HomeMy WebLinkAboutI - 06 ESD Grant Incentive Proposal GLSC Phase 2
November 8, 2021
Mr. Thomas Williams
Supervisor
Town of Cortlandville
3577 Terrace Rd
Cortland, NY 13045
Re: ESD Project Number 133,379
Dear Mr. Williams:
On behalf of New York State and Empire State Development, please let me express my enthusiasm for working
with you and the Town of Cortlandville to continue building a sports complex in New York State.
As we understand the project, the Town of Cortlandville, Cortland County will invest approximately $1.1 million
to construct Phase 2 of the Gutchess Lumber Sports Complex (the “Complex”), which involves construction of
two turf baseball fields.
To encourage you to proceed with this project, we are offering the Town of Cortlandville an incentive valued at
$200,000.
Please review the attached Incentive Proposal to see how New York State and Empire State Development are
prepared to assist the Town of Cortlandville with its project in the Central New York Region of New York State.
If you choose to accept our offer, please acknowledge your decision by endorsing the signature page, and
endorsing and notarizing the Affirmation in the attached proposal. Email a scanned copy of this entire document
including this cover letter to me at james.fayle@esd.ny.gov, with a copy to ray.lawrence@esd.ny.gov, by January
8, 2022. A $250 application fee is also required, and may be paid by one of the three options provided in the
“Fees” paragraph under Section IV: General Requirements in the attached proposal.
We look forward to working with you on this exciting project, and can be reached at (315) 425-9110 at your
convenience.
Very truly yours,
James P. Fayle
Regional Director
cc: Glendon McLeary
Attachment: ESD Incentive Proposal
Empire State Development
Central New York Regional Office
620 Erie Boulevard West, Suite 112, Syracuse, NY 13204
(315) 425-9110 | james.fayle@esd.ny.gov | www.esd.ny.gov
REGIONAL COUNCIL AWARD – INCENTIVE PROPOSAL
Town of Cortlandville
November 8, 2021
This Incentive Proposal outlines the general terms and conditions of the incentive package being
offered by Empire State Development (“ESD”)* to the Town of Cortlandville to assist with its project in
the Town of Cortlandville, Cortland County. This offer is subject to the availability of funds, completion
of any applicable (1) non-discrimination and contractor diversity, (2) environmental and historic and (3)
smart growth review requirements, approval by the ESD Directors, applicable statutes, and compliance
with program requirements.
* The New York State Department of Economic Development and the New York State Urban
Development Corporation, d/b/a Empire State Development, are collectively referred to as ESD.
I. GENERAL INFORMATION
a) Recipient Name: Town of Cortlandville (the “Recipient”)
b) Contact Information: Mr. Thomas Williams
Supervisor
Town of Cortlandville
3577 Terrace Rd
Cortland, NY 13045
Phone: (607) 756-6091
Email: supervisor1@cortlandville.org
c) Project Location(s): 441-593 NYS Route 13
Cortland, NY 13045
Cortland County
d) Type of Business: Municipal sports complex.
II. PROJECT SPECIFICS
a) Project Description:
Phase 2 of the Gutchess Lumber Sports Complex, which involves
construction of two turf baseball fields.
b) Estimated Schedule: Begin: November 2021
Complete: November 2022
Estimated ESD Directors’ Approval: December 2022
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Incentive Proposal November 8, 2021
III. PROJECT BUDGET
You have informed us that the following costs will be incurred to complete this project. It is
understood that these costs are estimates, based on the best information available to date. If these
figures change, please inform your ESD contact as soon as possible.
IV. ESD INCENTIVES
Regional Council Capital Fund (Round 9) – Capital Grant – Project #RCCF 133,379/CFA #92408
a) Amount: $200,000
b) Use of Funds:
Reimbursement for a portion of the cost of construction.
c) Requirements:
Funds will be disbursed in lump sum upon project completion, as described
in Sections II and III above, and as evidenced by documentation verifying
project completion as ESD may require, and documentation verifying project
expenditures of $1,100,000.
All disbursements require compliance with program requirements and must
be requested by no later than April 1, 2024. Expenditures incurred prior to
December 19, 2019 are not eligible project costs, and cannot be included in
the overall project budget nor be reimbursed by grant funds.
The grant is being offered in connection with the project as described in the
Consolidated Funding Application (“CFA”), and funds will only be made
available for projects that are undertaken as described in the CFA, except as
revised herein or expressly authorized by ESD.
d) Recapture:
Grant funds will be subject to pro rata recapture if the property is no longer
used for its intended purpose or is sold within 5 years of disbursement of
funds.
General Requirements
▪ Equity:
The Recipient will be required to contribute a minimum of 10% of the total project cost in the form of equity contributed
after the Recipient’s written acceptance of ESD’s Incentive Proposal . Equity is defined as cash injected into the project
by the Recipient or by investors and should be auditable through Recipient financial statements or Recipient accounts,
if so requested by ESD. Equity cannot be borrowed money secured by the assets in the project.
▪ Fees:
The Recipient will provide a $250 Application Fee,* due when this Incentive Proposal is returned, and a 1% commitment
fee ($2,000), due after ESD Directors’ approval at the time a Grant Disbursement Agreement is executed . In addition,
the Recipient will reimburse ESD for any direct expenses incurred in connection with this project, including costs related
to holding a public hearing, attorney fees, appraisals, surveys, title insurance, credit searches, filing fees, and other
Construction: $1,100,000
TOTAL ESTIMATED COST: $1,100,000
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Incentive Proposal November 8, 2021
requirements deemed appropriate by ESD.
*The $250 application fee may be submitted by one of the following methods. Please let the Regional Office know
which method you will be using. Do not mail payment directly to our 633 Third Avenue, NY, NY address
1. Preferred method: Send electronic payment to ESD’s bank account, including ACH and wire payments, to:
Bank Name: JPMorgan Chase Bank
Account Name: ESD ED Income
ABA Number: 021 000 021
Account Number: 7004796
Reference: ESD project number 133,379
2. Mail a check for the $250 application fee payable to “Empire State Development” to our dropbox at the following
address. Note your project number 133,379 on your check.
Empire State Development
P.O. BOX 5583
New York, NY 10087-5583
3. Mail a check for the $250 application fee payable to “Empire State Development” to the Regional Office at the
following address. Note your project number 133,379 on your check.
Central New York Regional Office
Empire State Development
620 Erie Blvd. West, #112
Syracuse, NY 13204
Attn.: James Fayle
▪ Non-discrimination and Contractor Diversity:
ESD’s Non-Discrimination and Contractor & Supplier Diversity policies will apply to this Project. The Recipient shall be
required to include minorities and women in any job opportunities created, to solicit and utilize Minority and Women
Business Enterprises (MWBEs) for any contractual opportunities generated in connection with the Project and shall be
required to use Good Faith Efforts (pursuant to 5 NYCRR §142.8) to achieve an overall MWBE Parti cipation Goal of 30%
($60,000) related to the total value of ESD’s funding.
The Recipient is encouraged to use “Good Faith Efforts,” pursuant to 9 NYCRR §252.2(m), to utilize NYS-certified Service-
Disabled-Veteran-owned Business Enterprises (“SDVOBs”) in the execution of the grant. Any utilization of SDVOBs
would be in addition to goals established pursuant to Article 15 -A of the Executive Law with respect to MWBEs. Should
SDVOBs be utilized, a further explanation of the SDVOB reporting requirements is attached hereto.
▪ Environmental, Historic and Smart Growth Review:
Please note in particular the Environmental, Historic and Smart Growth Review requirements at the end of the attached
document, which, if applicable, must be satisfied prior to ESD Directors’ approval of funding. The ESD Planning &
Environmental Review office may contact your office for further information regarding status of the environmental,
historic and smart growth review for your project.
▪ Environmental Sustainability:
ESD encourages the environmentally sustainable practice of recycling construction and demolition debris rather than
disposition in a landfill.
▪ Insurance Requirements:
The Recipient shall maintain Commercial General Liability Insurance providing both bodily injury (including death) and
property damage insurance in a limit not less than One Million Dollars ($1,000,000) per occurrence, Two Million Dollars
($2,000,000) aggregate and Three Million Dollars ($3,000,000) umbrella. In addition, if the grant contemplates the
purchase, construction or renovation of any buildings or equipment, the Recipient shall keep the buildings at the Project
Location and the building equipment insured against: (i) loss by fire, (ii) additional perils customaril y covered under an
all-risk policy and (iii) flood hazard, if the Project Location is located in an area identified by the Secretary of Housing
and Urban Development as an area having special flood hazards and in which flood insurance has been made availab le
under the National Flood Insurance Act of 1968, as amended.
▪ Modification:
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Incentive Proposal November 8, 2021
ESD reserves the right to review and reconsider project and property selections in the event of material changes in the
project plans or circumstances.
▪ Reservations of Rights Concerning Funding Commitment:
It is expected the project will proceed in the time frame set forth by the Applicant. If the implementation of a project
fails to proceed as planned and is delayed for a significant period of time and there is, in the exclusive judgment of ESD,
doubt as to its viability, ESD reserves the right to cancel its funding commitment to such project.
▪ Next Steps After Accepting this Incentive Proposal:
Within approximately 30 days of your acceptance of this Incentive Propos al, your Project Manager will acknowledge
receipt of the signed Incentive Proposal and will provide a guide to the ESD Approval and Disbursement Process and
relevant contact information. Prior to ESD Directors’ approval, ESD will require updated project information and
Declarations and Certifications. Please note that ESD Directors’ approval typically occurs at project completion.
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Incentive Proposal November 8, 2021
V. SUMMARY
Total ESD Assistance: $200,000
Expiration of Proposed Offer:
This proposal expires on January 8, 2022 unless endorsed below and received by ESD prior to the
expiration date.
Expiration of Accepted Offer:
The accepted proposal expires two years from the date of acceptance by the Recipient. ESD reserves
the right to require Recipient to provide any additional information and/or documentation ESD deems
necessary.
APPROVED BY: Date: November 8, 2021
Glendon McLeary
Vice President and Director of Loans & Grants
633 Third Avenue
New York, NY 10017
Phone: (212) 803-3658
ACCEPTED BY: Date:
Mr. Thomas Williams
Supervisor
Town of Cortlandville
3577 Terrace Rd
Cortland, NY 13045
Phone: (607) 756-6091
Email: supervisor1@cortlandville.org
* Please see the following Affirmation page, which must be completed, signed and notarized for this
Incentive Proposal to be considered accepted.
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Incentive Proposal November 8, 2021
AFFIRMATION
STATE OF NEW YORK )
) ss.:
COUNTY OF )
The Undersigned, being duly sworn, deposes and says:
1. I, Thomas Williams, am the Supervisor of The Town of Cortlandville (the “Recipient”), a town government that is duly organized and
validly existing under the laws of New York State, and is authorized to do business and is in good standing in the State of New York.
2. I have read and know the contents of the Incentive Proposal prepared by the New York State Urban Development Corporation d/b/a
Empire State Development (“ESD”) dated the 8th day of November, 2021.
3. I have reviewed all of the information provided by the Recipient to ESD to assist in ESD’s preparation of the Incentive Proposal,
including information provided on Recipient’s behalf by third-party consultants
4. I know all of the information provided by Recipient or its third-party consultants to be true and complete in all material respects. To
the extent such information involves projections about future performance, these projections have been prepared in good faith ,
based upon reasonable assumptions.
5. Recipient did not make a decision to undertake the project described in the Incentive Proposal prior to December 19, 2019.
6. Recipient hereby accepts the terms of the Incentive Proposal.
7. Receipt of the Incentive Proposal was a material factor in Recipient’s decision to undertake the above-referenced project.
8. Recipient agrees to allow the Department of Taxation and Finance to share Recipient tax information with Empire State Development.
9. Recipient authorizes the Commissioner of Labor to disclose, to employees of both the New York State Department of Labor, the New
York State Department of Economic Development, and the Urban Development Corporation, (dba Empire State Development), all
records filed by the Recipient in making Unemployment Insurance (U.I.) reports and contributions required by State Labor and Tax
Law, including, but not limited to, all information contained in or relating to the quarterly combined withholding, wage repo rting and
U.I. returns, the registration for U.I., the New Hire file, and all records of U.I. delinquencies. In addition, this authorization shall
include all information contained in any survey reports requested by the Department of Labor on behalf of the U.S. Department of
Labor, Bureau of Labor Statistics including, but not limited to, the Current Employment, Occupational Employment, multiple worksite,
and annual refiling surveys. The use of information and records released pursuant to this authorization shall be limited to government
purposes concerning the Recipient and assistance described in this incentive proposal to monitor compliance with worker protection
laws and with the conditions and requirements associated with the financial assistance being requested.
10. Recipient certifies, under penalty of perjury, that the Recipient is in substantial compliance with all environmental, worker protection,
and local, state and federal tax laws.
11. Recipient agrees to allow the Department of Labor to contact Recipient’s Human Resources department (or other relevant
department) for the purpose of listing open jobs on the New York State Job Bank.
Signature
Subscribed and sworn to before me
this day of , 202__
Notary Public
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Incentive Proposal November 8, 2021
ENVIRONMENTAL, HISTORIC AND SMART GROWTH REVIEW REQUIREMENTS
Approval of funding by ESD, a public benefit corporation of the State of New York, requires compliance
with environmental, historic and smart growth review requirements under New York State regulations.
The information below provides a brief guide to the review processes. If you have any questions about
the required documentation or how to proceed in these areas, please contact ESD’s Planning &
Environmental Review Office at (212) 803-3252 or 3253. Physical work on an ESD-funded project may
not be started prior to the completion of any necessary environmental , historic and/or smart growth
review.
Environmental Review under State Environmental Quality Review Act (SEQRA)(6 NYCRR Part 617)
▪ Projects or physical activities, such as construction or other activities that may affect the
environment by changing the use, appearance or condition of a site or structure require review
under SEQRA. Certain listed activities are not subject to any review because they involve actions
with little, if any, environmental impact, referred to as “Type II” Actions. Conversely, SEQRA also
includes a list of actions that are assumed to be more apt to result in impacts, referred to as “Type
I” Actions, which are subject to formal review. If a proposed action is n either listed on the Type II
or Type I lists, it is referred to as an “Unlisted Action” and is also subject to review under SEQRA.
▪ The applicant must demonstrate compliance with SEQRA if the project does not meet the definition
of a Type II Action. If SEQRA review is required for the project, the review must be completed by a
lead agency such as a municipal planning or zoning board, common council, county industrial
development agency, or state regulatory or funding agencies.
▪ Please note that if the project consists of more than one phase, a SEQRA review must be completed
for all known or reasonably foreseeable phases of the project, not only the phase that is the subject
of ESD funding. An environmental review of only a portion of a project constitutes im proper
segmentation under SEQRA and is not accepted except in special circumstances.
▪ Required SEQRA documentation:
If the project has already been determined to have no significant effect on the environment, the
following two documents must be provided:
1. Environmental Assessment Form (EAF) –Short EAF or Full EAF, as appropriate for the
project. All parts must be fully completed and approved by the lead agency that
reviewed the project; and
2. Negative Declaration
(Note: If the project was approved by a lead agency on or after October 7, 2013, the new EAFs
must be used and a separate Negative Declaration form is not required.)
If a Positive Declaration was made for the project, indicating that the project may have a significant
adverse impact on the environment, the following documents must be provided:
1. Draft and Final Environmental Impact Statement (DEIS and FEIS) – digital copy is
preferable; and
2. Lead Agency Statement of Findings
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▪ If your SEQRA review has not yet been completed, please provide in an addendum to this application
information about the status of the review and designated lead agency for the review, and submit
“Part 1” of a Short EAF or Full EAF as appropriate for your project. Subsequent EAF Parts are
completed by the lead agency based upon the information you include in Part 1.
For further information about SEQRA, please visit the New York State Department of Environmental
Conservation’s web site at http://www.dec.ny.gov.
Historic Review
▪ Projects involving a building, structure, district, or site, including underground or underwater sites,
listed on or eligible for listing on the State or National Register of Historic Places (S/NR HP) must be
evaluated by the State Historic Preservation Office (SHPO) of the New York State Office of Parks,
Recreation and Historic Preservation in accordance with Section 14.09 of the New York State Parks,
Recreation and Historic Preservation Law.
▪ Buildings that are more than 50 years old and/or those that are historically, architecturally, or
culturally significant, as well as project locations wholly or partially within an identified
archeologically-sensitive area or a land area that typically contains archeological resources, may
meet the eligibility criteria for S/NRHP listing.
▪ The applicant must demonstrate compliance with Section 14.09. In order to initiate the SHPO
consultation process, the applicant must submit the project for review by SHPO through the Cultural
Resources Information System (CRIS) found at https://cris.parks.ny.gov/Default.aspx. Upon
completion of the SHPO consultation process, SHPO will determine whether or not the project will
have an adverse impact on historical or cultural resources and will provide a letter of comment on
the project.
▪ Required SHPO documentation:
- Letter of No Adverse Impact determination or
- Letter of Resolution – required if SHPO determines that the project will have an Adverse
Impact on historic or cultural resources.
Smart Growth
The State Smart Growth Public Infrastructure Policy Act of 2010 requires that public infrastructure
projects approved, undertaken, supported or financed by a Stat e Infrastructure Agency, which includes
ESD, to the extent practicable, are consistent with relevant Smart Growth Criteria specified in the law.
Projects that involve ESD approval of funding for public infrastructure (e.g., publicly -supported roads,
bridges, streetscapes, other transportation systems, drinking water, sewers, drainage systems, and
utilities) will require the completion of a Smart Growth Impact Statement prior to approval of funding.
(Note: Projects that only involve Excelsior Jobs Tax Credits do not require Smart Growth review.) ESD
staff will advise you if a Smart Growth Impact Statement is required.
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PARTICIPATION REQUIREMENTS FOR NEW YORK STATE CERTIFIED MWBES
ESD is required to comply with and implement the provisions of New York State Executive Law Article
15-A and 5 NYCRR Parts 142-144 (MWBE Regulations) for all State contracts as defined therein, with a
value (1) in excess of $25,000 for labor, services, equipment, materials, or any combination of the
foregoing or (2) in excess of $100,000 for real property renovations and construction.
Approval of funding by ESD, a public benefit corporation of the State of New York, is conditioned upon
and subject to the following requirements:
a) Recipient agrees to fully comply and cooperate with ESD in the implementation of New York
State Executive Law Article 15-A. These requirements include contracting opportunities for New
York State certified Minority-owned Business Enterprises (“MBEs”) and Women-owned Business
Enterprises (“WBEs”), collectively MWBEs.
b) For purposes of this project, ESD hereby establishes the following MWBE participation
requirements:
Overall MWBE Participation Requirement: 30% (totaling no less than $60,000)
c) For purposes of providing meaningful participation by MWBEs on the project and achieving the
project goals established herein, Recipient should reference the directory of New York State
certified MWBEs found at the following internet address:
https://ny.newnycontracts.com
Additionally, Recipient may contact ESD’s Office of Contractor and Supplier Diversity (“OCSD”)
to discuss additional methods of maximizing particip at ion by MWBEs on the project.
d) Recipient is required to submit a completed Non-Discrimination and Equal Employment
Opportunity Policy Agreement (Form OCSD-1) prior to the first disbursement.
e) For all incentives the Recipient and any contractors or sub-contractors are required to provide
to OCSD (i) an MWBE Staffing Plan (Form OCSD-2) prior to the first disbursement, where ESD’s
effective contribution is equal to or greater than $250,000, and (ii) Workforce Utilization
Reports (Form OCSD-3) on a monthly basis, for construction contracts in excess of $100,000, or
quarterly basis, for services and commodities contracts in excess of $25,000, until the final
disbursement of project funds. If the first disbursement is also the final disbursement, the
Recipient may submit only the final Workforce Utilization Report. Workforce Utilization Reports
must be submitted to OCSD via email in Excel format only to OCSD@esd.ny.gov.
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Incentive Proposal November 8, 2021
The Recipient shall also require each of its sub-contractors to submit a Workforce Utilization
Report (Form OCSD-3) on a monthly basis, for construction contracts in excess of $100,000, or
quarterly basis, for services and commodities contracts in excess of $25,000, until the final
disbursement of project funds. The Workforce Utilization Report must be sent by email in
Excel format only to OCSD@esd.ny.gov.
f) Recipient is required to submit an MWBE Utilization Plan (Form OCSD -4) no later than ten (10)
days after the execution of this Incentive Proposal.
▪ If additional time is required to prepare an acceptable and effective MWBE Utilization
Plan, the Recipient may submit a written extension request to OCSD or the assigned
OCSD Compliance Manager. The extension request must explain why additional time is
needed and provide an estimated date of submission for the MWBE Utilization Plan.
▪ Any modifications or changes to the MWBE Utilization Plan after the execution of this
Incentive Proposal and during the performance of the project must be reported on a
revised MWBE Utilization Plan and submitted to OCSD for approval.
g) ESD will review the submitted MWBE Utilization Plan and advise the Recipient of acceptance or
issue a Notice of Deficiency within twenty (20) days of receipt.
h) If a notice of deficiency is issued, Recipient agrees that it shall respond to the Notice of Deficiency
within seven (7) business days of receipt by submitting to OCSD a written remedy in response to
the Notice of Deficiency. If the written remedy that is submitted is not timely or is found by ESD
to be inadequate, ESD shall notify the Recipient and direct the Recipient to submit, within five
(5) business days, a request for a partial or total waiver of MWBE participation goals (Form
OCSD-5, Waiver Request). Failure to file the Waiver Request in a timely manner may result in a
finding that Recipient has intentionally or willfully failed to comply with the requirements of
New York State Executive Law Article 15-A and the MWBE provisions outlined herein.
i) ESD may find that Recipient has willfully or intentionally failed to meet the MWBE project
requirements under the following circumstances:
1. If a Recipient fails to submit an MWBE Utilization Plan;
2. If a Recipient fails to submit a written remedy to a Notice of Deficiency;
3. If a Recipient fails to submit a request for waiver; or
4. If ESD determines that the Recipient has failed to document “Good Faith Efforts.”
j) Recipient shall attempt to utilize, in good faith, any MBE or WBE identified within its MWBE
Utilization Plan, during the performance of the project. Requests for a partial or total waiver of
established goal requirements made subsequent to the execution of the Incentive Proposal may
be made at any time during the term of the project to ESD, but must be made no later than prior
to the submission of a request for final payment on the project.
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k) The Recipient understands that only sums paid to MWBEs for the performance of a commercially
useful function, as that term is defined in 5 NY CRR § 140.1, may be applied towards the
achievement of the applicable MWBE participation goal. The portion of a contract with an
MWBE serving as a supplier that shall be deemed to represent the commercially useful function
performed by the MWBE shall be 60% of the total value of the contract. The portion of a contract
with an MWBE serving as a broker that shall be deemed to represent the commercially useful
function performed by the MWBE shall be the monetary value for fees, or the markup
percentage, charged by the MWBE.
l) Recipient is required to submit a periodic MWBE Compliance & Payment Report to OCSD by the
10th day following either the end of each (i) month, for construction contracts in excess of
$100,000, or (ii) quarter, for services and commodities contracts in excess of $25,000, over the
term of the project documenting the progress made toward achievement of the MWBE project
goals.
Periodic compliance and payment reports may be submitted electronically through the New
York State Contract System, found at https://ny.newnycontracts.com. The New York State
Contract System provides automated electronic alerts to the Recipient and any identified sub -
contractors and sub-vendors and allows for the electronic reporting and confirmation of the
relevant data by all tiers of identified subcontractors. Payment information a nd confirmation
must be submitted by the 10th day following the end of each month or quarter, as applicable.
For additional information regarding this process, please contact OCSD.
Periodic compliance and payment reports may also be completed manually (Form OCSD-6,
MWBE Compliance & Payment Report) and submitted to OCSD or the assigned OCSD
Compliance Manager.
m) “Good Faith Efforts” is the standard applied to the MWBE participation requirements in all
applicable ESD incentives. Recipients shall adhere to this standard and ensure that proactive
and ongoing efforts are made throughout the length of the project to include MWBE
participation in all categories where MWBE participation potential exists. In order for OCSD to
evaluate “Good Faith Efforts”, Recipients must maintain detailed records of its efforts to include
MWBEs in the performance of the project.
For additional details regarding “Good Faith Efforts,” please review 5 NYCRR §142.8 (MWBE
Rules and Regulations), available at:
http://esd.ny.gov/MWBE/Data/OFFICIAL_COMPILATION_OF_MWBEREGS.pdf
n) Where MWBE goals have been established herein, pursuant to 5 NYCRR §142.8, Recipient must
document “Good Faith Efforts” to provide meaningful participation by MWBEs as subcontractors
or suppliers in the performance of the project. The Recipient acknowledges that if Recipient is
found to have willfully and intentionally failed to comply with the MWBE participation goals and
requirements set forth herein, such a finding may result in the recapture of grant proceeds. Such
MWBE Recapture may be calculated as an amount equaling the difference between: (1) all sums
identified for payment to MWBEs had the Recipient achieved the MWBE project goals; and (2)
all sums actually paid to MWBEs for work performed or materials supplied under the project.
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Incentive Proposal November 8, 2021
o) Recipient’s demonstration of Good Faith Efforts shall be a part of these requirements. These
provisions shall be deemed supplementary to, and not in lieu of, other applicable federal, state
or local laws.
Any questions relating to the MWBE requirements stated herein may be directed to OCSD at
ocsd@esd.ny.gov. Recipient may also address any inquiries relating to the above MWBE requirements
to the assigned OCSD Compliance Manager.
OCSD forms may be completed by hand, except for OCSD-3, which must be completed in Excel format.
Fillable versions of all OCSD forms are available upon request, or may be downloaded from
https://esd.ny.gov/about-us/corporate-info (scroll down to the section headed “Non-Discrimination
and Contractor & Supplier Diversity Forms”). Documents relating to the MWBE requirements outlined
herein must be provided to OCSD in one of the following ways:
1. In an email to ocsd@esd.ny.gov ;
2. Through the New York State Contract System (https://ny.newnycontracts.com ); or
3. By postal mail, addressed to:
Empire State Development
Office of Contactor & Supplier Diversity
633 Third Avenue, 35th Floor
New York, NY 10017
All communications to OCSD must clearly identify the ESD project number and provide pertinent details.
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PARTICIPATION REQUIREMENTS FOR NEW YORK STATE CERTIFIED SDVOBS
It is the policy of ESD to comply with and implement the provisions of New York State Executive Law
Article 17-B and 9 NYCRR Part 252 (SDVOB Regulations) for all State contracts, with a value (1) in excess
of $25,000 for labor, services, equipment, materials, or any combination of the foregoing or (2) in excess
of $100,000 for real property renovations and construction.
For purposes of this project, the Grantee is encouraged to solicit and utilize NYS certified Service
Disabled Veteran-owned Businesses (“SDVOBs”) for any contractual opportunities generated in
connection with the project.
a) For purposes of providing meaningful participation by SDVOBs on the project, Recipient should
reference the directory of New York State certified SDVOBs found at the following internet
address: https://online.ogs.ny.gov/SDVOB/search
Additionally, Recipient may contact ESD’s Office of Contractor and Supplier Diversity (“OCSD”)
to discuss additional methods of maximizing particip at ion by SDVOBs on the project.
b) If NYS-certified SDVOB firms are utilized in the grant, Recipient is to provide a Utilization Plan to
report on expected utilization on Form OCSD-4.
c) Recipient is then required to submit a periodic SDVOB Compliance and Payment Report to
OCSD by the 10th day following each end of month, for construction contracts in excess of
$100,000, or quarter, for services and commodities contracts in excess of $25,000, over the
term of the project documenting the progress made toward achievement of the project goals.
Periodic compliance and payment reports may be submitted electronically through the New York
State Contract System, found at https://ny.newnycontracts.com. The Contract System provides
automated electronic alerts to the Recipient and any identified sub-contractors and allows for the
electronic reporting and confirmation of the relevant data by all tiers of identified subcontractors. For
additional information regarding this process, please contact OCSD. Compl iance and payment reports
may also be completed manually on Form OCSD-6 and submitted to the assigned OCSD Compliance
Manager.
“Good Faith Efforts” is the standard applied to the SDVOB participation requirement in all applicable
ESD incentives. As SDVOB utilization is encouraged, rather than required, for this project, Recipients
are encouraged to adhere to this standard and ensure that proactive and ongoing efforts are made
throughout the length of the project to include SDVOB participation in all cate gories where SDVOB
participation potential exists. For additional details regarding Good Faith Efforts, please review
section 252.2(m) of NYCRR 9 (SDVOB Rules and Regulations), found at: https://ogs.ny.gov/Veterans/
Any questions relating to the SDVOB requirements stated herein may be directed to ESD’s Office of
Contractor and Supplier Diversity at OCSD@esd.ny.gov or to the assigned OCSD Compliance Manager.
All communications to OCSD must clearly identify the ESD project number and provide pertinent details.