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NEW YORK STATE

OFFICE OF PARKS, RECREATION AND HISTORIC PRESERVATION

Request for Proposals X001255


Adaptive Reuse and/or Operation of Equestrian Structures at
Knox Farm State Park, East Aurora, New York

NEW YORK STATE


OFFICE OF PARKS, RECREATION AND HISTORIC PRESERVATION
Request for Proposals
Adaptive Reuse and/or Operation of Equestrian Structures at
Knox Farm State Park, Aurora, New York
License X001255
The Office of Parks, Recreation and Historic Preservation (State Parks) is seeking proposals for
the adaptive reuse, improvement and/or operation of the equestrian structures in Knox Farm State
Park (the Park), East Aurora, Erie County, New York. The successful party (Licensee) will be
responsible for the provision of all concession services in accordance with the terms and conditions
set forth in this Request For Proposals (RFP) and the License to be subsequently issued by State
Parks.
Term of the License
The term of the License to be issued to the successful proposer by State Parks shall be ten (10)
years from approval of the License by the Office of the State Comptroller; provided however that
State Parks will consider proposals requesting a term in excess of ten (10) years that provide for a
minimum of $1.0 million in capital investment in accordance with the requirements of section 3.09
(d) of the Parks Recreation & Historic Preservation Law. Parties are advised that legislation has
been enacted that authorizes a term up to 40 years, however State Parks does not anticipate
granting such an extended term unless extraordinary private capital investment is offered by the
successful proposer and the extended term is required to amortize the capital investment.
Request For Proposals Timetable
The following timetable is established for this RFP. This schedule is subject to change by State
Parks and all such changes will be made through the issuance of Addenda to this RFP:
RFP Release Date:

Wednesday, June 15, 2016

Initial Questions Due:

Thursday, June 1, 2016

Proposals Due:

Thursday, July 21, 2016 at 5:00 P.M. EST

Must Be Received At:

NYS Office of Parks, Recreation, and Historic Preservation


Concessions Management Bureau
625 Broadway
Albany, NY 12207
(518) 486-2932

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Proposal Guidelines

History & Background


Knox Farm State Park was once a working farm and the residence of the Knox family. Among
their many interests were the raising, breeding, training and care of horses. Extensive facilities
including stables, trails and a riding ring were built on the property. Those equestrian facilities
were included with Knox Farm when it became a state park in 2000. At present the equestrian
structures subject to this RFP are underutilized and present an opportunity for appropriate and
park-compatible adaptive reuse that will activate the premises, attract new visitors, and contribute
to quality of life and park sustainability.

Mission Statement & RFP Objectives


The mission of State Parks is to provide safe and enjoyable recreational and interpretive
opportunities for New York State residents and visitors, and to be responsible stewards of our
valuable natural, historic, and cultural resources. State Parks operates with the objective of
conserving, enhancing, and protecting the natural, ecological, historic, cultural and recreational
resources of its properties for the benefit and pleasure of existing and future generations.
The specific objectives of this RFP are as follows:

Create a mutually beneficial public/private partnership to stabilize and preserve the


equestrian structures and associated land through sensitive historic rehabilitation, reuse, and
maintenance that will restore and protect the integrity of the structures and meet the
standards of all applicable codes, rules and regulations.

Develop a strong recreational, cultural, and/or educational program to activate the


premises, such as without limitation activities relating to conservation, environmental
awareness, healthy foods, organic agriculture, and/or interpretation of the historic context
of Knox Farm State Park.

Establish and integrate a project in a manner compatible with the current operation of the
Park, existing uses, and the Parks environmental setting for the benefit of the public.

Secure fair consideration for use of the premises in the form of infrastructure or capital
improvements, continuous maintenance and/or license fee payments.

State Parks strongly encourages proposals, participation and collaboration consistent with New
York States Taste NY initiative. Taste NY was launched by Governor Andrew Cuomo in 2013 to
promote New Yorks food and beverage heritage and related industries. It is overseen by the
Department of Agriculture and Markets and has created opportunities for local producers to
showcase their goods at large public events such as the PGA Championship and the Great New
York State Fair. In this context, the structures available for adaptive reuse in this RFP may
accommodate a micro-brewery, distillery or winery, as well as complementary food, beverage and
retail concessions and visitor services, such as events, tours, educational classes and
demonstrations.
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While adaptive reuse of the structures is a central goal of the RFP, State Parks invites proposals to
re-establish or incorporate traditional equestrian-based and farm activities, and other concessions to
the park, including without limitation:
1. Stabling and boarding of horses (there are 39 stalls in two existing stables)
2. Polo matches and equestrian shows
3. Concerts/Festivals
4. Weddings, Corporate and group events
5. Trail rides, horse-drawn wagon and sleigh rides
6. Compatible agricultural activities that support core programs
7. Education programs.

Structures and Land available for this RFP


Attachments A-1 and A-2 describe in more detail the facilities and structure available at the park
for purposes of this RFP. Proposals may include some or all of the following:
1. The land area (approximately 80 acres) in the southeast section of Knox Farm State Park
as indicated on Attachment A-1.
2. Equestrian structures , shown in more detail on Attachment A-2, as follows:
An 11,200 sq. ft. main horse barn, measuring 38 x 234 plus two wings, includes 29
stalls. The building is steel and concrete construction with a white stucco exterior, clay
tile roof, and copper gutters and downspouts. It includes a tack room with fireplace and
small office as well as mens and womens restrooms. There are two apartments on the
second level available for the stable manager or other staff associated with the operation.
Note: Licensee may not offer, provide or rent residential space in the stables to
anyone not employed by the Licensee and not directly involved in the management
and operation of the activities authorized by the concession license.
The white frame stable is located southwest of the main barn and contains 10 stalls.
This building has clapboard siding and an asphalt shingle roof, with a gross area of 2,368
square feet. The large garage, also wood-frame construction with a white stucco exterior,
is available to the Licensee.
These structures are eligible for listing on the State and National Registers of Historic
Places. All capital improvement projects and interior or exterior modifications to be
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undertaken by the Licensee are subject to the prior review and written approval of State
Parks, and shall be completed in accordance with all State codes, rules and regulations,
including, when applicable, historic preservation review. Reviews for impacts on historic
structures will be guided by the Secretary of the Interiors Standards for Rehabilitation of
Historic Structures; these standards and further explanatory material may be found at
http://www.nps.gov/tps/standards/four-treatments/treatment-rehabilitation.htm.
3. The three gambrel roof barns in the dairy complex near the park entrance are available
for uses that are consistent with the Licensees overall program and compatible with the
location in the park and surrounding park activities.
Note: The equipment shed, sheep barn and fiber arts shed are not included in this
RFP and will not be included in the License awarded hereunder.
4. Facility managers residence, adjacent to the stable complex will be available for rental
by the Licensee after the October 31, 2016. The residence is approximately 1200 square
feet, two stories, cedar shake siding (painted), asphalt shingle roof (8 years old), unfinished
basement, 3 bedrooms, 1 full bathroom, 1 smaller room (office or small bedroom), kitchen,
combined living room/dining room, a mix of carpeting and hardwood flooring, no garage.
When the residence becomes available the monthly rental fee will be $895, and subject to
annual increments. Occupancy of the residence is an option and not a required element of
the proposal.
Note: Licensee may not offer, provide, rent or sublease the facility managers
residence to anyone not employed by the Licensee and not directly involved in the
management and operation of the activities authorized by the concession license.
5. Two additional residences, located at 383 Buffalo Road and 387 Buffalo Road, are also
available to the Licensee for renovation and subsequent occupancy by a member of the
Licensees corporation. These are options, not required elements of the proposal.
Note: Licensee may not offer, provide, rent or sublease the residences to anyone not
employed by the Licensee and not directly involved in the management and
operation of the activities authorized by the concession license.
Both structures are in poor condition and will require substantial renovations. In return for
the investment in renovation of the buildings, Licensee may occupy the renovated
residences for a period not to exceed ten years. After that time Licensee may continue
occupancy on a rental basis based on a monthly rental fee that reasonably reflects local
market conditions as they exist at the time.
Estimated costs to make the buildings code-compliant and habitable are as follows.
Interested parties are strongly advised to obtain their own engineering cost estimates.

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383 Buffalo Road (approximate cost):


$20,000 for foundation repair
$20,000 for siding replacement
$15,000 for window and door replacement
$15,000 for ceiling and wall drywall replacement
$35,000 for completely rebuilding front and rear porches
$10,000 for unknowns that may be discovered once opened up
Total: $115,000
387 Buffalo Road (approximate cost):
$20,000 for foundation repair
$20,000 for siding replacement
$15,000 for window and door replacement
$15,000 for ceiling and wall drywall replacement
$35,000 for completely rebuilding front and rear porches
$8,000 for rebuilding the garage
$10,000 for unknowns that may be discovered once opened up
Total: $123,000
The Park also affords a limited network of trails suitable for horseback riding. While the trails are
not included in the License and will not be under the management or control of the Licensee, the
trails may be incorporated into the Licensees program. Note that these are multi-use trails,
accommodating walkers, runners, dog walkers and others and cannot be restricted to only
equestrian use.
SEQRA Compliance, Permits and Approvals
State Parks is obligated to comply with the requirements of the State Environmental Quality
Review Act (SEQRA) and will act as the Lead Agency for purposes of SEQRA review. All
potential impacts to not only the Licensed Premises but also other areas of the State Park and
surrounding areas require identification and evaluation. The selected developer will be expected to
fully cooperate with State Parks in accomplishing the SEQRA review. The costs associated with
the SEQRA process are the sole responsibility of the selected developer even if the proposal is not
implemented as a result of the SEQRA process. For this reason, prospective candidates are
strongly advised to familiarize themselves with SEQRA guidelines. Compliance with SEQRA
requires the consideration of alternatives, including a no build alternative, all of which must be
adequately addressed in the SEQRA documentation. If during the preparation and review of an
environmental assessment it becomes apparent that there may be a significant environmental
impact, the selected developer may be required to prepare a draft environment impact statement
(DEIS) and final environmental impact statement (FEIS) pursuant to SEQRA procedures, on
behalf of and under the direct supervision of State Parks. These will be drafted for State Parks
review and acceptance as lead agency. Signature of the License is contingent on completion of the
SEQRA process.

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Construction and Building Guidelines


The New York State Building Code will apply to all work and structures. Development and use
must comply with federal Americans with Disabilities Act and implementing regulations and
standards.
As previously noted, the structures included in the Licensed Area are eligible for listing on the
State and National Registers of Historic Places. Reviews for impacts on historic structures will be
guided by the Secretary of the Interiors Standards for Rehabilitation of Historic Structures; these
standards and further explanatory material may be found at http://www.nps.gov/tps/standards/fourtreatments/treatment-rehabilitation.htm.
The Licensee is required at its expense to obtain from all appropriate government authorities all
construction and ancillary approvals for the development of the site including, but not limited to,
all building permits and approvals that would be required if the selected developer were the fee
owner of the site. The Licensee is required to comply with all applicable federal, state laws and
regulations, including any historic preservation laws and regulations, as applicable.
The Licensee shall have no rights to the use or occupation of any of State Parks lands adjoining
the project for purposes of staging, storage, construction, access, scaffolding or any other purpose
without first obtaining a Special Permit from State Parks. The Special Permit shall contain
provisions deemed material and necessary for State Parks to safeguard Park patrons and Park
property and shall include specific provisions for appropriate insurance, indemnification and terms
of use.
Please refer to Attachment C and Appendix A, included with the Sample Draft License in this
RFP, for additional information concerning construction projects.

Green Buildings Executive Order 111


All new and substantially renovated buildings of 20,000 gross square feet or larger being designed,
constructed, operated, managed, or maintained by State Entities shall, to the maximum extent
practicable, be constructed in a way that they meet the criteria for a rating from the United States
Green Building Council (USGBC) using the LEED (Leadership in Energy and Environmental
Design) Rating System. This would include buildings for State Entities whose design and
construction is funded privately. In addition, all new buildings affected by the Executive Order
must comply with specified criteria from the Green Building Tax Credit.
For more information on the LEED Rating System see http://www.usgbc.org. For more
information on the Green Building Tax Credit please see www.dec.ny.gov/regs/4475.html. To
download a copy of Executive Order 111 please see www.nyserda.ny.gov.

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Proposal Guidelines

Facility Operations
1.
Under this License the Licensee will be responsible for all maintenance and operation costs
that pertain to the approved adaptive reuse/ concession operations within the Licensed Premises.
This includes, without limitation, all utilities, barns and stables, fences and grounds maintenance.
All fences within the licensed area are the responsibility of the operator. Fence maintenance
includes replacement in kind with split rail fencing.
2.
Licensee will have use of and be responsible for maintenance of the pastures within the
Licensed Premises, including development and implementation of a pasture management plan
subject to State Parks approval. Any equipment necessary for pasture maintenance shall be
provided and maintained by Licensee.
3.
Reasonable market-based fees and charges may be incorporated into Licensees business
plan, and are subject to the prior written approval of State Parks. However, exclusive memberships
or similar mechanisms that limit access and are incompatible with the property maintaining its
status as a place of public accommodation will not be approved.
4.
Licensee is responsible for pest control on the Licensed Premises, in accordance with a
written pest control plan approved by State Parks. Use of rodenticides or other poisons is
prohibited unless specifically provided for in a written plan approved by State Parks.
5.
Any vehicles or trailers kept on the premises must have a current license and registration
issued by NYS Department of Motor Vehicles. Trailer storage will be restricted to an area
designated by the Park Manager.
6.
Any horse brought into the Park, whether for stabling, boarding, training or other purposes
shall have a current negative Coggins Certificate and proof of vaccination on an annual basis
against the diseases commonly known as Eastern and Western Equine Encephalitis, Strangles,
Rabies and Flu/Rhino. Licensee shall maintain a record of such vaccinations on premises and shall
provide copies to State Parks upon request.
7.
Licensee is responsible for proper disposal of all manure, barn waste and agricultural
waste/by-products in a manner that complies with applicable federal and state regulations. Any
equipment necessary to comply with such regulations is the responsibility of Licensee.
8.

The sale of tobacco products on premises is prohibited.


Utilities

The existing facilities (main horse barn with apartments and white stable) share single electric and
natural gas lines with the Park Managers residence, which is separately sub-metered. Water and
sewer are provided separately to the facilities; the residence is not included on that service. Utilities
will be billed to and paid by the Licensee on a pro rata basis; costs for the Managers residence
will be deducted prior to billing. If Licensee occupies the residence then all costs are the
responsibility of the Licensee. Estimates of recent costs follow.
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Utility Type
Natural Gas
Electricity
Sewer & Water

Total Annual
Cost
$7,400
$3,700
$700

Mangers
Residence
$1,700
$1,600
-0-

Estimated Annual
Licensee Cost
$5,700
$2,100
$700

for the period 06/2009 07-2010


values rounded

Utility costs cited above are historical data and provided for illustrative purposes only. Licensee is
solely responsible for utility charges as billed by State Parks. As part of any capital construction or
renovation project that requires utilities Licensee may be required to install separately metered
utility lines.

Notes
1.

Site inspection is mandatory. All interested parties must make an appointment to visit the
site. Park personnel will accompany each inspection party. Call Mr. Ron Peters, Deputy
General Manager, at 716.278.1799 for an appointment.

2.

All inquiries regarding the RFP must be addressed in writing to:


Christopher M. Pushkarsh:
Director, Regional Operations and Resource Development
Phone: 518.474.0440; Fax: 518.473.3921
Email: Christopher.Pushkarsh@parks.ny.gov
Written responses to inquiries, as appropriate, will be issued to all interested parties in the
form of addenda to the RFP.

3.

Written addenda issued by State Parks shall be the only authorized method for
communicating a clarification of modification of the timeline or terms of this RFP. Bidders
may contact the Agency as referenced above, prior to submission of a proposal to verify
receipt of the RFP and any issued addenda.

4.

This RFP is not an offer or a binding commitment to contract on the part of State Parks.
State Parks retains the right to postpone or cancel this RFP or to reject all proposals if it
determines in its sole discretion that the best interests of the State will be served thereby.
State Parks reserves the right to select the successful proposal(s) without conducting
negotiations.

5.

All procurements are treated separately and information provided in either a different bid
response or a previously awarded contract and mentioned by reference is not acceptable
documentation. All information requested must be presented in full with each bid response
as required by New York State Procurement Guidelines.

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6.

Prospective proposers are advised that Section 73(8) of the New York Public Officers Law
prohibits State Park employees from undertaking a service contract with State Parks for a
period of two years following departure from State employment. The provisions of this
section apply equally to all New York State employees, regardless of whether the employee
was full time, seasonal or part time.

7.

Should the agency be unsuccessful in reaching agreement on contract terms with the
selected proposer, State Parks will conduct contract negotiations with the next responsible
proposer.

8.

State Parks reserves the option to select the successful proposal without conducting
interviews or negotiations.

9.

State Parks shall not be liable for any costs, expenses, or losses, including without
limitation, loss of business opportunity, claimed or incurred by any party in preparation of a
proposal, or otherwise in connection with this RFP.

10.

State Parks reserves the right to disqualify any party whose conduct and/or proposal fails to
conform to the requirements of the RFP.

11.

State Parks reserves the right to seek clarifications and revisions of any proposals submitted
in response to this RFP.

12.

State Parks may require clarification of issues within a proposal at any time during the
procurement process, and/or require correction of arithmetical, grammatical or other
apparent errors for the purpose of assuring a full and complete understanding of the
proposal, and/or to determine compliance with the requirements of the RFP.

13.

State Parks acceptance of a proposal does not imply that every element of that proposal
has been accepted or is approved.

14.

Conditional or qualified bids may be rejected.

15.

State Parks grants only a right to use the Licensed Premises as is/where is and without
warranty, and subject to Licensee performing all obligations contained in the License.

16.

Licensee may be required to adhere to or utilize a standardized design style, format or


template for all advertisements as specified by State Parks.

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SUMMARY OF AND IMPLEMENTATION GUIDELINES FOR


139-j and 139-k OF THE STATE FINANCE LAW
* This summary is not intended to replace the need for persons to become familiar with the
full requirements of the law. Please refer to the full text of the law to resolve any questions
you may have with regard to your conduct under it.
Section 139-j of the State Finance Law imposes restrictions on how a person may communicate
with a governmental entity, such as the Office of Parks, Recreation and Historic Preservation
(hereafter, referred as OPRHP), concerning a governmental procurement during a period of time
called the restricted period, which is defined broadly as the period of time commencing from the
earliest written notice announcing a government procurement until the award is approved by the
comptroller.
These new requirements cover a wide range of government contracting transactions, including the
purchase of a commodity, service, technology, public work, construction and revenue contract, or
the purchase, sale or lease of real property or the acquisition or the granting of other interests in
real property (hereafter referred as governmental procurement or procurement contract.) Any
person in the private sector (hereinafter referred to as person) interested in contacting OPRHP
concerning anyone of these types of transactions is covered under the provisions of the new law,
which limits the way that such person can communicate with OPRHP during the restricted
period.
For each governmental procurement, OPRHP will designate an employee or employees that may
be contacted by persons concerning all aspects of the governmental procurement. With very few
statutory exceptions, you are required to communicate during the restricted period with this
designated person or persons. If your communication can be inferred by a reasonable person to be
an attempt to influence the procurement, by law you are required to only communicate with the
designated person or persons. If your communication is interpreted as an attempt to influence the
procurement, the designated person is required to record your name, address, telephone number,
place of principle employment, and occupation of the person making the contact and inquire and
record whether the person making the contact is a principle or was hired by the principle to make
the contact. This recorded information must be retained in the procurement record.
If, however, you communicate with someone other than the designated person or persons and your
communication can be construed by a reasonable person to be an attempt to influence the
governmental procurement, and the communication is not otherwise listed as an exception to the
law, this communication will be deemed impermissible per the terms of the law which requires that
the communication be reported to OPRHPs Ethics Officer for investigation. If a communication
during the restricted period may be deemed an attempt to influence the procurement such
communication may only be with the individuals designated by OPRHP.
It is the policy of OPRHP to interpret as broadly as possible what communications are intended to
influence the governmental procurement, and are not just those attempts to influence the
procurement in such a manner that would be in violation of the ethical prohibitions against gifts or
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which would result in any violation of the Ethics Law. Communications of a nature that are in
violation of the Ethics Law will be immediately reported to the Ethics Officer for investigation
regardless of whether the contact was made to the designated person or persons or someone else.
As referenced before, the law specifically permits certain types of contacts by persons to OPRHP
concerning the governmental procurement. These are:

the submission of written proposals in response to a request for proposal, invitation for bids
or any other method for soliciting a response from interested parties;
the submission of written questions to a designated contact, when all written questions and
responses are to be disseminated to all persons interested in such procurement;
participation in a conference where all interested parties are invited to attend;
written complaints made to the General Counsels Office of OPRHP concerning the timely
response to issues posed to the designated person, provided that such written complaints
are made part of the procurement record;
communications where the contract award has been tentatively made and where such
communications are necessary to negotiate the terms of the procurement contract;
requests made to the designated person or persons to review the procurement award;
written protests, appeals, or other review proceedings to either OPRHP or an outside
agency.

Any contact alleged to be an impermissible contact under the law will be immediately referred to
and investigated by OPRHPs Ethics Officer. The Ethics Officer shall promptly investigate the
allegation by interviewing all employees or persons involved or who are believed to have
information about the impermissible contact. If sufficient cause exists to believe that such
allegation is true, the person being investigated shall be given notice that an investigation is
ongoing and such person shall be afforded an opportunity to be heard in response to the allegation
either by responding in writing or by providing a statement before the Ethics Officer, who shall
record by appropriate means such statement for the record. The Ethics Officer shall keep a record
of the investigation and shall make a written finding of the results of such investigation and report
these findings to the Commissioner. In addition, a finding by the Ethics Officer that a person has
knowingly and willingly violated the law by making an impermissible contact shall result in a
determination of non-responsibility and such person and all associated subsidiaries of such person
shall not be awarded the procurement contract. The determination of non-responsibility shall also
be forwarded to the Commissioner of the Office of General Services (or designee), which by law is
required to keep a list of such determinations for public inspection. Determinations of nonresponsibility must be disclosed in all future responses to New York State procurements. With few
exceptions, no procurement contract shall be awarded to any person who fails to disclose findings
of non-responsibility within the previous four years.
February 2006

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Designated Contacts
The following individuals are the only designated contacts for the purposes of this RFP process:
Christopher M. Pushkarsh:

Director, Regional Operations and Resource Development


Phone: 518.474.0440; Fax: 518.473.3921
Email: Christopher.Pushkarsh@parks.ny.gov

Ronald Peters:

Deputy General Manager, Western District, Niagara Falls State Park


Phone: 716.278.1799; Fax: 716.278.1756
Email: Ronald.Peters@parks.ny.gov

NOTE: A vendor is authorized to speak with representatives other than the designated contact(s)
for the sole purpose of the site visit (to arrange attendance, during the conduct of the visit and pose
questions regarding the site).
Summary of Minimum Financial Requirements
1.

Proposals must include a mandatory capital investment commitment equal to 100% of costs
necessary to complete the proposed project(s). Proof of financing, with sufficient assets and
liquidity to accomplish the project in the proposed time line, must be included in the
proposal. Licensees capital commitment shall be expended according to schedule
recommended by Licensee in its response to the RFP, unless otherwise directed by State
Parks.
In the context of this RFP, an expense is generally considered to be a capital expenditure by
State Parks when an asset with a useful life of more than one year is newly purchased, or
the expenditure is an investment that improves the useful life of an existing capital asset.
Initial start-up costs and purchases such as signage, equipment, small wares, and trade
fixtures necessary to launch a new venture may also qualify; however routine operating and
maintenance costs are specifically excluded. All assets purchased as part of the capital
investment obligation immediately become the property of State Parks.

2.

All proposals must include detailed pro-forma statements of projected revenues,


expenses and capital investments over the proposed term of the license. Please include
calculations of the amortization schedule used to determine the recommended term, with an
explanation of all assumptions incorporated into the schedule. For comparison purposes in
the evaluation of proposals, the relative value of all capital offers will be evaluated utilizing
the concept of present value or similar calculations.

3.

a)
The minimum annual License Fee is twenty-five thousand dollars ($25,000), which
shall escalate annually by the Consumer Price Index, but in no case shall decrease from the
amount of the previous year.

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b)
Each proposal must offer additional annual License Fees, expressed as a percentage
of gross receipts and/or an annual flat fee. Proposals for additional annual flat fees should
include a provision for escalation over time, such as adjustment through the Consumer
Price Index. The minimum additional license fee is 5% of gross receipts or $5,000 per year.
c)
All business activity conducted pursuant to the License is subject to License Fee
calculations.
4.

Licensee shall deposit $5,000 annually into a Replacement and Refurbishment Account.
This amount shall escalate annually by the Consumer Price Index, but in no case shall
decrease from the amount of the previous year. The R&R Account provides a source of
funding for new, replacement and refurbishment of the facilities of the Licensed Premises
and related equipment. These account contributions shall be distinct and separate from the
license fees to be paid to State Parks, capital investment obligations and any maintenance
or operational obligations required by this License.

5.

Licensee will pay all utility costs either directly billed or on a pro rata basis.

6.

At its sole discretion, State Parks may require a performance bond or other security
acceptable to Parks as provided for in Section 6 of the Sample License.

7.

At its sole discretion, State Parks may require a capital performance bond, letter of credit or
other form of security in an amount to be determined by State Parks based on the financial
strength and credit-worthiness of the Licensee, and the risk presented by the successful
proposal.

8.

Licensee shall be solely responsible for the payment of any and all applicable taxes,
surcharges and/or fees required under this license, which fees shall be payable to the
appropriate federal, state and/or local agencies by the Licensee.

9.

All costs associated with the provision of insurance as specified by State Parks. For specific
requirements please refer to Paragraph 36 of the attached Sample Draft License.
Form of Written Proposals

All proposals responding to this RFP shall be in writing and shall include all required attachments
and certifications. Proposers shall use the Proposal Form included herein, which shall be
completely filled out in ink. The proposal and required forms must be signed by an officer or
authorized agent of the proposing party and submitted in a sealed envelope clearly marked: Knox
Farm Equestrian Concession Proposal X001255. All fee offers shall be made using the
Proposal Form included with this RFP. The License fee, once accepted by State Parks, shall be
binding upon Licensee.
Failure to submit proposals by the time and at the place described herein; or failure to comply with
any of the requirements set forth in this RFP, or modification of the Business History Form or
Proposal Form in a proposal may result in disqualification of a proposal from consideration.
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Forms and Documents Required For Submission


All proposals should contain the following:
1.

Concession Proposal Cover Page.

2.

A completed and properly executed Proposal Form, including the Public Officers
Certification. All blanks must be filled in, and a License Fee and a Capital Investment must
be offered.

3.

A recommended length of term of the license should be included, with supporting


documentation.

4.

A complete written description of the substance of the proposal, including a detailed plan
of the manner in which Licensee will undertake to achieve the goals of this RFP.

5.

The proposal must state if any of the optional structures (Park Managers house, one or
more of the three gambrel roof barns, and the single family homes 383 and/or 387 Buffalo
Avenue) are included. If included, the narrative should discuss how the buildings will be
used to support the proposed program, and include a restoration program for the gambrel
roof barns and the single family homes on Buffalo Avenue.

6.

A detailed business plan, including but not limited to a pro forma projection for the
proposed term of the license (see sample on page 18) that identifies and accounts for all
anticipated revenue sources, business and marketing opportunities to be captured, and
anticipated expenses to be incurred by Licensee. A detailed project budget must be
included. Note: State Parks may request the pro forma in an Excel workbook format.
Documentation of financial capability, including liquidity of assets, should be provided.

7.

An operation plan that provides a detailed and comprehensive approach to the


management, maintenance, development and improvement of the Licensed Premises.
Staffing plans and days and hours of operation are to be provided.

8.

Resumes and/or career summaries demonstrating the relevant background, education, and
experience of principal members of the Licensees firm or organization, project team and
all key participants. An organizational chart and/or description reflecting the corporate
structure, chain of command, and/or composition of the proposing party and all participants
should also be provided.

9.

An assessment of the impact of the proposed development program on the resources,


programs and facilities of Knox Farm State Park.

10.

A duly completed and verified Business History Form, together with a current verified
financial statement. The proposer must demonstrate the financial capability to undertake
the project as proposed. Bidders are requested to provide independently verifiable

14

RFP X001255

Knox Farm Equestrian Center


Proposal Guidelines

documentation of their financial capacity to undertake both the capital investment and
operational costs associated with their proposal.
11.

If proposer is a not-for-profit, must include the entitys Mission Statement, Certificate of


Incorporation, By Laws, Tax Form 990, IRS Letter of Determination of 501(c)(3) status
and New York State Charities Registration number, if applicable.

12.

Ten (10) complete copies of the proposal and all attachments. All copies must be
submitted with original signatures.

Supportive Materials to Be Submitted


Proposers are encouraged to include with their written proposals as much additional detail as
possible in order to completely illustrate and explain their proposals and business plan. Proposers
must provide an original and not less than ten (10) complete copies of the proposal on the proposal
date. Original signatures are required on all copies.

Modification or Withdrawal of Proposals


Proposals shall be firm and not revocable for a period of sixty (60) days unless withdrawn as
provided herein. Modification or withdrawal of a proposal must be in writing, dated and signed by
the signatory to the original proposal submission. The modification or withdrawal must be
submitted in a sealed envelope clearly marked Modification to Knox Farm Equestrian
Concession Proposal X001255: Submitted by [Proposers Name] and will not be considered
unless actually received by State Parks prior to the time of the scheduled bid opening.
State Parks reserves the right to reject any proposal that is incomplete or non-responsive, or
that alters any required terms or conditions of this RFP, or that contains any other
irregularities. Please note that original signatures are required on all copies.

License Documents
The License to be awarded will include the following components:
1.
2.
3.
4.
5.
6.
7.

Request For Proposals (RFP)


Proposal Form & Successful Proposal
General Conditions for State Parks Concession Licenses
Attachment A - Description of the Licensed Premises
Attachment B - Inventory of Equipment
Attachment C - Requirements for Capital Improvement Projects
Appendix A - Standard Clauses for New York State Contracts

15

RFP X001255

Knox Farm Equestrian Center


Proposal Guidelines

Award of the License


The License will be awarded to the responsible proposer who best demonstrates relevant
experience and expertise; who, upon evaluation of all proposals received, best responds to this
RFP; who offers the best value to the state; and who, in the judgment of State Parks, will best serve
the public interest.
State Parks reserves the right to reject any and all proposals, and to waive technicalities,
irregularities and omissions or solicit new proposals if, in State Parks judgment, the best interests
of the State will be served thereby.

Evaluation of All Proposals Criteria


Parties should carefully review the goals and requirements of this RFP, including all License
Documents, Attachments and Addenda. All parties who submit a conforming written proposal may
be required to make a formal presentation of their qualifications and experience and elaborate on
the substance and assumptions of their proposal. Formal presentations will assist State Parks in
evaluating written proposals (excluding financial components) against the criteria listed below.
Each proposal will be evaluated on criteria that will include the following:
Category A: Background and Experience - 30 Points
1. Detailed review of background and past performance on similar ventures.
2. Personnel: qualifications and experience of Proposers team; including, but not limited to,
managerial capabilities, organizational structure, and training programs.
3. Business Plan and evidence of financial strength, stability, and business administration.
Category B: Response to the Request for Proposals - 45 Points
1. Proposal for the concession, including development, construction, operation, management,
maintenance, and staffing plans.
2. Public image, marketing and promotion plans.
3. Capital improvement plans, including details on design and construction, project budget,
and experience of key staff
4. Assessment of the impact of the proposed development program on the resources,
programs and facilities of Knox Farm State Park and appropriateness of proposal to the
park setting;

16

RFP X001255

Knox Farm Equestrian Center


Proposal Guidelines

Category C: Return to the State - 25 Points


1. License Fee: Parties are required to respond with an annual license fee offer for term of the
license as expressed on the Proposal Form
2. Capital Investment: Parties are required to respond with a firm commitment of funds
required to complete the project.
The first two areas listed above (A & B) shall be evaluated by a State Parks Review Panel.
Responses to item C constitute the total Return to the State (RTS). The proposal offering the
highest RTS shall be awarded the full 25 points allocated to this portion of the evaluation of
proposals. The points to be awarded to the proposal with the next and succeeding RTS will be
calculated by computing each proposals RTS percentage of the highest RTS and multiplying that
percentage by 25 (the total points available in this category). No decimal values will be considered.
For evaluative purposes, decimal points are rounded down to whole numbers. The responsible
Proposer with the highest total (A through C) score will be awarded the license.
In the event that the scoring results in a tie, the License will be awarded to the firm with the highest
aggregate scores in Categories A & B. Should State Parks unable to reach agreement on a contract
with the first place proposer the license will be offered to the proposer with the next highest score.
Unsuccessful proposers will be offered an opportunity to be debriefed by State Parks regarding the
reasons why their proposal was not selected for award.

Freedom of Information Law


State Parks is subject to the Freedom of Information Law, which governs the process for the public
disclosure of certain records maintained by State Parks (Public Officers Law, Sections 87 and 89).
Individuals or firms that submit proposals to State Parks may request that State Parks except all or
part of such proposals from public disclosure, pursuant to Section 87(2)(d) of the Public Officers
Law, on the grounds that the proposal contains trade secrets, proprietary information, or that the
information, if disclosed, would cause substantial injury to the competitive position of the
individual or firm submitting the information. Such exception may extend to information contained
in the request itself, if public disclosure would defeat the purpose for which the exception is
sought. The request for an exception must be in writing and state, in detail, the specific reasons for
the requested exception. It must also specify the proposal or portions thereof, for which the
exception is requested. If State Parks grants the request for exception from disclosure, State Parks
shall keep such proposal or portion thereof in a secure place.

17

Sample Pro Forma Revenue and Expense Projection


Year

Y1

Y2

Y3

Y4

Y5

Y6

Y7

Y8

Y9

Y10

2013

2015

2016

2017

2018

2019

2020

2021

2022

2023

Total

Projected Gross Receipts


Source 1

Source 2

Source 3

Total Gross Receipts

Less: Cost of Goods Sold

<$

Gross Profit

Expenses

Wages and Salaries

Taxes

Licenses and Fees

$
>

<$

$
>

<$

$
>

<$

$
>

<$

>

<$

$
>

<$

$
>

<$

$
>

<$

$
>

<$

$
>

<$

Advertising

Insurance

Workers Compensation

Maintenance and Repairs

Uniforms and Linen

Heat

Propane/Natural Gas

Electricity

Other Utilities

Telephone

Office Expenses

Computers/Data Processing

Miscellaneous Expenses

Capital depreciation

License Fee (% of gross or flat fee)

R & R Account (3% gross)

Total Expenditures

Net profit

o This is a sample pro forma only and is included to demonstrate the type of information State Parks is requesting through this RFP process.
o Use of this form is optional. However, a pro forma as part of your proposal is required. Proposals submitted without a pro forma may be eliminated from consideration.
o Add or delete items as appropriate to the proposed operation.

18

o Revenue numbers should be projected figures based upon your business plan, historical sales and projected annual growth.

>

RFPX001255

19

RFPX001255

20

Concession Proposal Cover Page


Knox Farm Equestrian Center and/or Agricultural Proposal X001255
This Concession Proposal Cover Page should be the first page on the entire proposal responding to this
Request For Proposals. All proposals responding to this RFP shall be in writing and shall include all
required attachments and certifications. Failure to submit proposals on or before the time and at the place
described herein; or failure to comply with any of the requirements set forth in this RFP; or modification of
the Business History Form or Proposal Form may result in disqualification of a proposal from consideration.
Forms and Documents Required For Submission
All proposals should contain the following:
1.
[]
Concession Proposal Cover Page.
2.

[]

A completed and properly executed Proposal Form, including the Public Officers
Certification, for this RFP. Proposals that are not properly signed and dated will be
rejected.

3.

[]

A duly completed and certified Business History Form, together with a current certified
financial statement or other documentation of financial capability.

4.

[]

A complete written description of the substance of the proposal, which includes but is not
limited to the following components:

a)

[]
A detailed business plan (with pro-forma revenue and expense projections for the
proposed term) that identifies and accounts for all anticipated revenue sources, business and
marketing opportunities to be captured. Include a detailed project budget, both capital and
operating.

b)

[]
A detailed maintenance and operation plan addressing all aspects of the proposed
operation, including but not limited to staffing plans and hours of operation.

c)

[]
Marketing, promotion and advertising programs that will support the proposed
operation and enhance Knox Farm State Park.

d)

[]
An assessment of the impact of the proposed development program on the
resources, programs and facilities of Knox Farm State Park.

5.

[]

Resumes and/or career summaries demonstrating the relevant background, education, and
experience of principal members of the Licensees project team and all key participants, as
well as an organizational chart or description reflecting the corporate structure.

6.

[]

If a not-for-profit, include a copy of the IRS Letter of Determination of 501(c)(3)


certification and a New York State Charities Registration number is required.

7.

[]

Ten (10) complete copies of the proposal. Original signatures are required on all copies.

Name:

_____________________________________________________________________
Signature

Date

Typed:

_____________________________________________________________________

Firm Name:

_____________________________________________________________________

Email Address:

___________________________________________________________________

Address:

_____________________________________________________________________

City, State, Zip:

_____________________________________________________________________
21

NO BID LETTER
Potential bidders who decide NOT to submit a proposal in response to this Request for Proposals
(RFP) are respectfully invited to email a completed scanned copy of this No Bid Letter to
concessions@parks.ny.gov or return it to the address below. Thank you.
DO YOU WISH TO REMAIN ON OUR BIDDING LIST? [ ] YES

[ ] NO

Date: _______________________
Christopher M. Pushkarsh
Concessions Management Bureau
NYS Office of Parks, Recreation and Historic Preservation
Albany, NY 12238-0001
Dear Mr. Pushkarsh:
Re:

Request For Proposal RFP X001255


Adaptive Reuse and/or Operation of Equestrian Structures
Knox Farm State Park Niagara Region

We did not submit a proposal for the above- referenced Request for Proposals (X001255).
The reason for not submitting is:
1) [ ] Not enough time to respond to the RFP.
2) [ ] Not the business we are interested in providing.
3) [ ] Not the location we are interested in serving.
4) [ ] The RFP is too complicated to understand.
5) [ ] The RFP has too many requirements.
6) [ ] Other: ____________________________________________________

Name: ________________________________________________________________________________
Firm Name: ____________________________________________________________________________
Address:_______________________________________________________________________________
City, State, Zip:_________________________________________________________________________
Email: ________________________________________________________________________________
Phone: _______________________________________________________________________________

*FINANCIAL PROPOSAL/BID FORM FOLLOWS*


22

NEW YORK STATE


OFFICE OF PARKS, RECREATION AND HISTORIC PRESERVATION

FINANCIAL PROPOSAL/BID FORM


Request For Proposals #X001255
For A License to Operate an Equestrian Center
Knox Farm State Park, East Aurora, Erie County, NY
THE NEW YORK STATE OFFICE OF PARKS, RECREATION AND HISTORIC
PRESERVATION RESERVES THE RIGHT TO REJECT ANY OR ALL PROPOSALS.
To Whom It May Concern:
1)
Pursuant to and in compliance with the instructions, conditions and terms set forth in the
attached Request for Proposals (RFP), License documents and the proposal submitted by the
undersigned, the undersigned hereby offers to pay State Parks as consideration and compensation
for a license and for the privilege of performing pursuant to the license described above:
A.

The minimum annual License Fee is twenty-five thousand dollars ($25,000), which
shall escalate annually by the Consumer Price Index, but in no case shall decrease
from the amount of the previous year.
In addition to the minimum annual License Fee, for the privilege of performing
pursuant to the foregoing, the undersigned will pay to State Parks a license fee
equal to a percentage of gross receipts as follows:
________________________%,
___________________________
(numbers)
(words)
Minimum: Five percent (5%)

and/or
In addition to the minimum annual License Fee, for the privilege of performing
pursuant to the foregoing, the undersigned will pay to State Parks an annual license
fee (flat fee) as follows:
$__________________________,
___________________________
(numbers)
(words)
Minimum $25,000. The additional license fee shall escalate annually by the
Consumer Price Index or such other mechanism proposed by the
respondent, and accepted and approved by State Parks.

23

X001255 Knox Equestrian

Financial Proposal/Bid Form

and
B.
For the privilege of performing pursuant to the foregoing, a capital investment that
the undersigned will pay or invest as directed by State Parks as follows:
$_________________________,
(numbers)

___________________________________
(words)

For comparison purposes in the evaluation of proposals, the relative value of all capital
investment offers will be evaluated utilizing the concept of present value or similar
calculations.

and
C.
The undersigned requests a term of the license of _____ years, to begin upon
approval of the License by the Office of the State Comptroller. Legislation has been
enacted that authorizes a term up to 40 years. State Parks will consider an extended term
depending on the specific characteristics of a given proposal, including but not limited to
the capital investment offered by the successful proposer and the time required to amortize
such investment.

and
D.
Licensee shall abide by and meet all financial and other obligations required by the
License, including, without limitation:

$5,000 annual payment shall be deposited into a Repair and Refurbishment


Account;

at the discretion of State Parks, a performance bond or other security in an


amount equal to the first years License Fee plus R&R Account deposits plus utility
charges shall plus house rental fees (if any) shall be posted;

at the discretion of State Parks, a capital investment bond or other security


in an amount equal to the proposed capital investment shall be posted;

100% of utility costs; all insurance costs and, one hundred percent (100%)
of solid waste management costs shall be paid.
2)
The undersigned acknowledges his or her understanding of the policy concerning Minority
and Women Business participation in the Office of Parks, Recreation and Historic Preservation's
concession program, and pledges to cooperate with the Office of Parks, Recreation and Historic
Preservation in the implementation of this policy, and further pledges to exert his or her best efforts
to achieve participation by minority and female employees and minority and women-owned
businesses.

24

X001255 Knox Equestrian

3)

Financial Proposal/Bid Form

The undersigned hereby certifies his or her compliance with the following:
NON-COLLUSIVE PROPOSAL CERTIFICATION
By submission of a proposal and this Proposal Form, the proposing party and each person
signing on behalf of another Proposer certifies and affirms, and in the case of a joint
proposal, each party thereto certifies, affirms and warrants under penalty of perjury:
A)
The prices and offers set forth herein and in the proposal have been arrived at
independently without with any collusion, consultation, communication, or agreement with
any other party or competitor, aimed at, or for the purpose of, restricting competition; and
B)
Unless otherwise required by law, the prices and offers which have been quoted in
this proposal have not been knowingly disclosed by the Proposer and will not knowingly be
disclosed by the Proposer prior to opening, directly or indirectly, to any other Proposer or
to any competitor; and
C)
No attempt has been made or will be made by the Proposer to induce any other
person, partnership, corporation or entity to submit or not to submit a proposal for the
purpose of restricting competition.
D)
Bidder has reviewed the enclosed Parks guidelines regarding the Procurement
Lobbying Law, and understands:
1. which contacts with Parks procurement staff are considered permissible
during the restricted period of this solicitation, and affirms that it understands and
agrees to comply with the procedures of State Parks relative to permissible contacts
as required by State Finance Law 139 (j) and 139 (k); and,
2. the consequences of violating the statute, and the actions that would be taken by
Parks in such an event.
E)
Within the previous four years, has the bidder been found non-responsible by a
government entity? (check one)
______ Yes

______No

F)
If yes, was the determination of non-responsibility due to (1) engaging in
impermissible contacts with a government entity, or (2) the intentional provision of false or
incomplete information to a government entity? (check one)
_____Yes

______N.A.

(If yes, please explain on a separate sheet.)


25

X001255 Knox Equestrian

Financial Proposal/Bid Form

5.
The undersigned has carefully examined the RFP and License documents and has carefully
prepared its proposal. The undersigned agrees to perform pursuant to the License and to provide all
services, labor, material and equipment necessary in connection therewith. The undersigned
acknowledges that the foregoing terms present a reasonable opportunity for profit by the
undersigned. In addition, the bidder certifies that all information submitted regarding the
Procurement Lobbying Law is complete, true and accurate. If such information is found to be
intentionally false or intentionally incomplete, Parks reserves the right to terminate the resulting
contract.

Note: Proposals that are not signed and dated shall be eliminated from
consideration in the award of this license.
======================================================================
Date: _________________

SIGNED:

________________________________________

Company Name:

__________________________________________________________

Street Address:

__________________________________________________________

______________________________________________________________________________
Mailing Address (if different from street address)
________________________________________________________________________
Federal I.D. Number:

___________________ Telephone Number:

Facsimile Number:

___________________ E-mail address:

____________________
_______________________

If proposer is a corporation, indicate officers, or if proposer is a firm, indicate members, or if


proposer is a partnership, indicate partners.
Name

Legal Residence

_______________________________________________________________________________President
/Member/Partner
_______________________________________________________________________________Vice
President/Member/Partner
_______________________________________________________________________________Secretary
/Member/Partner
_______________________________________________________________________________Treasurer
/Member/Partner

**PUBLIC OFFICERS CERTIFICATION FORM FOLLOWS**


26

X001255 Knox Equestrian

Public Officers Certification

Public Officers Certification


The Following Prohibitions Pertain to the Sale of Goods and Services by State Employees to
New York State Agencies Pursuant to the NYS Public Officers Law
A. Current employees of New York State cannot sell goods or services valued at $25 or more to
any state agency, either as a private contractor or through a company in which that employee holds
ownership of at least 10%, unless the procurement opportunity is first advertised in the NYS
Contract Reporter and competitively bid, and there are no other conflicts presented that would
violate any provisions of 74 of the Public Officers Law.
B. Relatives (defined as any person living in the same household as you and any person who is a
direct descendent of your grandparents or the spouse of such descendant) of current State Parks
employees working at the park in which this concession is located may be barred from providing
services to State Parks, depending on the specific circumstances. If this applies to any member of
the proposing organization, please explain below.
C. Former employees of the New York State Office of Parks, Recreation and Historic
Preservation (State Parks) cannot sell goods or services to State Parks under any circumstance for
two (2) years following the date they leave Parks employ. (This applies only to Parks and Parks
employees, and does not preclude a former employee of another state agency from selling goods or
services to Parks within two years following the last date of that persons state employment.)
Please check (x) as appropriate, sign and date
[ ]

A. I am currently a state employee, and/or own at least 10% of the company that is being
asked to provide goods or services to Parks.

[ ]

B. I am a relative of ________________________________, a State Parks employee


who works at the park in which this concession is located. The employees title is
____________________________ and his/her responsibilities are
___________________________________________________________________.

[ ]

C. I am a former State Parks employee, and my service with the agency ended less than
two (2) years prior to the date of my signature below.

[ ]

D. None of the above applies.


_________________________________
(signature)
_________________________________
(name printed)

27

_______________
(date)

X001255 Knox Equestrian

Business History

BUSINESS HISTORY
This License shall be awarded to the responsible proposer who, at the discretion of the State Parks
taking into consideration the reliability of the proposer and the capacity of the proposer to perform
the services required by State Parks, will provide best value and best promote the public interest.
In addition to the submission of proposals, each proposer shall complete and submit this
questionnaire. The questionnaire shall be filled out by the owner of a sole proprietorship or by an
authorized representative of the firm, corporation or partnership submitting the proposal.
Proposer shall mean any firm, affiliate, owner, officer, major stockholder (5% or more shares) or
any person involved with the bidding or contracting process.
Personal Information Notification
The Office of Parks, Recreation and Historic Preservation is authorized to collect and maintain this
information by Section 3.09 of the Parks, Recreation and Historic Preservation Law. The
information will be used to determine the reliability and capacity of the proposer to perform the
work required in the proposal. If the information is not complete, the proposal may not be
considered. The information will be maintained in the files of the Director of the Bureau of
Concession Management, Office of Parks, Recreation and Historic Preservation, Albany, New
York, 12238, 518.486.2932. This information may be disclosed pursuant to the provisions of the
Freedom of Information Act.
(USE ADDITIONAL SHEETS
FOLLOWING QUESTIONS)

IF

NECESSARY

TO

FULLY

ANSWER

THE

Date: ______________________

1.

Legal Name: ______________________________________________________________

2.

Address of Place of Business: ________________________________________________


________________________________________________

3.

Mailing Address (if different): ________________________________________________


________________________________________________
Federal I.D. No. or Social Security No.: (circle one & provide No.) _____________________
Telephone: __________________________ Cell Phone: _________________________
Facsimile: __________________________

28

E-mail: _____________________________

License 001255

4.

Business History Form

The proposer is a (check one):


____ Sole proprietorship; ____ Partnership; _____ Corporation;

Other (please describe):


_______________________________________________________________________________
_______________________________________________________________________________

If a corporation please include a certificate of incorporation.

For all businesses, please include verification of your authorization to conduct business
in the state of New York.
5.

As an attachment to this form, please provide the following information:


A)
Describe any training or experience that qualifies the proposer for providing the
services called for in this License. Provide relevant dates, locations, company names,
revenues earned, etc.
B)
Describe the design, management and implementation plan for providing the
services called for in this License.
C)
Provide the names and addresses for no fewer than three references for whom the
proposer has provided similar services or who are qualified to evaluate the proposers
capability to perform this work.
D)
Provide any other information, which would be appropriate or helpful in
determining the proposers capacity and reliability to perform these services.

All proposers must answer questions 6 and 7. However, if the proposer is a new business
formed to respond to this RFP, the questions should be answered for each owner, principal
or officer of the business.
6.

Has the proposer ever had a bond or surety canceled or forfeited, or a license or permit
issued by New York State and/or any other state terminated?
Yes ____ No ____ If YES, state the name of bonding agency (if a bond), date, amount of
bond and reason for such cancellation or forfeiture; or details regarding the termination (if a
license or permit).
_________________________________________________________________________
_________________________________________________________________________
29

License 001255

7.

Business History Form

Has the proposer, during the past seven (7) years filed for bankruptcy, or been declared
bankrupt?
Yes ____ No ____
If YES, state date, court jurisdiction, amount of liabilities and amount of assets:
_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________

The undersigned hereby certifies and affirms that the foregoing statements and all
information provided herein are complete, true and accurate. State Parks reserves the right
to reject any proposal or terminate any license if it is determined that information provided
was intentionally omitted or falsified.
Signature of Owner/Officer ______________________________
Printed Name of Signatory ______________________________
Title ______________________________
Date ______________________________
By signing this proposal, the bidder(s) hereby give permission to State Parks to proceed with
financial as well as credit and background checks as deemed necessary and prudent by State Parks
to protect the States interest.

30

NEW YORK STATE


OFFICE OF PARKS, RECREATION
AND HISTORIC PRESERVATION

S
A
M
P
L
E

License #XXXXX
at Knox Farm State Park
East Aurora, New York
By:
XXXXXX

License X001255
Table of Contents
NO BID LETTER ......................................................................................................................... 22

S
A
M
P
L
E

1.

LICENSE DOCUMENTS ............................................................................................................. 1

2.

DEFINITION OF TERMS ............................................................................................................ 2

3.

TERM ...................................................................................................................................... 3

4.

GRANT OF LICENSE ................................................................................................................. 3

5.

CONSIDERATION ..................................................................................................................... 3

6.

PERFORMANCE BOND ............................................................................................................. 4

7.

CAPITAL INVESTMENT ............................................................................................................ 5

8.

INSPECTION OF PREMISES........................................................................................................ 5

9.

LICENSEES PROPOSAL............................................................................................................ 6

10. PERFORMANCE ........................................................................................................................ 6


11. COORDINATION WITH STATE PARKS OFFICIALS .................................................................... 6
12. FACILITY OPERATIONS............................................................................................................ 6
13. QUALIFIED STAFF ................................................................................................................... 9
14. EMPLOYEE UNIFORMS AND CONDUCT .................................................................................. 11
15. EMPLOYEE HOUSING ............................................................................................................ 11
16. HOUSEKEEPING AND SANITATION ......................................................................................... 11
17. TRASH AND DEBRIS .............................................................................................................. 12
18. HAZARDOUS MATERIALS ...................................................................................................... 12
19. DELIVERIES........................................................................................................................... 13
20. UTILITIES .............................................................................................................................. 13
21. CAPITAL IMPROVEMENT PROJECTS ....................................................................................... 14

License X001255 Knox Farm Equestrian Center


Table of Contents
22. CONSTRUCTION BY LICENSEE ............................................................................................... 14
23. REPLACEMENT & REFURBISHMENT ACCOUNT...................................................................... 15
24. MAINTENANCE AND REPAIRS................................................................................................ 16
25. SECURITY OF LICENSED PREMISES ........................................................................................ 18
26. PRICING ................................................................................................................................ 18
27. SPECIAL EVENTS ................................................................................................................... 19
28. ADVERTISING ........................................................................................................................ 20
29. SPONSORSHIPS ...................................................................................................................... 20
30. SALE OR DISTRIBUTION OF PRODUCTS OR SERVICES NOT AUTHORIZED ............................... 20
31. RIGHTS RESERVED BY STATE PARKS .................................................................................... 21
32. SIGNAGE ............................................................................................................................... 21
33. BOOKS OF ACCOUNT AND FINANCIAL REPORTING................................................................ 21
34. INSURANCE ........................................................................................................................... 22
35. INDEMNITY & CLAIMS .......................................................................................................... 24
36. RIGHTS UPON LOSS FROM CASUALTY .................................................................................. 25
37. TERMINATION ....................................................................................................................... 26
38. FORCE MAJEURE ................................................................................................................... 28
39. COMPLIANCE WITH ALL LAWS, RULES AND REGULATIONS................................................... 28
40. CHOICE OF LAW/DAMAGES .................................................................................................. 29
41. REQUIRED CLAUSES.............................................................................................................. 29
42. INTEGRATION CLAUSE .......................................................................................................... 29
43. RIGHTS OF THIRD PARTIES.................................................................................................... 29
44. AGENCY ................................................................................................................................ 29
45. USE OF LICENSED PREMISES ................................................................................................. 29

ii

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46. INGRESS AND EGRESS ........................................................................................................... 30
47. RIGHTS OF ENTRY RESERVED ............................................................................................... 30
48. RIGHT OF RE-ENTRY ............................................................................................................. 31
49. WAIVER OF REDEMPTION ..................................................................................................... 31
50. REMEDIES AND SUITS AGAINST LICENSEE ............................................................................ 31
51. SURRENDER .......................................................................................................................... 31
52. ACCEPTANCE OF SURRENDER OF LICENSE ............................................................................ 32
53. PUBLIC ACCESS .................................................................................................................... 32
54. SUB-LICENSING .................................................................................................................... 32
55. NOTICES................................................................................................................................ 32
56. REQUIRED APPROVALS ......................................................................................................... 34
SIGNATURE PAGE............................................................................................................................35
ATTACHMENT A-1 ..........................................................................................................................37
ATTACHMENT A-2 ..........................................................................................................................38
ATTACHMENT B ..............................................................................................................................39
ATTACHMENT C ..............................................................................................................................40
ATTACHMENT D .............................................................................................................................42

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STATE OF NEW YORK


OFFICE OF PARKS, RECREATION & HISTORIC PRESERVATION

at
Knox Farm State Park, East Aurora, Erie County, NY
Concession License #X001255

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This License (License) made this __ day of _______, 201_ by and between the State of New
York, acting by and through the Office of Parks, Recreation and Historic Preservation
(hereinafter State Parks), with offices at 625 Broadway, Albany, New York 12238, and TBD
(hereinafter the Licensee), with offices at TBD.

WITNESSETH:

WHEREAS, pursuant to subdivision 2-a of Section 3.09 of the Parks, Recreation and Historic
Preservation Law, State Parks is authorized to enter into concession licenses for facilities
operated in New York State Parks; and
WHEREAS, State Parks has formally requested proposals for the referenced State Park; and
WHEREAS, State Parks has reviewed and evaluated proposals and determined that Licensee
submitted the proposal that demonstrates the best relevant experience and expertise; that best
responds to the Request For Proposals; that offers the best value to the State; and that will best
serve the public interest; and
WHEREAS, Licensee has agreed to assume all obligations under the License.
NOW, THEREFORE, in consideration of the mutual covenants and conditions contained in this
License, State Parks and Licensee agree as follows:
1.

License Documents

a)
This Concession License is also comprised of the following documents, all of
which are hereby incorporated by reference:
i.

License X001255

ii.

Request For Proposals, including Addenda

iii.

Proposal Form & Successful Proposal

iv.

Attachment A-1 & A-2 Description of the Licensed Premises

v.

Attachment B Inventory of Equipment

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vi.

Attachment C Requirements for Capital Improvement Projects

vii.

Attachment D Capital Improvement Schedule

viii.

Appendix A Required Clauses for All New York State Contracts

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b)
In the event of any inconsistency in or conflict among the document elements of
the Lease identified herein, such inconsistency or conflict shall be resolved by giving
precedence to the document elements in the order set forth below.
i.

Appendix A - Required Clauses for All New York State Contracts;

ii.
License X001255, including all schedules, exhibits, attachments and
amendments;
iii.
RFP and Addenda, including any modifications by State Parks and by
official State Parks responses to questions; and
iv.
2.

Contractors Proposal in Response to the RFP (RFP Response).

Definition of Terms

Unless the context of any provision of this License specifically provides otherwise:
a)
Knox Farm State Park shall mean those areas located in the Village of East
Aurora, Erie County, State of New York, under the jurisdiction of State Parks.
b)
Licensed Premises shall refer to that part of the Knox Farm State Park further
described and delineated in Attachment A hereto, within which Licensee is authorized to
operate pursuant to this License.
c)
Except as provided for below, the term gross receipts as used in this Lease shall
mean the total amount received by, or accruing to, Lessee, its agents, employees and
contractors by reason of the privileges granted under this Lease, from any and all sales
for cash or credit, for consumption or use on or off the Leased Premises of any goods or
services (including without limitation, catalog, Internet and telephone sales) as may be
specifically allowed hereunder and approved by State Parks, or otherwise.
Only the following may be excluded or deducted from the gross receipts for the purpose
of computing the reports and rent payments due State Parks:
i.
excise, sales or other taxes which are imposed upon the sale of goods or
services and which are collected by the Lessee, including any taxes or other levies
of a different character imposed on the Lessee subsequent to the date of this Lease
which are intended as substitutes for or to complement any such taxes. This

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exclusion from gross receipts is not intended to apply to any franchise fees or
taxes, capital gains taxes, income or similar taxes that are based upon profits of
Lessee; and,

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ii.
refunds, discounts, rebates or allowances received by Lessee from
wholesalers or suppliers and refunds or other approved adjustments paid or given
to patrons; and,
iii.
tips, service charges or gratuities which are included in the account or bill
of a patron and for which Lessee makes actual payment to service staff, provided,
however, that any portions of such charges retained by Lessee shall be included in
gross receipts, and provided that State Parks approves all service charges as
provided for elsewhere in this License. Wages, salaries and benefits are not
deductible pursuant to this exclusion.
3.

Term

The term of the License shall be for the period from start date and shall expire on end
date, a period of XX years.
4.

Grant of License

State Parks hereby grants to Licensee a license to occupy and use those areas located
within the Park designated on the map and descriptions annexed hereto as Attachments
A-1 and A-2 Licensed Premises, together with the equipment, fixtures, improvements
and other property identified in Attachment B Inventory of Equipment, for the
purpose of an equestrian center concession to include the boarding, stabling and training
of horses, and horseback riding lessons. State Parks and Licensee hereby acknowledge
that the Licensed Premises constitute public, non-residential spaces within a State Park
and that for all purposes hereunder State Parks grants only a right to use the Licensed
Premises as is/where is and without warranty, and subject to Licensee performing and
undertaking on-going maintenance, operating costs and certain periodic renovations to be
reviewed and approved in advance by State Parks in accordance with the requirements set
forth herein.
5.

Consideration

a)
In consideration of the license herein granted, Licensee shall make payment to
State Parks of all fees and other amounts due and shall perform all obligations in
accordance with the financial and other requirements set forth in this License.
b)
Immediately upon the sale of all goods and/or services authorized for sale to the
public pursuant to this License, any license fee based on a percentage return to the State
payable to State Parks shall immediately vest in and become the property of State Parks.

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Licensee shall be solely responsible for such fee(s) until paid and delivered to State Parks
as provided herein.
c)
The minimum annual License Fee is twenty-five thousand dollars ($25,000), which
shall escalate annually by the Consumer Price Index, but in no case shall decrease from the
amount of the previous year. This minimum annual fee shall be paid to State Parks on a
quarterly basis, on or before January 15, April 15, July 15 and October 15.

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d)
In addition, Licensee shall pay to State Parks the license fee as provided on the
Proposal Form submitted with and attached to this License, as follows:
Fee Component
Gross Receipts
Flat Fee

Amount
XX%
$YY

e)
All license fee payments based on gross receipts shall be made payable to State
Parks and remitted not later than the 15th day of each month covering the gross receipts
activity for the preceding month during the term of this License. All such payments shall
be accompanied by a detailed report of gross receipts (as defined herein) including all
revenue activity in all categories of authorized sales, which report shall be in a format
approved or provided by State Parks.
f)
Failure by Licensee to submit payment on or before the due date for such
payments shall be considered a material breach of this contract.
6.

Performance Bond

a)
At the sole discretion of State Parks, coincident with signature of this License by
the Licensee and prior to the onset of any business operation hereunder, Licensee shall
provide State Parks with a performance bond, in a form satisfactory to State Parks, from a
surety licensed in New York the principal amount of TBD. At the discretion of State
Parks, the amount of this bond may be adjusted on an annual basis to an amount not to
exceed the previous years license fee, utility charges and R&R Account deposits. Such
bond shall name the Office of Parks, Recreation and Historic Preservation as the sole
beneficiary and shall guarantee the faithful performance by Licensee of all the covenants,
terms, and conditions of this License inclusive of, but not limited to, the payment to State
Parks of all required license fees and all other financial obligations of the Licensee.
b)
Upon the advance approval of State Parks, which shall not be unreasonably
withheld or delayed, an irrevocable standby letter of credit in a form reasonably approved
or provided by State Parks, or a cash or equivalent security deposit, in like amount, may
be substituted for a performance bond.
c)
Licensee shall keep the performance bond or letter of credit required hereunder in
full force and effect through the entire term of this License. The surety or bank issuing

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the performance bond or letter of credit shall be required to give State Parks notice in
writing not less than thirty (30) days prior to the expiration date thereof, and/or of the
bank or suretys intention not to renew said bond or letter of credit. In any event, the
performance bond or letter of credit shall not be terminated without the advance written
approval of State Parks.
7.

Capital Investment

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a)
Unless otherwise agreed in writing by State Parks the Licensee shall expend its
required minimum capital investment of TBD as outlined in Attachment D, Capital
Improvement Schedule. All work undertaken by the Licensee shall be in accordance with,
and pursuant to plans, specifications and an implementation schedule duly approved in
writing by State Parks.
b)
If the full capital obligation has not been expended by TBD, the unexpended
balance shall be paid in one lump sum to State Parks on TBD.
c)
Coincident with its signature of this License, Licensee shall provide State Parks
with a guaranty agreement in the form annexed hereto as Attachment E, duly executed by
the co-owners, jointly and severally unconditionally guaranteeing Licensees
performance of the TBD Capital Obligation. In the sole discretion of State Parks, the
principle amount of the guaranty agreement may be reduced to reflect capital investment
completed by Lessee and accepted by State Parks.
d)
Coincident with its signature of this License, Licensee shall provide a bond or
letter of credit from a recognized financial institution licensed to do business in the State
of New York in an amount equal to the current years estimated capital expenditure as
specified in Attachment D. The amount of the bond or letter of credit shall be updated
annually, and not later than July 1 of each year of this License, to correspond with each
years scheduled obligation. Such bond or letter of credit shall name the Office of Parks,
Recreation and Historic Preservation as the sole beneficiary and shall guarantee the
faithful performance by Lessee of all capital investment obligations.
8.

Inspection of Premises

a)
Lessee has thoroughly examined and inspected the Leased Premises and agrees to
take the Leased Premises as is in the condition they are in when vacated and turned
over to Lessee by State Parks. Lessee acknowledges that it has not relied upon any
representation or statement of State Parks or of its officers, agents or employees as to the
suitability of the Leased Premises for the operations permitted thereon by this Lease.
State Parks shall have no obligation hereunder for finishing work or preparation of the
Leased Premises for Lessees use unless expressly agreed to in writing by State Parks.
State Parks shall have no obligation to perform construction and finishing work
hereunder and Lessee agrees to perform at its sole cost and expense all construction and

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installation work that it may require finishing off and decorating the Leased Premises in a
manner suitable for the uses authorized by this Lease.
b)
Without limiting any obligation of Lessee to commence operations hereunder at
the time and in the manner stated elsewhere in this Lease, Lessee agrees that no portion
of the Leased Premises will be used initially or any time during the term hereof, if in a
condition unsafe or improper for the conduct of Lessees operations hereunder so that
there is possibility of injury or damage to life or property.
9.

Licensees Proposal

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Licensees proposal (the Proposal) submitted in response to State Parks Request for
Proposals is annexed hereto and incorporated in this License by reference. The offers,
representations and promises contained in the Proposal shall be binding upon Licensee.
Notwithstanding the foregoing, any specific plans, projects and/or programs identified in
the Proposal, including, without limitation, capital improvement and repair and
refurbishment projects, shall be subject to the specific review and express approval of
State Parks as provided in this License. No such review or approval shall be implied,
construed or deemed given by State Parks by virtue of the award of this License or
otherwise, except in strict accordance with terms of this License.
10.

Performance

Licensee and State Parks agree to perform all of their respective obligations in
accordance with the terms and conditions set forth in this License.
11.

Coordination with State Parks Officials

Licensee shall cooperate with State Parks officials and will comply with all reasonable
requests made by such officials with respect to the operation and maintenance of the
Licensed Premises.
12.

Facility Operations

a)
Licensee shall conduct its operations in an orderly and proper manner and so as
not to annoy, disturb or be offensive to others using the Park, and Licensee shall control
the conduct of its officers, members, employees, agents, representatives, contractors,
customers, guests, invitees and those doing business with it. Upon objection from State
Parks concerning any such conduct, Licensee shall immediately take all steps necessary
to remove the cause of the objection.
b)
Licensee shall not commit any nuisance on the Licensed Premises, or do or permit
to be done anything which may result in the creation or commission of a nuisance on the
Licensed Premises, and Licensee shall not cause or permit to be caused or produced upon

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the Licensed Premises, to permeate the same or to emanate therefrom, any unusual,
noxious or objectionable smokes, gases, vapors odors or objectionable noises.
c)
Licensee shall not use or connect any equipment or engage in any activity or
operation in the Licensed Premises which will cause or tend to cause an overloading of
the capacity of any existing or future utility, mechanical, electrical, communication or
other systems, or portion thereof, serving the Licensed Premises, nor shall Licensee do or
permit to be done anything which may interfere with the effectiveness or accessibility of
existing and future utility, mechanical, electrical communication or other systems or
portions thereof on the Licensed Premises or elsewhere at the Park.

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d)
Licensee shall not overload any floor, roadway, passageway, pavement or other
surface or any wall, partition, column or other supporting member, or any elevator or
other conveyance, in the Licensed Premises or at the Park and without limiting any other
provision of this License, Licensee shall repair, replace or rebuild any such damage
caused by overloading.
e)
Licensee may install, maintain and operate beverage and snack vending machines
for the convenience of boarders, students and clients; the vending machines are not
intended to serve the public. Such units must be located in interior spaces so as to be
concealed from view of the public and not create an unsightly nuisance. All vending
machines provided pursuant to this license must comply with the 2005 NEC, Section
422.51 Cord-and-Plug-Connected Vending Machines, which states, in part, Cord-andplug-connected vending machines manufactured or re-manufactured on or after January
1, 2005 shall include a ground-fault circuit interrupter as an integral part of the
attachment plug or located in the power supply cord within 300mm (12 in.) of the
attachment plug. Cord-and-plug connected vending machines not incorporating integral
GFCI protection must be connected to a GFCI protected outlet.
f)
Licensee may operate a small tack shop for the convenience of boarders,
students and clients; the shop is not intended to be a retail outlet for horse and stable
supplies for the general public. Revenues from the tack shop are reportable as gross
receipts as defined herein and subject to license fees.
g)
Every horse brought into the Park, whether for stabling, boarding, training or
other purposes shall have a current negative Coggins Certificate and proof of vaccination
on an annual basis against the diseases commonly known as Eastern and Western Equine
Encephalitis, Strangles, Rabies and Flu/Rhino. Licensee shall maintain a record of such
vaccinations on premises and shall provide copies to State Parks upon request.
Exceptions to the vaccinations contained herein are permitted only upon the written
finding of a Doctor of Veterinary Medicine licensed to practice in New York State.
h)
Licensee shall ensure that all riders using the Licensed Premises or utilizing
programs offered by the Licensee shall wear an ASTM approved equestrian helmet when
riding.

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i)
All contracts for boarding, lessons and other services provided through this
License shall be reviewed and approved by Parks in writing prior to use by the Licensee.
Licensee shall provide to State Parks a current copy of all boarding and lesson contracts,
updating the information as clients change. The client list provided to State Parks shall
include the name of the horse(s) boarded and/or trained, and the name, address and
telephone number of the owner.

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j)
Licensee may stable up to two horses owned or utilized by Licensee, including
lesson horses, without including the value of the board fee in gross receipts and,
therefore, license fee calculations. Additional horses owned by Licensee must be
included in license fee calculations at the rate charged to other boarders for equivalent
stall space.
k)
Prior to commencement of operations, and thereafter as may be reasonably
necessitated by programmatic change, Licensee shall submit to State Parks for approval a
written program and operating schedule, including detailed hours of operation, for the
Licensed Premises. Schedule changes caused by weather, emergency, or other
unexpected conditions may be approved verbally by the Park Manager or Superintendent
or his or her designee.
l)
All fences within the licensed area are the responsibility of the Licensee. Fence
maintenance includes replacement in kind with split rail fencing.
m)
Licensee is responsible for pest control on the Licensed Premises, in accordance
with a written pest control plan approved by State Parks. Use of rodenticides or other
poisons is prohibited, unless specifically approved in writing by State Parks in
accordance with a written plan developed by a licensed contractor, which plan minimizes
the use of such substances to the fullest extent possible. Approval of any such plan by
State Parks shall be contingent upon demonstration or documentation to the reasonable
satisfaction of State Parks that that no other practical alternative means of rodent control
will be effective for the operation of the concession at the Licensed Premises.
Grains and feeds must be stored in a manner to effectively eliminate feeding by rodents
and other vermin.
n)
Licensee may charge a reasonable, market-based fee for storage of trailers owned
by boarders who have a horse stabled by Licensee. All such trailers must have a current
registration. Trailer storage will be restricted to an area designated by the Park Manager.
o)
State Parks reserves the right to use fields within the Licensed Premises without
rental cost for official events and purposes, subject to written notice to Lessee and prior
or conflicting bookings by Lessee.

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p)
Inasmuch as the Licensed Premises and concession are provided first and
foremost for the convenience, benefit and enjoyment of the public, Licensee
acknowledges that the quality of its services to the public is essential to the satisfactory
performance of this License.

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q)
Licensee shall maintain the Licensed Premises, and any equipment or ancillary
facilities included under this License, in an exceptionally attractive, safe, operable,
sanitary and inviting condition at all times, including all buildings or portions thereof
used for the care and stabling of horses, riding lessons, public areas including restrooms,
entrances and exits. Licensee shall keep the grounds of the Licensed Premises in a safe,
clean, neat and attractive condition. It is the intent and agreement of State Parks and
Licensee that first class, top quality standards shall be diligently adhered to and
implemented by Licensee so as to reflect positively on the reputation of Licensee and
State Parks.
r)
Licensee warrants that all services and items sold or kept for sale pursuant to this
License shall be of the highest quality and standards, and must conform in all respects to
federal, state and municipal laws, ordinances, rules and regulations. All goods and
services offered for sale must be in good taste and considered appropriate, proper and
consistent with State Parks policies, mission, and responsibilities to its patrons. Service
to all patrons shall at all times be prompt, courteous and efficient and shall be provided
without discrimination. In the event that in State Parks sole judgment any goods or
services offered by Licensee are inconsistent with the image, policies or reputation of
State Parks or the State of New York, or are otherwise deemed unsuitable, State Parks
may require Licensee to cease offering and selling such goods or services immediately.
13.

Qualified Staff

a)
Licensee shall provide all necessary managers and employees in sufficient force
to deliver all patron services properly and efficiently and to meet all of the standards for
operation required by this License. Licensee shall employ only duly qualified, competent,
professional and experienced managers to oversee and administer the operation of the
Licensed Premises. At least one person employed specifically as general manager or
assistant manager must be on duty at all times that the Licensed Premises is open for
business.
b)
All employees and contractors of Licensee must be able to communicate
effectively with State Parks officials, the public, vendors, public safety personnel and all
others with whom they must interact during the course of their employment.
c)
Licensee shall assign a full-time resident general manager who shall devote
personal attention to the management, operation and maintenance of the Licensed
Premises. Prior to the engagement of any person as general manager, Licensee shall
provide State Parks with a written statement of the candidates background and

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qualifications, and State Parks shall have the right to disqualify any candidate it deems
unsuitable for the position.
d)
Licensees resident general manager shall have sufficient authority to implement
any request that State Parks may reasonably make during the term hereof.

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e)
Lessee shall be responsible for the recruitment and screening of appropriate
personnel and verification of credentials, references and suitability for working with the
public, including children. At a minimum, Lessee shall comply with guidelines and
procedures of State Parks provided to Lessee in writing, including the following:
i.
Lessee will be responsible for screening of all personnel, including
substantiating credentials and reference checks. In addition, Lessee will check
each prospective personnel against the Statewide Sexual Offenders Registry.
ii.

Lessee agrees not to hire or retain any personnel who refuse to:
-

provide the names of references;

provide documentation of credentials;

provide information on criminal conviction records; or

provide any other requested information that bears on the


applicants fitness to work with or in close proximity to the public,
including children.
iii.

Lessee agrees not to hire or retain any personnel:


who have not completely and truthfully reported information
concerning their criminal convictions; or
whose criminal convictions record directly bears on their fitness to
work with or in close proximity to the public, including children, or whose
employment would involve an unreasonable risk to the safety or welfare
of the public, including children, subject to and consistent with Article 23A of the New York State Correction Law; or
who have been the subject of an indicated child abuse and
maltreatment report on file with the State Central Registry, or are the
subject of an ongoing investigation pursuant to a child abuse and
maltreatment report on file with this Registry.

f)
Licensee shall train its employees in appropriate operational procedures and
standards, including as may be applicable, pricing definitions; item specifications;
housekeeping standards; courtesy and guest relations; personal appearance; speed and

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style of service standards; cleaning of all restroom areas; maintenance; safety; and
individual job performance. Management personnel shall receive training in quality and
cost controls, customer relations, marketing and advertising, supervision of sanitation and
housekeeping, and accounting and cash control procedures.

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g)
State Parks reserves the right to require Licensee to discipline, retrain or replace
any employee whose conduct or appearance is unprofessional and/or inconsistent with
the standards of State Parks. To the extent commercially reasonable, any collective
bargaining agreement entered into between Licensee and any labor union or organization
must recognize the foregoing right of State Parks, and no such collective bargaining
agreement shall in any way affect or diminish the rights of State Parks hereunder.
14.

Employee Uniforms and Conduct

Licensee shall require employees to be clean, courteous, helpful, and neat in appearance
at all times. Management employees shall be generally knowledgeable about the Park and
its operations. All employees of Licensee and Licensees contractors and concessionaires
engaged in the care and handling of horses shall be adequately trained and prepared.
Licensee shall not suffer or permit any employee who uses improper language or acts in a
loud, boisterous or otherwise improper manner. Licensee shall take prompt and
appropriate action with regard to complaints concerning the conduct of its employees.
15.

Employee Housing

a)
The General Manager of the stable operation shall reside in the apartment
attached to the west end of the Polo Barn. However, beginning July 1, 2008, in order to
accommodate renovations to the Polo Barn undertaken by State Parks, the General
Manager must reside in a house trailer to be provided at the sole cost and expense of the
Licensee, and located on the Licensed Premises as directed by State Parks. When the
renovations are complete, the General Manager will assume occupancy of the apartment,
and the trailer will be removed from the Licensed Premises.
b)
All occupancies shall comply with applicable code requirements. Each individual
occupant must sign a housing agreement form to be provided by State Parks.
16.

Housekeeping and Sanitation

a)
Licensee shall at all times keep the Licensed Premises and any ancillary or
common area used by Licensee in a clean and sanitary condition.
b)
Licensee shall be responsible for all cleaning supplies and toilet paper to keep the
public restroom facilities located within the Licensed Premises in a clean and sanitary
condition.

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c)
Licensee shall be responsible for keeping all of the Licensed Premises free from
ants, flies, roaches, rodents, and all other pests, insects or vermin, including all costs
incurred in connection therewith. All pesticide application must comply with the
applicable State Parks, state and federal guidelines and regulations, including
notifications and recording procedures by a licensed applicator.

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d)
All State and local health and sanitary codes, standards and regulations, including
sanitary standards established and issued by State Parks, shall be adhered to at all times.
Violation of such codes, standards or regulations may result in written warnings to
Licensee. Licensee shall diligently address and immediately undertake the correction of
any such violation within two (2) working days. If correction of such violation is not
undertaken within two (2) working days, State Parks shall have the right to correct the
deficiencies and to charge the Licensee for the actual cost of labor and materials. Nothing
contained in this section shall limit any other rights of State Parks pursuant to this
License. Repeated or persistent failure of the Licensee to correct health or sanitary code
violations shall be deemed a material breach of this License and may result in termination
thereof. For purposes of this License, such charges by State Parks shall be deemed an
additional license fee owed by Licensee. The closing of the Licensed Premises, or any
portion thereof, by a State or County health agency shall be deemed a material breach of
this License and may, at the option of State Parks, result in termination of this License.
Immediately upon receipt by Licensee, Licensee shall forward to State Parks Regional
Headquarters and the Concessions Office a copy of any notice, inspection report, and/or
citation received from any State or County health agency.
17.

Trash and Debris

Licensee shall provide for the prompt and proper collection, storage and removal for all
refuse, trash and debris including all organic waste, manure and bedding generated at the
Licensed Premises and all common areas for which Licensee is responsible. Licensee
shall comply with all State, local and Park regulations requiring recycling, and shall not
burn trash at or on the Licensed Premises or any other property of State Parks. If State
Parks provides refuse removal for Licensee, Licensee may be billed by State Parks for its
share of costs.
18.

Hazardous Materials

a)
Licensee shall not use or permit the storage at the Licensed Premises of any
hazardous substances or materials, including illuminating oils, oil lamps, turpentine,
benzene, naphtha or other similar substances, or explosives of any kind, or any substance
or thing prohibited by the State Fire and Building Code or standard policies of fire
insurance companies in the State of New York. This section is not intended and shall not
be construed to prohibit the reasonable, legal and proper use and storage use of ordinary
cleaning solutions and solvents in the ordinary course of Licensees operation and
maintenance of the Licensed Premises.

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b)
Licensee shall properly handle, store, and use all fuel, including gasoline,
propane, and Sterno in compliance with all applicable building and fire codes, rules and
regulations. Licensee shall provide to the Park Manager on or before April 1 of each year
of this license, a list of all chemicals stored at the Licensed Premises, their locations and
associated Material Safety Data Sheets (MSDS). Updated information shall be provided
to the Park Manager as soon as practicable upon any addition or change.

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c)
No indoor or outdoor fireworks, fireworks displays, or performances involving
pyrotechnics of any kind are authorized or permitted pursuant to this License without the
expressed prior written approval of State Parks.
19.

Deliveries

Licensee shall use its best efforts to schedule deliveries so as not to interfere with State
Parks operations and other users of the Park. All deliveries of supplies and equipment to
Licensed Premises by commercial vehicle shall be directed through the Park by a route
approved by the Park Manager. Licensee shall endeavor to schedule deliveries during
regular business hours on ordinary weekdays and before noon on Saturday. Emergency
deliveries may be made with the approval of the Park Manager. Licensee and its vendors
and contractors shall not suffer or permit the unnecessary idling of engines or motors of
delivery and other service vehicles.
20.

Utilities

a)
Utilities provided to the Licensed Premises by State Parks are limited to the
existing services of electricity, sewer and potable water. State Parks shall not be
responsible for the installation of any water supply, sewers, drainpipes or fixtures, or
electric, fuel oil or gas lines or fixtures beyond those already in place prior to the granting
of this License. If additional utility installations or meters within the Licensed Premises
are required as a result of a capital project undertaken or proposed pursuant to the
Concession License, the full cost of such installations shall be borne by Licensee.
b)
Licensee is solely responsible for all costs of utilities, and must immediately
establish all necessary accounts in the name of Licensee.
c)
Licensee may purchase from State Parks such amounts of gasoline and diesel fuel
as may be necessary to fuel the various pieces of farm machinery and equipment,
excluding trucks and/or automobiles, used to carry out the purposes of this License. State
Parks will provide such gasoline at its cost as a service and convenience to the Licensee,
ancillary to State Parks fuel service for the maintenance and operation of the park. In the
event that State Parks ceases to maintain a fuel service for its internal use within the Park,
then its obligation to the Licensee shall likewise cease.
d)
In the event of interruption of water supply, electricity, or other utility services to
the Licensed Premises provided by State Parks, State Parks shall undertake to repair such

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interruption promptly; however, State Parks shall not be liable or in any manner
responsible for any claim, loss or damage of any kind sustained by Licensee or any third
party as a result of such delay or interruption in utility service regardless of cause. Under
all circumstances, Licensee shall be solely responsible for the cost and provision of its
own sources of temporary power as may be necessary.
21.

Capital Improvement Projects

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a)
Capital improvement projects to be undertaken by Licensee are subject to the
prior review and written approval of State Parks, and shall be completed in accordance
with all State codes, rules and regulations, including, when applicable, historic
preservation review and the State Environmental Quality Review Act (SEQRA). All
approved capital projects shall be performed by Licensee in strict compliance with the
terms, conditions and procedures set forth in the Requirements for Capital Improvement
Projects annexed hereto as Attachment C.
b)
Any proposed modification of the buildings interior, exterior or surrounding
landscape must be specifically reviewed and approved in writing by the State Historic
Preservation Office and State Parks.
c)
Compliance with the State Environmental Quality Review Act and the State
Historic Preservation Act are express conditions of this License. No alteration of the
structure, or significant departure from the traditional and current use of the Licensed
Premises shall be permitted except after review in compliance with the State
Environmental Quality Review Act and the State Historic Preservation Act.
22.

Construction by Licensee

a)
Any capital project to be undertaken by Licensee shall be in accordance with the
provisions of Attachment C - Requirements for Capital Improvement Projects annexed
hereto. Any proposed modification of the buildings interior, exterior or surrounding
landscape must be specifically reviewed and approved in writing by State Parks.
b)
At the request of State Parks, Licensee shall hold regularly scheduled job
meetings regarding ongoing capital construction projects. At its discretion, State Parks
may assign a representative to attend the job meetings to observe and monitor progress on
such projects. State Parks may also request periodic progress reports from the Licensee on
any ongoing capital projects.
c)
Compliance with the State Environmental Quality Review Act and the State
Historic Preservation Act are express conditions of this License. No alteration of the
structure or significant departure from the traditional and current use of the Licensed
Premises shall be permitted except after review in compliance with the State Environmental
Quality Review Act and the State Historic Preservation Act.

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d)
Licensee shall not erect any structures, make any modifications, alterations,
additions, improvements, repairs or replacements or do any construction work on or to
the Licensed Premises, or install any fixtures in or on the Licensed Premises (other than
trade fixtures, removable without injury to the Licensed Premises) without the prior
consent of State Parks, and in the event any construction, improvement, alteration,
modification, addition, repair or replacement is made or done with or without such
consent and unless the consent of State Parks shall expressly provide otherwise, the same
shall immediately become the property of State Parks and Licensee shall have no right to
change or remove the same either during the term or at the expiration thereof.
Notwithstanding the foregoing, immediately upon notice from State Parks given at any
time during the term of this License, Licensee shall remove or change any improvements
made or done by it without State Parks consent.

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e)
Licensee shall require all of its construction consultants and contractors to
indemnify, defend and insure the Indemnitees (as defined in Paragraph 35). All consulting
and construction contracts entered into by Licensee shall be in accordance with the terms of
this License and nothing set forth in any such contract shall impair the rights of State Parks
pursuant to this License, or shall create or be deemed to create a contractual or third-party
beneficiary relationship between Licensees contractor or consultant and State Parks.
23.

Replacement & Refurbishment Account

a)
Licensee shall pay $5,000 annually into a Replacement and Refurbishment
Account. This amount shall escalate annually by the Consumer Price Index, but in no case
shall decrease from the amount of the previous year. The R&R account is intended to fund
new or replacement equipment, and minor refurbishment of the facilities of the Licensed
Premises and related equipment. These account contributions shall be distinct and
separate from the license fees to be paid to State Parks and any capital investment,
maintenance or operational obligations required by this License. The principal of the
R&R Account shall be vested in State Parks.
b)
Licensee shall make quarterly payments for the R&R Account on or before
January 15, April 15, July 15 and October 15.
c)
The purpose of the R&R Account shall be to provide funds for the purchase of
new, replacement or the refurbishment of equipment, and for refurbishment of the
Licensed Premises. The R&R Account shall not be used as a fund for routine
maintenance and repair expenses that are the sole responsibility of Licensee. Licensee
may prepare an annual budget and schedule of proposed expenditures to be made from
the R&R Account to allow for planning of refurbishment projects and for the orderly
scheduling and performance of work.
d)
Upon approval of R&R Account projects by State Parks, Licensee shall obtain
and submit to State Parks a minimum of three (3) written price quotations based upon the
same specifications for the expenditure including any applicable delivery charges. Upon

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State Parks approval of the vendor, and following delivery and acceptance of the product
or service and audit of the vendors invoice, State Parks shall prepare a check from the
R&R Account. Licensee acknowledges that no funds from the R&R Account may be
encumbered, expended or otherwise committed unless specifically authorized in advance
by State Parks.

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e)
Title to all fund balances, equipment or other improvements furnished and
accepted through the R&R Account shall immediately vest in State Parks. Within ten (10)
business days of the expiration or termination of this License, Licensee shall sign over all
rights title and interest in the account to State Parks, and all fund balances shall become
the sole property of State Parks.
f)
Nothing contained herein shall restrict or limit Licensee from purchasing additional
equipment at its sole expense and such purchases shall remain the property of Licensee,
except if said equipment constitutes a fixture and is permanently attached to the Licensed
Premises, title to such equipment shall vest in State Parks at the expiration or termination
of this License.
24.

Maintenance and Repairs

a)
The Licensed Premises, including any common areas allocated to Licensee as set
forth in Attachments A and A-1, Description of the Licensed Premises, shall be
maintained and kept in good and acceptable (as determined by State Parks) repair by
Licensee at its own expense, and shall be surrendered by Licensee at the expiration or
termination of this agreement to State Parks in as good condition as when received,
reasonable wear and tear and loss from casualty excepted.
b)
Licensee agrees to maintain proper maintenance and repair records in the form of
job tickets and/or inspection/repair forms, and to make these records available to State
Parks upon request.
c)
At any time during the term of this License, State Parks shall have the right to
inspect the Licensed Premises with regard to the level of maintenance being performed
by Licensee, upon giving Licensee twenty-four (24) hours notice of such inspection. If, as
a result of such inspection, it is the written determination of State Parks that any
deficiencies exist in the condition of those areas within Licensees area of responsibility,
State Parks shall so inform Licensee in writing. Licensee shall correct such deficiencies
within ten (10) working days of such notice, at which time a follow-up inspection shall be
conducted. If the deficiencies have not been corrected at the time of such follow-up
inspection, State Parks shall have the right to correct such deficiencies itself and to bill
Licensee for the cost of labor and materials used, such bill to be paid by Licensee upon
presentation. The repeated or persistent failure of Licensee to properly maintain the
Licensed Premises shall constitute a material breach of this License and may, at the
option of State Parks result in termination thereof.

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d)
In general, Licensee shall be responsible for all interior and exterior maintenance
and repairs in the Licensed Premises. This includes but is not limited to the following
component parts of the Licensed Premises:
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
ix.
x.
xi.
xii.
xiii.
xiv.

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horse stalls;
electrical systems, power distribution, lighting systems, light fixtures;
plumbing fittings and fixtures, toilets, sinks, tubs, valves, and related components;
gas lines, radiators, thermostats and controls;
interior painting, including ceilings, floors, and wall coverings;
extermination services;
floors and floor coverings;
windows, plate glass, window treatments and accessories;
office furniture and equipment;
roofs, exterior walls, foundations;
plumbing tanks, plumbing, electrical and mechanical systems to the point of
meters or connections to the building;
exterior painting;
fences; and,
masonry

f)
In general, Licensee shall be responsible for all exterior grounds and facilities
maintenance and repairs in the Licensed Premises, including but not limited to the
following:
i.
ii.
iii.

exterior grounds maintenance;


field management;
fence line maintenance and repair.

g)
Maintenance and repairs for which Licensee is responsible under this Section are
not intended to include the expenditure of capital funds for the replacement of major
mechanical, electrical, or structural systems associated with the Licensed Premises.
Licensee shall notify State Parks of the necessary replacement or refurbishment of any
such item and if such funds are available, State Parks shall replace the item at its own
expense.
h)
Replacement of equipment or a portion of the mechanical, electrical or structural
systems serving the Licensed Premises shall be considered whenever the cost of repair
exceeds fifty percent (50%) of the replacement cost.
i)
Licensee shall repair, replace, rebuild and paint all or any part of the Licensed
Premises or of the Park which may be damaged or destroyed by the acts or omissions of
Licensee, its officers, members, employees, agents, representatives, contractors,
customers, guests, invitees or other persons or any animals associated with the above who
are doing business with Licensee or who are present at the Licensed Premises or the Park
with the consent of Licensee.

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j)
Maintenance of the wooden split rail fences enclosing the pastures, paddocks and
other parts of the Licensed Area are the responsibility of Licensee. At the discretion of
State Parks, Licensee may be required to install a buffer fence on sections of paddocks
located along pedestrian paths shall to inhibit unauthorized contact with horses. Such
fencing cannot encroach into State Parks-maintained grounds. If, in the sole discretion of
State Parks, park management concerns should require additional security of the
paddocks, Licensee shall install and properly maintain electric fences on all horse
pastures within the Licensed Premises. Licensee shall, to the extent possible, ensure that
all electric fencing is installed so as to minimize exposure to the general public.

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k)
Licensee shall maintain to the satisfaction of State Parks the riding ring and
indoor arena operated by the Licensee, including the purchase, delivery, spreading and
raking of sand or other appropriate surface material of such quality and in sufficient
quantity to provide a first class riding surface.
l)
Licensee shall submit for approval by Parks a field rotation plan. Such plan shall
provide for the stewardship and management of the fields throughout the Licensed
Premises. Included in the plan shall be a mowing schedule.
m)
Licensee shall mow those pastures included in the Licensed Premises. Licensee
shall be responsible to provide and maintain all equipment necessary for mowing and
other pasture maintenance activities. Fields must be cut monthly. Lawn areas surrounding
structures must be mown not less weekly.
n)
Licensee shall be responsible for the proper removal and composting or spreading
of horse manure and other organic waste products generated by activities conducted
pursuant to this License. Manure composting and disposal operations shall be coordinated
with the Park Manager. Licensee shall be responsible for the provision and maintenance
of necessary and adequate equipment for hauling and spreading manure and/or other
operations required under this License.
25.

Security of Licensed Premises

Licensee shall be solely responsible for security of the Licensed Premises.


26.

Pricing

a)
Prior to commencement of operations, and at least forty-five (45) days in advance
of a proposed price change or increase, Licensee shall submit for the written approval of
State Parks, a detailed price list for all services that are authorized by State Parks to be
sold by the Licensee. All prices shall be comparable to those at prevailing rates at similar
establishments in the region.

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b)
All requests for price increases must first be submitted for approval in writing to
State Parks. State Parks reserves the right to withhold approval for prices or a change in
the price, quantity or quality of goods or services for which adequate justification is not
provided in supporting data provided by Licensee. If the underlying justification for an
approved change in price, quality or quantity specification ceases to exist for any reason,
State Parks reserves the right to require Licensee to revert to the price, quality or quantity
specification in effect prior to the approved change. If State Parks disapproves a
requested price increase Licensee shall be notified in writing stating the reasons for the
disapproval.

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c)
State Parks will endeavor to respond to all requests regarding pricing within
fifteen (15) days of receipt thereof, provided that Licensee provides State Park with
adequate justification for the change. Such approval shall not be unreasonably withheld.
27.

Special Events

a)
Within forty-eight (48) hours prior to booking, Licensee shall submit to State
Parks for its approval all plans for Special Events and Promotions at the Licensed
Premises. For purposes of this section, the definition of Special Events and
Promotions shall be determined in the sole discretion of State Parks in consultation
with Licensee and in consideration of the programmatic criteria for the Licensed
Premises. All events outside Licensees ordinary course of business or that impact, or
potentially impact, the Park or public access, use and enjoyment of the Park beyond the
footprint of the Licensed Premises, including the availability of parking and comfort
facilities, shall be deemed Special Events requiring the advance approval of State Parks
hereunder.
b)
State Parks review and approval pursuant to this section shall not be
unreasonably delayed or withheld.

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Advertising
a)
Licensee shall use commercially reasonable efforts to promote the concession and
services authorized by this License. All brochures, media advertisement and similar copy
to be released, disseminated to the public or distributed in any manner shall be in good
taste, consistent with State Parks mission and policies, and provided to State Parks
Public Information Officer (or designated representative) no less than forty-eight (48)
hours prior to the release, dissemination or distribution of the material. State Parks
reserves the right to reasonably and promptly object to the form and content of any such
material, and Licensee agrees to discontinue or withhold the release, dissemination and
distribution of any such material unless and until State Parks and Licensee have agreed to
a resolution of State Parks objection.

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b)
State Parks reserves the right to require the Licensee to utilize a standard design
style, template or format in all advertisements or promotional materials including, but not
limited to, all broadcast, print media (including flyers, brochures, pamphlets and inserts)
or website design.
29.

Sponsorships

a)
Sponsorship opportunities may be allowed subject to the prior written approval of
State Parks as to form, content and manner of presentation. Sponsorship by companies,
interests or organizations that are directly identified with the sale or use of alcoholic
beverages, tobacco products, or casino gambling are strictly prohibited. Sponsorship
opportunities include, but are not limited to, program inserts, product sampling, and
advertising displays at the Licensed Premises.
b)
Sponsorship of the Licensed Premises, or its programs or services authorized by
this License by soft drink or other beverage companies is subject to the approval of State
Parks, and may not be procured by Licensee without the expressed written approval of
State Parks.
c)
Licensee is not authorized to sell, lease, license, market or otherwise offer socalled naming rights to the Licensed Premises without the expressed written permission
of State Parks. Naming rights as used herein shall include, without limitation,
recognition of contributors and donors of money, property, services or anything of value
to Licensee.
30.

Sale or Distribution of Products or Services Not Authorized


Nothing in this License authorizes Licensee to sell or distribute any items, or to promote
or provide any commercial services to the public at the Licensed Premises other than
those specifically enumerated herein, or which State Parks specifically approves in
writing. Licensee shall not commercially exploit the Licensed Premises for any purpose

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other than as may be authorized in this License or as may be otherwise specifically


approved by State Parks in writing.
31.

Rights Reserved by State Parks

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State Parks reserves for its sole benefit all other rights to the Licensed Premises,
including but not limited to, the right to retain all revenues derived from other sources not
specifically granted to Licensee, and the right to authorize the installation of cellular
telephone antenna and other related or utility systems at the Licensed Premises.
32.

Signage

a)
State Parks reserves the exclusive right to erect, remove or change signs at the
Licensed Premises, as it deems necessary and desirable for the convenience of the public.
No signs shall be erected on, removed or changed by Licensee without the prior written
approval of State Parks.
b)
Licensee shall, with the approval of State Parks as to design, style and placement,
install and maintain appropriate warning signs regarding the presence of electric fencing.
All costs associated with the purchase, installation and maintenance of any such signage
shall be the sole responsibility of the licensee.
33.

Books of Account and Financial Reporting

a)
Licensee shall keep books and records of account in accordance with generally
accepted accounting principles and procedures. Licensee shall permit State Parks, the
Office of the State Comptroller, and/or their authorized representatives and consultants to
inspect and audit appropriate books and records at any reasonable time, after giving
Licensee twenty-four (24) hours notice of the date and time of such inspection and audit.
Such right of inspection and audit shall exist during the term of this License and for a
period of six (6) years after its expiration or termination. Notwithstanding the
requirement for twenty-four (24) hour advance notice with respect to access to Licensees
books for the purposes of audit, State Parks reserves the right to conduct periodic spot
inspections of the Licensed Premises at any time during business hours for the purpose of
conducting cash counts, health code and regulatory compliance inspections, maintenance
inspections, and quality assurance inspections.
b)
Licensee shall retain original records of all gross receipts and any other related
records and supporting data required for audit of Licensees business operation
throughout the term of this License, and for a period of not less than six (6) years after
the expiration or termination of this License. Such records and supporting data shall be
maintained for ready access at the Licensed Premises and shall not be removed from the
Licensed Premises without the prior written consent of State Parks. All such records shall
be stored in a watertight and/or weather-tight manner.

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c)
On or before the fifteenth day of April of each calendar year of this License,
Licensee shall provide State Parks with an accountant verified financial statement (in a
format approved by State Parks) Licensees State and Federal tax returns covering the
operation of the Licensed Premises for the preceding year.
34.

Insurance

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a)
Licensee shall procure at its sole cost and expense insurance with limits not less than those
described below and as required by the terms of this contract, or as required by law, whichever is
greater and shall provide coverage to Licensee and State Parks for claims of damage to property and
personal injuries, including death, which may arise from the conduct of Licensee and/or the
performance of the services authorized by this License. Limits may be provided through a
combination of primary and umbrella/excess policies.
b)
Within thirty days (30) prior to commencement of operations for each year of this License,
a current insurance certificate evidencing such insurance coverage must be submitted to State Parks.
Insurance shall be provided in the following minimum amounts:
i.
Commercial General Liability Insurance with a limit of not less than one million
dollars ($1,000,000) for Each Occurrence and General Aggregate in the amount of two
million dollars ($2,000,000). Such coverage shall be written on the ISO CG 00 01 or
substitute form providing equivalent coverages and shall cover liability arising from
premises operations, independent contractors, products-completed operations, and personal
and advertising injury, including injury to athletic participants.
ii.
Commercial Property covering the Licensed Premises and ancillary structures,
fixtures, and equipment insuring the same for replacement value, with all risk coverage, in
which State Parks is named as loss payee. In the event of shared occupancy, State Parks
will apportion coverage requirements among the occupants on a pro-rata basis according to
the space occupied. Such coverage shall be written on the ISO Special Causes of Loss Form
or substitute form providing equivalent coverages;
iii.
In the event that Licensee operates an automobile or other motor vehicle in
conjunction with any activities authorized by this License, then Licensee will obtain
Comprehensive Business Automobile Liability Insurance with a limit of not less than
one million dollars ($1,000,000) for each accident. Such insurance shall cover liability
arising out of any automobiles including owned, leased, hired, and non-owned automobiles
(if vehicles are utilized for operations under this License); and,
iv.
Liquor Liability Insurance in the amount of not less than one million dollars
($1,000,000) per occurrence;

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c)
In accordance with Sections 57 and 220(8) of the Workers Compensation Law, State Parks
requires annual proof of both Workers Compensation Insurance and Disability Insurance. The
following are the only acceptable means of proof (Please note that ACORD forms are not
acceptable proof of coverage):
i.

1)
2)
3)
ii.

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Disability Benefits:
CE-200: Certificate of Attestation of Exemption from NYS Workers
Compensation and/or Disability Benefits Insurance Coverage; or
DB-120.1: Certificate of Disability Benefits Insurance; or
DB-155: Certificate of Disability Benefits Self-Insurance.

Workers Compensation:
1)
CE-200: Certificate of Attestation of Exemption from NYS Workers
Compensation and/or Disability Benefits Insurance Coverage; or
2)
C-105.2(9-07): Certificate of Workers Compensation Insurance; note:
the State Insurance Fund provides its own version of this form, the U26.3; or
3)
SI-12: Certificate of Workers Compensation Self-Insurance.

d)
Insurance coverage shall be provided only by an insurance carrier rated A-, Class VII or
better throughout the term of this License. Such carrier shall be duly licensed in the State of New
York.
e)
Licensee shall require that all independent contractors shall have insurance policies
providing commercial general liability with a limit of not less than one million dollars ($1,000,000),
workers compensation, disability and comprehensive business automobile liability insurance to the
extent set forth in the section. Licensee shall provide State Parks with a certificate from such
independent contractor evidencing such coverage, and naming State Parks as additional insureds as
provided in section 34(f) below
f)
All insurance policies and certificates shall provide as follows: Consistent with the
requirements of License X001255 for food and beverage concession services at Knox Farm State
Park, the People of the State of New York are additional insured. Designating State Parks as a
certificate holder shall not constitute compliance with this section.
g)
All insurance coverage shall be written such that State Parks is afforded at least thirty (30)
days prior notice of cancellation of any insurance.
h)
Licensee shall notify State Parks of any accidents and/or claims, including without
limitation, accidents or claims involving bodily injury, death, or property damage arising on or
within the Licensed Premises. Such notice shall be provided in writing as soon as practicable,
however in any event within five days of Licensees receipt of notice of the accident or claim.

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i)
Required insurance coverage and any self-insured retention may be required to be modified
by State Parks if, in the sole judgment of State Parks, the levels of risk associated with Licensees
operations require modification of such coverage.

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j)
Failure of the Licensee to obtain and maintain appropriate insurance as specified by State
Parks, without gap, may be deemed a material breach of this license and at the sole discretion of
State Parks may be cause for termination.

35.

Indemnity & Claims

a)
Licensee assumes all risks in the performance of all activities authorized by this
License and agrees to defend, indemnify and hold harmless the State of New York, the
Office of Parks, Recreation and Historic Preservation, Long Island Regional State Park,
Recreation and Historic Preservation Commission, their commissioners, officers,
employees, agents and assigns (hereinafter, collectively the Indemnitees) from and
against any and all claims, suits, losses, damage or injury to persons or property of
whatsoever kind and nature, whether direct or indirect, caused or contributed to by
Licensee and Licensees contractors, vendors, materialmen, employees, agents, invitees
and guests, and/or arising out of Licensees conduct and/or Licensees performance
pursuant to this License, provided however that Licensees indemnity shall not extend to
any claims, liabilities, losses, damages, expenses, accidents or occurrences arising out of,
relating to, or in connection with: (i) the negligence of any Indemnitee; or (ii) the
Indemnitees ordinary upkeep and maintenance of the Park and its grounds and facilities
outside of the Licensed Premises. Licensee shall defend at its sole cost and expense any
action commenced for the purpose of asserting any claim of whatsoever character arising
out of this License. Licensees responsibility under this section shall not be limited to the
required or available insurance coverage.
b)
For all purposes hereunder, State Parks shall not be liable for any injury, loss or
damage to Licensee, its agents, servants, contractors, vendors, invitees and guests, or to
any person happening on, in or about the Licensed Premises or its appurtenances, nor for
any injury or damage to the Licensed Premises or to any property belonging to Licensee
or to any other person, that may be caused by fire, theft, breakage, or by use or misuse or
abuse of any portion of the Licensed Premises, including but not limited to any common
areas, sidewalks, roads, or water in or adjacent to the Licensed Premises, or that may
arise from any other cause whatsoever, unless, and only to the extent of the proportion of
which any such injury, loss or damage is determined to be caused by the negligence of
State Parks.
c)
State Parks shall not be liable to Licensee, its agents, servants, contractors,
vendors, invitees and guests, or any other person, for any failure of water supply, gas
supply or electric current, nor for any injury or damage to any property of Licensee or
any other person or to the Licensed Premises, caused by or resulting from spill or release
of gasoline, oil, steam, gas, or electricity, or caused by leakage of any substance from
pipes, appliances, sewers or plumbing works, or caused by hurricane, flood, tornado,
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wind or similar storm or disturbance, or caused by water, rain or snow that may leak or
flow from the street, sewers or subsurface areas, or from any part of the Licensed
Premises or any body of water within or adjacent to the Licensed Premises, or caused by
any public or quasi-public work, unless, and only to the extent of the proportion by which
any such injury, loss or damage is determined to be caused by the negligence of State
Parks.

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d)
Licensee shall not create or cause to be created any lien, encumbrance or charge
upon the Licensed Premises, the Park, or any part thereof. If any mechanics, laborers or
similar statutory or common law lien (including tax liens, provided that the underlying
tax is an obligation of Licensee by law or by a provision of this License) caused or
created by Licensee is filed against the Licensed Premises, or if any public improvement
lien created or caused to be created by Licensee is filed against any assets of, or funds
appropriated by State Parks, then Licensee shall, within forty-five (45) days after receipt
of notice of the lien, cause it to be vacated or discharged of record by payment, deposit,
bond, court order, or otherwise. However, Licensee shall not be required to discharge
any such lien if Licensee shall have:
i.
furnished State Parks with, at Licensees option, a cash deposit, bond,
letter of credit (from an institutional lender in a form satisfactory to State Parks),
or other security reasonably satisfactory to State Parks in an amount sufficient to
discharge the lien and all applicable interest, penalties and/or costs; and
ii.
brought an appropriate legal proceeding to discharge the lien and is
prosecuting such proceeding with diligence and continuity; except that if despite
Licensees efforts to discharge the lien State Parks reasonably believes the lien is
about to be foreclosed and so notifies Licensee, Licensee shall immediately cause
such lien to be discharged of record or State Parks may use the security furnished
by Licensee in order to discharge the lien.
36.

Rights Upon Loss from Casualty

a)
If a loss or damage from casualty is suffered, Licensee shall give notice of the loss
to State Parks. State Parks shall consult with Licensee prior to making a determination of
whether or in what manner the loss or damage can or should be restored to substantially
the same condition as existed prior to such loss from casualty.
b)
If the loss from casualty is such that the Licensed Premises is totally or partially
destroyed to the extent that Licensees performance hereunder is substantially interrupted
or impeded, then Licensee and State Parks shall each have the right, by notice to the
other, to terminate this License. In the event of such termination, Licensee shall pay to
State Parks all fees due for the period through and including the date of loss from
casualty, and Licensee and State Parks shall otherwise finalize all open matters and
obligations between them. Should State Parks elect to terminate this License under this
section, within thirty (30) days of Licensees receipt of such notice, Licensee shall have

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the right to elect, upon written notice to State Parks, to restore the Licensed Premises at
Licensees sole cost and expense. Licensee shall have the right to apply the proceeds of
any policy of insurance procured by Licensee to the restoration of the Licensed Premises.
If Licensee elects to restore the Licensed Premises, such restoration work shall be subject
to the approval of State Parks pursuant to the same terms of this License as are applicable
to capital improvement projects, including without limitation, the provisions of
Attachment C hereof. Pending Licensees restoration of the Licensed Premises to
reasonably serviceable condition consistent with the setting and architectural style
prevailing in the Park, and provided that the Licensee diligently pursues all restoration
work to completion within a reasonable time, the License fee accruing hereunder shall be
abated.

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c)
If the loss from casualty does not totally destroy the Licensed Premises or
otherwise substantially interrupt or impede Licensees performance hereunder, Licensee
shall proceed with performance of this License. In such event, State Parks and Licensee
may agree to an equitably proportionate abatement of the License fee, but only to the
extent reasonably feasible and to the proportionate extent that Licensees operations are
impeded or interrupted by such casualty loss.
37.

Termination

a)
In addition to all other rights of termination provided by law and in this License,
if any one or more of the following events shall occur, that is to say:
i.
Licensee shall become insolvent, or shall take the benefit of any present or
future insolvency statute, or shall make a general assignment for the benefit of
creditors, or file a voluntary petition in bankruptcy or a petition or answer seeking
an arrangement or its reorganization or the readjustment of its indebtedness under
the federal bankruptcy laws or under any other law or statute of the United States
or of any State thereof, or consent to the appointment of a receiver, trustee, or
liquidator of all or substantially all its property; or
ii.
By order or decree of a court, Licensee shall be adjudged bankrupt or an
order shall be made approving a petition filed by any of the creditors seeking its
reorganization or the readjustment of its indebtedness under the federal
bankruptcy laws or under any law or statute of the United States or of any State
thereof; or
iii.
A petition under any part of the federal bankruptcy laws or an action under
any present or future insolvency law or statute shall be filed against Licensee and
shall not be dismissed within forty-five (45) days after the filing thereof; or
iv.
The actual or purported letting hereunder of the interest or estate of
Licensee under this License shall be transferred to, pass to or devolve upon, by

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operation of law or otherwise, any other person, firm or corporation except upon
the express written approval of State Parks; or
v.
By or pursuant to, or under authority of any legislative act, resolution or
rule, or any order or decree of any court or governmental board, agency or officer,
a receiver, trustee, or liquidator shall take possession or control of all or
substantially all the property of Licensee, or any execution or attachment shall be
issued against Licensee or any of its property, whereupon possession of the
Licensed Premises shall be taken by someone other than Licensee, and any such
possession or control shall continue in effect for a period of ten (10) days; or

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vi.
Any lien is filed against the Licensed Premises because of any act or
omission of Licensee and is not removed or bonded as provided for in Paragraph
36d) of this License; or
vii.
Licensee shall fail duly and punctually to pay the fees or to make any
other payment required hereunder when due to State Parks and such failure shall
continue for a period of ten (10) days after State Parks shall have given Licensee a
written notice and demand therefore; or
viii. Licensee shall fail to keep, perform and observe each and every material
promise, covenant and agreement set forth in this License on its part to be kept,
performed, or observed, within ten (10) days after receipt of notice of default
thereunder from State Parks (except where fulfillment of its obligation requires
activity over a period of time, and Licensee shall have commenced to perform
whatever may be required for fulfillment within ten (10) days after receipt of
notice and continues diligently such performance without interruption except for
causes beyond its control); or
ix.
Licensee shall cease to be duly authorized to conduct business in the State
of New York.
x.
Lessee shall be found to have intentionally falsified any information
provided to State Parks, including but not limited to that provided in compliance
with Report of Lobbying Contacts, and Comptrollers Bulletin G-221, Vendor
Responsibility, New York State Finance Law 139 j/k, ST220-CA, and such
failure shall continue for a period of twenty (20) days after State Parks shall have
given Lessee a written notice and demand therefore.
Then upon the occurrence of any such event or at any time thereafter during the
continuance thereof, State Parks may by ten (10) days notice terminate this License, such
termination to be effective upon the date specified in such notice. Such right of
termination and the exercise thereof shall be and operate as a conditional limitation.

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b)
No acceptance by State Parks of license fees, charges or other payments in whole
or in part for any period or periods after a default in any of the terms, covenants and
conditions to be performed, kept or observed by Licensee shall be deemed a waiver of
any right on the part of State Parks to terminate this License.

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c)
No waiver by State Parks of any default on the part of Licensee in performance of
any of the terms, covenants or conditions hereof to be performed, kept or observed by
Licensee shall be or be construed to be a waiver by State Parks of any other or
subsequent default in performance of any of the said terms, covenants and conditions.
d)
The rights of termination described above shall be in addition to any other rights
of termination provided in this License and in addition to any rights and remedies that
State Parks would have at law or in equity consequent upon any breach of this License by
Licensee, and the exercise by State Parks of any right of termination shall be without
prejudice to any other such rights and remedies.
e)
Licensee hereby waives its right to trial by jury in any summary proceeding,
ejectment or other action that may hereafter be instituted by State Parks against Licensee
in respect of the Licensed Premises or in any action that may be brought by State Parks to
recover fees, damages, or other sums payable hereunder. Licensee shall not interpose any
claims as counterclaims in any summary proceeding or action for non-payment that may
be brought by State Parks unless such claims would be deemed waived if not so
interposed.
38.

Force Majeure

If either State Parks or Licensee shall be delayed or prevented from the performance of
any act required by this License by reason of acts of God, weather, earth movement,
lockout or labor trouble, unforeseeable restrictive governmental laws or regulation, or
acts of war, riot or other similar causes, without fault and beyond the reasonable control
of the party obligated, performance of such act shall be excused for the period of the
delay and the period for the performance of such act shall be extended for a period
equivalent to the period of such delay; provided, however, nothing in this section shall
excuse Licensee from the prompt payment of any and all license fees or other charges
payable pursuant to this License.
39.

Compliance with all Laws, Rules and Regulations


Licensee shall comply with all present and future federal and state laws, codes and
regulations applicable to the conduct of the activities authorized by this License,
including all other applicable governmental regulations affecting the Licensed Premises
in regard to employment, sale, use and storage of materials, and all other matters, and
shall procure at its own expense all permits, licenses or other approvals necessary for the
performance of this License.

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Choice of Law/Damages
a)
This License shall be governed and interpreted in accordance with the laws of the
State of New York. Any and all claims against State Parks arising out of this License
shall be limited to money damages and commenced exclusively in, and subject to the
jurisdiction of the New York State Court of Claims.

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b)
Any and all claims against Licensee for damages to State Parks shall be
enforceable in any appropriate court in Albany County, New York.
41.

Required Clauses

Appendix A - Standard Clauses for All New York State Contracts is annexed hereto
and incorporated herein by reference.
42.

Integration Clause

This License shall not be materially amended, changed or otherwise modified except in
writing signed by both parties and approved by the Deputy Commissioner for Finance
and Administration. Except to the extent that documents are incorporated herein by
reference, this License constitutes the entire agreement between the parties concerning
the subject matter hereof and supersedes all prior agreements and understandings of the
parties in connection therewith. No covenant, representation or condition not expressed
herein shall be effective to interpret, change or restrict the express provisions of this
License.
43.

Rights of Third Parties

Nothing contained in this agreement shall create or give to third parties any claim or right
of action against the Indemnitees as defined in Paragraph 36 hereof, or any interest in real
or personal property of the State of New York, beyond that as may legally exist without
regard to this agreement.
44.

Agency

Nothing contained herein shall constitute or be construed to create or constitute a legal or


de facto partnership, joint venture or an agency relationship between the parties.
45.

Use of Licensed Premises

The Licensed Premises shall be restricted to the areas specifically depicted in Attachment
A annexed hereto, and Licensee shall have no rights beyond the delineated area of the
Licensed Premises, except as may be provided specifically herein or hereafter expressly
granted by State Parks in writing. Licensee shall not advertise or offer for sale, hire or use
any Park amenities, areas or activities outside of the Licensed Premises. Any proposed

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activity or use affecting the Park and any of its facilities other than uses confined to the
Licensed Premises shall be subject to the specific written approval of State Parks, and/or
State Parks grant of a Special Use Permit to Licensee on such terms and conditions as
may be appropriate.
46.

Ingress and Egress

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a)
Licensee for itself, its officers, employees and such business invitees as are at the
Licensed Premises shall have the right of ingress and egress between the Licensed
Premises and the public streets and park roads. Such right shall be exercised by means of
such public areas and pedestrian or vehicular ways, and by means of such other facilities
for movement of persons or property, to be used subject to all the provisions of this
License and in common with others having rights of passage and movement within the
Park as may from time to time be designated by State Parks for the use of the public. The
use of any such facility, way or other area shall be subject to the rules and regulations of
State Parks and the Park which are now in effect or which may hereafter be promulgated
for the safe and efficient operation of the Park.
b)
State Parks may, at any time, temporarily or permanently close, move change or
limit the use of, or consent to or request the closing, moving, changing or limitation of
the use of, any road, facility, way or any other area at or near the Licensed Premises
presently or hereafter used as such, so long as a reasonably comparable means of ingress
and egress remains or is made available to Licensee. Licensee shall not do or permit
anything to be done which will interfere with the free access and passage of others to
space adjacent to the Licensed Premises or in any areas, streets, ways, facilities and walks
near the Licensed Premises.
47.

Rights of Entry Reserved

a)
State Parks by its duly authorized officers, employees, agents, representatives and
contractors shall have the right at all reasonable times during business hours and upon
reasonable oral notice to Licensees manager or his designee to enter upon the Licensed
Premises for the purpose of inspecting the same, for observing the performance by
Licensee of its obligations under this License, and for the doing of any official act or
thing which State Parks may be obligated or have the right to do under this License or in
accordance with law. In case of emergency or exigent circumstances threatening the
health, safety or welfare of the public, or the physical integrity of the Licensed Premises,
State Parks reserves an unrestricted right of entry to the Licensed Premises at all times.
b)
Without limiting the generality of the foregoing, State Parks by its officers,
employees, representatives and contractors, shall have the right, for its own benefit, for
the benefit of the public, to maintain initially existing and future utility, mechanical,
electrical, communication and other systems or portions thereof as may be on or adjacent
to the Licensed Premises, and to enter upon the Licensed Premises at all reasonable times
to make such repairs, alterations and replacements as may, in the opinion of State Parks,

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be deemed necessary or advisable and, from time to time, to construct or install over, in,
under or through the Licensed Premises new lines, pipes, mains, wires, conduits,
equipment and other such; and to use the Licensed Premises for access to such facilities
not otherwise conveniently accessible; and to take all material into and upon the Licensed
Premises that may be required for such repairs, alterations and replacements; provided,
however, that such entry, repair, alteration, replacement, construction or access shall not
unreasonably interfere with the use of the Licensed Premises by Licensee or adversely
affect the security of property owned by, or on loan to Licensee.
48.

Right of Re-entry

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State Parks shall, as an additional remedy upon the giving of a notice of termination as
provided this License, have the right to re-enter the Licensed Premises and every part
thereof upon the effective date of termination without further notice of any kind, and may
regain and resume possession either with or without the institution of summary or any
other legal proceedings or otherwise. Such re-entry, or regaining or resumption of
possession, however, shall not in any manner affect, alter or diminish any of the
obligations of Licensee under this License, and shall in no event constitute an acceptance
of surrender.
49.

Waiver of Redemption

Licensee hereby waives any and all rights of redemption, granted by or under any present
or future law, arising in the event it is evicted or dispossessed for any cause set forth
herein, or in the event State Parks obtains or retains possession of the Licensed Premises
in any lawful manner. This section shall not be construed to apply to any tangible
personal property of third parties on loan to Licensee.
50.

Remedies and Suits Against Licensee

All remedies provided in this License shall be deemed cumulative and additional and not
in lieu of or exclusive of each other or of any other remedy available to State Parks at law
or in equity. In the event of a breach by Licensee of any term, covenant, condition or
provision of this License, State Parks shall have the right of injunction and the right to
invoke any other remedy allowed by law or in equity as if termination, re-entry, summary
proceedings and any other specific remedies including without limitation thereto,
indemnity and reimbursement, were not mentioned herein, and neither the mention
thereof nor the pursuance or exercise or failure to pursue or exercise any right or remedy
shall preclude the pursuance or exercise of any other right or remedy.
51.

Surrender
a)
Licensee covenants and agrees to yield and deliver peaceably to State Parks
possession of the Licensed Premises on the date of the termination or expiration of this
License, whether such cessation be by termination, expiration or otherwise, promptly and

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in broom clean condition, reasonable wear excepted as would not adversely affect or
interfere with the efficient and proper utilization of the Licensed Premises or any part
thereof.

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b)
Unless the same are required for the performance by Licensee of its obligations
hereunder, Licensee shall have the right at any time during the term hereof to remove
from the Licensed Premises, and, on or before the expiration or earlier termination of the
term, shall so remove its equipment, removable fixtures and other personal property, and
all property of third persons for which it is responsible, repairing all damages caused by
such removal. If Licensee shall fail to remove such property on or before the termination
or expiration of the term, State Parks shall have the right to so remove and dispose, or
provide for the removal and disposal, of such property according to law.
52.

Acceptance of Surrender of License

No agreement of surrender or to accept a surrender shall be valid unless and until the
same shall have been reduced to writing and signed by the duly authorized
representatives of State Parks and Licensee. Except as expressly provided in this Section,
neither the doing of, nor any omission to do, any act or thing, by any of the officers,
agents or employees of State Parks shall be deemed an acceptance of a surrender of the
Licensed Premises or this License. Without limiting the foregoing, no employee or
officer of State Parks shall be authorized to accept keys of the Licensed Premises as an
act of surrender prior to the expiration of the term hereof and no delivery of the keys by
Licensee shall constitute a termination of this License or acceptance of surrender.
53.

Public Access

Licensee acknowledges that State Parks will, from time to time, utilize the stable area and
other portions of the Licensed Premises for public education program purposes. State
Parks shall coordinate the schedule of such programming to minimize disruption of the
Licensees programs and activities.
54.

Sub-Licensing

Subject to the prior written approval of State Parks, Licensee may be authorized to sublicense selected services to a duly qualified sub-licensee with demonstrable experience in
providing such services at a similar venue. Any sub-license proposed by Licensee shall
be in writing, and all performance by the sub-licensee shall be expressly subject to all
terms of this License, and shall not relieve Licensee of any duty, obligation or
responsibility owed to State Parks pursuant to this License.
55.

Notices
a)
All notices permitted or required hereunder shall be in writing and shall be
transmitted either:

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i.
ii.
iii.
iv.
v.

via certified or registered United States mail, return receipt requested;


by facsimile transmission;
by personal delivery;
by expedited delivery service; or
by e-mail.

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Such notices shall be addressed as follows or to such different addresses as the parties may
from time-to-time designate:
If to State Parks:
Mark Thomas, Director
Niagara Region - Western District
Prospect Street
P.O. Box 1132
Niagara Falls, NY 14303-1132
Telephone Number:
Facsimile Number:
E-Mail Address:

716-278-1702
716-278-1725
Mark.Thomas@oprhp.state.ny.us

and

General Counsel
NYS Office of Parks, Recreation and Historic Preservation
Albany, NY 12238
Telephone Number:
Facsimile Number:
E-Mail Address:

518-474-0430
518-474-4492
counsel@parks.ny.gov

A copy shall be delivered to:

Christopher M. Pushkarsh
Concessions Management Bureau
NYS Office of Parks, Recreation and Historic Preservation
Albany, NY 12238
Telephone Number:
Facsimile Number:
E-Mail Address:

518-486-2932
518-486-2372
concessions@parks.ny.gov

If to Licensee:

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TBD
Telephone Number:
Facsimile Number:
E-Mail Address:

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b)
Any such notice shall be deemed to have been given either at the time of personal
delivery or, in the case of expedited delivery service or certified or registered United States
mail, as of the date of first attempted delivery at the address and in the manner provided
herein, or in the case of facsimile transmission or email, upon receipt.
c)
The parties may, from time to time, specify any new or different address in the
United States as their address for purpose of receiving notice under this Agreement by
giving fifteen (15) days written notice to the other party sent in accordance herewith. The
parties agree to mutually designate individuals as their respective representatives for the
purposes of receiving notices under this Agreement. Additional individuals may be
designated in writing by the parties for purposes of implementation and
administration/billing, resolving issues and problems and/or for dispute resolution.
56.

Required Approvals

This License shall not become effective until the Attorney General and the Office of the
State Comptroller have approved it.
*Signature Page Follows*

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Signature Page
State Parks certifies that copies of this signature page with original signatures will be
attached to all other exact copies of the license.
IN WITNESS WHEREOF, The Licensee and State Parks have executed this License on the day and
year first above written.
Licensee:

Licensee Name

I certify and affirm that all information provided to the State Parks including information pertaining to
ST-220-CA and SFL 139 (j) and (k) is complete, true and accurate.
___________________
Date

By: ______________________________________
Typed Name:
Title: ______________________________________

Federal Employer Identification No.: ______________________________________


Recommended by Region:
___________________
Date

Niagara Frontier Region


By: ______________________________________
Mark Thomas
Western District Director

Approved by State Parks:


___________________
Date

By: ______________________________________
Melinda Scott
Deputy Commissioner for Administration and
Finance

Approved:
__________________________
ATTORNEY GENERAL

______________________________
STATE COMPTROLLER

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STATE OF NEW YORK )


) SS:
COUNTY OF
)
On this _______ day of _______________ in the year 2016, before me, the undersigned a notary
public in and for said state, personally appeared _________________________________,
personally known, to me, or proved to me on the basis of satisfactory evidence to be the
individual whose name is described within the instrument and acknowledged to me that he/she
executed the same in his/her capacity as ___________________________________________ of
__________________________________________ and that by his/her signature on the
instrument, the individual, or the person upon behalf of whom the individual acted, executed the
instrument.

__________________________
Notary Public
*Attachments Follow*

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Attachment A-1

Attachment A-1
Description of Licensed Premises
6. The land area (approximately 80 acres) in the southeast section of Knox Farm State Park
as indicated on Attachment A-1.
7. Equestrian structures proposed to be included in the Licensed Area, shown in more
detail on Attachment A-2, are:
An 11,200 sq. ft. main horse barn, measuring 38 x 234 plus two wings, includes 29
stalls. The building is steel and concrete construction with a white stucco exterior, clay
tile roof, and copper gutters and downspouts. It includes a tack room with fireplace and
small office as well as mens and womens restrooms. There are two apartments on the
second level available for the stable manager or other staff associated with the operation.
The white frame stable is located southwest of the main barn and contains 10 stalls.
This building has clapboard siding and an asphalt shingle roof, with a gross area of 2,368
square feet.
The large garage, also wood-frame construction with a white stucco exterior, is
available to the Licensee.

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Attachment A-2

Attachment A-2
Map of Licensed Premises

RFPX001255

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Attachment B

Attachment B
Inventory of Equipment
To follow

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Attachment C

Attachment C

Requirements for Capital Improvement Projects


a)
All capital improvement investment projects to be undertaken by Licensee (Concessionaire) shall be approved in
advance by State Parks in accordance with the Concession License. Upon approval of a capital improvement project by State
Parks, the Concessionaire shall fully implement the approved project and all its individual elements at the direction of State Parks
pursuant to the requirements contained herein. The Concessionaire shall be solely responsible for the full cost of implementing
all approved projects, including all costs and expenses of construction that exceed the Concessionaires minimum capital
investment required by the Concession License.
b)
Unless otherwise agreed in writing by State Parks, the Concessionaire shall expend its required minimum capital
investment as outlined in Attachment D of this Concession License. All work undertaken by the Concessionaire shall be in
accordance with and pursuant to plans, specifications and an implementation schedule duly approved in writing by State Parks.
c)
Designs for all projects proposed by Concessionaire shall be in compliance with the NYS Uniform Building and Fire
Code, and the standards of the American Disabilities Act. Designs shall be developed and signed by architectural and/or
engineering consultants licensed to practice in New York State. All architectural, engineering and environmental consultants
engaged by the Concessionaire shall have a minimum of five (5) years professional experience, and demonstrable prior
experience with projects similar to that to be undertaken by Concessionaire. Selection of consultants, including consultants
selected to prepare any required environmental impact statements and supporting studies, shall be subject to the written review
and approval of State Parks. Design and engineering fees chargeable to the capital investment required by the Concession
License shall not exceed fifteen (15%) percent of total project cost approved by the State Parks. All designs for capital
improvements shall be subject to the written review and approval of State Parks with respect to aesthetics and compliance with
the Concessionaires approved Capital Investment Plan, the NYS Uniform Building and Fire Code, the standards of the American
Disabilities Act, the State Historic Preservation Act, and the State Environmental Quality Review Act, prior to any bidding or
award of contracts for such construction, or commencement of construction.
If State Parks determines that a proposed project so requires, Concessionaire shall be responsible for the preparation of
a Draft Environmental Impact Statement (DEIS), a Final Environmental Impact Statement (FEIS), and a draft Statement of
Findings pursuant to State Environmental Quality Review Act (SEQR) procedures and within 12 months of the award of the
License. Concessionaire shall be responsible for the administration of the EIS process, including the arrangements for, and
preparation/ maintenance of records of a scoping meeting and public hearing. The EIS process and compliance aspects of the
SEQR will be undertaken under the direct supervision of State Parks. In accordance with SEQR, Concessionaire must adequately
address alternatives, including the no build alternative. Concessionaire must fulfill its SEQR obligations under the License at
its own cost and will not look to reimbursement by State Parks even if the plans for the proposal are not implemented as a result
of the SEQR process. The time period for the SEQR process may be extended by State Parks beyond the specified period. In no
event, however, shall the SEQR review be unduly delayed by the acts of omissions of Concessionaire.
d)
All contracts for construction or improvement of the Licensed Premises shall provide for the payment of prevailing
wage rates set by the New York State Department of Labor. The Concessionaire is solely responsible to ensure the payment of
prevailing wage rates on all capital improvement projects. Upon request by the Concessionaire, State Parks shall provide
prevailing wage rate sheets to the Concessionaire.
The Concessionaire shall undertake construction work only after soliciting and documenting competitive bids from
e)
subcontractors and materialmen. All advertisements, bids, bid certifications and related documentation shall be reviewed and
approved by State Parks prior to the award of contracts by the Concessionaire. The Concessionaire shall submit documentation,
in a form and manner as directed by State Parks, to permit the audit and verification of the bidding procedures and costs of all
work to be undertaken. Title to all improvements shall vest in the State of New York only upon final acceptance of the work by
State Parks.
f)
Copies of all contracts, subcontracts, change orders, progress payment documents and related material shall be
provided to State Parks within five business days upon request by State Parks.
g)
Throughout the construction phase of the project, the Concessionaire shall conduct regular job meetings to assess
progress on the project, and produce written records of such meetings, with a copy to State Parks. At the discretion of State Parks,
a representative may attend the job meetings at no cost to the Concessionaire.
h)
All construction and material costs and expenses in excess of original estimates for the approved project shall be the
sole responsibility of the Concessionaire, and State Parks shall have no liability whatsoever for any additional expenses either to

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Attachment C

the Concessionaire or the Concessionaires contractors, subcontractors, and/or suppliers. The Concessionaire assumes any and all
additional and extra costs, including but not limited to costs and expenses associated with the upgrade of utilities, security and
fire control systems, code compliance, delay for whatever cause, weather, and unknown or unforeseen conditions associated with
the Licensed Premises. State Parks shall have no obligation in law or in fact to expend funds or undertake any capital
improvements as a result or consequence of any project undertaken, or condition encountered by the Concessionaire.
i)

Additional Insurance Required for Capital Improvements

In addition to the insurance required by the Concession License, the Concessionaire shall require its contractors to carry
Contractor's Liability Insurance that names State Parks and the Concessionaire as additional insured. Such insurance shall include
the following coverage:
(1)

Liability (including contractual liability) and Protective Liability to protect the Concessionaire and State
Parks from any suits, actions, damages and costs of every name and description, with respect to all work
performed by the Concessionaire's contractors and subcontractors;

(2)

Owner's Protective Liability to protect State Parks with respect to all operations undertaken by the
Concessionaire's contractors and subcontractors, including omissions and supervisory acts; and

(3)

Completed Operations/Products Liability covering liability and damages arising between the date of final
cessation of construction work and the date of final acceptance of the construction by State Parks; and

(4)

Builders Risk Insurance:


(i) Unless otherwise provided for in the concession License the Concessionaire's contractor shall maintain
builder's risk insurance for the completed value of the Licensed Premises on the All Risk Form.
(ii) In the event that State Parks occupies all or any part of any building included in the Licensed Premises
prior to the issuance of the final certificate of occupancy, the Concessionaire's Contractor shall notify the fire
insurance company or companies. Such occupancy by State Parks shall not require consent of the insurer nor
shall the insurer require any rate adjustment as a result of such occupancy.

j)

Labor and Materials Bond:

Prior to the commencement of any construction work hereunder, Concessionaire shall furnish State Parks with evidence that it
has procured a labor and materials payment bond from a corporate surety authorized to transact business in the State of New
York, in a form satisfactory to State Parks, naming Concessionaire as principal, in an amount not less than one hundred (100%)
percent of the total cost of the construction work to be undertaken by Concessionaire as approved by State Parks. Such bond shall
guarantee payment for all materials, provisions, supplies, and equipment used in, upon, for, or about the performance of said
construction work, and/or labor performed thereon of any kind whatsoever, and which unconditionally protects State Parks from
any claims, liability, losses, or damages arising therefrom.
k)
It is expressly understood that failure of the Concessionaire to comply with the requirements for capital improvement
projects, including maintaining the required insurance and bonds in full force throughout the performance of the approved
project, shall be deemed a material breach of the Concession License and may, at the election of State Parks, result in termination
of the Concession License without further notice. The Concessionaire shall notify State Parks immediately of any change in
insurance or bonding status including, but not limited to, any change in carrier or surety.
l)

If there are any discrepancies between this Attachment and the License, the language of the License shall prevail.

Revised July 2006

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Attachment D

Attachment D
Capital Improvement Schedule
To follow
The Capital Improvement Schedule may be adjusted as agreed, in writing, by the parties. Certain
proposed projects may be funded through the R&R Account, in which case other projects of like
value will be substituted.

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APPENDIX A NYS Standard Contract Clauses


The parties to the attached contract, License, License,
amendment or other agreement of any kind
(hereinafter, "the contract" or "this contract") agree to
be bound by the following clauses which are hereby
made a part of the contract (the word "Contractor"
herein refers to any party other than the State, whether
a contractor, Licenser, Licensee, lessor, Licensee or
any other party):

approved by the State Comptroller and filed in his


office. Comptroller's approval of contracts let by the
Office of General Services is required when such
contracts exceed $85,000 (State Finance Law Section
163.6-a). However, such pre-approval shall not be
required for any contract established as a centralized
contract through the Office of General Services or for
a purchase order or other transaction issued under such
centralized contract.

1. EXECUTORY CLAUSE.
In accordance with Section 41 of the State Finance
Law, the State shall have no liability under this
contract to the Contractor or to anyone else beyond
funds appropriated and available for this contract.

4. WORKERS' COMPENSATION BENEFITS.


In accordance with Section 142 of the State Finance
Law, this contract shall be void and of no force and
effect unless the Contractor shall provide and maintain
coverage during the life of this contract for the benefit
of such employees as are required
to be covered by the provisions of the Workers'
Compensation Law.
5. NON-DISCRIMINATION REQUIREMENTS.
To the extent required by Article 15 of the Executive
Law (also known as the Human Rights Law) and all
other State and Federal statutory and constitutional
non-discrimination provisions, the Contractor will not
discriminate against any employee or applicant for
employment because of race, creed, color, sex
(including gender identity or expression), national
origin, sexual orientation, military status, age,
disability, predisposing genetic characteristics, marital
status or domestic violence victim status.
Furthermore, in accordance with Section 220-e of the
Labor Law, if this is a contract for the construction,
alteration or repair of any public building or public
work or for the manufacture, sale or distribution of
materials, equipment or supplies, and to the extent that
this contract shall be performed within the State of
New York, Contractor agrees that neither it nor its
subcontractors shall, by reason of race, creed, color,
disability, sex, or national origin: (a) discriminate in
hiring against any New York State citizen who is
qualified and available to perform the work; or (b)
discriminate against or intimidate any employee hired
for the performance of work under this contract. If this
is a building service contract as defined in Section 230
of the Labor Law, then, in accordance with Section
239 thereof, Contractor agrees that neither it nor its
subcontractors shall by reason of race, creed, color,
national origin, age, sex or disability: (a) discriminate
in hiring against any New York State citizen who is
qualified and available to perform the work; or (b)
discriminate against or intimidate any employee hired
for the performance of work under this contract.
Contractor is subject to fines of $50.00 per person per
day for any violation of Section 220-e or Section 239
as well as possible termination of this contract and

2. NON-ASSIGNMENT CLAUSE.
In accordance with Section 138 of the State Finance
Law, this contract may not be assigned by the
Contractor or its right, title or interest therein assigned,
transferred, conveyed, sublet or otherwise disposed of
without the States previous written consent, and
attempts to do so are null and void. Notwithstanding
the foregoing, such prior written consent of an
assignment of a contract let pursuant to Article XI of
the State Finance Law may be waived at the discretion
of the contracting agency and with the concurrence of
the State Comptroller where the original contract was
subject to the State Comptrollers approval, where the
assignment is due to a reorganization, merger or
consolidation of the Contractors business entity or
enterprise. The State retains its right to approve an
assignment and to require that any Contractor
demonstrate its responsibility to do business with the
State. The Contractor may, however, assign its right to
receive payments without the States prior written
consent unless this contract concerns Certificates of
Participation pursuant to Article 5-A of the State
Finance Law.
3. COMPTROLLER'S APPROVAL.
In accordance with Section 112 of the State Finance
Law (or, if this contract is with the State University or
City University of New York, Section 355 or Section
6218 of the Education Law), if this contract exceeds
$50,000 (or the minimum thresholds agreed to by the
Office of the State Comptroller for certain S.U.N.Y.
and C.U.N.Y. contracts), or if this is an amendment for
any amount to a contract which, as so amended,
exceeds said statutory amount, or if, by this contract,
the State agrees to give something other than money
when the value or reasonably estimated value of such
consideration exceeds $10,000, it shall not be valid,
effective or binding upon the State until it has been

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determination of the United States Commerce


Department or any other appropriate agency of the
United States subsequent to the contract's execution,
such contract, amendment or modification thereto shall
be rendered forfeit and void. The Contractor shall so
notify the State Comptroller within five (5) business
days of such conviction, determination or disposition
of appeal (2NYCRR 105.4).

forfeiture of all moneys due hereunder for a second or


subsequent violation.
6. WAGE AND HOURS PROVISIONS.
If this is a public work contract covered by Article 8 of
the Labor Law or a building service contract covered
by Article 9 thereof, neither Contractor's employees
nor the employees of its subcontractors may be
required or permitted to work more than the number of
hours or days stated in said statutes, except as
otherwise provided in the Labor Law and as set forth
in prevailing wage and supplement schedules issued
by the State Labor Department.
Furthermore,
Contractor and its subcontractors must pay at least the
prevailing wage rate and pay or provide the prevailing
supplements, including the premium rates for overtime
pay, as determined by the State Labor Department in
accordance with the Labor Law.
Additionally,
effective April 28, 2008, if this is a public work
contract covered by Article 8 of the Labor Law, the
Contractor understands and agrees that the filing of
payrolls in a manner consistent with Subdivision 3-a of
Section 220 of the Labor Law shall be a condition
precedent to payment by the State of any State
approved sums due and owing for work done upon the
project.

9. SET-OFF RIGHTS.
The State shall have all of its common law, equitable
and statutory rights of set-off. These rights shall
include, but not be limited to, the State's option to
withhold for the purposes of set-off any moneys due to
the Contractor under this contract up to any amounts
due and owing to the State with regard to this contract,
any other contract with any State department or
agency, including any contract for a term commencing
prior to the term of this contract, plus any amounts due
and owing to the State for any other reason including,
without limitation, tax delinquencies, fee delinquencies
or monetary penalties relative thereto. The State shall
exercise its set-off rights in accordance with normal
State practices including, in cases of set-off pursuant to
an audit, the finalization of such audit by the State
agency, its representatives, or the State Comptroller.

7.
NON-COLLUSIVE
BIDDING
CERTIFICATION.
In accordance with Section 139-d of the State Finance
Law, if this contract was awarded based upon the
submission of bids, Contractor affirms, under penalty
of perjury, that its bid was arrived at independently and
without collusion aimed at restricting competition.
Contractor further affirms that, at the time Contractor
submitted its bid, an authorized and responsible person
executed and delivered to the State a non-collusive
bidding certification on Contractor's behalf.

10. RECORDS.
The Contractor shall establish and maintain complete
and accurate books, records, documents, accounts and
other evidence directly pertinent to performance under
this contract (hereinafter, collectively, "the Records").
The Records must be kept for the balance of the
calendar year in which they were made and for six (6)
additional years thereafter. The State Comptroller, the
Attorney General and any other person or entity
authorized to conduct an examination, as well as the
agency or agencies involved in this contract, shall have
access to the Records during normal business hours at
an office of the Contractor within the State of New
York or, if no such office is available, at a mutually
agreeable and reasonable venue within the State, for
the term specified above for the purposes of inspection, auditing and copying. The State shall take
reasonable steps to protect from public disclosure any
of the Records which are exempt from disclosure
under Section 87 of the Public Officers Law (the
"Statute") provided that: (i) the Contractor shall timely
inform an appropriate State official, in writing, that
said records should not be disclosed; and (ii) said
records shall be sufficiently identified; and (iii)
designation of said records as exempt under the Statute
is reasonable.
Nothing contained herein shall

8.
INTERNATIONAL
BOYCOTT
PROHIBITION.
In accordance with Section 220-f of the Labor Law
and Section 139-h of the State Finance Law, if this
contract exceeds $5,000, the Contractor agrees, as a
material condition of the contract, that neither the
Contractor nor any substantially owned or affiliated
person, firm, partnership or corporation has
participated, is participating, or shall participate in an
international boycott in violation of the federal Export
Administration Act of 1979 (50 USC App. Sections
2401 et seq.) or regulations thereunder. If such
Contractor, or any of the aforesaid affiliates of
Contractor, is convicted or is otherwise found to have
violated said laws or regulations upon the final

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expend funds in return for labor, services, supplies,


equipment, materials or any combination of the
foregoing, to be performed for, or rendered or
furnished to the contracting agency; or (ii) a written
agreement in excess of $100,000.00 whereby a
contracting agency is committed to expend or does
expend funds for the acquisition, construction,
demolition, replacement, major repair or renovation of
real property and improvements thereon; or (iii) a
written agreement in excess of $100,000.00 whereby
the owner of a State assisted housing project is
committed to expend or does expend funds for the
acquisition, construction, demolition, replacement,
major repair or renovation of real property and
improvements thereon for such project, then the
following shall apply and by signing this agreement
the Contractor certifies and affirms that it is
Contractors equal employment opportunity policy
that:

diminish, or in any way adversely affect, the State's


right to discovery in any pending or future litigation.
11. IDENTIFYING INFORMATION AND
PRIVACY NOTIFICATION.
(a) Identification Number(s). Every invoice or New
York State Claim for Payment submitted to a New
York State agency by a payee, for payment for the sale
of goods or services or for transactions (e.g., Licenses,
easements, Licenses, etc.) related to real or personal
property must include the payee's identification
number. The number is any or all of the following: (i)
the payees Federal employer identification number,
(ii) the payees Federal social security number, and/or
(iii) the payees Vendor Identification Number
assigned by the Statewide Financial System. Failure to
include such number or numbers may delay payment.
Where the payee does not have such number or
numbers, the payee, on its invoice or Claim for
Payment, must give the reason or reasons why the
payee does not have such number or numbers.

(a) The Contractor will not discriminate against


employees or applicants for employment because of
race, creed, color, national origin, sex, age, disability
or marital status, shall make and document its
conscientious and active efforts to employ and utilize
minority group members and women in its work force
on State contracts and will undertake or continue
existing programs of affirmative action to ensure that
minority group members and women are afforded
equal
employment
opportunities
without
discrimination.
Affirmative action shall mean
recruitment, employment, job assignment, promotion,
upgradings, demotion, transfer, layoff, or termination
and rates of pay or other forms of compensation;

(b) Privacy Notification. (1) The authority to request


the above personal information from a seller of goods
or services or a lessor of real or personal property, and
the authority to maintain such information, is found in
Section 5 of the State Tax Law. Disclosure of this
information by the seller or lessor to the State is
mandatory. The principal purpose for which the
information is collected is to enable the State to
identify individuals, businesses and others who have
been delinquent in filing tax returns or may have
understated their tax liabilities and to generally identify
persons affected by the taxes administered by the
Commissioner of Taxation and Finance.
The
information will be used for tax administration
purposes and for any other purpose authorized by law.
(2) The personal information is requested by the
purchasing unit of the agency contracting to purchase
the goods or services or License the real or personal
property covered by this contract or License. The
information is maintained in the Statewide Financial
System by the Vendor Management Unit within the
Bureau of State Expenditures, Office of the State
Comptroller, 110 State Street, Albany, New York
12236.

(b) at the request of the contracting agency, the


Contractor shall request each employment agency,
labor union, or authorized representative of workers
with which it has a collective bargaining or other
agreement or understanding, to furnish a written
statement that such employment agency, labor union
or representative will not discriminate on the basis of
race, creed, color, national origin, sex, age, disability
or marital status and that such union or representative
will affirmatively cooperate in the implementation of
the Contractor's obligations herein; and
(c) the Contractor shall state, in all solicitations or
advertisements for employees, that, in the performance
of the State contract, all qualified applicants will be
afforded equal employment opportunities without
discrimination because of race, creed, color, national
origin, sex, age, disability or marital status.

12. EQUAL EMPLOYMENT OPPORTUNITIES


FOR MINORITIES AND WOMEN.
In accordance with Section 312 of the Executive Law
and 5 NYCRR 143, if this contract is: (i) a written
agreement or purchase order instrument, providing for
a total expenditure in excess of $25,000.00, whereby a
contracting agency is committed to expend or does

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Contractor's actual receipt of process or upon the


State's receipt of the return thereof by the United States
Postal Service as refused or undeliverable. Contractor
must promptly notify the State, in writing, of each and
every change of address to which service of process
can be made. Service by the State to the last known
address shall be sufficient. Contractor will have thirty
(30) calendar days after service hereunder is complete
in which to respond.

Contractor will include the provisions of "a", "b", and


"c" above, in every subcontract over $25,000.00 for
the construction, demolition, replacement, major
repair, renovation, planning or design of real property
and improvements thereon (the "Work") except where
the Work is for the beneficial use of the Contractor.
Section 312 does not apply to: (i) work, goods or
services unrelated to this contract; or (ii) employment
outside New York State. The State shall consider
compliance by a contractor or subcontractor with the
requirements of any federal law concerning equal
employment opportunity which effectuates the purpose
of this section. The contracting agency shall determine
whether the imposition of the requirements of the
provisions hereof duplicate or conflict with any such
federal law and if such duplication or conflict exists,
the contracting agency shall waive the applicability of
Section 312 to the extent of such duplication or
conflict.
Contractor will comply with all duly
promulgated and lawful rules and regulations of the
Department of Economic Developments Division of
Minority and Women's Business Development
pertaining hereto.

18. PROHIBITION ON PURCHASE OF


TROPICAL HARDWOODS.
The Contractor certifies and warrants that all wood
products to be used under this contract award will be
in accordance with, but not limited to, the specifications and provisions of Section 165 of the State
Finance Law, (Use of Tropical Hardwoods) which
prohibits purchase and use of tropical hardwoods,
unless specifically exempted, by the State or any
governmental agency or political subdivision or public
benefit corporation. Qualification for an exemption
under this law will be the responsibility of the
contractor to establish to meet with the approval of the
State.

13. CONFLICTING TERMS.


In the event of a conflict between the terms of the
contract (including any and all attachments thereto and
amendments thereof) and the terms of this Appendix
A, the terms of this Appendix A shall control.

In addition, when any portion of this contract


involving the use of woods, whether supply or
installation, is to be performed by any subcontractor,
the prime Contractor will indicate and certify in the
submitted bid proposal that the subcontractor has been
informed and is in compliance with specifications and
provisions regarding use of tropical hardwoods as
detailed in 165 State Finance Law. Any such use
must meet with the approval of the State; otherwise,
the bid may not be considered responsive. Under
bidder certifications, proof of qualification for
exemption will be the responsibility of the Contractor
to meet with the approval of the State.

14. GOVERNING LAW.


This contract shall be governed by the laws of the State
of New York except where the Federal supremacy
clause requires otherwise.
15. LATE PAYMENT.
Timeliness of payment and any interest to be paid to
Contractor for late payment shall be governed by
Article 11-A of the State Finance Law to the extent
required by law.

19.
MACBRIDE
FAIR
EMPLOYMENT
PRINCIPLES.
In accordance with the MacBride Fair Employment
Principles (Chapter 807 of the Laws of 1992), the
Contractor hereby stipulates that the Contractor either
(a) has no business operations in Northern Ireland, or
(b) shall take lawful steps in good faith to conduct any
business operations in Northern Ireland in accordance
with the MacBride Fair Employment Principles (as
described in Section 165 of the New York State
Finance Law), and shall permit independent
monitoring of compliance with such principles.

16. NO ARBITRATION.
Disputes involving this contract, including the breach
or alleged breach thereof, may not be submitted to
binding arbitration (except where statutorily
authorized), but must, instead, be heard in a court of
competent jurisdiction of the State of New York.
17. SERVICE OF PROCESS.
In addition to the methods of service allowed by the
State Civil Practice Law & Rules ("CPLR"),
Contractor hereby consents to service of process upon
it by registered or certified mail, return receipt
requested. Service hereunder shall be complete upon

20. OMNIBUS PROCUREMENT ACT OF 1992.

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It is the policy of New York State to maximize


opportunities for the participation of New York State
business enterprises, including minority and womenowned business enterprises as bidders, subcontractors
and suppliers on its procurement contracts.

(d) The Contractor acknowledges notice that the State


may seek to obtain offset credits from foreign
countries as a result of this contract and agrees to
cooperate with the State in these efforts.

Information on the availability of New York State


subcontractors and suppliers is available from:
NYS Department of Economic Development
Division for Small Business
Albany, New York 12245
Telephone: 518-292-5100
Fax: 518-292-5884
email: opa@State Parks.ny.gov

21.
RECIPROCITY
AND
SANCTIONS
PROVISIONS.
Bidders are hereby notified that if their principal place
of business is located in a country, nation, province,
state or political subdivision that penalizes New York
State vendors, and if the goods or services they offer
will be substantially produced or performed outside
New York State, the Omnibus Procurement Act 1994
and 2000 amendments (Chapter 684 and Chapter 383,
respectively) require that they be denied contracts
which they would otherwise obtain. NOTE: As of
May 15, 2002, the list of discriminatory jurisdictions
subject to this provision includes the states of South
Carolina, Alaska, West Virginia, Wyoming, Louisiana
and Hawaii. Contact NYS Department of Economic
Development for a current list of jurisdictions subject
to this provision.

A directory of certified minority and women-owned


business enterprises is available from:
NYS Department of Economic Development
Division of Minority and Women's Business
Development
633 Third Avenue
New York, NY 10017
212-803-2414
email: mwbecertification@State Parks.ny.gov
https://ny.newnycontracts.com/FrontEnd/VendorSe
archPublic.asp

22. COMPLIANCE WITH NEW YORK STATE


INFORMATION SECURITY BREACH AND
NOTIFICATION ACT.
Contractor shall comply with the provisions of the
New York State Information Security Breach and
Notification Act (General Business Law Section 899aa; State Technology Law Section 208).

The Omnibus Procurement Act of 1992 requires that


by signing this bid proposal or contract, as applicable,
Contractors certify that whenever the total bid amount
is greater than $1 million:
(a) The Contractor has made reasonable efforts to
encourage the participation of New York State
Business Enterprises as suppliers and subcontractors,
including certified minority and women-owned
business enterprises, on this project, and has retained
the documentation of these efforts to be provided upon
request to the State;

23. COMPLIANCE WITH CONSULTANT


DISCLOSURE LAW.
If this is a contract for consulting services, defined for
purposes of this requirement to include analysis,
evaluation, research, training, data processing,
computer programming, engineering, environmental,
health, and mental health services, accounting,
auditing, paralegal, legal or similar services, then, in
accordance with Section 163 (4-g) of the State Finance
Law (as amended by Chapter 10 of the Laws of 2006),
the Contractor shall timely, accurately and properly
comply with the requirement to submit an annual
employment report for the contract to the agency that
awarded the contract, the Department of Civil Service
and the State Comptroller.

(b) The Contractor has complied with the Federal


Equal Opportunity Act of 1972 (P.L. 92-261), as
amended;
(c) The Contractor agrees to make reasonable efforts to
provide notification to New York State residents of
employment opportunities on this project through
listing any such positions with the Job Service
Division of the New York State Department of Labor,
or providing such notification in such manner as is
consistent with existing collective bargaining contracts
or agreements. The Contractor agrees to document
these efforts and to provide said documentation to the
State upon request; and

24. PROCUREMENT LOBBYING.


To the extent this agreement is a "procurement
contract" as defined by State Finance Law Sections
139-j and 139-k, by signing this agreement the
contractor certifies and affirms that all disclosures
made in accordance with State Finance Law Sections

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provided for by law, rule, or contract, including, but


not limited to, imposing sanctions, seeking
compliance, recovering damages, or declaring the
Contractor in default.

139-j and 139-k are complete, true and accurate. In the


event such certification is found to be intentionally
false or intentionally incomplete, the State may
terminate the agreement by providing written
notification to the Contractor in accordance with the
terms of the agreement.

The state agency reserves the right to reject any bid,


request for assignment, renewal or extension for an
entity that appears on the Prohibited Entities List prior
to the award, assignment, renewal or extension of a
contract, and to pursue a responsibility review with
respect to any entity that is awarded a contract and
appears on the Prohibited Entities list after contract
award.

25. CERTIFICATION OF REGISTRATION TO


COLLECT SALES AND COMPENSATING USE
TAX BY CERTAIN STATE CONTRACTORS,
AFFILIATES AND SUBCONTRACTORS.
To the extent this agreement is a contract as defined by
Tax Law Section 5-a, if the contractor fails to make the
certification required by Tax Law Section 5-a or if
during the term of the contract, the Department of
Taxation and Finance or the covered agency, as
defined by Tax Law 5-a, discovers that the
certification, made under penalty of perjury, is false,
then such failure to file or false certification shall be a
material breach of this contract and this contract may
be terminated, by providing written notification to the
Contractor in accordance with the terms of the
agreement, if the covered agency determines that such
action is in the best interest of the State.

January 2014

26. IRAN DIVESTMENT ACT.


By entering into this Agreement, Contractor certifies
in accordance with State Finance Law 165-a that it is
not on the Entities Determined to be Non-Responsive
Bidders/Offerers pursuant to the New York State Iran
Divestment Act of 2012 (Prohibited Entities List)
posted at: http://www.ogs.ny.gov/about/regs/ida.asp
Contractor further certifies that it will not utilize on
this Contract any subcontractor that is identified on the
Prohibited Entities List. Contractor agrees that should
it seek to renew or extend this Contract, it must
provide the same certification at the time the Contract
is renewed or extended. Contractor also agrees that
any proposed Assignee of this Contract will be
required to certify that it is not on the Prohibited
Entities List before the contract assignment will be
approved by the State.
During the term of the Contract, should the state
agency receive information that a person (as defined in
State Finance Law 165-a) is in violation of the abovereferenced certifications, the state agency will review
such information and offer the person an opportunity
to respond. If the person fails to demonstrate that it
has ceased its engagement in the investment activity
which is in violation of the Act within 90 days after the
determination of such violation, then the state agency
shall take such action as may be appropriate and

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