REQUEST FOR PROPOSALS

FOR THE PURCHASE AND REDEVELOPMENT OF

MOUNT MCGREGOR CORRECTIONAL FACILITY
1000 Mt. McGregor Rd., Wilton, New York

RFP RELEASE DATE: Friday, January 27, 2017

SITE TOUR DATE: Wednesday, March 1, 2017
DEADLINE TO SUBMIT QUESTIONS: Thursday, March 2, 2017 at 5:00 PM
DEADLINE TO SUBMIT PROPOSALS: Friday, March 31, 2017 at 2:00 PM
TABLE OF CONTENTS

I. INTRODUCTION 2

II. RFP TIMELINE 3

III. SITE DESCRIPTION 3

IV. PROPOSAL REQUIREMENTS 11

V. SELECTION CRITERIA 16

VI. DEVELOPER DUE DILIGENCE 17

VII. SUBMISSIONS 18

VIII. DISPOSITION PROCESS 19

IX. STATEMENT OF LIMITATIONS 20

X. PROCUREMENT FORMS AND REQUIREMENTS 22

XI. APPENDIX 29

Mount McGregor RFP 2017 | Page 1

 I. INTRODUCTION

New York State Urban Development Corporation, d/b/a Empire State Development (ESD), is
seeking proposals for the purchase and redevelopment (the Project) of an approximately 325
acre site located at 1000 Mount McGregor Road, Wilton, NY (the Site). Each party that
submits a response (Proposal) to this Request for Proposals (RFP) is referred to herein as a
Respondent, and the Respondent that is conditionally designated through this
RFP process is referred to herein as the Designated Developer.

The Site was formerly part of the Mount McGregor Incarceration Correctional Facility. The
facility was vacated in July 2014 as part of New York Governor Andrew M. Cuomos initiative for
the Department of Correctional Services and Community Supervision (DOCCS) to
decommission a number of facilities in order to reduce costs and consolidate inmates in
response to a shrinking prison population. In 2015, the State transferred approximately 750
undeveloped acres of the facility to New York State Parks, Recreation and Historic Preservation
(State Parks) for incorporation into the adjacent Moreau Lake State Park; the remaining 325
acres at the facility are available through this RFP. The 325 acre Site includes all of the facilitys
buildings and the immediately surrounding land.

ESD has posted an adaptive re-use study, and video of the Site on ESDs RFP website
(http://esd.ny.gov/CorporateInformation/RFPs.html). The materials provide a comprehensive
analysis of the facility, including descriptions and layouts of the structures (approximately
550,000 total gross square feet of floor area) and related infrastructure.

Selection Criteria are described in greater detail in Section V herein, and include Employment
Impact (creation of new jobs, both permanent and construction), and Economic Impact
(stimulating direct and indirect economic activity in the local municipality and region).

In order to further promote economic redevelopment in the area, the New York States
Economic Transformation Program (2014) (ETP), authorizes ESD to make up to $8 million in
ETP funds available for projects within 10 miles of the Site. Therefore, if applicable,
Respondents may request up to $8 million of this funding. ETP funds may be used for:

New construction, renovation or leasehold improvements;

Construction or renovation of basic infrastructure systems;
Acquisition of land, buildings, machinery and equipment;
Soft costs of up to 25% of total project costs; and
Planning and feasibility studies related to a specific capital project

Details regarding eligibility and other requirements of ETP can be found at

http://www.esd.ny.gov/BusinessPrograms/2014Economic_Transformation.html

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II. RFP TIMELINE
RFP release: January 27, 2017
Site tour date: March 1, 2017
Deadline to submit questions: March 2, 2017 at 5:00 PM
Deadline to submit Proposals: March 31, 2017 at 2:00 PM

III. SITE DESCRIPTION

Site Summary
The Site is a unique opportunity and noteworthy for its location, size and history.

The Site is located within the Towns of Wilton, Corinth and Moreau and features over 100
structures totaling approximately 550,000 square feet. Building construction dates range from
1913 to 2007 and the Site has been determined to be eligible for listing on the National Register
(NR) of Historic Places. Figure 1 illustrates the layout of the Site and building locations. A
description and inventory of the Sites structures, size and status as National Register
contributing buildings are provided in Figure 2.

Named after 19th century owner Duncan McGregor who built a small hotel on the summit, the
Site was redeveloped as the Hotel Balmoral, a luxury resort destination, and subsequently
destroyed in an 1897 fire. In 1910, the Site was purchased by the Metropolitan Life Insurance
Company for the construction of a tuberculosis sanitarium. The Site became a fully-functioning
community with onsite staff, nurses, doctors and a working farm. In 1945, Metropolitan Life
sold the property to New York State to become a rest camp for veterans returning from World
War II. In 1960, the Site was transitioned to Rome Developmental Center for the care of
developmentally disabled people, and in 1976, repurposed as a minimum-security correctional
facility.

The Site is split between a medium security facility and minimum security camp. A secure
perimeter fence surrounds several of the buildings. All buildings are generally accessible
through paved perimeter roads. The Site is situated around Artists Lakea man-made lake
that was carved when stone was quarried for building construction in the 20 th century.

Significant structures within the medium-perimeter facility include:

Administration Building - Built in 1915, the over 17,000-square-foot, two-story building
housed central management offices.
Mess Hall/Kitchen/State Shop - This 41,476-square-foot building was built in 1915. The
building served as the kitchen and mess hall, in addition to also housing the library,
visitor center, and various state shops.
Dormitories A & B - Flanking the mess hall are two identical dormitories that date to
1914 and are each over 28,000 square feet. The barracks-style housing units have
shared bathroom facilities, recreational and living areas.

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 Dormitories C (1915) & D (1957) - These two adjoining buildings make a combined
100,000 square feet of space. Mostly open barracks-style housing.
Educational Building - This 1913 three-story, 19,600-square-foot building housed the
facilities educational wing with classrooms and vocational instruction.
Chapel - Completed in 1915, the chapel was built in a Mission-style and retains
significant architectural elements from the period including Spanish-style tile floors, and
a balcony for an organ and choir.
Infirmary Building - Built in 1996, the 17,687-square-foot infirmary is a modern
construction that housed s medical and dental facilities and offices.
Gymnasium - Also a modern addition to McGregor built in 1983, the gymnasium has a
full-court gym, weight rooms, offices, and shower and locker rooms, with access to the
nearby outdoor recreational yard.

Significant minimum-security structures and other buildings outside the security perimeter
include:
Dormitories The dormitories on the minimum-security side of were built as housing
quarters for the sanitariums staff and nurses and are all configured with individual
dormitory rooms. These include Dormitory E, 9,659 square feet with individual
dormitory rooms, two stories and basement; the 22,269-square-foot Dormitory F with a
full basement, two floors and attic; and Dormitory G, built in 1914 with over 16,000
square feet.
A 17,000-square-foot minimum-security mess hall and recreation center dating from
1915.
Additional program and administration buildings include: The Parole & Program Building
at over 18,000-squre-feet; The Training Building built in 1923 with nearly 6,000 square
feet of space; the Career Apparel building dating from 1913; and a 1960-era block
construction multi-purpose building with nearly 15,000 square feet.
Maintenance shops, including the laundry and fire & safety building, garages, and
numerous other storage facilities.

The RFP includes the portion of Mount McGregor Road that falls within the Site boundaries.

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 Figure 1-Facility Plot Plans

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Mount McGregor RFP 2017 | Page 6
 Figure 2 Property Structure List

Gross No NR Gross No NR
Building square of Contributing Building square of Contributing
feet floors Building feet floors Building
Lake Bonita Pump House 504 1 Guard Post 143 1
Two Car Garage 424 1 Gym (Wes Lampman) 13,186 1
Career Apparel 7,250 3 Infirmary 17,687 2
Min. Dorm E 44,163 2 Tool Shed 1,513 1
Service/Prog/Parole 18,694 3 Quality Work Life 4,836 1
Training Building 5,989 2 Access Post 168 1
Chapel 7,916 2 Wood Chipper 797 1
School & Vocational Shops 19,600 3 Range House 1,414 1
Vocational & Barber Shops 9,640 3 Range House Storage 178 1
Drying Shed 2,548 1 Old Water Tower 1,524 2
Mess/Visit/Shop/Dorm K 41,476 4 Transformer Vault 319 1
Med. Dorm C 41,457 3 Storage Shack 2,999 1
Rec/Commissary/Dorm L 16,280 2 Burner Equipment 134 1
Med. Dorm B 28,754 2 Chemical Storage Shed 174 1
Maintenance 18,974 1 Range Generator 96 1
Carpenter Shop
Med. Dorm A 28,436 2 269 1
Lumber Stor.
Min. Mess & Recreation 16,985 1 Vocational Storage 576 1
Infectious Waste
Min. Dorm F 22,269 2 36 1
Storage
Perimeter Post 234 1 Perimeter Post 64 1
Employee Cottage 4,740 2 Salt Shed 2,773 1
Laundry/Fire&Safety/Dorm J 26,651 3 Communication 167 1
10 Stall Garage 2,016 1 Rec. Yard Guard Tower 81 1
10 Stall Garage 2,016 1 Pavilion 1,010 1
Sewage Treatment Plan 373 1 Inmate Pavilion 257 1
Multi-Purpose 14,861 1 Steam Tunnel 7,971 1
Admin. Business Office 17,480 3 Equipment Shed 3,107 1
Min. Dorm G 16,107 2 OGS District Office 1,680 1
Med. Dorm D 57,356 5 Auto Garage 3,717 1
Heating Plant 8,352 1 Storage 126 1
Tool Storage 804 1 Visitation 68 1
Storage 176 1 Officers Station 28 1
Storage 233 1 Officers Station 28 1
Volatile Storage 184 1 Storage 44 1
Old Water Tank
Water Filter Plant 2,357 1
(McGregor Rd)
Total 552,469 99

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Surrounding Area
Saratoga County is one of the fastest growing communities in New York State and is bolstered
by the emergent semiconductor industry and the creative economy. The Site occupies a
midpoint between the regional cities of Saratoga Springs and Glens Falls. This area has close
proximity to several institutions of higher education including Skidmore, Empire State College
and Adirondack Community College.

The Capital District Regional Economic Development Plan has identified and targeted several
sectors of opportunity in the area, including tourism, value added agricultural activities and
food processing, transportation and logistics, as well green energy and semi-conductor
manufacturing.

Saratoga County serves as the southern gateway to Adirondack Park, the largest park in the
contiguous United States. The Saratoga National Historical Park is located along the Hudson
River in Stillwater 10 miles south of Mt. McGregor. Saratoga Springs is extremely popular
between late July and early September each year due to numerous tourist, cultural, and
historical attractions. The world-famous Saratoga Race Course track and Saratoga Performing
Arts Center are amongst its foremost attractions.

As mentioned in the Introduction, approximately 750 acres bordering the northern, eastern and
western portions of the Site were annexed by State Parks for incorporation into Moreau Lake
State Park. The State Park is known for its trails, hardwood forest, beach and other recreational
opportunities and serves an ideal neighbor to future development at the Site.

Transportation
Access to the Site is from McGregor Mountain Road, off State Route 9. The beginning of
McGregor Mountain Road is approximately one mile from Exit 16 of I-87, the Northway. The
Site is 10 miles north of Saratoga Springs and 16 miles south of Glens Falls. It is also a 45 minute
drive north of Albany, the New York state Capital.

The Site parking lot has spaces for roughly 100 cars.

Zoning
The Site is located within the Towns of Corinth, Wilton and Moreau. The Town of Corinth and
Town of Wilton presently identify the Sites zoning as State, the Town of Moreau identifies
the zoning as R4 (Agriculture, one and two family residential). A Proposal that requires any
override of municipal laws or regulations, such as zoning requirements, will be considered by
ESD in partnership with the three Towns. All proposed overrides of zoning requirements and
other municipal laws and regulations should be specifically identified in the Proposal. As set
forth in greater detail in Part VII, Disposition Process, ESD is required to adopt a General Project
Plan (GPP), acquire the Site from the State, and then convey the Site to the Designated

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Developer for the Project. If the Designated Developers Proposal requests an override of
municipal law or regulations, ESD may effect such override by including it in the GPP.

Ownership and Taxes

The Site is currently owned by the State and is exempt from property taxes. Under a purchase
and private re-use of the Site, property taxes would be assessed by Saratoga County, the Towns
of Corinth, Moreau and Wilton, and the Corinth and South Glen Falls School Districts.

Site Infrastructure and Access and Maintenance Responsibilities

Power to the Site is supplied by National Grid. The Site has backup emergency generators, and
waste water is serviced through Saratoga municipal.

Water to the Site is pumped from nearby Lake Bonita reservoir to an on-Site, 1.3 million gallon
capacity water storage tank and filtration facility. Lake Bonita also provides water for the Sites
central steam plant. The steam plant is connected to the Site via an underground steam tunnel
and provides heating for the entire Site along with several #2 fuel oil burners.

The State holds title to Lake Bonita. An easement will be provided by the State authorizing the
Designated Developer to access the Lake to obtain potable water. The Designated Developer
must provide State officials with administrative access to Lake Bonita through existing roads on
the Site.

The Site is accessed by McGregor Mountain Road (the Road), a one mile, two-lane roadway
fronted by private residences. Each winter, DOCCS has provided snow plowing and salting
services on an as needed basis, at no charge, to maintain this portion of the Road. The State
will continue to provide these maintenance services for this portion of the Road on the same
terms until a Respondent is designated as the Site developer. The Designated Developer must
provide seasonal maintenance service on an as needed basis, at no charge, in coordination and
consultation with the Town of Wilton.

The Saratoga County Office of Emergency Services (Saratoga EMS) rents a parcel on the
eastern edge of the Site to support a 3,500 square foot public safety communications tower
(the Tower) and base facility. Saratoga EMS periodically accesses the Tower via the Road. The
Designated Developer must maintain these portions of the Road and provide authorized
personnel with access to the Tower as needed.

The Grant Cottage State Historic Site is also adjacent to the Site. In 1885 President Ulysses S.
Grant spent the last six weeks of his life writing his memoirs there. The Cottage is managed by
State Parks and is open to the public from May through October. Members of the public access
the Cottage by driving through the Site via the Road. The Designated Developer must maintain
the Road and provide access for Cottage visitors; State Parks will install a gate at the junction of
the Road and the access road to the Cottage. State Parks will maintain the access road to the
Cottage from the gate at its own expense.

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Cultural and Historic Resources
The Site has been determined to be eligible for listing on the National Register of Historic
Places. Figure 2 lists each building on the Site and whether it is classified as a contributing
structure. Any substantial changes to contributing structures will require consultation with the
State Historic Preservation Office (SHPO) of the State Parks in accordance with the New York
State Historic Preservation Act of 1980 (Section 14.09 of the New York State Parks, Recreation
and Historic Preservation Law) in order to explore potential measures that would avoid,
minimize or mitigate any Adverse Impacts or Adverse Effects to historic resources as guided by
the Secretary of the Interiors Standards for Rehabilitation. The Designated Developer will be
responsible for any required mitigation of Adverse Impacts or Adverse Effects to historic
resources. A copy of the Secretary of the Interiors Standards for Rehabilitation can be seen
at: http://www.nps.gov/tps/standards/four-treatments/treatment-rehabilitation.htm

The Site is eligible for the federal historic tax credit programs. More information about this
program can be found at http://www.nysparks.com/shpo/tax-credit-programs/.

Economic Development Incentives

The State has made available Economic Transformation Program (ETP) grants of up to $8
million to fund projects at or within 10 miles of the Site. Preference in the award of ETP grants
will be given to projects that create or retain jobs, prevent, reduce or eliminate unemployment
or underemployment, or increase business activity. For more information and program
guidelines and use restrictions visit:
http://esd.ny.gov/BusinessPrograms/2014Economic_Transformation.html

As the States chief economic development agency, ESD is also responsible for the oversight
and implementation of a variety of other economic development incentive programs. Receipt
of ETP funds will not preclude a Respondent from pursuing other ESD or State programs (e.g.,
Excelsior Jobs Program). A list of such programs includes, but is not limited to, those on the
following web page: http://www.esd.ny.gov/BusinessPrograms.html.

Respondents may also wish to learn about the Sites potential eligibility as a START-UP NY
program site, which would require partnership with a sponsoring academic institution (or
institutions). Information on START-UP NY is available at https://startup.ny.gov/

Respondents are encouraged to email MtMcGregorRFP@esd.ny.gov for further inquiries

related to Project eligibility for any and all such programs.

Additional Site Information

A substantial amount of additional information on the Site can be found on ESDs RFP website
at http://esd.ny.gov/CorporateInformation/RFPs.html. Other documents that Respondents may
wish to review for additional area context on local needs and priorities can be found as follows:

Mount McGregor RFP 2017 | Page 10

 Capital District Regional Economic Development Council. The Capital District Regional
Economic Development Councils five year strategic plan includes a comprehensive
vision for economic development in the region, which encompasses Saratoga County:
http://regionalcouncils.ny.gov/content/capital-region

Saratoga County Industrial Development Agency : The Saratoga County Industrial

Development Agency provides information about the regions key industries, resources
and incentives: http://www.saratogacountyida.org/

IV. PROPOSAL REQUIREMENTS

The following are the submission requirements for all Proposals. ESD reserves the right, in its
sole discretion, to reject any Proposal that is deemed incomplete or unresponsive to the RFP
requirements. ESD also reserves the right, in its sole discretion, to reject any and all Proposals
for any reason or for no reason, and to proceed (or not proceed) with the development of the
Site (either by itself or in conjunction with one or more third-party(ies)) without completing this
RFP process.

In evaluating the capabilities of each Respondent, ESD may utilize any and all information
available (including information not provided by the Respondent). Proposals should clearly and
concisely state the unique capabilities, experience, and advantages of the Respondent, and
demonstrate the Respondents capability to satisfy the requirements and objectives set forth in
this RFP.

Proposals should be no longer than 50 pages of text.

A. Transaction Structure and Certain Costs

Every Proposal must provide an offer price for the acquisition of the entire Site (inclusive of
land and improvements), which will be subject to a declaration regarding conformance to an
ESD General Project Plan (GPP) detailing the agreed development of the Site, as applicable. It
is intended that the Site will be conveyed to the Designated Developer at closing, and that the
Designated Developer will hold title during development of the Site.

The purchase price must be expressed in a fixed, non-contingent dollar amount. The
Designated Developer will be required to enter into a Development Agreement that provides
the terms of any phasing of the Project and agreements to develop the Site in compliance with
the proposed development plan.

Although ESD is requesting Proposals for sale, ESD reserves the right to request revised
proposals that reflect a lease of the land only, or a sale or lease of all or a portion of the
improvements, or a combination thereof. ESD reserves the right to make such requests to all
Respondents or to a subset of all Respondents as set forth in Section V Selection Criteria. The
determination of whether ESD will elect to dispose of the Site by sale, lease, or a combination
thereof will depend on the offers received, ESDs obligations to comply with Federal tax rules

Mount McGregor RFP 2017 | Page 11

applicable to tax-exempt bond financing, and ESDs assessment of the best interests of the
State. Any such Respondents still under consideration shall be given the opportunity to revise
their Proposals and any related provisions of the RFP will be amended or deemed amended as
necessary.

As noted below in this RFPs Section VIII, Disposition Process, in order to implement the
Project and transfer the Site, ESD, with the cooperation of the Designated Developer, must
comply with legal and regulatory requirements such as the: (i) State Environmental Quality
Review Act and its implementing regulations (SEQRA); (ii) State Historic Preservation Act; (iii)
States Coastal Zone Management Policies; (iv) Public Authorities Law; (v) State Finance Law;
and (vi) New York State Urban Development Corporation Act (the UDC Act). Such compliance
must be completed before disposition of the Site to the Designated Developer. Please also
note that Section VIII of this RFP requires that the Designated Developer enter into agreements
with ESD and the State that, commencing from the date of its conditional designation, will
require the Designated Developer to pay:

1. A 10% security deposit against the purchase price;

2. ESDs out-of-pocket costs and expenses incurred in connection with the Project and
the disposition to the Designated Developer of the Site, including, without
limitation, costs and expenses of ESDs third party consultants and legal counsel.

At closing, the Designated Developer will be required to pay the balance of the purchase price
to ESD in addition to an ESD administrative fee of an amount equal to 6.5% of the purchase
price.

Respondents financial offer for the Site should assume that the Site, including any and all
improvements, infrastructure and equipment at the Site, will be sold AS IS and WHERE IS
without any representation, warranty, or guaranty as to quantity, quality, title, character,
condition, size, or kind or that the same is in condition or fit to be used for the Designated
Developers purpose.

B. Required Elements of the Proposal

1. Respondent Description
Each Respondent submitting a Proposal must demonstrate sufficient financial resources and
professional ability to develop the Site in a manner consistent with its Proposal. In addition, all
Respondents must complete and submit the NYS Vendor Responsibility Questionnaire, which is
described in Section X Procurement Forms and Requirements and included in this RFP.

Each Proposal must include a description of the Respondent owner or the development team,
including:
The intended form and structure of the owner and any proposed partnership or
joint venture must be clearly explained. A chart/diagram of the owner showing

Mount McGregor RFP 2017 | Page 12

 structure (percentages) of ownership and investment must be included.
Name, address, phone number and email of each member of the Respondent
owner or development team. Respondents must provide the Federal EIN
numbers of the development entity and identify a primary contact person.
Current operating budget and previous three (3) years of audited financials for
all entities with an ownership percentage in the Proposal.
A copy of the most recent credit report for key members of the owner.
Documentation addressing whether the Respondent, or any participating
member of the team, has been involved in any litigation or legal dispute
regarding a real estate venture during the past five (5) years.
Evidence of ability to finance the Project including letters of interest and/or
intent from equity sources and lenders.
Evidence of Designated Developers commitment to pay, from the date of its
conditional designation: (i) the security deposit; and (ii) ESDs out-of-pocket costs
and expenses incurred in connection with the Project and the disposition to the
Designated Developer of the Site, including, without limitation, costs and
expenses of consultants and legal counsel.
Evidence of Designated Developers commitment to pay the full purchase price
for the Site (including 10% at designation and balance at closing, if a purchase
transaction) as well as an ESD administrative fee in amount equal to 6.5% of the
Site purchase price (at closing).
Any additional documentation or information evidencing the strength of the
Respondent and its ability to complete the Project in a timely manner.
Disclosure of any existing or contemplated relationship with any other person or
entity, including relationships with any parent, subsidiary or affiliated firm, which
would constitute an actual or potential conflict of interest in connection with
Respondents Proposal or selection as the Designated Developer and completing
the project. Respondents must also indicate how they will notify ESD if a conflict
arises at any point after the submission of this Response, and how such a conflict
would be resolved.

2. Project Description
The Project description should include a detailed narrative describing all relevant
aspects of the Project and any plans/timing of phasing of the development. The
description should address:
The proposed use(s).
Type, bulk and size of each component of the development program (gross
and net square footages).
Description of the proposed uses, a list of potential tenants and any letters
of interest and/or intent from potential tenants.
The description should address how this project will advance the objectives
set forth in Section V Selection Criteria below.

Mount McGregor RFP 2017 | Page 13

 3. Purchase Price
A purchase price offer must be expressed in a fixed, non-contingent dollar amount to be paid at
closing. Under a purchase scenario, transfer of title will be by quit-claim deed (without any
representations or warranties) at the closing.

4. Site Plan and Architectural Design

Each entity submitting a Proposal must provide the following:
A summary of the proposed building program for the Project with square
footages for each use.
At a minimum, a set of concept sketches on 8.5 x 11 paper, showing the
proposed Project and a set of schematic renderings of the proposed Project
showing the principal elevations and massing, floor plans for each use,
streetscape and landscape plans, entry feature and signage.
A description of the proposed exterior materials and other relevant
specifications.
A description of sustainable building practices that will be incorporated into the
project during construction/renovation and operation of the improvements.
A description of which Site buildings will be preserved, as well as any significant
proposed building modifications or enhancements.
A description of the preservation plan. Identify preservation consultants and
include narrative description of design approach. If proposal involves any
demolition or substantial alteration to contributing structures, describe program
design and economic rationale for doing so as well as proposed measures or
design concepts to address the effect on the resource(s).

5. Development Timeframe
Respondent must submit a development timeline (subdivided into phases, if necessary),
identifying the estimated length of time to reach key milestones, including: commencement and
completion of design; financing; commencement and completion of construction; potential
tenants; and operational stabilization for each component of the development program. Any
contingencies that may affect this time line should be identified.

6. Mechanicals, Equipment, Infrastructure

Respondent shall provide an overview of how the principal spaces, systems and building
elements existing at the Site would be modified or re-used or demolished. Proposal should
outline all necessary development, including modifications from current as-is condition, and
include an estimated schedule, budget and funding sources.

7. Flood Zones
Proposals should identify any flood zone and note how Respondent will meet Federal
Emergency Management Agency guidelines as necessary.

8. Team Member Qualifications

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Proposals should include a list of and background information for all key members of the
development team, including:
Identification and qualifications of each member of the development team, including all
persons or entities that will design, develop, or operate the Project, as well as the
attorney, engineer, general contractor and other professionals, as appropriate, including
leasing and management, who will be involved with this Project.
A description of similar projects undertaken by the members of the
Respondents team.
A summary of the availability of each of the principal members of each firm and
their availability for commitment to the Project.
Documentation addressing whether any participating team members have been
involved in litigation or legal dispute regarding a real estate venture during the
past five years.
Background information of the owner, including resumes describing the relevant
experience of all principal members. This information must be submitted for
every participant in a joint venture and should highlight similar projects
(including a project description and approximate dollar value for each).

9. Project Information Supplement (RFP Workbook)

Prior to the submission deadline, Respondents are required to email a completed RFP
Workbook to the designated email account for this solicitation: MtMcGregorRFP@esd.ny.gov.
Instructions for completing the RFP Workbook are included in the Excel file that has been
posted with this RFP. In addition to emailing a copy of the RFP Workbook, Respondents should
submit hard copies of all RFP Workbook pages in their Proposals.

Among other items, completing the RFP Workbook requires Respondents to enter and
submit information on the following subjects:

a) Key General Assumptions: Public Benefits; Project Timeline; Economic Benefits;

M/WBE and S/DVOB Participation; Sustainability; NYS Vendor Participation; and
Project Contingencies.
b) Key Financial Assumptions: Development and Leasing Summary; Estimated
Development Cost and Rents by Use; Financing Summary; and Stabilization
Information.
c) Development Budget: Acquisition; Site Work; Construction; Soft Costs;
Construction Finance; Permanent Finance; Reserves; Marketing; Other.
d) Development Timeline: Projected Expenditures and Square Footage of
Development by Phase.
e) Sources of Funds: Debt Attraction Calculation; and Proposed Permanent
Financing.
f) Pro Forma: Cash flows for the development and Project operation periods,
including details of any as-of-right or discretionary real estate tax, other tax,
energy or other governmental benefits assumed in the model. The cash flows
should include a section outlining all assumptions on which all calculations were

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 based, including minimum returns sought. This data should include all necessary
capital investments over time and reserves and debt service payments
associated with the financings. Respondents are required to complete all Pro
Forma worksheets in the format provided by the RFP Workbook. If Respondents
wish, however, they may also complete a supplementary, fully optional Pro
Forma as identified on the tab Pro Forma (Hardcode) in order to highlight any
discrepancies between the existing format constraints and a more precisely
modeled Project.

In completing the RFP Workbook, Respondents should address the following with
respect to financial information:

Pro forma cash flows in live-linked Excel format for the development and Project
operation periods, including details of any as-of-right or discretionary real estate
tax exemptions, other tax exemptions and energy or other governmental
benefits assumed in the model. The cash flows should include a section outlining
all assumptions on which all calculations were based, including minimum returns
sought. This data should extend out to at least thirty (30) years of operations
and include all necessary capital investments over time and reserves and debt
service payments associated with the financings.
Construction/renovation sources, budget, and uses of funds, including details of
equity and financing sources and a break out of all soft and hard costs and
development and financing fees. Indicate escalation rates to account for any
increases in construction/renovation costs in the budget or contingences.
Permanent sources and uses of funds, including details of equity and financing
sources and all development fees and financing fees to be paid.

10. Diversity Practices Questionnaire (see Appendix A).

V. SELECTION CRITERIA

ESD invites Respondents to submit Proposals that maximize the economic benefit to the Towns
of Corinth, Moreau, and Wilton, Saratoga County and the State through reuse and
redevelopment of the Site in ways that maximize the creation of new jobs and the stimulation
of the local economy.

In evaluating received Proposals, ESD will use the following Selection Criteria to select the
Designated Developer:

Employment Impact: Creation of construction and permanent on-site jobs and payroll.
Indirect job creation through on-site job training programs may also be considered.
Economic Impact: Projected expenditures, construction costs, annual operating costs
and other direct spending that will help spur economic activity. ESD will also consider
the impact of indirect spending that the Project will generate and any applicable tax

Mount McGregor RFP 2017 | Page 16

 revenue.
Financial Offer: Provision of competitive terms for the purchase of the Site.
Financial Feasibility: Respondents demonstrated financial condition to complete the
Project; availability of identifiable funding sources to finance the Project; sufficient
revenue to support operating revenues, scheduled payments related to capital costs,
reserve fund contributors and debt service.
Environmental Impact: The incorporation of sustainable building practices including
adaptive reuse, the degree of LEED or Energy Star Certification, and overall impact of
the project on the environment, including any on-site renewable energy generation.
Development Team Qualifications: Experience, development skills, and financial
resources necessary to complete a high-quality Project on time and within budget.
Schedule and Timing: Proven ability to complete the Project in a timely manner.
Diversity Practices: Respondents to the RFP will be evaluated for diversity practices
using the attached Diversity Practices Scoring Matrix (see Appendix A).

Prior to selecting the Designated Developer, ESD reserves the right to remove Respondents
from competitive consideration at one or more points throughout the solicitation based on
these criteria and/or a failure to achieve minimum satisfaction of the Selection Criteria. In order
to remain in competitive consideration, Respondents are encouraged to present their most
competitive Proposal terms at each stage of the solicitation.

ESD also reserves the right to conduct interviews with or pose questions in writing to individual
Respondents in order to clarify the content of their proposals and to ensure a full and complete
understanding of each proposal. ESD shall undertake to pursue uniformity in the questions it
asks to Respondents to the extent practicable, but ESD may ask different or additional
questions to different Respondents in the context of individual interviews or written questions.
ESD shall convene a committee of staff who shall be permissible contacts for the purpose of
such interviews and Respondents who are invited to interview will receive additional
instructions about the interview format and any further requests for information.

Proposals may be reviewed by ESD and other State officials. The sale of the Site may be subject
to various approvals, as required under applicable law and regulation, which may include
approval of the ESD Directors, the Commissioner of General Services, the Public Authorities
Control Board (PACB), the Comptroller of the State of New York, and the New York State
Attorney General.

VI. DEVELOPER DUE DILIGENCE

As Is, Where Is Condition
Respondents should assume that the Site, including land, improvements, and any supporting
building infrastructure, will be sold or long-term leased AS IS and WHERE IS without
representation, warranty, or guaranty as to quantity, quality, title, character, condition, size, or

Mount McGregor RFP 2017 | Page 17

kind, or that the same is in condition or fit to be used for the Respondents purpose (e.g.,
conveyed by quitclaim).

ESD will post information regarding the RFP on the RFP website
(http://www.esd.ny.gov/CorporateInformation/RFPs.html); Respondents are encouraged to
check back for updates. ESD makes no representation or warranty concerning the accuracy or
utility of information posted or otherwise provided to the prospective Respondents or to the
Respondents. Prospective Respondents should notify ESD of their interest as soon as possible
in order to ensure that they receive all updates associated with this solicitation by sending an
email to MtMcGregorRFP@esd.ny.gov

Respondents must rely on their own research and investigations for all matters, including,
costs, title, survey, development, financing, construction, remediation, and renovation.

VII. SUBMISSIONS
Six (6) hard copies and one (1) electronic copy (in the form of a flash drive or CD-ROM) of the
Proposal identified by Mt. McGregor RFP must be received by ESD by Friday, March 31,
2017 at 2:00 PM at the following address:

Empire State Development

633 Third Avenue
New York, NY 10017
Attn: Ralph Volcy, ESD Procurement Unit
Re: Mt. McGregor RFP

RFP Inquiries
ESD will accept written questions via email from prospective Respondents regarding the RFP.
Please submit questions to:
MtMcGregorRFP@esd.ny.gov

Written questions must include the requestors name, e-mail address and the Respondent
represented and should be received by Thursday, March 2, 2017 at 5:00 PM. Responses to all
timely and appropriate questions will be posted on ESDs website at:
http://www.esd.ny.gov/CorporateInformation/RFPs.html.

No contact related to this solicitation with ESD Board members, staff or consultants, other
than emails to the designated email account for the solicitation,
MtMcGregorRFP@esd.ny.gov, will be allowed by Respondents or employed representatives of
Respondent team members during the procurement period of this RFP. Any such contact by a
Respondent or potential Respondent will be grounds for disqualification.

Site Tours

Mount McGregor RFP 2017 | Page 18

Potential Respondents may also attend a Site tour that is anticipated to be scheduled on or
around Wednesday, March 1, 2017. Please RSVP to MtMcGregorRFP@esd.ny.gov by Friday,
February 24, 2017 at 5:00 PM if you plan on participating in the Site tour. ESD may choose to
offer one or more additional tour(s) at its discretion.

ESD reserves the right to modify this RFP schedule at its discretion. Notification of changes in
connection with this RFP will be made available to all interested parties by e-mail and via ESDs
website at: http://www.esd.ny.gov/CorporateInformation/RFPs.html.

VIII. DISPOSITION PROCESS

The following is a summary description of the disposition process. After a review of the
Proposals, ESD intends to conditionally designate one of the Respondents as the Designated
Developer. The Designated Developer will enter into a Memorandum of Understanding
(MOU) with ESD regarding the disposition of the Site and the Project and separate
agreements with ESD regarding payment by the Designated Developer of expenses as described
at the end of this section. In implementing the Project, including the disposition process, ESD
intends to undertake the following steps, however, additional steps in order to effectuate the
disposition process and comply with all relevant law, regulations and/or approvals may be
required:

1. conduct a SEQRA compliant environmental review of the Project;

2. prepare, in accordance with the UDC Act and in consultation with the Designated
Developer, if necessary, a proposed GPP for the Project reflective of the Designated
Developers Proposal, which will be expected to comply with all building, fire, and
other applicable codes and regulations, as enforced by the State of New York;

3. present to ESD Directors for adoption for purposes of a public hearing any requisite
draft environmental review, any draft GPP, essential transaction contract terms,
any required Public Authorities Law findings, any municipal law and regulation
overrides, and any other applicable statutory or regulatory requirements;

4. give prior notice of and conduct a public hearing in order to receive comments from
the public on any proposed GPP and essential contract terms (including any
requisite draft environmental review);

5. review such public comments, and present to the ESD Directors for either
affirmation or modification any proposed GPP as a final GPP or modified GPP and
authorize the Project and the proposed transaction;

6. present the Project to the PACB for review and approval, if required;

7. in consultation with the Designated Developer, prepare and record in the State
Register, a declaration for the Site (the Declaration) regarding conformity of the

Mount McGregor RFP 2017 | Page 19

 Project, including, as may be applicable, overrides of municipal laws and
regulations, permitted uses, bulk and height limits, and similar matters with any
GPP; and

8. deliver to the Designated Developer, at closing, a quitclaim deed for the Site that is
subject to the Declaration.

This process may take up to twelve months from the commencement of the environmental
review, however depending upon the complexity of the Project the duration of that process
may vary.

Upon designation by ESD, as noted above, the Designated Developer is expected to pay to ESD
a security deposit in the amount equal to 10% of the purchase price.

The Designated Developer shall also pay all of ESDs out-of-pocket costs and expenses
(including, without limitation, costs and expenses of consultants, legal counsel, and appraisers)
related to the disposition of the Site and the Project. At the time of and as a pre-requisite to its
designation, such Respondent and ESD shall enter into an agreement pursuant to which, among
other things: (i) the Respondent shall deposit into an ESD imprest account funds (in an amount
that shall be satisfactory to ESD) that shall be held by ESD and used by ESD for payment of such
out-of-pocket costs and expenses; (ii) each time that the balance in the imprest account falls
below 50% of the original amount required to be deposited into the account, the Respondent
shall promptly make an additional payment into the ESD imprest account so that balance in the
account shall be returned to such original amount; and (iii) the amount remaining in the
imprest account after all such costs and expenses are paid will be returned to the Respondent.

In addition to the full purchase price for the Site less the security deposit, at closing, the
Designated Developer shall pay to ESD an administrative fee in an amount equal to 6.5% of
such purchase price, which shall be separate and apart from the purchase price.

IX. STATEMENT OF LIMITATIONS

1. This RFP, submissions from Respondents to this RFP, and any relationship between ESD and
Respondents arising from or connected or related to this RFP, are subject to the specific
limitations and representations expressed below, as well as the terms contained elsewhere
in this RFP. By responding to this RFP, Respondents are deemed to accept and agree to this
Statement of Limitations. By submitting a response to this RFP, the Respondent acknowledges
and accepts ESD's rights as set forth in the RFP, including this Statement of Limitations.

2. The issuance of this RFP and the submission of a response by a Bidder or the acceptance of
such a response by ESD does not obligate ESD in any manner. ESD reserves the right to:

i. amend, modify or withdraw this RFP;

ii. revise any requirement of this RFP;

Mount McGregor RFP 2017 | Page 20

iii. require supplemental statements or information from any responsible party;
iv. accept or reject any or all responses hereto;
v. extend the deadline for submission of responses hereto;
vi. negotiate potential contract terms with any Bidder;
vii. communicate with any Bidder to correct and/or clarify responses which do not conform
to the instructions contained herein;
viii. cancel, or reissue in whole or in part, this RFP, if ESD determines in its sole discretion
that it is its best interest to do so; and
ix. extend the term of any agreement on terms consistent with this RFP.

ESD may exercise the foregoing rights at any time without notice and without liability to
any responding firm or any other party for its expenses incurred in preparation of
responses hereto or otherwise. All costs associated with responding to this RFP will be
at the sole cost and expense of the Bidder.

3. All information submitted in response to this RFP is subject to the Freedom of Information
Law (FOIL), which generally mandates the disclosure of documents in the possession of
ESD upon the request of any person unless the content of the document falls under a
specific exemption to disclosure. In addition, Proposals may be discussed at meetings of the
ESD Directors, which meetings are subject to the Open Meetings Law.

4. ESD reserves the right, in its sole discretion, without liability, to utilize any or all of the RFP
responses, including late responses, in its planning efforts. ESD reserves the right to retain
and use all the materials and information, and any ideas or suggestions therein, submitted in
response to this RFP (collectively, the Response Information) for any purpose. By
submitting a Response, each Respondent waives any and all claims against ESD relating to
ESDs retention or use of the Response Information.

5. This RFP shall not be construed in any manner to implement any of the actions contemplated
herein, nor to serve as the basis for any claim whatsoever for reimbursement of costs for
efforts expended in preparing a response to the RFP. ESD will not be responsible for any costs
incurred by Respondents related to preparing and submitting a response to this RFP,
attending oral presentations, or for any other associated costs.

6. To the best of ESD's knowledge, the information provided herein is accurate. Respondents
should undertake appropriate investigation in preparation of responses.

7. The awarded contract, if any, may be subject to review and approval by the Office of the
State Comptroller (OSC) pursuant to Public Authorities Law 2879-a and the regulations
issued thereunder. Such OSC review and approval may be required of contracts with a
value in excess of one million dollars, or modifications to contracts that result in an
aggregate value in excess of one million dollars, where such contracts are paid in whole or
in part with monies appropriated by the State, or were awarded on a basis other than a
competitive procurement (as that term is defined in the law and regulations). If the

Mount McGregor RFP 2017 | Page 21

awarded contract is subject to OSC review and approval, the contract shall not be valid and
enforceable, nor shall the Corporation have any liability of any kind arising from or in
connection with the contract, unless and until OSC approval has been received.

Mount McGregor RFP 2017 | Page 22

X. PROCUREMENT FORMS AND REQUIREMENTS
This section contains additional information about the forms that are required to be included in
each Bidders submission, as well as information about ESDs procurement requirements.
Schedule A of this RFP states standard requirements that must be included in every contract
entered into with the Corporation. The successful Bidder must agree to abide by these
requirements and provide any information requested by the Corporation in connection with
these requirements. Accordingly, Bidders should complete and submit the items listed below,
in the order in which they are listed. Failure to submit any of the requirements below may
result in the rejection of a Bidders proposal.

i. State Finance Law 139-j and 139-k forms, submit with proposal
ii. Vendor Responsibility Questionnaire, submit with proposal or submit online (and
include copy of submitted form with proposal)
iii. Iran Divestment Act Statement, submit with proposal
iv. Encouraging the Use of NYS Businesses in Contract Performance Form, submit with
proposal
v. Certification under State Tax Law Section 5-a 220-CA or Affidavit, submit with proposal
vi. W-9 Form, submit with proposal

i. State Finance Law Sections 139-j and 139-k forms

State Finance Law Sections 139-j and 139-k (collectively, the Procurement Requirements)
apply to this RFP. These Procurement Requirements: (1) govern permissible communications
between potential Bidders and ESD or other involved governmental entities with respect to this
RFP; (2) provide for increased disclosure in the public procurement process through
identification of persons or organizations whose function is to influence procurement contracts,
public works agreements and real property transactions; and (3) establish sanctions for
knowing and willful violations of the provisions of the Procurement Requirements, including
disqualification from eligibility for an award of any contract pursuant to this RFP. Compliance
with the Procurement Requirements requires that all communications regarding this RFP, from
the time of its issuance through final award and execution of any resulting contract (the
Restricted Period), be conducted only with the designated contact persons listed below; the
completion by Bidders of the Offerer Disclosure of Prior Non-Responsibility Determinations,
and the Offerers Affirmation of Understanding and Agreement pursuant to State Finance Law
(each form is accessible at the Required Forms for Vendors link at the ESDC web site under
RFPs/RFQs); and periodic updating of such forms during the term of any contract resulting
from this RFP.
Bidders must submit the Offerer Disclosure of Prior Non-Responsibility Determinations, and the
Offerers Affirmation of Understanding and Agreement pursuant to State Finance Law as part of
their submittal. Copies of these forms are available at:
http://www.empire.state.ny.us/CorporateInformation/Data/RFPs/RequiredForms/SF_Law139_
JK.pdf.
The Procurement Requirements also require ESD staff to obtain and report certain information
when contacted by Bidders during the Restricted Period, make a determination of the
responsibility of Bidders and make all such information publicly available in accordance with

Mount McGregor RFP 2017 | Page 23

applicable law. If a Bidder is found to have knowingly and willfully violated the State Finance
Law provisions, that Bidder and its subsidiaries, related or successor entities will be determined
to be a non-responsible Bidder and will not be awarded any contract issued pursuant to this
solicitation. In addition, two such findings of non-responsibility within a four-year period can
result in debarment from obtaining any New York State governmental procurement contract.
The designated contact account for this solicitation is referenced on the cover of this RFP.

This is not a complete presentation of the provisions of the Procurement Requirements. A

copy of State Finance Law Sections 139-j and 139-k can be found at:
http://esd.ny.gov/CorporateInformation/Data/RFPs/RequiredForms/PermissibleContactsPolicy
_Jan2007.pdf. All potential Bidders are solely responsible for full compliance with the
Procurement Requirements. Both the prime consultant and any sub-consultants complete the
forms required above.

ii. Vendor Responsibility Questionnaire

All Bidders to this RFP must be responsible, which in this context means that they must have
the requisite financial ability, organizational capacity and legal authority to carry out its
obligations under this RFP, and in addition must demonstrate that both the Respondent and its
principals have and will maintain the level of integrity needed to contract with New York State
entities such as ESD. Further, the Respondent must show satisfactory performance of all prior
government contracts. Accordingly, the contract to be entered into between ESD and the
Respondent, if any, shall include clauses providing that the Respondent remain responsible
throughout the term of the contract, that ESD may suspend the contract if information is
discovered that calls into question the responsibility of the contracting party, and that ESD may
terminate the contract based on a determination that the contracting party is non-responsible.
On request, model language to this effect will be provided to any Respondent to this RFP.

To assist in the determination of responsibility, ESD requires that all Bidders register in the
State's Vendor Responsibility System (Vend-Rep System). The Vend-Rep System allows
business entities to enter and maintain their Vendor Responsibility Questionnaire information
in a secure, centralized database. New York State Procurement Law requires that state
agencies award contracts only to responsible vendors. Bidders are to file the required Vendor
Responsibility Questionnaire online via the Vend-Rep System or may choose to complete and
submit a paper questionnaire. Please include a copy of your Vend-Rep submission receipt or
paper questionnaire with your proposal.

To enroll in and use the Vend-Rep System, see the System Instructions available at
www.osc.state.ny.us/vendrep or go directly to the Vend-Rep system online at
https://portal.osc.state.ny.us. For direct Vend-Rep System user assistance, the Office of the
State Comptrollers Help Desk may be reached at 866-370-4672 or 518-408-4672 or by email at
helpdesk@osc.state.ny.us.

Bidders opting to file a paper questionnaire can obtain the appropriate questionnaire from the
Vend-Rep website (http://www.osc.state.ny.us/vendrep/forms_vendor.htm) and execute

Mount McGregor RFP 2017 | Page 24

accordingly pertaining to the companys trade industry. Per the website, Bidders are to Select
the questionnaire which best matches the business type (either For-Profit or Not-For-Profit)
and business activity (Construction or Other).

iii. Iran Divestment Act

Every Proposal made to ESD pursuant to a competitive solicitation must contain the following
statement, signed by the Respondent on company letterhead and affirmed as true under
penalty of perjury:

"By submission of this bid, each bidder and each person signing on behalf of any bidder
certifies, and in the case of a joint bid each party thereto certifies as to its own
organization, under penalty of perjury, that to the best of its knowledge and belief that
each bidder is not on the list created pursuant to paragraph (b) of subdivision 3 of
section 165-a of the State Finance Law."

The list in question is maintained by the Office of General Services. For further information and
to view this list please go to: http://www.ogs.ny.gov/about/regs/ida.asp

iv. Non-Discrimination and Contractor & Supplier Diversity Requirements

CONTRACTOR REQUIREMENTS AND PROCEDURES FOR PARTICIPATION BY NEW YORK STATE-
CERTIFIED MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES AND EQUAL
EMPLOYMENT OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN

Pursuant to New York State Executive Law Article 15-A, ESD recognizes its obligation under the
law to promote opportunities for maximum feasible participation of certified minority- and
women-owned business enterprises (MWBEs) and the employment of minority group
members and women in the performance of ESD contracts.

It is the policy of the State of New York and ESD to comply with all federal, State and local laws,
policy, orders, rules and regulations which prohibit unlawful discrimination based on race,
creed, color, national origin, sex, sexual orientation, age, disability or marital status, and to take
affirmative action in working with contracting parties to ensure that New York State Business
Enterprises, MWBEs, minority group members, and women share in the economic
opportunities generated by ESDs participation in projects or initiatives, and/or the use of ESD
funds. ESDs Non-Discrimination requirements will apply to this initiative.

The Designated Developer shall commit to ESDs policy of Non-Discrimination and Equal
Employment Opportunity and is strongly encouraged to include meaningful and material
participation in the project by New York State certified MWBEs. Respondents are also
encouraged to include, in their response, details regarding their MWBE participation plan and
objectives. Favorable consideration shall be given to proposals that include plans to achieve
participation by MWBEs in the proposed project. Respondents must submit the Non-
Discrimination and Equal Employment Opportunity form. Copies of these forms are available
at: http://esd.ny.gov/CorporateInformation/Data/RFPs/OCSD_1MWBEEEOPolicyStatement.pdf

Mount McGregor RFP 2017 | Page 25

In the event that the above links are unavailable or inactive, the forms may also be requested
from OCSD at OCSD@esd.ny.gov.

Diversity Practices
ESD has determined, pursuant to New York State Executive Law Article 15-A, that the
assessment of the diversity practices of Respondents is practical, feasible, and appropriate.
Accordingly, Respondents shall be required to include as part of their response to this
procurement the Diversity Practices Questionnaire (see Appendix A).

PARTICIPATION OPPORTUNITIES FOR NEW YORK STATE CERTIFIED SERVICE-DISABLED

VETERAN-OWNED BUSINESSES

Article 17-B of the New York State Executive Law provides for more meaningful participation in
public procurement by certified Service-Disabled Veteran-Owned Businesses (SDVOBs),
thereby further integrating such businesses into New York States economy. ESD recognizes the
need to promote the employment of service-disabled veterans and to ensure that certified
service-disabled veteran-owned businesses have opportunities for maximum feasible
participation in the performance of ESD contracts.

In recognition of the service and sacrifices made by service-disabled veterans and in recognition
of their economic activity in doing business in New York State, Bidders/Contractors are strongly
encouraged and expected to consider SDVOBs in the fulfillment of the requirements of the
Contract. Such participation may be as subcontractors or suppliers, as protgs, or in other
partnering or supporting roles.

For purposes of this procurement, ESD conducted a comprehensive search and determined that
the Contract does not offer sufficient opportunities to set specific goals for participation by
SDVOBs as subcontractors, service providers, and suppliers to Contractor. Nevertheless,
Bidder/Contractor is encouraged to make good faith efforts to promote and assist in the
participation of SDVOBs on the Contract for the provision of services and materials.

The directory of New York State Certified SDVOBs can be viewed at:
http://ogs.ny.gov/Core/SDVOBA.asp.

Bidder/Contractor is encouraged to contact the Office of General Services Division of Service-

Disabled Veterans Business Development at 518-474-2015 or
VeteransDevelopment@ogs.ny.gov to discuss methods of maximizing participation by SDVOBs
on the Contract.

v. Encouraging the Use of NYS Businesses in Contract Performance Form

New York State businesses have a substantial presence in State contracts and strongly
contribute to the economies of the state and the nation. In recognition of their economic
activity and leadership in doing business in New York State, Bidders for this ESD contract for

Mount McGregor RFP 2017 | Page 26

commodities, services or technology are strongly encouraged and expected to consider New
York State businesses in the fulfillment of the requirements of the contract. In order for ESD to
assess the use of New York State businesses in each Proposal, ESD requests that each
Respondent complete the Encouraging Use of New York State Businesses in Contract
Performance form, accessible here:
http://esd.ny.gov/CorporateInformation/Data/ENCOURAGINGUSEOFNEWYORKSTATEBUSINESS
ESINCONTRACTPERFORMANCE.pdf.

vi. Certification under State Tax Law Section 5-a

Any contract resulting from this solicitation is also subject to the requirements of State Tax Law
Section 5-a (STL 5-a). STL 5-a prohibits ESD from approving any such contract with any entity
if that entity or any of its affiliates, subcontractors or affiliates of any subcontractor makes sales
within New York State of tangible personal property or taxable services having a value over
$300,000 and is not registered for sales and compensating use tax purposes. To comply with
STL 5-a, all Bidders to this solicitation must include in their Proposals a properly completed Form
ST-220-CA (http://www.tax.ny.gov/pdf/current_forms/st/st220ca_fill_in.pdf), or an affidavit
(http://esd.ny.gov/CorporateInformation/Data/RFPs/RequiredForms/STL_5A_Affidavit.pdf) that
the Respondent is not required to be registered with the State Department of Taxation and
Finance. Also in accordance with the requirements of STL 5-a, any contract resulting from this
solicitation will require periodic updating of the certifications contained in Form ST-220-CA.
Solicitation responses that do not include a properly completed ST-220-CA will be considered
incomplete and non-responsive and will not be considered for contract award. Only the prime
consultant completes Form ST 220-CA, but Schedule A to Form ST 220-CA requires detailed
information from the sub-consultants, such as tax ID number, etc., if applicable. Moreover, if
applicable, certificates of authority must be attached by the prime consultant and all the sub-
consultants.

vii. Schedule A
Following final selection of a Respondent, ESD will prepare a contract defining all project terms
and conditions and the Respondents responsibilities in conformance with Schedule A. A
sample can be found at:

https://esd.ny.gov/sites/default/files/ScheduleA_Services_Materials_0.pdf

Please note Bidders do not need to complete the entire Schedule A with the submission of their
Proposal. However, Bidders should still review these terms, which are standard in all ESD
contracts, and raise any concerns present prior to submission of their Proposal, as successful
Bidders will need to accept these terms prior to contract execution.

viii. Project Sunlight

This procurement is subject to the Public Integrity Reform Act of 2011. Under the Public
Integrity Reform Act of 2011, appearances (broadly defined and including any substantive
interaction that is meant to have an impact on the decision-making process of a state entity)

Mount McGregor RFP 2017 | Page 27

before a public benefit corporation such as ESD by a person (also broadly defined) for the
purposes of procuring a state contract (as contemplated in this RFP) must be reported by ESD
to a database maintained by the State Office of General Services that is available to members of
the public. If in doubt as to the applicability of Project Sunlight, Bidders and their advisors
should consult the Laws of 2011, Ch. 399 for guidance.

ix. Insurance Requirements

The Designated Developer will be expected to show evidence of the following insurance
requirements (at a minimum and to the extent applicable), as listed below:

A. Commercial General Liability insurance - $1 million per occurrence / $2 million

aggregate.
B. Auto Liability insurance - $1 million per occurrence
C. Excess Umbrella Liability insurance - $10 million per occurrence / $10 million aggregate
minimum
D. Professional Liability insurance - $1 to $3 million minimum (preferably $5 million)
E. Workers Compensation & Employers Liability insurance at State statutory limits.
F. Disability insurance coverage at State statutory limits.

The NYS Urban Development Corporation d/b/a Empire State Development and the People of
the State of New York, as their interests may appear, must be named as an additional insured
on a primary and non-contributory basis on all of the following policies: Commercial General
Liability, Auto Liability, and Excess Umbrella Liability policies.

All policies above should include a waiver of subrogation in favor of the NYS UDC d/b/a ESD and
the People of the State of New York.

x. W-9 Form
Provide a completed W-9 form (https://www.irs.gov/pub/irs-pdf/fw9.pdf), submit with
proposal.

Mount McGregor RFP 2017 | Page 28

 APPENDIX A

DIVERSITY PRACTICES QUESTIONNAIRE

Mount McGregor RFP 2017 | Page 29

 OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY

ADDENDUM
DIVERSITY PRACTICES QUESTIONNAIRE

I, ___________________, as __________________ (title) of _______________firm or

company (hereafter referred to as the company), swear and/or affirm under penalty of perjury
that the answers submitted to the following questions are complete and accurate to the best
of my knowledge:

1. Does your company have a Chief Diversity Officer or other individual who is tasked with
supplier diversity initiatives? Yes or No

If Yes, provide the name, title, description of duties, and evidence of initiatives performed by
this individual or individuals.

2. What percentage of your companys gross revenues (from your prior fiscal year) was paid
to New York State certified minority and/or women-owned business enterprises as
subcontractors, suppliers, joint-venturers, partners or other similar arrangement for the
provision of goods or services to your companys clients or customers?

3. What percentage of your companys overhead (i.e. those expenditures that are not directly
related to the provision of goods or services to your companys clients or customers) or non-
contract-related expenses (from your prior fiscal year) was paid to New York State certified
minority- and women-owned business enterprises as suppliers/contractors?1

1
Do not include onsite project overhead.

Page 1
 OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY

4. Does your company provide technical training2 to minority- and women-owned business
enterprises? Yes or No

If Yes, provide a description of such training which should include, but not be limited to, the
date the program was initiated, the names and the number of minority- and women-owned
business enterprises participating in such training, the number of years such training has been
offered and the number of hours per year for which such training occurs.

5. Is your company participating in a government approved minority- and women-owned

business enterprise mentor-protg program?

If Yes, identify the governmental mentoring program in which your company participates and
provide evidence demonstrating the extent of your companys commitment to the
governmental mentoring program.

6. Does your company include specific quantitative goals for the utilization of minority- and
women-owned business enterprises in its non-government procurements? Yes or No

2
Technical training is the process of teaching employees how to more accurately and thoroughly perform the technical
components of their jobs. Training can include technology applications, products, sales and service tactics, and more. Technical
skills are job-specific as opposed to soft skills, which are transferable.

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 OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY

If Yes, provide a description of such non-government procurements (including time period,

goal, scope and dollar amount) and indicate the percentage of the goals that were attained.

7. Does your company have a formal minority- and women-owned business enterprise
supplier diversity program? Yes or No

If Yes, provide documentation of program activities and a copy of policy or program materials.

8. Does your company plan to enter into partnering or subcontracting agreements with New
York State certified minority- and women-owned business enterprises if selected as the
successful respondent? Yes or No

If Yes, complete the attached Utilization Plan

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 OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY

All information provided in connection with the questionnaire is subject to audit and any
fraudulent statements are subject to criminal prosecution and debarment.

Signature of
Owner/Official
Printed Name of
Signatory

Title

Name of Business

Address

City, State, Zip

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 OFFICE OF CONTRACTOR AND SUPPLIER DIVERSITY

STATE OF _______________________________

COUNTY OF ) ss:

On the ______ day of __________, 201_, before me, the undersigned, a Notary Public in and for the State

of __________, personally appeared _______________________________, personally known to me or proved to me on

the basis of satisfactory evidence to be the individual whose name is subscribed to this certification and

said person executed this instrument.

__________________________

Notary Public

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