energy efficiency and innovation for the benefit of our customers and all New Yorkers

·        State Assistance – such as departments responsible for energy and environmental research, parks and agriculture

 

Religious and political organizations are not eligible for support.  Payments and services provided solely to foster goodwill and well-being are not permitted.

 

2.0             IMPLEMENTATION

 

All Authority officers and employees shall adhere to this policy.  Further implementing procedures may be prepared as necessary to provide appropriate guidance in meeting the management controls described.  Recommendations for changes to this policy or a new corporate policy shall be processed in accordance with CP1-1 “Corporate Policy Program Administration”.

 

3.0             DISCLOSURE OF CONFLICT OF INTEREST

 

3.1             Requesting Organization

 

The Authority requires the reporting of any conflicts of interest in conjunction with all applications.  Requesting Organizations must disclose on the application form any Authority Trustees, officers and/or employees that are affiliated with their organizations.

 

3.2             Authority Officers and Employees

 

All Authority officers and employees who are affiliated with the Requesting Organization shall abstain from any involvement in the process outlined in this Policy.

 

4.0             MANAGEMENT CONTROLS

 

4.1             Responsibilities

 

The Senior Vice President - Public and Governmental Affairs, or his or her designee, will be responsible for the implementation and maintenance of this Policy and for recommending additional policies and procedures to implement it.  The Policy shall apply to all Authority departments, business groups, business units and other functional areas of the Authority.

 

4.2             Procedures

 

4.2.1       Support Application  and Certification

 

a)                 Except as set forth in Section 4.2.1(b), Requesting Organizations must complete the Support Application Form A (Appendix A) including the required certification set forth in the form.  This form is available on the Authority’s Web Site (www.nypa.gov).

 

b)                 Requesting Organizations seeking $2500 or less in support and that are engaged in Emergency Services (as defined in Section 1.0) that benefit and support Authority Projects must complete the Support Application Form B (Appendix B) including the certification set forth in that form to be considered for support.

 

4.2.2       Management Approval and Oversight

 

a)                 Support awards must be reviewed by the Senior Vice President – Public and Governmental Affairs for completeness and a representative of the Authority’s Law Department for compliance with this policy.  All support awards are to be approved or denied by the President and CEO, or person acting in such capacity.

 

b)                 All Support Application Forms received by the Authority will be reviewed on a quarterly basis in accordance with Section 4.2.2(a) above.

 

c)                  Requesting Organizations must submit Support Application Forms to the Authority no later than March 15th, June 15th, September 15th or December 15th for consideration during the next quarter.

 

d)                 A Funding Request Form (Appendix C) must be completed by the Senior Vice President – Public and Governmental Affairs in accordance with Section 4.2.2(a) for all qualified applicants seeking support awards and submitted to the President and CEO or person acting in such capacity.  The President and CEO or person acting in such capacity will make the final determination as to whether such request for approval will be granted or denied.

 

i)                    The following information must be provided on the form: support amount, account codes, recipient information and review and approval signatures.

 

ii)                  Each support payment is to be charged only to the Cost Elements and WBS Codes approved by the Budget Division.  The authorized codes appear on the drop down menu of the Funding Request Form.

 

4.2.3       Reports

 

a)                 Except as set forth in Section 4.2.1(b), organizations requesting support must submit an accounting report on the form provided by the Authority (See Support Application Accounting Report attached hereto) and such organizations must acknowledge that the reports submitted are subject to audit by the Authority.

 

 

5.0             Restrictions

 

5.1             Corporate credit cards of any type may not be used for any support payments associated with this Policy.

 

5.2             All support payments are to be made only to the Requesting Organization and Authority payments to third-party vendors of that organization are prohibited.

 

 

6.0             REFERENCES

 

6.1             CP 1-1 Corporate Policy Program Administration

 

President and Chief Executive Officer

 

Appendix A

 

New York Power Authority

 

 Support Program

 

Application

 

 

 

INTRODUCTION

 

The Authority plays a significant role in providing electric energy in New York State.  In light of the extensive facilities and activities of the Authority throughout the State, and recognizing its role as a responsible public entity, the Authority may provide support to various organizations for purposes related to its mission as that mission is expressed through the Authority’s enumerated powers, duties and purposes as found in its enabling legislation, the Power Authority Act.  Such support may take the form of a sponsorship or a financial contribution to not-for-profit organizations and state and local governmental units which conduct a variety of projects, programs and activities in the categories outlined below and which relate to the Authority’s mission.  This policy provides rules governing Authority support of these various groups and procedures assuring proper allocation and use of the Authority’s contributions.  This policy does not address activities undertaken in conjunction with the licensing and construction of generating and/or transmission facilities or activities that are otherwise provided for by law.

 

In general and for illustrative purposes, Authority support may be provided for projects, programs and activities in the following five major categories:

 

·        Economic Development – to expand employment and investment in the state and to attract and expand high load factor industry

·        Energy Services – to advance and promote the development and implementation of new energy technologies

·        Emergency Services – such as first responders, including but not limited to, rescue squads, hospitals, police and fire departments that benefit and support Authority Projects

·        Community, Local and State Government – such as local youth clubs, farm bureaus, county fairs and festivals where there is a direct nexus to the Authority’s mission to provide clean, economical and reliable energy consistent with the Authority’s commitment to safety, while promoting energy efficiency and innovation for the benefit of our customers and all New Yorkers

·        State Assistance – such as departments responsible for energy and environmental research, parks and agriculture

 

Religious and political organizations are not eligible for support.  Payments and services provided solely to foster goodwill and well-being are not permitted.

 

New York Power Authority

SUPPORT APPLICATION Form A

 

 

1. Organization name:                                                                        Date:                                                                  

 

2. Address:                                                                                        City, State & Zip:                                               

 

3. Contact Person & Title:                                                                 Phone No.:                                                         

 

4. Person responsible for the Program:                                               Phone No.:                                                         

 

5. Amount Requested:                               

 

6. Project Title:                                                             Project start date:                                                                    

 

7. Type of request:

 

              _____ Economic Development          _____ Energy Services             _____ State Assistance

 

 

              _____ Emergency Services                _____ Community, State and Local Government

 

             

 

8. Purpose of The Request (Add additional sheets if necessary)

 

 

 

9. Previous funding from the Authority?                                                             Yes                  No

    If yes, please list the amount and dates of the support received.

 

10. List any Board members, officers and employees of your organization who are affiliated with the Authority.

 

Attachments

In addition to the information required on the Support Application Form A, please provide the following:

 

A.     An itemized list of expected expenditures showing dates and purpose including payees for the support requested.

 

B.     Organization’s current year operating budget, including income and expenses.

 

C.     Listing of current board members and Senior Management (include member affiliation and other pertinent information).

 

D.     Most recent audited financial statement or appropriate substitute as approved by the Authority.

 

E.      The Authority considers support applications only from public charities as defined under the Internal Revenue Code and applicable regulations or governmental entities.  A charity applicant must have obtained a 501(c)(3) determination letter prior to submitting an application and must include a copy with this application. If the applicant is not required to have obtained a 501(c)(3) letter, it must provide a copy of an IRS letter or a legal opinion certifying that the applicant is a public charity as described in section 509(a) (1), (2), or (3).

 

 

 

Certification

 

I hereby certify and agree, on behalf of the organization making this request, that:

 

A.     Any funds awarded will be used solely for the purpose for which the grant was approved.

B.     A detailed report on the use of the funds (See Report form attached hereto) will be submitted to the Authority no later than 90 days after the organization’s expenditure of the funds awarded, and such report is subject to audit by the Authority’s Internal Audit Office.

C.     Any funds not used will be returned to the Authority no later than thirty days after the Authority requests the return of those funds.

D.     The information contained in the application and accompanying documents is true and complete in every respect.

 

 

 

*Signature of Authorized Representative ________________________________________________________

 

 

Name (type or print) _____________________________________ Title _______________________________

 

 

Date __________________________

 

 

*The application must be signed by the President/CEO, or person acting in such capacity.

 

NEW YORK POWER AUTHORITY

SUPPORT APPLICATION

ACCOUNTING REPORT

 

Organization ___________________________________

 

Support Time Period ______________________________

 

 

INCOME

 

Source                                                                                                                                   Amount

Support

 

1.  NYPA Support Funds Received                                                                                   $____________________

2.  Other Funding (Specify)                                                                                                $____________________

3.  ___________________________________________                                       $____________________

Total Income                                                                                                                         $____________________

 

EXPENSES

 

Item (Please be specific and add lines as needed including payees)                          Amount

 

1.  ___________________________________________                                       $____________________

2.                                                                                                                                             $____________________

3.  ___________________________________________                                       $____________________

4.  ___________________________________________                                       $____________________

5.                                                                                                                                             $____________________

6.  ___________________________________________                                       $____________________

7.  ___________________________________________                                       $____________________

8.                                                                                                                                             $____________________

9.  ___________________________________________                                       $____________________

10. ___________________________________________                                      $____________________

11.                                                                                                                                           $____________________

12. ___________________________________________                                      $____________________

13. ___________________________________________                                      $____________________

14.                                                                                                                                           $____________________

15. ___________________________________________                                      $____________________

 

Total Expenses                                                                                                                     $____________________

 

Difference (Income Less Expenses)                                                                                 $____________________

By signing this report, I confirm that the funds were spent only for which the support was approved, and that all of the information contained herein is true and accurate.

 

Signature               ________________________________

Name & Title         ________________________________

Date                        ________________________________

 

Appendix B

New York Power Authority

SUPPORT APPLICATION Form B

 

 

1. Organization name:                                                                        Date:                                                                  

 

2. Address:                                                                                        City, State & Zip:                                               

 

3. Contact Person & Title:                                                                 Phone No.:                                                         

 

4. Person responsible for the Program:                                               Phone No.:                                                         

 

5. Amount Requested:                               

 

6. Project Title:                                                             Project start date:                                                                    

 

7. Type of request:

 

              _____ Economic Development          _____ Energy Services             _____ State Assistance

 

 

              _____ Emergency Services                _____ Community, State and Local Government

 

             

 

8. Purpose of The Request (Add additional sheets if necessary)

 

 

 

9. Previous funding from the Authority?                                                             Yes                  No

    If yes, please list the amount and dates of the support received.

 

10. List any Board members, officers and employees of your organization who are affiliated with the Authority.

 

Attachments

In addition to the information required on the Grant Application Form, please provide the following:

 

A.     An itemized list of expected expenditures showing approximate dates and purpose including payees for the support requested.

 

B.     Listing of current board members and Senior Management (include member affiliation and other pertinent information).

 

C.     The Authority considers support applications only from public charities as defined under the Internal Revenue Code and applicable regulations or governmental entities. A charity applicant must have obtained a 501(c)(3) determination letter prior to submitting an application and must include a copy with this application. If the applicant is not required to have obtained a 501(c)(3) letter, it must provide a copy of an IRS letter or a legal opinion certifying that the applicant is a public charity as described in section 509(a) (1), (2), or (3).

 

 

Certification

 

I hereby certify and agree, on behalf of the organization making this request, that:

 

A.     Any funds awarded will be used solely for the purpose for which the grant was approved.

 

B.     Any funds not used will be returned to the Authority no later than thirty days after the Authority requests the return of such funds.

 

C.     The information contained in the application and accompanying documents is true and complete in every respect.

 

 

 

*Signature of Authorized Representative_________________________________________________________

 

Name (type or print) __________________________________ Title __________________________________

 

Date ____________________________

 

 

*The application must be signed by the President/CEO, or person acting in such capacity.

 

Appendix C

NEW YORK POWER AUTHORITY

FUNDING REQUEST FOR SUPPORT

 

 

Cost Information

 

Cost Center:

 

Cost Element:

 

WBS Code:

 

Amount:            ________________

 

 

RECIPIENT INFORMATION

 

Please make check payable to:               ____________________________________________________

 

Federal ID #:                                        ____________________________________________________

 

Mail to:                                                 ____________________________________________________

 

                                                            ____________________________________________________

 

                                                            ____________________________________________________

 

Contact Person:                                     _________________________ Phone:_____________________

 

Describe Type of Request:                     ____________________________________

 

(Include NYPA Program Supported):     ____________________________________

Attachments:

 

Date of Request:

 

Reviewed by:    ___________________________________  ____________________________

                        SVP – Public and                                              Date

                        Governmental Affairs

 

Reviewed by:    ____________________________________            _____________________________

                        Law Department Representative                                    Date

 

Support Application:       __________Approved                          __________Denied

 

Approval Signature:       ________________________________________    ______________(Date)

                                    President and Chief Executive Officer