CAPITAL GRANT
This GRANT DISBURSEMENT AGREEMENT (“Agreement”) includes all exhibits and attachments hereto and is made on the terms and by the parties listed below and relates to the Project described below:
|
|
|
|
NEW YORK STATE |
00 Xxxxx Xxxxxx, Xxxxx 000 |
|
URBAN DEVELOPMENT |
Buffalo, New York 14203-3030 |
|
CORPORATION d/b/a |
Contact: Xx. Xxxx Xxxxxxxx, Senior Project Manager |
|
EMPIRE STATE DEVELOPMENT |
Phone: (000) 000-0000 |
|
(“ESD” or “GRANTOR”): |
E-mail: xxxx.xxxxxxxx@xxx.xx.xxx |
|
|
|
|
|
|
|
THE GRANTEE: |
0000 Xxxx Xxxxxx, Xxxxx 000 Xxxxxxx, Xxx Xxxx 00000 Contact: Xx. Xxxxxx Xxxx, VP Corporate Development & Legal Affairs Phone: (000) 000-0000 E-mail: xxxxx@xxxxxxx.xxx Federal Taxpayer ID#: 00-0000000 |
|
|
|
|
|
|
|
PROJECT NAME: |
Athenex Capital |
|
|
|
|
PROJECT LOCATION: |
0000 Xxxxxxxxx Xxxxx Xxxx, Xxxxxxx |
|
|
|
|
PROJECT NUMBER: |
AB127 |
|
|
|
|
GRANT AMOUNT: |
$200,000,000 |
|
|
|
|
FUNDING SOURCE: |
SP APPROP Chautauqua Erie High Tech Mfg |
|
|
|
|
|
|
|
ESD APPROVAL DATE: |
April 17, 2017 |
|
|
|
|
PACB APPROVAL DATE: |
May 17, 2017 |
|
|
|
|
EXPIRATION DATE: |
10 years from Manufacturing Facility Completion as set forth in the Alliance Agreement (defined below) |
|
1. |
The Project |
The Grantee shall:
|
|
(a) |
complete the project as set forth in the ESD General Project Plan attached hereto as Exhibit A (the “Project”) and the Agreement for Medical Technology, Research, Development, Innovation and Commercialization Alliance between Fort Xxxxxxxx Management Corporation (“FSMC”) and Kinex Pharmaceuticals, Inc., the predecessor corporation of Grantee dated May 1, 2015 (hereinafter the “ Alliance Agreement”). |
|
|
(b) |
comply with the design and construction requirements attached hereto as Exhibit B. |
|
2. |
Employment Goals & Reporting |
|
|
(a) |
The Grantee represents and warrants that it shall achieve the employment goals as set forth in Exhibit C by retaining existing or hiring new Full-time Permanent Employees |
|
|
(b) |
For purposes of this Agreement, a Full-time Permanent Employee shall mean (i) a full-time, permanent, private-sector employee on the Grantee’s payroll, who has worked at the Project Location for a minimum of thirty-five hours per week for not less than four consecutive weeks and who is entitled to receive the usual and customary fringe benefits extended by Grantee to other employees with comparable rank and duties; or (ii) two part-time, permanent, private-sector employees on Grantee’s payroll, who have worked at the Project Location for a combined minimum of thirty-five hours per week for not less than four consecutive weeks and who are entitled to receive the usual and customary fringe benefits extended by Grantee to other employees with comparable rank and duties. Baseline Employment shall mean the number of Full-time Permanent Employees set forth in Exhibit H. |
|
|
(c) |
Grantee shall submit, by February 1 of each year during the term of this Agreement, the Employment Reporting Form attached hereto as Exhibit H, indicating the average number of Grantee's Full-time Permanent Employees for the 12 month period ending as of December 31 of the prior year. Full-time Permanent Employee Count, for each calendar year during the term of this Agreement, shall mean the greater of (i) the average number of Full-time Permanent Employees for the prior calendar year, computed by adding the number of Full-time Permanent Employees as of the Grantee’s last payroll date in the months of March, June, September and December and dividing that sum by 4, or (ii) the number of Full-time Permanent Employees as of the Grantee’s last payroll date in December of such year. |
ESD Capital Grant Disbursement Agreement Terms & Conditions – Page 2
No grant funds shall be disbursed unless the Grantee is in compliance with the Terms and Conditions of this Agreement, including, but not limited to, Exhibit E (Disbursement Terms), and the following conditions have been satisfied (and as to 3(d) and 3(e) below continue to be satisfied prior to each disbursement):
|
|
(a) |
If the Grant Amount exceeds $100,000, or if, as described in Exhibit A, it is expected that there will be additional grants that in the aggregate exceed $100,000, ESD has received an opinion of Grantee’s counsel, in substantially the form appended to this Agreement as Exhibit D. |
|
|
(b) |
Any necessary approval has been issued by the Director of the Budget of the State of New York, and the Grant funds have been received by ESD. |
|
|
(c) |
ESD has received the out-of-pocket expenses incurred by ESD in the making of the Grant, if any, as set forth in Exhibit E. |
|
|
(d) |
There have been no materially adverse changes in the financial condition of the Grantee since the date of submission of its application to ESD. |
|
|
(e) |
The Grantee employs at least the Baseline Employment as evidenced by the Employment Reporting Form attached hereto as Exhibit H. |
|
4. |
Disbursement and Recapture Terms |
Subject to the terms and conditions contained in this Agreement, ESD shall disburse the Grant to the Grantee as follows:
|
|
(a) |
ESD shall reimburse the Grantee for Project expenditures incurred by the Grantee as set forth in Exhibit E to this Agreement. Disbursements will be made upon submittal to ESD of a Payment Requisition Form, together with such supporting documentation as ESD may reasonably require, in the form attached to this Agreement as Exhibit F and its attachments, and Exhibit H. |
|
|
(b) |
In no event will ESD make any payment which would cause ESD’s aggregate disbursements to exceed the Grant Amount. |
|
|
(c) |
The Grant, or a portion thereof, may be subject to recapture by ESD as provided in Exhibit C. |
|
5. |
Non Discrimination and Contractor & Supplier Diversity |
The Grantee will comply with ESD’s Non-Discrimination and Contractor & Supplier Diversity policies set forth in Exhibit G to this Agreement.
ESD Capital Grant Disbursement Agreement Terms & Conditions – Page 3
ESD shall not in any event whatsoever be liable for any injury or damage, cost or expense of any nature whatsoever that occurs as a result of or in any way in connection with the Project and the Grantee hereby agrees to indemnify and hold harmless ESD, the State and their respective agents, officers, employees and directors (collectively, the “Indemnitees”) from and against any and all such liability other than that caused by the gross negligence or the willful misconduct of the Indemnitees. Nothing in this provision shall serve to affect or limit any potential for liability of FSMC under the Alliance Agreement.
|
7. |
Responsibility Provisions |
The Grantee shall at all times during the Agreement term remain responsible. The Grantee agrees, if requested by the President and Chief Executive Officer of ESD or his or her designee, to present evidence of its continuing legal authority to do business in New York State, integrity, experience, ability, prior performance, and organizational and financial capacity.
|
8. |
Representations, Warranties and Covenants |
The Grantee represents, warrants and covenants that:
|
|
(a) |
It has full power and authority to execute and deliver this Agreement and to perform its obligations hereunder. |
|
|
(b) |
This Agreement was duly authorized, executed and delivered by the Grantee and is binding and enforceable against the Grantee in accordance with its terms. |
|
|
(c) |
It is a duly organized corporation, validly existing and in good standing under the laws of the State of its incorporation, has the corporate power and authority to own its assets and to transact the business in which it is now engaged or proposed to be engaged and is duly qualified as a foreign corporation and in good standing under the laws of each other jurisdiction in which such qualification is required and shall maintain its corporate existence in good standing in each such jurisdiction. |
|
|
(d) |
There are no actions, suits or proceedings or, to the knowledge of Grantee, threatened against, or affecting Grantee before any court, governmental entity or arbitrator, which may, in any one case or in the aggregate, materially adversely affect the financial condition, operations, properties or business of the Grantee, except as may have been disclosed in writing to ESD. |
|
|
(e) |
Grantee is in compliance and shall continue to comply in all material respects with all material applicable laws, rules, regulations and orders. |
ESD Capital Grant Disbursement Agreement Terms & Conditions – Page 4
|
|
(g) |
The Grantee covenants that it will neither hold itself out as, nor claim to be an officer, employee, agent or representative of ESD or the State by reason hereof, and that it will not by reason thereof, make any claim, demand or application for any right or privilege applicable to an officer, employee, agent or representative of ESD or the State, including without limitation, worker's compensation coverage, unemployment insurance benefits, social security coverage or retirement membership or credit. |
|
|
(h) |
Neither the Grantee nor any of the members of its Board of Directors or other governing body or its employees have given anything of value to influence any official act or the judgment of any person in the award of the Grant or the performance of any of the terms of this Agreement. |
|
|
(i) |
After Manufacturing Facility Completion, it shall maintain business operations at the Project Location for the term of this Agreement. |
|
|
(j) |
The Grant shall be used solely for Project expenses in accordance with the terms and conditions of this Agreement and the Alliance Agreement. |
|
|
(k) |
The Grantee is solely responsible and has sufficient funding for all Project costs in excess of the Grant. |
|
|
(l) |
Grantee will use ESD grant funds, and submit payment requisitions, exclusively for eligible expenses related to capital works or purposes in accordance with IRS rules and regulations relating to ESD's bonds and in accordance with the New York Debt Reform Act. Grantee acknowledges that grant funds must be used solely for authorized capital purposes and not for operating expenses or other working capital items or non-capital purposes, irrespective of whether the funds are still used for the benefit of the Project. Grantee acknowledges that the consequences of breaching this covenant could result in violations of state law and/or large bond issuances being treated as taxable instead of tax exempt for federal and state tax |
ESD Capital Grant Disbursement Agreement Terms & Conditions – Page 5
|
|
purposes, loss of certain federal subsidies to the state, adverse ratings changes for such bonds, and disproportionate negative financial consequences to the state and bondholders. Grantee recognizes its financial obligations, risks and liabilities for breach of this covenant. ESD may, from time to time, request information from Grantee to confirm its compliance with this covenant and Grantee acknowledges its obligation under Section 9 (a) (ii) of the GDA to provide information upon request to ESD. |
|
9. |
Default and Remedies |
|
|
(a) |
Each of the following shall constitute a default by the Grantee under this Agreement: |
|
|
(i) |
Failure to perform or observe any obligation or covenant of the Grantee contained herein, other than an employment default as set forth in (iv) below, to the reasonable satisfaction of ESD and within the time frames established under this Agreement. |
|
|
(ii) |
Failure to comply with any request for information reasonably made by ESD to determine compliance by the Grantee with the terms of this Agreement or otherwise reasonably requested by ESD in connection with the Grant. |
|
|
(iii) |
The making by the Grantee of any false statement or the omission by the Grantee to state any material fact in or in connection with this Agreement or the Grant. |
|
|
(iv) |
Provided ESD and FSMC meet their obligations under this Agreement and the Alliance Agreement, failure of the Grantee, for any time period, to meet the minimum employment goals or investment goals required by Exhibit C in any respect that is material to this Agreement. |
|
|
(v) |
A default beyond any applicable grace period by the Grantee, or any entity which Grantee directly or indirectly controls, is controlled by, or is under common control with, under any other agreement with ESD. |
ESD Capital Grant Disbursement Agreement Terms & Conditions – Page 6
|
|
filing, of any involuntary proceeding brought under any chapter of the United States Bankruptcy Code. |
|
|
(vii) |
If the number of the Grantee’s Full-Time Permanent Employees, as that term is defined in this Agreement, that are situated at the Project Location as of the Grantee’s last payroll date on or prior to the end of any quarter (with the quarters being those the quarterly dates of March 31, June 30, September 30 and December 31, as set forth in the Report of Employment that is annexed as Exhibit H to this Agreement) is less than fifty percent (50%) of the number of Full Time-Permanent Employees, situated at the Project Location, required in accordance with the Employment Goals that are to be achieved as of the next Reporting Date, as specified in Exhibit C. |
|
|
(b) |
Upon the serving of notice to the Grantee of the occurrence of a default (which notice shall specify the nature of the default), ESD shall have the right to terminate this Agreement, provided however, that if the default is pursuant to paragraph 9(a)(i) or 9(a)(ii) or 9(a)(iv) no default shall be deemed to have occurred if Grantee cures such default within ten (10) days of notice of default from ESD, or if the default pursuant to paragraph 9(a)(i) or 9(a)(ii) or 9(a)(iv) cannot be reasonably cured within such ten day period, Grantee commences to cure such default within the ten day cure period and cures the default within ninety (90) days thereafter, provided further that ESD shall not be obligated to make any disbursements during any such cure period. Defaults occurring under the terms and provisions of paragraph 9(a)(iii), 9(a)(v), 9(a)(vi) and 9(a)(vii) are not subject to the cure provisions provided herein. |
|
|
(c) |
Upon termination of this Agreement, ESD may (i) withhold any Grant proceeds not yet disbursed. Notwithstanding the foregoing, if ESD determines that any Grant proceeds had previously been released based upon fraudulent representations or other willful misconduct, ESD may require repayment of all funds and may refer the matter to the appropriate authorities for prosecution. ESD shall be entitled to exercise any other rights and seek any other remedies provided by law. |
|
10. |
Term |
The term of this Agreement shall commence on the date hereof and expire on the Expiration Date, as set forth on the first page of this Agreement.
|
11. |
Books and Records; Project Audit |
|
|
(a) |
The Grantee will maintain accurate books and records concerning the project for the term of this Agreement and for three (3) years from the expiration or earlier termination of this Agreement and will make those books and records available to ESD, its agents, officers and employees during Grantee’s business hours upon reasonable request. |
ESD Capital Grant Disbursement Agreement Terms & Conditions – Page 7
|
12. |
Maintenance of Insurance |
Grantee shall maintain in full force and effect insurance described in the Alliance Agreement. In addition,
|
|
(a) |
The Grantee shall name Grantor as additional insured on all liability policies and provide the Grantor with copies of all certificates for the required insurance coverages in form and substance satisfactory to the Grantor. In addition, the Grantee shall provide the Grantor with copies of renewal certificates or temporary binders in the event renewal policies have not been issued, in a timely manner. The Grantee must, in any event, provide Grantor with satisfactory confirmation of renewal coverage by the renewal date. Grantor shall also require all contractors working at the Project Location, including the selected builder, to provide insurance with limits to be agreed to by the Grantor, naming Grantor and FSMC as additional insured on all liability policies. |
|
|
(b) |
In the event that the Grantee fails to maintain the insurance required hereby, the Grantee shall, on demand, obtain such insurance within 2 business days. If Grantee fails to obtain such insurance within 2 business days after such demand, Grantor may obtain such insurance and pay the premiums therefor and the Grantee shall, on demand, reimburse the Grantor for any insurance premiums paid, together with interest thereon computed at the highest rate per annum allowable under New York State law. |
|
|
(c) |
The Grantee will not take any action, or knowingly permit any condition to exist, with respect to the Project Location which may, in any manner, partially or wholly invalidate the insurance on the Project Location required hereby. |
|
13. |
Survival of Provisions |
It is agreed that: (a) the provisions of Sections 6, 8(g), (j) and (l) and 9, 11, 12, 13, 14, 15, 16, 17, 18, 21 and 22 (except insofar as any of the aforesaid Sections have been waived in accordance with the terms of Exhibit I to this Agreement) shall survive the expiration or early termination of this Agreement; and (b) such expiration or early termination shall not serve to limit, alter or modify any of the Grantee’s obligations or responsibilities under the aforesaid Sections, and/or ESD’s rights under such Sections, referenced in subsection (a) of this Section 13 of this Agreement. It is further agreed, moreover, that notwithstanding the expiration or early termination of this Agreement, ESD shall nevertheless retain the right to pursue, through and until the expiration of any applicable period of limitations established under the statutory or common law of the State of New York, any claim or claims arising
ESD Capital Grant Disbursement Agreement Terms & Conditions – Page 8
from any Section of this Agreement, including but not limited to the above referenced Sections 6, 8(g), (j) and (l) and 9, 11, 12, 13, 14, 15, 16, 17, 18, 21 and 22 of this Agreement.
|
14. |
Notices |
|
|
(a) |
All notices, demands, requests or other communications permitted or required hereunder shall be in writing and shall be transmitted either: |
|
|
(i) |
via certified or registered United States mail, return receipt requested; |
|
|
(ii) |
by facsimile transmission; |
|
|
(iii) |
by personal delivery; |
|
|
(iv) |
by expedited delivery service; or |
|
|
(v) |
by e-mail. |
Such notices shall be addressed as follows or to such different addresses as the parties may from time-to-time designate:
Empire State Development
|
|
Name: |
Xx. Xxxx Xxxxxxxx |
|
|
Title: |
Senior Project Manager |
|
|
Address: |
00 Xxxxx Xxxxxx, Xxxxx 000, Xxxxxxx, XX 00000-0000 |
|
|
Telephone Number: |
(000) 000-0000 |
|
|
E-Mail Address: |
xxxx.xxxxxxxx@xxx.xx.xxx |
With a copy to:
|
|
Title: |
General Counsel |
|
|
Address: |
000 Xxxxx Xxxxxx, 00xx Xxxxx, Xxx Xxxx, XX 00000 |
|
|
Telephone Number: |
(000) 000-0000 |
|
|
Facsimile Number: |
(000) 000-0000 |
|
|
Name: |
Xx. Xxxxxx Xxxx |
|
|
Title: |
VP Corporate Development & Legal Affairs |
|
|
Address: |
0000 Xxxx Xxxxxx, Xxxxx 000, Xxxxxxx, XX 00000 |
|
|
Telephone Number: |
(000) 000-0000 |
|
|
E-Mail Address: |
xxxxx@xxxxxxx.xxx |
|
|
(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 mailing to the address provided herein, or in the case of facsimile transmission or email, upon receipt of a record, by the sender, that such a transmission has been completed. |
ESD Capital Grant Disbursement Agreement Terms & Conditions – Page 9
|
|
(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. |
|
15. |
No Assignment |
The Grantee may not assign or transfer this Agreement or any of its rights hereunder without the advance written consent of ESD.
|
16. |
No Waiver |
No waiver of either party’s rights arising under this Agreement, or any other source, can occur unless such waiver shall be in writing and signed by such party and such written document manifests a clear and unequivocal intent by such party to waive its contractual or other legal rights. The term "waiver" as used herein is a term of art as used in the legal profession. Neither party may be estopped from asserting any of its legal rights, including but not limited to its rights under this agreement, unless such party has signed a written document that clearly and unequivocally states that the other party may detrimentally rely upon the terms of such written document. Absent such written document, there shall be no estoppel against such party and the other party’s alleged detrimental reliance shall be deemed to be unreasonable. The term "estoppel" is used herein is a term of art as used in the legal profession.
|
17. |
Integration/Modification |
This Agreement and the Alliance Agreement contain the entire agreement of the parties with respect to the subject matter hereof and, together with the Alliance Agreement, supersedes all prior oral or written agreements or statements relating to such subject matter. In addition, this Agreement may be modified only by a written instrument executed by the party against whom enforcement of such modification is sought.
|
18. |
Governing Law |
This Agreement shall be governed by and construed in accordance with the laws of the State of New York. This Agreement shall be construed without the aid of any presumption or other rule of law regarding construction against the party drafting this Agreement or any part of it. In case any one or more of the provisions of this Agreement shall for any reason be held to be invalid, illegal or unenforceable in any respect, such invalidity, illegality or unenforceability shall not affect any other provision hereof and this Agreement shall be construed as if such provision(s) had never been contained herein. In the event of a conflict
ESD Capital Grant Disbursement Agreement Terms & Conditions – Page 10
between the Directors’ materials attached hereto as Exhibit A and any other term or condition of this Agreement, then the term or condition of this Agreement shall govern.
|
19. |
Confidentiality of Information |
Information contained in reports made to ESD or otherwise obtained by ESD relating to trade secrets, operations and commercial or financial information, including but not limited to the nature, amount or source of income, profits, losses, financial condition, marketing plans, manufacturing processes, production costs, productivity rates, or customer lists, provided that such information is clearly marked “Confidential” by the Grantee, will be kept confidential by ESD, to the extent such information is determined by ESD to be exempt from public disclosure under the Freedom of Information Law and not otherwise required by law to be disclosed. Notwithstanding the foregoing, ESD will not be liable for any information disclosed, in ESD’s sole discretion, pursuant to the Freedom of Information Law or other applicable law, or which ESD is required to disclose pursuant to legal process.
|
20. |
Special Provisions |
The Grantee shall comply with the special provisions, if any, set forth in Exhibit I.
|
21. |
Litigation Costs |
If any action or proceeding is commenced to enforce and/or involves the enforcement of the terms and conditions of this Agreement, each party will pay its own costs and fees, including, without limitation, its attorneys’ fees.
22. Waiver
The Grantee knowingly and expressly waives the right to a trial by jury under the terms of this Agreement.
ESD Capital Grant Disbursement Agreement Terms & Conditions – Page 11
Athenex Capital, Project Number AB127
This agreement is entered into as of the latest date written below:
NEW YORK STATE URBAN DEVELOPMENT CORPORATION
d/b/a EMPIRE STATE DEVELOPMENT
|
/s/ Illegible for X. Xxx |
|
(Signature) Xxxxx Xxx, |
|
8/30/17 |
|
(date) |
|
/s/ Xxxxxxx Xxx-Xxx Xxx |
|
(Signature) |
|
Xxxxxxx Xxx-Xxx Xxx, CEO |
|
(Printed name and title) |
|
9/4/17 |
|
(date) |
Rev. 03/29/2017
ESD CAPITAL GRANT DISBURSEMENT AGREEMENT EXHIBITS
|
EXHIBIT A |
General Project Plan |
|
EXHIBIT B |
Report |
|
EXHIBIT C |
Employment Goals & Recapture Terms |
|
EXHIBIT D |
Opinion of Counsel |
|
EXHIBIT E |
Disbursement Terms |
|
EXHIBIT F |
Payment Requisition Form |
|
EXHIBIT F-1 |
Grant Utilization Request Form |
|
EXHIBIT F-2 |
Financial Condition Documentation |
|
EXHIBIT F-3 |
Project Cost Documentation |
|
EXHIBIT F-4 |
Equity and Total Project Cost Expenditure Documentation |
|
EXHIBIT G |
Non-Discrimination and Contractor & Supplier Diversity – Requirements and Procedures |
|
EXHIBIT G-1 |
M/WBE Participation / Equal Opportunity Policy Statement |
|
EXHIBIT G-2 |
Staffing Plan |
|
EXHIBIT G-3 |
Workforce Employment Utilization Report |
|
EXHIBIT G-4 |
M/WBE Utilization Plan |
|
EXHIBIT G-5 |
Waiver Request Form |
|
EXHIBIT G-6 |
M/WBE Contractor Compliance and Payment Report |
|
EXHIBIT H |
Employment Reporting Form (With Company’s NYS Form 45 Attached) |
|
EXHIBIT I |
Special Provisions |
|
Exhibit I-1 |
ESD Investment Regulations |
EXHIBIT A: GENERAL PROJECT PLAN
See Materials Attached
April 17, 2017
General Project Plan
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Company History - Based in Buffalo, New York, Athenex was formed in 2003 and has been funded from inception by approximately $200 million in private financings.
Athenex is a global biopharmaceutical company dedicated to the discovery, development and commercialization of novel therapies for the treatment of cancer. The Company's mission is to improve the lives of cancer patients by creating more effective, safer and tolerable treatments. Athenex has generated its clinical product candidates through its
Athenex Capital (AB127)
April 17, 207
Orascovery and Src Kinase Inhibition research platforms, which are based on the company's understanding of human absorption biology and novel approaches to inhibiting kinase activity, respectively. Athenex believes that its ability to overcome the challenges of oral delivery of chemotherapy and limitations associated with IV delivery, via the company's P-gp inhibitor, offers significant potential benefits to patient outcomes by allowing patients to stay on therapy longer and extending the potential opportunities to combine with other agents, including targeted and immunotherapies that would otherwise be too toxic in combination with IV chemotherapy.
Athenex has assembled a leadership team and has established global operations in the U.S. and China across the pharmaceutical value chain to execute its mission to become a global leader in bringing innovative cancer treatments to the market and improve health outcomes.
The Company has a business model positioned to capture value by creating opportunities through multiple levers for growth. The company has built a commercial sales and marketing infrastructure in the U.S. and intends to continue to further build out this segment. Athenex expects this segment to start selling existing in-licensed therapeutically related oncology products in 2017 as a means of funding commercial infrastructure.
Athenex believes internalization of its supply chain is uniquely suited to execute in both the U.S. and China, two of the world's largest pharmaceutical markets. Athenex intends to utilize cGMP manufacturing facilities in New York State and China as a mechanism to access the U.S. and China markets and minimize supply disruptions. Athenex intends to manufacture certain of its proprietary drugs and its partnered drugs commercialized around the world.
The Company has acquired three businesses in the past several years: (1) in September
2014,the company acquired QuaDPharma, LLC, now known as Athenex Pharma Solutions, LLC, which provides cGMP manufacturing, packaging and laboratory services; (2) in June
2015,Athenex acquired Polymed Therapeutics, Inc. and Chongqing Taihao Pharmaceutical Co Ltd, collectively Polymed. Polymed markets and sells API and medical devices throughout the world. Through its cGMP facility in Chongqing, China, Polymed manufactures API and conducts research and development of novel drugs and therapies; and (3) in July 2015, Athenex acquired Comprehensive Drug Enterprises Limited in Hong Kong, which primarily performs research and development activities.
Athenex Capital (AB127)
April 17, 207
Athenex's Commercial Platform currently markets API produced by its Global Supply Chain Platform, including 14 products in the specialty and generic market segment in the U.S. and products under Section 503B of the Food, Drug and Cosmetics Act, through the Company's compounding pharmacy facility in Newstead, NY.
Ownership - Privately owned
|
|
|
ESP Involvement - In February 2016, Governor Cuomo announced a major public-private partnership with Athenex in accordance with an agreement between Athenex (then known as Kjnex Pharmaceuticals, Inc.) and Fort Xxxxxxxx Management Company ("FSMC"), entitled Agreement for Medical Technology Research, Development, Innovation, and Commercialization Alliance, dated May 21, 2015, as amended ("Agreement"). This public-private partnership includes $225 million in state funding for the establishment of a North American corporate headquarters and innovation center in Buffalo ($25 million) and for the construction of a pharmaceutical manufacturing facility in Dunkirk ($200 million).
FSMC is a SUNY Poly affiliated, private, not-for-profit, 501(c)(3) corporation that develops, constructs and manages world-class research, development and commercialization facilities to enable public-private partnerships.
The first part of the grant under the Agreement, in the amount of $25 million, was funded from the Buffalo Billion Initiative for the establishment of Athenex's North American corporate headquarters in Buffalo. ESD Directors approved the funding on February 18, 2016; the funding is currently being utilized for the construction, fit-up and equipping of office and research and development lab space in the 51,000-square-foot 6th floor of the newly-constructed Conventus Building on the Buffalo Niagara Medical Campus. The office space was complete in late fall 2016; the research and development component is nearing completion. FSMC will own the facility improvements, as well as the furniture, fixtures, machinery and equipment it purchased; the Company is currently occupying the space under a long-term lease. Any moneys remaining from the $25 million headquarters will be invested in the Dunkirk manufacturing project. That amount is presently anticipated to be less than $1 million.
The current grant under the Agreement, in the amount of $200 million, is part of a special appropriation for Chautauqua and Erie County High Technology Manufacturing, New York State ("NYS"), and is for the construction of a +/- 315,000-square-foot state-of-the-art pharmaceutical manufacturing facility. Athenex will use this facility to manufacture sterile high potency oncology drugs in a specialized, controlled environment for shipment around the world. These drugs are some of the most important oncology drugs globally for patients suffering from cancer.
Athenex Capital (AB127)
April 17, 207
Under the Agreement, FSMC will retain ownership of the facility and the equipment purchased with grant moneys. Athenex is entitled to lease the facility and all equipment for an initial 10-year term, and Athenex may extend the lease for an additional 10-year term. Athenex is responsible for all operating costs and expenses for the facility. In exchange, pursuant to the Agreement, Athenex has committed to spending $1.52 billion on operational expenses in its first 10-year term in the facility, and an additional $1.5 billion on operational expenses if the term of the lease is extended for a second 10-year term. Athenex has also committed to hiring 450 employees within the first 5 years of Manufacturing Facility operation following Manufacturing Facility Completion.
The total NYS investment for both projects under the Agreement will not exceed $225 million, and the combined projects are expected to yield a $1.62 billion investment by Athenex over the ten years following completion of the projects.
Past ESP Support - Funding for the past five years to the Grantee (through FSMC), totaling $25 million, is summarized in the following chart.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Completion - Construction Completion: December 2019 Operational Facility: June 2021
Activity - Under the terms of the Agreement, the Company will construct a +/- .315,000-square- foot state-of-the-art pharmaceutical manufacturing facility to include production support, engineering support, enhanced warehousing, local administrative offices, conference rooms and personnel welfare areas. The project also involves the purchase and installation of new machinery and equipment.
The land and improvements will be owned by Fort Xxxxxxxx Management Corporation or another entity as designated by BSD. Machinery and equipment purchased with funds provided by BSD will be owned by FSMC or another entity as designated by BSD. The land, improvements and machinery and equipment will be leased to the Company in accordance with the terms of the Agreement.
The Company paid for and acquired the 33.6-acre site in June 2016 and transferred ownership of the land to FSMC pursuant to an amendment to the Agreement. The land, improvements, and machinery and equipment, to the extent such M&E is purchased with grant funds, will be owned by FSMC, or another entity as designated by BSD, and will be leased to the Company in accordance with the Agreement.
Athenex Capital (AB127)
April 17, 207
Provided FSMC performs its obligations under the Agreement and following Manufacturing Facility Completion, the Company commits to invest and spend $1.52 billion in the Manufacturing Operation and an additional $1.5 billion over a subsequent ten (10) year period in the event the ten year term is renewed.
Results - Under the Agreement, the Company will employ 450 permanent employees at the Project Location by the fifth year of Manufacturing Facility operation following Manufacturing . Facility Completion as those terms are defined, and as is further specified, in the Agreement. Of the 450 new permanent jobs, at least 300 jobs will be created over the first 2.5 years of the Manufacturing Facility operation following the Manufacturing Facility Completion.
In addition to the state-of-the-art production facility, the Company is also creating a new North American Headquarters on the Buffalo Niagara Medical Campus, further establishing the Western New York region as an important area for the Company and for the biopharmaceutical industry.
Upon completion of the project, the Grantee will furnish a final report describing the impact and effectiveness of the project.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Athenex Capital (AB127)
April 17, 207
Financial Terms and Conditions:
|
|
|
|
|
|
2. |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Athenex Capital (AB127)
April 17, 207
|
|
|
|
|
|
|
|
Statutory Basis - Chautauqua and Erie County High Technology Manufacturing:
The funding was authorized in the 2016-2017 New York State budget and reappropriated in the 2017-2018 New York State budget. No residential relocation is required as there are no families or individuals residing on the site.
ESD's Design & Construction ("D&C") staff will make periodic site visits, attend monthly requisition meetings, and review payment requisitions and recommend payment when its requirements have been met per the Grant Disbursement Agreement. Prior expenditures must be fully documented per D8iC requirements.
ESD, as lead agency, has completed an environmental review of the proposed project, pursuant to the requirements of the State Environmental Quality Review Act ("SEQRA") and the implementing regulations of the New York State Department of Environmental Conservation. This review, which was determined to be a Type I Action, found that the proposed project would not result in significant adverse impacts on the Environment.
Therefore, ESD staff recommends that the Directors make a Determination of No Significant Effect on the Environment.
Athenex Capital (AB127)
April 17, 207
Non-Discrimination and Contractor & Supplier Diversity:
ESD’s Non-Discrimination and Contractor & Supplier Diversity policies will apply to this Project.
The Grantee shall be required to include minorities and women in any job opportunities created, to solicit and utilize Minority and Women Business Enterprise (MWBEs) for any contractual opportunities generated in connection with the Project and shall be required to use Good Faith Efforts (pursuant to 5 NYCRR §142.8) to achieve an overall MWBE Participation Goal of 30% related to the total value of ESD’s funding.
ESD's Service-Disabled Veteran-Owned Business ("SDVOB") policies will also apply to this Project. The Grantee shall be required to solicit and utilize SDVOBs in the fulfillment of the requirements of this contract. The Grantee must demonstrate the use of good faith efforts pursuant to 9 NYCRR §252.2 to achieve a goal of 3% for SDVOB participation.
Attachment: Resolution
EXHIBIT B: REPORTS – DESIGN & CONSTRUCTION REQUIREMENTS
See Attached Requirements
EMPIRE STATE DEVELOPMENT TABLE OF CONTENTS
|
|
• |
Scheduled Payment Requirements |
|
|
• |
Tables of Approval Authority and Facsimile Signature |
|
|
• |
Contract Change Order |
|
|
• |
Schedule of Change Order |
|
|
• |
Summary – Request for Payment |
|
|
• |
Request for Payment |
|
|
• |
Monthly Project Status Cost Control Report |
|
|
• |
Cost Control Instructions |
|
|
• |
Contractor’s Affidavit |
|
|
• |
List of Subcontractors/Vendor Submitted with Request for Payment |
|
|
• |
Contractor’s Receipt and Waiver of Lien |
|
|
• |
Subcontractor’s Receipt and Waiver of Lien |
|
|
• |
Affidavit and Final Waiver of Claims and Liens and Release of Rights |
|
|
• |
Unconditional Waiver and Release |
|
|
• |
Consultant’s Code Certification Letter |
|
|
• |
Contractor’s Certification of Completed Construction |
|
|
• |
Consultant’s Certification of Completed Construction |
|
|
• |
Pile Driving Report |
|
|
• |
Survey Statement |
|
|
• |
Typical Job Sign |
Requirements for Progress Payment Projects
The following design and construction submissions and review documents shall be supplied to ESD:
Design Phase
The Grantee shall furnish:
|
|
• |
Project budget |
|
|
• |
Plans & specifications w/description of project scope |
|
|
• |
Design phase cost estimates (incl. quantities and unit prices) |
|
|
• |
Code and zoning analysis |
|
|
• |
Special agency approvals (health, transportation, utility, asbestos etc.) |
|
|
• |
Design/Construction Schedule |
|
|
• |
Proposed/selected architects/engineers copy of agreement |
|
|
• |
Project Status Cost Control – See Attachment |
|
|
• |
Table of Approval Authority – See Attachment |
|
|
• |
Consultants code certification letter – See Attachment |
Construction Phase
The Grantee shall furnish the following:
At the start of construction:
|
|
• |
Copy of the building permit |
|
|
• |
Asbestos Free Building Certificate for alterations and demolitions (copy submitted to municipality) |
|
|
• |
Copy of the plans with building department approval stamp |
|
|
• |
Construction and CM Agreements |
|
|
• |
Certificates of Insurance |
|
|
• |
Current construction schedule |
|
|
• |
Trade payment breakdown |
Scheduled Payment Requirement (4/17)
|
|
• |
Progress schedules and updates |
|
|
• |
Minutes of project meetings |
|
|
• |
Building Department amendments and approvals |
|
|
• |
Proof of expenditures: |
Payment Applications and Certificate of Payment
Invoices
Change orders
Partial lien waivers
|
|
• |
Foundation survey (new construction only) |
|
|
• |
Architect’s bulletins |
|
|
• |
Access to all field inspection and test reports with architect's or engineer's approvals |
|
|
• |
Approved project Status Cost Control Report – (See Attachment) |
|
|
• |
Change Issue and Change Order Logs (if change orders are being funded by ESD) |
|
|
• |
Access to approved shop drawings |
|
|
• |
Payment and performance bonds |
|
|
• |
Labor and material bonds |
|
|
• |
Progress photos |
|
|
• |
Public Projects Protocol Checklist |
At the completion of construction:
|
|
• |
Final punch lists |
|
|
• |
Final Lien Waivers |
|
|
• |
Temporary Certificate of Occupancy (TCO) |
|
|
• |
Certificate of Occupancy (CO) |
|
|
• |
Contractor's Affidavit and Final Waiver of Claims and Liens and Release of Rights |
|
|
• |
Insurance underwriter’s approval/release of surety |
|
|
• |
Contractor's Certifications of Completed Construction ‑ See Attachment |
|
|
• |
Consultant's Certification of Completed Construction (for NYC Local Laws and other specific items of work where certifications are desired) ‑ See Attachment |
Scheduled Payment Requirement (4/17)
|
|
• |
As built drawings (digital format acceptable) |
|
|
• |
Access to guarantees & warrantees, operations and maintenance manuals |
|
|
• |
Dedication of offsite infrastructure to local municipality |
|
|
• |
Applicable regulatory agency/authority approval |
Inspections
|
|
• |
ESD will inspect throughout the construction phase until final completion. |
Provisions for ESD Field Representative
The Grantee/Developer/Contractor shall provide an appropriate space at the job site with a desk, telephone, computer with internet and project website access, plan table, file cabinet, heat and air conditioning satisfactory to ESD.
Scheduled Payment Requirement (4/17)
Table of Approval Authority and Facsimile Signature
(Owner)
|
Name/Title/Firm |
Facsimile Signature |
Initials |
Documents Requiring Approval |
Approval Auth ($ Limit) |
|
(Examples) |
|
|
(See (A) below for Examples) |
|
|
|
|
|
|
|
|
Director |
|
|
|
|
|
Design and Construction |
|
|
|
|
|
|
|
|
|
|
|
Sr. Vice-President |
|
|
|
|
|
Facilities Administration |
|
|
|
|
|
|
|
|
|
|
|
Sr. Vice-President |
|
|
|
|
|
Business and Finance |
|
|
|
|
The above individuals have been delegated authority as stated, in accordance with a meeting of the Board of Directors on .
|
|
|
|
|
|
Secretary |
|
|
(A) |
Examples of Documents Requiring Approval |
|
|
(1) |
Payment Requisitions |
|
|
(2) |
Change Orders |
|
|
(3) |
Owner Agreements |
|
|
(4) |
Contracts |
Attachment E 1-4 06/16
Table of Approval Authority and Facsimile Signature
(Construction Management Firm)
|
Name/Title/Firm |
Facsimile Signature |
Initials |
Documents Requiring Approval |
Approval Auth ($ Limit) |
|
(Examples) |
|
|
(See (A) below for Examples) |
|
|
|
|
|
|
|
|
Construction Manager |
|
|
|
|
|
|
|
|
|
|
|
Project Manager |
|
|
|
|
|
|
|
|
|
|
|
Controller |
|
|
|
|
|
|
|
|
|
|
|
President |
|
|
|
|
The above individuals have been delegated authority as stated, in accordance with a meeting of the Board of Directors on .
|
|
|
|
|
|
Secretary |
|
|
(A) |
Examples of Documents Requiring Approval |
|
|
(1) |
Construction Payment Requisitions |
|
|
(2) |
Change Orders |
|
|
(3) |
Subcontracts |
|
|
(4) |
Owner Agreements |
|
|
(4) |
Contracts |
Attachment E 1-4 06/16
Table of Approval Authority and Facsimile Signature
(Contractor)
|
Name/Title/Firm |
Facsimile Signature |
Initials |
Documents Requiring Approval |
Approval Auth ($ Limit) |
|
(Examples) |
|
|
(See (A) below for Examples) |
|
|
|
|
|
|
|
|
Construction Superintendent |
|
|
|
|
|
|
|
|
|
|
|
Controller |
|
|
|
|
|
|
|
|
|
|
|
Vice President |
|
|
|
|
|
|
|
|
|
|
|
President |
|
|
|
|
The above individuals have been delegated authority as stated, in accordance with a meeting of the Board of Directors on .
|
|
|
|
|
|
Secretary |
|
|
(A) |
Examples of Documents Requiring Approval |
|
|
(1) |
Construction Payment Requisitions |
|
|
(2) |
Change Orders |
|
|
(3) |
Purchase Orders |
|
|
(4) |
Owner Agreements |
|
|
(5) |
Contracts |
Attachment E 1-4 06/16
Table of Approval Authority and Facsimile Signature
(Architect)
|
Name/Title/Firm |
Facsimile Signature |
Initials |
Documents Requiring Approval |
Approval Auth ($ Limit) |
|
(Examples) |
|
|
(See (A) below for Examples) |
|
|
|
|
|
|
|
|
Partner-in-Charge |
|
|
|
|
|
|
|
|
|
|
|
Principal |
|
|
|
|
|
|
|
|
|
|
|
Controller |
|
|
|
|
The above individuals have been delegated authority as stated, by agreement of the Partnership on .
|
|
|
|
|
(A) |
Examples of Documents Requiring Approval |
|
|
(1) |
Construction Payment Requisitions |
|
|
(2) |
Change Orders |
|
|
(3) |
Architect Invoices |
|
|
(4) |
Architect/Consultant Contracts |
Attachment E 1-4 06/16
|
Project |
|
Requisition No. |
|
|
|
|
|
|
|
|
|
Name & Address of Contractor |
|
|
Project No. |
|
|
|
|
|
|
|
|
|
|
Contract No. |
|
|
|
Requisition Amount |
||
|
Original Contract |
|
|
|
Approved Change Orders |
|
|
|
Extras |
|
|
|
Credits |
|
|
|
Net Change (Add-Deduct) |
|
|
|
Adjusted Contract |
|
|
|
Work Completed To Date |
||
|
On Contract |
|
|
|
By Change Order Extras |
|
|
|
By Change Order Credits |
|
|
|
Net Change (Add-Deduct) |
|
|
|
Total Work Completed To Date |
|
|
|
Amount Earned To Date |
|
|
|
Less % Retainer |
|
|
|
Amount Due To Date |
|
|
|
Less Previous Payments |
||
|
Contract |
|
|
|
Other (Explain Below) |
|
|
|
Payment Due This Estimate |
|
|
Remarks:
The following items are included in this Request for Payment:
|
□ |
Summary - Request for Payment |
□ |
Schedules of Change Order |
|
□ |
Request for Payment |
□ |
Contractor's Receipt and Waiver of Lien Subcontractors' Receipt and Waiver of |
|
□ |
Contractor Affidavit |
□ |
Lien (if Applicable) |
|
□ |
List of Subcontractors |
|
|
New York State Urban Development Corporation
d/b/a Empire State Development
Request for Payment
|
Project |
|
Requisition No. |
|
|
|
|
|
|
|
|
|
Name & Address of Contractor |
|
|
Project No. |
|
|
|
|
|
|
|
|
|
|
Contract No. |
|
|
In accordance with the provisions of the Construction Contract/Letter Agreement dated and Contractor's cost breakdown (schedule of values) attached thereto,
this requisition is submitted for the smount of $ due for work performed up to the day of and as itemized below by the trades listed in the cost breakdown.
|
|
Contractor (Signature) |
Date |
|
|
|
Trade Item Total |
Amounts Completed To Date |
Amounts all Previous |
% |
|||
|
|
Trade Item |
Amount |
Material |
Labor |
Total |
Requisitions |
Amount This Requisition |
Compl |
|
1 |
|
|
|
|
|
|
|
|
|
2 |
|
|
|
|
|
|
|
|
|
3 |
|
|
|
|
|
|
|
|
|
4 |
|
|
|
|
|
|
|
|
|
5 |
|
|
|
|
|
|
|
|
|
6 |
|
|
|
|
|
|
|
|
|
7 |
|
|
|
|
|
|
|
|
|
8 |
|
|
|
|
|
|
|
|
|
9 |
|
|
|
|
|
|
|
|
|
10 |
|
|
|
|
|
|
|
|
|
11 |
|
|
|
|
|
|
|
|
|
|
Total |
|
|
|
|
|
|
|
|
|
Less ( )% Retainer Line (32) |
|
|
|
|
|
|
|
|
|
Totals |
|
|
|
|
|
|
|
Progress □ Satisfactory □ Unsatisfactory (If unsatisfactory, attach memo of explaination
Construction is % Completed.
I certify that I have checked and verified the above application for payment and that to the best of knowledge and belief: (1) It is true and correct statement of work
|
|
|
|
|
|
Architect |
Date |
|
Date |
|
|
|
|
|
Approved:
|
|
|
|
|
|
ESD Construction Project Manager |
Date |
ESD Construction Cost Estimator |
Date |
|
|
|
|
|
|
105b-(6/16) |
|
|
Date |
|
MONTHLY PROJECT STATUS COST CONTROL REPORT |
||||||||||||
|
|
|
|
|
As of |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(Project) |
|
|
|
|
|
|
|
|
Total Project Cost: |
|
Project Number: |
|
Contract Completion Date: |
|
Estimated Completion Date: |
|
Actual Completion Date: |
|
|||
|
FULL COST REPORT SHALL HAVE ONE PAGE |
|
|
|
|
|
|
|
|
|
|
|
|
|
FOR PROJECT TOTAL COST AND ADDITONAL PAGES |
(1) |
(2) |
(3) |
(4) |
(5) |
(6) |
(7) |
(8) |
(9) |
(10) |
|
|
|
FOR EACH FUNDING SOURCE, INCLUDING ESDC. |
|
|
|
(2+3) |
|
|
(5+6) |
|
|
|
|
|
|
|
|
|
|
|
|
INVOICED |
PROJECTED COST |
|
|
|||
|
Description |
Conctract/ Consultant |
Budget (Date) |
Original Contact/ Commitments* |
Cumulative Approved C.O.'s/Amend |
Revised Contract Commitments* |
Prior Month Thru _________ |
This Month (Date) |
Total To Date |
Balance To Be Completed |
Total Estimated Cost |
(Over/Under) Budget |
% Complete |
|
(Sample Line Items Only - Use Additonal Sheet if Required) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
● Design |
|
|
|
|
|
|
|
|
|
|
|
|
|
A/E Fees |
|
|
|
|
|
|
|
|
|
|
|
|
|
Reimb. & Extra Services |
|
|
|
|
|
|
|
|
|
|
|
|
|
Other (List each item) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
● Related Design & Construction |
|
|
|
|
|
|
|
|
|
|
|
|
|
Cost |
|
|
|
|
|
|
|
|
|
|
|
|
|
Borings & Soils |
|
|
|
|
|
|
|
|
|
|
|
|
|
Environmental |
|
|
|
|
|
|
|
|
|
|
|
|
|
Survey |
|
|
|
|
|
|
|
|
|
|
|
|
|
Special Consultants (List) |
|
|
|
|
|
|
|
|
|
|
|
|
|
Other (List) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
● Testing & Inspection |
|
|
|
|
|
|
|
|
|
|
|
|
|
Soils/Foundation |
|
|
|
|
|
|
|
|
|
|
|
|
|
Other (List) |
|
|
|
|
|
|
|
|
|
|
|
|
|
● SUBTOTAL SOFT COSTS |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
General Contract |
|
|
|
|
|
|
|
|
|
|
|
|
|
Other Items (List each item) |
|
|
|
|
|
|
|
|
|
|
|
|
|
● SUBTOTAL Excluding Contingency |
|
|
|
|
|
|
|
|
|
|
|
|
|
● Construction Contingency |
|
|
|
|
|
|
|
|
|
|
|
|
|
● SUBTOTAL HARD COSTS |
|
|
|
|
|
|
|
|
|
|
|
|
|
● Project Contingency |
|
|
|
|
|
|
|
|
|
|
|
|
|
● TOTAL PROJECT COST |
|
|
|
|
|
|
|
|
|
|
|
|
|
*Asterisk Commited Items not yet under formal contract |
|
|
|
|
|
|
|
|
|
|
|
|
|
Prepared By: |
|
|
Date: |
|
|
Approved By: |
|
|
Date: |
|
|
|
Monthly Project Status Cost Control Report Instructions
ESDC requires that a Monthly Cost Control Report be submitted on all projects funded during construction. This also includes projects in the planning stage which will be funded during construction.
The Cost Report is a management tool for tracking latest costs for all line items against the Budget. On a monthly basis, it keeps the Developer and ESDC informed, and highlights construction cost status, potential problems and variances.
The attached sample Monthly Project Status Cost Control Report illustrates how costs should be listed and separated by line item, for soft costs/other items and construction.
Several items in the form should be highlighted:
Column 1 ‑ Budget ‑‑ This is the budget approved by the Developer and ESDC. Once approved, this column should not be changed.
Contingency
The Construction Contingency shown in "Budget" (Column 1) should not be changed. As the contingency is used up and allocated to various line items, the balance should be shown in the line item for Construction Contingency, under "Total Estimated Cost" (Column 9).
Column 2 ‑ "Original Contract/Commitments" ‑‑ List approved contracts; also, firm commitments not yet under contract should be listed, and marked with an asterisk.
Column 3 ‑ "Cumulative Approved Change Orders/Amendments" ‑‑ List only items approved by ESDC.
Column 4 ‑ "Revised Contract/Commitments" ‑‑ Self explanatory.
Column 5 ‑ "Invoiced Prior Months Thru" ‑‑ Self explanatory.
Column 6 ‑ Invoiced "This Month" ‑‑ Self explanatory.
Column 7 ‑ Invoiced "To Date" ‑‑ Self explanatory.
Column 8 ‑ "Balance to be Completed" ‑‑ Subtract "Revised Contract/Commitments" (Col 9) from Total Invoiced to Date (Col 7).
Column 9 ‑ "Total Estimated Cost" ‑‑ This is Projected Cost for the project ‑‑ Add "Invoiced To Date" (Col 7) and "Balance to be Completed" (Col 8).
Column 10 ‑ "(Over/Under) Budget" ‑‑ Subtract "Total Estimated Project Cost" (Col 9) from "Budget"
Attachment D-1 (6/16)
|
|
|
ESD Project No.:
|
New York State Urban Development Corporation
d/b/a Empire State Development
Design and Construction Department
CONTRACTOR’S AFFIDAVIT
|
STATE OF NEW YORK |
) |
|
|
|
) ss.: |
|
|
COUNTY OF |
) |
|
, being first duly sworn, deposes and says:
I, , am the of (the “Contractor”), a [corporation; limited liability company; limited partnership] organized and existing under the laws of the State of New York, having its principal offices at .
That the Contractor is the general contractor for (the “Project”) pursuant to a construction contract dated the day of , 20 (the Construction Agreement”) between the Contractor and (the “Owner”).
That the Contractor has received all payments due it under the Construction Agreement as of Requisition No. , dated the day of , 20 .
That the Contractor has to the date hereof performed all its obligations pursuant to the Construction Agreement and has paid to its subcontractors and vendors the amounts due to them for the work performed and the materials furnished by each of them in connection with the Construction Agreement, for amounts up to and including Requisition No. .
That annexed hereto as “Attachment 1” is a list of all subcontractors and vendors who have performed work and labor or furnished materials and equipment in connection with the Construction Agreement. If none, state “None.”
|
Contractor: |
|
|
|
|
Name: |
|
Title: |
|
Sworn to before me this day of , 20 .
|
|
|
|
|
|
Notary Public My commission expires: |
|
|
Project |
|
Requisition No. |
|
|
|
|
|
|
|
|
|
Name & Address of Contractor |
|
|
Project No. |
|
|
|
|
|
|
|
|
|
|
Contract No. |
|
|
DC-105c (3/016)
LIST OF SUBCONTRACTORS/VENDOR SUBMITTED WITH REQUEST FOR PAYMENT
The following Subcontractors/Vendors are included for payment with this requisition:
|
Trade |
Subcontractor or Vendor |
Amount of Subcontract |
Attachment A – 02/15
|
|
|
ESD Project No.: ESD Requisition No.:
|
CONTRACTOR’S RECEIPT AND WAIVER OF LIEN
|
State of New York |
) |
|
|
|
) ss.: |
|
|
County of |
) |
|
(“Contractor”), in connection with the construction of a project of the New York State Urban Development Corporation d/b/a Empire State Development (“ESD”) known as (the “Project”) and the payment by (“Owner”) to Contractor of certain sums requisitioned by the Contractor pursuant to its Request for Payment No. dated , ,20, (the “Requisition”), DOES HEREBY CERTIFY AND ACKNOWLEDGE that it has received the cumulative amount of $ , representing all sums due and owing to it in accordance with its agreement with the Owner
dated , ,20 , other than sums, if any, withheld by the Owner in accordance with such agreement and approved by the Owner and ESD, for work performed or materials supplied for the Project to the date of , 20 , and DOES HEREBY FOREVER RELEASE AND WAIVE for itself, its successor and assigns any and all rights, claims and demands it has or may have against the Owner and ESD, including any and all rights which it has or may have pursuant to the New York Lien Law to file any lien or notice of lien against the Project or any property of the Owner on account of or deriving from labor performed or materials furnished for the Project to the date of the previously submitted requisition dated , 20 .
IN WITNESS WHEREOF, Contractor has caused this Receipt and Waiver to be duly executed and the seal of the Contractor to be affixed as of the date of the Requisition by the undersigned duly authorized officer.
Contractor:
Name: Title:
On the day of , 20 , before me, the subscriber personally appeared to me personally known, who being by me duly sworn, did depose and say that he/she resides at that he/she is of the entity described in and which executed the foregoing instrument.
|
Notary Public My commission expires: |
DC-105g (03/16)
|
|
|
ESD Project No.: ESD Requisition No.: |
SUBCONTRACTOR’S RECEIPT AND WAIVER OF LIEN
|
State of New York |
) |
|
|
|
) ss.: |
|
|
County of |
) |
|
(“Subcontractor”), in connection with the construction of a project of the New York State Urban Development Corporation d/b/a Empire State Development (“ESD”) known as , (the “Project”) and the payment to the Subcontractor by (the “Contractor”) of certain sums requisitioned by the Contractor pursuant to the Contractor’s Request for Payment No. dated , , 20 submitted to (“Owner”), (the “Requisition”), DOES HEREBY CERTIFY AND ACKNOWLEDGE that it has received the cumulative amount of $ , representing all sums due and owing to it in accordance with its agreement with the Contractor dated , 20 , other than sums, if any, withheld by the Contractor in accordance with such agreement and approved by the Owner and ESD, for work performed or materials supplied for the Project to the date of , 20 , and DOES HEREBY FOREVER RELEASE AND WAIVE for itself, its successor and assigns any and all rights, claims and demands it has or may have against the Owner and ESD, including any and all rights which it has or may have pursuant to the New York Lien Law to file any lien or notice of lien against the Project or any property of the Owner on account of or deriving from labor performed or materials furnished for the Project to the date of the previously submitted requisition dated , , 20 .
IN WITNESS WHEREOF, Subcontractor has caused this Receipt and Waiver to be duly executed and the seal of Subcontractor to be affixed as of the date of the Requisition by the undersigned duly authorized officer.
|
Contractor: |
|
|
|
|
Name: |
|
Title: |
|
On this day of , 20 , before me the subscriber personally appeared to me, personally known, who being by me duly sworn, did depose and say that he/she resides at _________ ___________ that he/she is of the entity described in and which executed the foregoing instrument.
|
Notary Public My commission expires: |
DC-105i (03/16)
|
|
|
ESD Project No. ESD Requisition No. |
SUBCONTRACTOR’S AFFIDAVIT, FINAL WAIVER OF CLAIMS AND LIENS, AND RELEASE OF RIGHTS
|
STATE OF NEW YORK |
) |
|
|
|
) ss.: |
|
|
COUNTY OF |
) |
|
The undersigned, who is the of (the “Subcontractor”) which performed work under a subcontract with _ (“Contractor”) for Project # declares that its Subcontract with the Contractor is in the total amount of $ , which includes extras and all change orders to the date hereof.
In consideration of the amounts and sums previously received, and the last and final payment of $ being full and final payment of the amount due, the Subcontractor does hereby acknowledge that it has been paid in full for all work it performed on the Project and that it further hereby releases _______ (“Owner”) and the New York State Urban Development Corporation d/b/a Empire State Development (“ESD”) from any and all claims and liens, and further waives any and all rights to liens upon the premises described below (which may be more particularly described by an Exhibit “A” attached), and upon improvements now or hereafter made thereon, and upon the monies or other considerations due or to become due from the Owner or ESD or from any other person, firm or corporation, said claims and liens and rights to liens being on account of labor, services, materials, fixtures or apparatus furnished by or which may be furnished at any time hereafter by or at the request of the undersigned. The premises as to which said claims and liens and rights to liens are hereby released are identified as follows:
Project Name:
Address or Project:
City: County: State:
The undersigned further represents and warrants that he/she is duly authorized and empowered to sign and execute this wavier on his/her own behalf and on behalf of the Subcontractor for which he/she is signing; that Subcontractor has properly performed all work and furnished all the materials of the specified quality per plans and specifications and in a good and workmanlike manner, fully and completely; that Subcontractor has been paid in full for all work it performed on the Project; that Subcontractor has paid its subcontractors, vendors and suppliers for all the labor, materials, equipment and services that Subcontractor has used or been supplied or may hereafter use or be supplied to the above premises, and that Subcontractor has no outstanding and unpaid payment applications, invoices, retentions, holdbacks, chargebacks or unbilled work or materials, as of the date of the aforementioned last and final payment application of invoice; and that any materials which have been supplied or incorporated into the above premises were either taken from Subcontractor’s fully-paid or open stock or were fully paid for and supplied as stated on the statement accompanying the last and final payment application or invoice.
The undersigned further agrees to reimburse and does hold harmless and fully indemnify Owner, ESD and for any losses or expenses should any such claim, lien, or right to a lien be asserted (by the undersigned or by any laborer, materialman or subcontractor of the undersigned), including, without implied limitation, attorneys’ fees incurred in the defense thereof.
In addition, for and in consideration of the amounts and sums received, the Subcontractor hereby waives, releases and relinquishes any and all claims, rights or causes of action whatsoever the Subcontractor had, has or may have against the Owner and ESD arising out of or in the course of the work performed on the above-mentioned project, contract or event.
|
Contractor: |
|
|
|
|
By: |
|
Title: |
|
On this day of , 20 , before me the subscriber personally appeared to me, personally known, who being by me duly sworn, did depose and say that he/she resides at that he/she is of the entity described in and which executed the foregoing instrument.
|
Notary Public My Commission expires: |
DC-105i (03/16)
|
|
|
ESD Project No.: ESD Requisition No. |
SUBCONTRACTOR’S AFFIDAVIT, CONTINGENT FINAL WAIVER OF CLAIMS AND LIENS, AND RELEASE OF RIGHTS
|
STATE OF NEW YORK |
) |
|
|
|
) ss.: |
|
|
COUNTY OF |
) |
|
The undersigned, who is the of (the “Subcontractor”) which performed work under a subcontract with _ (“Contractor”) for Project # declares that its Subcontract with the Contractor is in the total amount of $ , which includes extras and all change orders to the date hereof.
In consideration of the amounts and sums previously received, and upon receipt and payment of the last and final payment of $ being full and final payment of the amount due, the Subcontractor does hereby acknowledge that it has been paid in full for all work it performed on the Project and that it further hereby releases _______ (“Owner”) and the New York State Urban Development Corporation d/b/a Empire State Development (“ESD”) from any and all claims and liens, and further waives any and all rights to liens upon the premises described below (which may be more particularly described by an Exhibit “A” attached), and upon improvements now or hereafter made thereon, and upon the monies or other considerations due or to become due from the Owner or ESD or from any other person, firm or corporation, said claims and liens and rights to liens being on account of labor, services, materials, fixtures or apparatus furnished by or which may be furnished at any time hereafter by or at the request of the undersigned. The premises as to which said claims and liens and rights to liens are hereby released are identified as follows:
Project Name:
Address or Project:
City: County: State:
The undersigned further represents and warrants that he/she is duly authorized and empowered to sign and execute this wavier on his/her own behalf and on behalf of the Subcontractor for which he/she is signing; that Subcontractor has properly performed all work and furnished all the materials of the specified quality per plans and specifications and in a good and workmanlike manner, fully and completely; that Subcontractor has been paid in full for all work it performed on the Project; that Subcontractor has paid its subcontractors, vendors and suppliers for all the labor, materials, equipment and services that Subcontractor has used or been supplied or may hereafter use or be supplied to the above premises, and that Subcontractor has no outstanding and unpaid payment applications, invoices, retentions, holdbacks, chargebacks or unbilled work or materials, as of the date of the aforementioned last and final payment application of invoice; and that any materials which have been supplied or incorporated into the above premises were either taken from Subcontractor’s fully-paid or open stock or were fully paid for and supplied as stated on the statement accompanying the last and final payment application or invoice.
The undersigned further agrees to reimburse and does hold harmless and fully indemnify Owner, ESD and for any losses or expenses should any such claim, lien, or right to a lien be asserted (by the undersigned or by any laborer, materialman or subcontractor of the undersigned), including, without implied limitation, attorneys’ fees incurred in the defense thereof.
In addition, for and in consideration of the amounts and sums received, the Subcontractor hereby waives, releases and relinquishes any and all claims, rights or causes of action whatsoever the Subcontractor had, has or may have against the Owner and ESD arising out of or in the course of the work performed on the above-mentioned project, contract or event.
|
Contractor: |
|
|
|
|
By: |
|
Title: |
|
On this day of , 20 , before me the subscriber personally appeared to me, personally known, who being by me duly sworn, did depose and say that he/she resides at that he/she is of the entity described in and which executed the foregoing instrument.
|
Notary Public My Commission expires: |
DC-105i (03/16)
CONTRACTOR’S AFFIDAVIT, FINAL WAIVER OF CLAIMS AND LIENS, AND RELEASE OF RIGHTS
|
STATE OF NEW YORK |
) |
|
|
|
) ss.: |
|
|
COUNTY OF |
) |
|
The undersigned, who is the of (the “Contractor”) which performed work under a contract with for Project # (the “Contract”) declares that its Contract with the Owner is in the total amount of $ , which includes extras and all change orders to the date hereof.
In consideration of the amounts and sums previously received, and the last and final payment of $ being full and final payment of the amount due, the Contractor does hereby acknowledge that it has been paid in full for all work it performed on the Project and that it further hereby releases the Owner and the New York State Urban Development Corporation d/b/a Empire State Development (“ESD”) from any and all claims and liens, and further waives any and all rights to liens upon the premises described below (which may be more particularly described by an Exhibit “A” attached), and upon improvements now or hereafter made thereon, and upon the monies or other considerations due or to become due from the Owner or ESD or from any other person, firm or public or private entity, said claims and liens and rights to liens being on account of labor, services, materials, fixtures or apparatus furnished by or which may be furnished at any time hereafter by or at the request of the undersigned. The premises as to which said claims and liens and rights to liens are hereby released are identified as follows:
Project Name:
Address or Project:
City: County: State:
The undersigned further represents and warrants that he/she is duly authorized and empowered to sign and execute this wavier on his/her own behalf and on behalf of the Contractor for which he/she is signing; that Contractor has properly performed all work and furnished all the materials of the specified quality per plans and specifications and in a good and workmanlike manner, fully and completely; that Contactor has been paid in full for all work it performed on the Project; that Contractor has paid its subcontractors, vendors and suppliers for all the labor, materials, equipment and services that Contractor has used or been supplied or may hereafter use or be supplied to the above premises, and that Contractor has no outstanding and unpaid payment applications, invoices, retentions, holdbacks, chargebacks or unbilled work or materials, as of the date of the aforementioned last and final payment application of invoice; and that any materials which have been supplied or incorporated into the above premises were either taken from Contractor’s fully-paid or open stock or were fully paid for and supplied.
The undersigned further agrees to reimburse and does hold harmless and fully indemnify Owner, ESD and for any losses or expenses should any such claim, lien, or right to a lien be asserted (by the undersigned or by any laborer, materialman or subcontractor of the undersigned), including, without implied limitation, attorneys’ fees incurred in the defense thereof.
In addition, for and in consideration of the amounts and sums received, the Contractor hereby waives, releases and relinquishes any and all claims, rights or causes of action whatsoever the Contractor had, has or may have against the Owner and ESD arising out of or in the course of the work performed on the above-mentioned project, contract or event.
|
Contractor |
|
|
|
|
By: |
|
Title: |
|
On this day of , 20 , before me the subscriber personally appeared to me, personally known, who being by me duly sworn, did depose and say that he/she resides at that he/she is of the entity described in and which executed the foregoing instrument.
|
Notary Public My commission expires: |
DC-105i (03/16)
UNCONDITIONAL WAIVER AND RELEASE OF CLAIMS AND LIENS, AND RELEASE OF RIGHTS
|
State of New York |
) |
|
|
|
) ss.: |
|
|
County of |
) |
|
The undersigned (the " ") has been paid and has received full payment for all services furnished by and/or employees or others acting for or claiming by, through or under from to on the job of (Owner) in connection with the construction of a project of the New York State Urban Development Corporation d/b/a Empire State Development (“ESD”), known as (the “Project”) pursuant to a contract executed with dated , , 20 (the “Contract”).
represents and warrants that and all persons and entities acting for or claiming by, through or under have fully performed and furnished all services to have been performed or furnished by pursuant to its obligations under the Contract and that there is not now due or owing any amount of money or wages to any party or entity in connection with this Project or any part thereof. The does hereby release for itself and any party or entity claiming by, through or under , from any and all rights which it has or may have pursuant to the New York Lien Law to file any lien or notice of lien against the Project, mechanic's liens, stop notice, bond right or claim of any nature whatsoever that the undersigned has or may have with respect to the above referenced Project.
The further agrees to reimburse and does hold harmless and fully indemnify ESD, its successors and assigns for any losses or expenses should any such claim, lien, or right to a lien be asserted by the or by any person or entity acting for or claiming by, through or under the Architect, including, without implied limitation, attorney's fees incurred in the defense thereof.
In addition, for and in consideration of the amounts and sums received, the undersigned hereby waives, releases and relinquishes ESD from any and all claims, rights or causes of action whatsoever arising out of or in the course of the work performed on the above-mentioned Project.
|
Entity: |
|
|
|
|
Name: |
|
Title: |
|
On the day of , 20 , before me, the subscriber personally appeared to me personally known, who being by me duly sworn, did depose and say that he/she resides at that he/she is of the entity described in and which executed the foregoing instrument.
|
Notary Public My Commission expires: |
DC-105g (03/16)
CONSULTANT'S CODE CERTIFICATION LETTER
The following Certification Letter shall be included in the initial report submitted to ESDC for approval.
DATE
Empire State Development
000 Xxxxx Xxxxxx
Xxx Xxxx, XX 00000-0000
|
Attention: |
(insert senior architect/construction manager or loans & grant project |
manager assigned to project)
(insert title)
Design and Construction or Loans & Grant
|
Re: |
Consultant’s Code Certification of Architect (Engineer) |
(Insert Location and Name of Project)
Gentlemen:
The undersigned, a principal of the firm of , duly qualified and registered to practice architecture/engineering in the State of New York, in connection with the project, does hereby certify that final plans and specifications will be designed to conform with the (insert name of applicable building code) and applicable municipal regulations.
IN WITNESS WHEREOF, I have hereunto set my hand this day of , 20___.
SIGNATURE
ARCHITECT'S (OR ENGINEER'S) NAME SEAL
Attachment A – 02/15
CONTRACTOR'S CERTIFICATION OF COMPLETED CONSTRUCTION
The following Certification shall be submitted to ESD at completion of construction on Contractor's letterhead.
DATE
Empire State Development
000 Xxxxx Xxxxxx
Xxx Xxxx, XX 00000-0000
|
Attention: |
(insert senior architect/construction manager or loan & grant project manager |
assigned to project)
(insert title)
Design and Construction or Loans & Grant
|
Re: |
Contractor’s Certification of Completed Construction |
(Insert Location and Name of Project)
Gentlemen:
The undersigned, an officer of (firm name), in connection with the project, does hereby certify that construction of all work required by the construction agreement has been completed in accordance with final construction documents, the (insert name of applicable building code) and applicable municipal regulations.
IN WITNESS WHEREOF, I have hereunto set my hand this day of , 20___.
|
Notary Public |
SIGNATURE
OFFICER'S NAME & TITLE
DC-105g (03/16)
CONSULTANT'S CERTIFICATION OF COMPLETED CONSTRUCTION
The following Certification shall be submitted to ESD at completion of construction on Consultant's letterhead.
DATE
Empire State Development
000 Xxxxx Xxxxxx
Xxx Xxxx, XX 00000-0000
|
Attention: |
(insert senior architect/construction manager or loan & grant project manager |
assigned to project)
(insert title)
Design and Construction or Loans & Grant
|
Re: |
Consultant’s Certification of Completed Construction |
(Insert Location and Name of Project)
Gentlemen:
The undersigned, a principal of the firm of
duly qualified and registered to practice architecture/engineering in the State of New York, in connection with the (insert location and name of project) project, does hereby certify that to the best of our knowledge construction of work required by the contract has been completed in accordance with the drawings approved by the (insert name of approving agency) and requirements of the (insert name of applicable building code) .
IN WITNESS WHEREOF, I have hereunto set my hand this day of , 20___.
SIGNATURE
ARCHITECT'S (OR ENGINEER'S) NAME SEAL
ESD CONSTRUCTION SIGN
The contractor shall supply and install one sign identifying the project at commencement of construction which shall remain in place until development is completed. The sign can be a minimum of 4 ft. X 8 ft., up to a maximum of 8 ft. X 16 ft., and constructed of 3/4 in. thick exterior grade plywood, secured or supported to comply with all applicable codes and good construction practice. Exact location will be determined by ESD according to local conditions. The sign shall be painted white, front and back, with three coats of exterior grade enamel. Refer to the ESD Construction Sign Template for additional information. The exact text and layout shall be provided by the ESD, Department of Design & Construction at the time of contract award.
GRAPHIC SPECIFICATIONS
Size: Minimum of 4 'high X 8' wide Maximum of 8 'high X 16' wide
Logo: The New York State/Empire State Development brand logo shall be teal and located in tight to the upper left corner
Font: Proxima, Proxima Bold
Substitute Font: Arial, Arial Bold
Bold font for project name, and principal official’s names
Colors:
Teal lettering on white background
Pantone ® –7474 C
CMYK – 96/9/32/29
RGB – 0/118/129
Hex – #007681
Dark xxxx lettering on white background
Pantone ® –7 C
CMYK – 9/10/9/81
RGB – 63/63/63
Hex – #3F3F3F
NAME RECOGNITION
The following principals should be included on any public signage publicizing Empire State Development construction and development projects:
▪ Xxxxxx X. Xxxxx, Governor
▪ Xxxxxxxx X. Xxxxxx, Lieutenant Governor
▪ Xxxxxx X. Xxxxxx, ESD, President, CEO & Commissioner
▪ U.S. Senators Schumer and Gillibrand (list both or neither)
▪ U.S. Congressional delegation for the area the project is located in (list all or none)
▪ State Assembly Members and Senators who have funded the project
▪ Local Mayor, County Executive and/or Supervisor
▪ Construction Manager/Firm
▪ Architect
▪ All funders and investors
|
|
Name of Project (in Spanish as applicable) Description of Project (in Spanish as applicable)
|
|
|
|
Xxxxxx X. Xxxxx, Governor
Xxxxxxxx X. Xxxxxx, Lieutenant Governor
Xxxxxx X. Xxxxxx, ESD President, CEO & Commissioner
U.S. Senators Schumer and Gillibrand (list both or neither)
U.S. Congressional delegation for the area the project is located in (list all or none) State Assembly Members and Senators who have funded the project
Local Mayor, County Executive and/or Supervisor Construction Manager/Firm
Architect
All funders and investors
A Construction Management Plan (CWMP) shall be submitted to ESDC prior to the commencement of the project. Best efforts shall be made throughout the project to abide by the plan and achieve a ___% recycling rate (by weight) for construction and demolition waste on this project.
Using the template in Appendix A or your own planning document, provide the following information to form a CWMP:
|
|
1. |
Project Name, Contractor, Designated Construction/Demolition Plan Manager; Project Site Address, Estimated Construction Dates, Project Scope |
|
|
2. |
Contractor commitment to reducing waste on this project to the extent practicable and establishment of a Reuse/Recycling Goal (by weight) for all materials generated by this project. |
|
|
3. |
Projected Waste Materials – list (or check) the materials that will be generated by the project. |
|
|
4. |
Reuse/Recycling Plan. List each material proposed to be reused or recycled during the course of the project. For each: |
|
|
▪ |
Estimate the percentage of total project materials and tonnage |
|
|
▪ |
Describe the means by which it will be handled at the site (sorted, stored, protected from contamination, etc.); |
|
|
▪ |
Identify the hauler and proposed destination for the material |
Monthly Progress Reports shall be submitted to ESDC.
Using the template in Appendix B or your own, submit Monthly Progress Reports documenting the disposition (Recycled/Reused vs. Disposed) of all jobsite waste.
For each item pulled from the jobsite, provide:
|
|
1. |
Date removed |
|
|
2. |
Amount in tons |
|
|
3. |
Receiving party |
|
|
4. |
Disposition (reuse, recycled, disposed). Appendix B contains two tables – one for materials destined for reuse/recycling , another for materials destined for disposal |
|
|
5. |
Attach legible copies of on-site logs, weight tickets and/or receipts to verify . Receipts shall be from recycling and/or disposal site operators who can legally accept the materials for the purpose of reuse, recycling or disposal. If mixed construction and demolition waste is sorted off-site, provide documentation from the processor stating the average percentage of mixed C&D waste they are recycling. The documentation shall be in conformance with the latest annual recycling report to the NYS Department of Environmental Conservation pursuant to 6NYCRR Part 360 regulations, or a letter containing the same information if the report is not available. |
A Final Report shall be submitted to ESDC summarizing the quantity and type of material reused, recycled and disposed of from this project and attesting that the reuse/recycling goal was / was not achieved. (see Appendix C).
Construction Waste Management Plan
|
1. |
Project Name: |
Contractor:
Designated Construction/Demolition Waste Management Plan Manager:
Project Site Address:
Estimated Construction Dates:
Project Scope (indicate general work to be done, type of structure, building size, space constraints, etc.):
|
2. |
Waste Reduction Efforts: ________________ (contractor) and all subcontractors will also employ sustainable materials management practices on this project to the extent practicable. |
|
|
• |
Job site workers will be asked to take note of what they are throwing away and encouraged to suggest ways to minimize or eliminate waste. |
|
|
• |
____________ (contractor) will, to the extent practicable, work with suppliers to provide materials to the site in minimal, reusable and recyclable packaging. |
Reuse/Recycling Goal: Throughout the above-described project, ___________ (contractor) will make a good faith effort to reuse/ recycle ___% (by weight) of the waste generated by this project.
|
3. |
Projected Waste Materials (check all materials anticipated to be generated by this project): |
|
☐ |
|
Asphalt |
|
☐ |
|
Glass |
|
☐ |
|
Roofing – asphalt shingles |
|
☐ |
|
Brick |
|
☐ |
|
Gypsum drywall |
|
☐ |
|
Vinyl |
|
☐ |
|
Cans and bottles |
|
☐ |
|
Insulation |
|
☐ |
|
Wood – dimensional lumber |
|
☐ |
|
Carpet |
|
☐ |
|
Land clearing debris |
|
☐ |
|
Wood - pallets |
|
☐ |
|
Carpet pad |
|
☐ |
|
Metal wire, pipe, cutoffs, etc |
|
☐ |
|
Wood – plywood, OSB, particleboard, |
|
☐ |
|
Ceiling tile |
|
☐ |
|
Metal – structural |
|
|
|
other engineered lumber |
|
☐ |
|
Concrete |
|
☐ |
|
Paper and Cardboard |
|
☐ |
|
Wood – treated, varnished, painted |
|
☐ |
|
Electronic equipment |
|
☐ |
|
Plastic - stretch wrap, paint |
|
|
|
|
|
☐ |
|
Flooring |
|
|
|
buckets, bags, polystyrene, pipe |
|
|
|
|
|
☐ |
|
Furniture |
|
☐ |
|
Reusable items (list): |
|
|
|
|
|
☐ |
|
Other (specify): |
|
|
|
|
|
|
|
|
|
|
• |
Provide estimated percentage of total project materials and estimated tonnage |
|
|
• |
Describe how the material will be handled at the jobsite (including procedures to sort, separate and keep it free from contaminants, etc.) |
|
|
• |
Indicate who will remove it from the site and where it is destined to be recycled or reused. See example. |
|
Material |
Estimated % of total project materials / Estimated tons |
Handling at Job Site |
Hauler, Destination |
|
Example: Corrugated Cardboard |
10% / 2 tons |
Separated, flattened and placed in designated containers. No pizza boxes, paper plates, paper towels, etc. No material that is more than 50% covered with mud, paint or other contaminants |
_______ (hauler) will pick up the containers and deliver them to ________ (recycler).”
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Name / Title |
Construction Waste Management
Monthly Progress Report
Project Name:
Contractor:
Designated Construction/Demolition Waste Management Plan Manager:
Project Site Address:
Period covered by this report: _____________________ to _________________________
|
Materials Recycled / Reused: |
|||
|
Date |
Material |
Hauler / Destination |
Quantity (tons) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL |
|
||
|
Materials to Disposal: |
|||
|
Date |
Material |
Hauler / Destination |
Quantity (tons) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL |
|
||
Documentation per ESDC requirements to verify the above information is attached.
Percent of materials removed from site that were reused/recycled this period: ______%
Construction Waste Management
FINAL Report
Project Name:
Contractor:
Designated Construction/Demolition Waste Management Plan Manager:
Project Site Address:
Project Completion Date: _____________________
Based on monthly progress reports, the total amounts of materials recycled, reused and disposed from this project is:
Materials Recycled / Reused:
|
Material |
Tons (add tonnage from monthly reports) |
|
|
|
|
|
|