1.26-SSER-22-RFA.pdf

RFA #26-SSER-22

New York State Department of State Office of Planning, Development & Community Infrastructure

Long Island South Shore Estuary Reserve Grant Program

2026 REQUEST FOR APPLICATIONS

RFA Release Date: This Request for Applications (RFA) and additional grant resources have been posted on

August 27, 2026 on the Department of State’s (DOS or Department) website at https://dos.ny.gov/funding-bid-opportunities. All applicants are encouraged to review the RFA in its entirety as grant program requirements may change.

RFA Updates: Any updates and/or modifications to this RFA will be posted on the Department’s website at: https://dos.ny.gov/funding-bid-opportunities. Please use the RFA number listed on the cover page of the RFA to help locate a link to the specific page for this opportunity.

RFA Questions: Written questions will be accepted until September 17, 2026. Questions should be submitted by e-mail to SSER@dos.ny.gov or in writing to the address below. When corresponding by e-mail, clearly indicate the subject as: “26-SSER-22 RFA Questions”.

To the degree possible, each inquiry should cite the RFA section and paragraph to which it refers. Responses to questions received by September 17, 2026 will be posted by October 1, 2026 on the Department’s website at: https://dos.ny.gov/funding-bid-opportunities. No responses will be provided to inquiries made by telephone, social media, or by contacting DOS staff directly via email or telephone.

It is recommended all applicants review the final responses. The responses to questions received during this time period will be official responses by the Department to questions and will be incorporated into this RFA.

Webinars: A webinar will be held on September 10, 2026 to provide an overview of the application process and program requirements. Webinar registration and recording will be posted on the https://dos.ny.gov/funding-bid-opportunities website.

Applications Due: Applications are due by 4:00 PM, October 26, 2026 and must be submitted through the web-based Consolidated Funding Application as noted below.

Application Submission: To apply, go to https://apps.cio.ny.gov/apps/cfa/, or to access related Consolidated Funding Application materials, go to http://regionalcouncils.ny.gov/.

Contact: NYS Department of State

Office of Planning, Development & Community Infrastructure Attn: SSER RFA Questions 99 Washington Avenue, Suite 1010 Albany, NY 12231 SSER@dos.ny.gov

Letter of Support: Letters of support are encouraged but not required and may be submitted through the

CFA portal. Letters may be addressed to NYS Secretary of State c/o Office of Planning, Development & Community Infrastructure, 99 Washington Avenue, Suite 1010, Albany, NY 12231-0001.

Long Island South Shore Estuary Reserve Grant Program RFA #26-SSER-22

Long Island South Shore Estuary Reserve Grant Program

2026 REQUEST FOR APPLICATIONS

I. INTRODUCTION

The Long Island South Shore Estuary Reserve (Reserve) features vast stretches of sandy beaches, numerous marinas, and abundant parks and nature preserves that provide opportunities to swim, boat, fish, hike, observe wildlife, and relax.

Home to 1.5 million people, the Reserve is an anchor for Long Island’s tourism, seafood, and recreation industries. The New York Department of State (DOS) Office of Planning, Development, & Community Infrastructure (OPDCI) administers and provides funding for the implementation of the Long Island South Shore Estuary Reserve Comprehensive Management Plan (CMP) in cooperation with the 23-member Long Island South Shore Estuary Reserve Council, which is comprised of State and local governments, non-profit and academic organizations, and other stakeholders. The program is administered in accordance with the CMP, the Environmental Protection Fund and Executive Law, Article 46.

This Request for Applications (RFA) is soliciting applications through the New York State Consolidated Funding Application (CFA) from eligible applicants proposing projects in the Reserve. Projects will target the implementation of the CMP’s recommendations or advance a Reserve Council priority. Applications may include projects to improve water quality, mitigate barriers to species migration in Reserve tributaries, support marine debris removal programs, increase public access, and restore natural resources and fortify shorelines to increase resiliency of the Reserve.

II. FUNDING OPPORTUNITY

The Department is making approximately $2,000,000 available from the NYS Environmental Protection Fund with a minimum award amount of $50,000. Matching funds are not required for this grant, and no preference will be given to organizations that provide matching funds under this grant.

Applicants may submit more than one application, but only one application may be submitted per project. Applicants may be awarded for more than one project dependent on the application score, and availability of funding.

III. ELIGIBLE APPLICANTS

Applicants may include municipalities (county, town, city or village) located within the Reserve as defined by the Long Island South Shore Estuary Reserve Comprehensive Management Plan (CMP) and Executive Law, Article 46 as the lands draining into the south shore bays; the Suffolk County Soil and Water Conservation District, the Nassau County Soil and Water Conservation District (SWCD), the Shinnecock Indian Nation, the Unkechaug Indian Nation, Academic Institutions, and Not-for-Profit 501(c)(3) organizations. Academic Institutions and not-for-profit organizations do not need to be located within the SSER to apply but any proposed project must be in the SSER.

Not-for-profit organizations must meet the following criteria:

Incorporated pursuant to New York State Not-For-Profit Corporation Law and Pre-qualified through the New York Statewide Financial System (SFS) as of the application due date.

Information on this process is available at: https://www.sfs.ny.gov/index.php/vendors.

Applicants may partner with other organizations; joint applicants should identify a lead applicant that the Department should recognize as the primary applicant for all purposes, including contract award. Only applications from eligible lead applicants will be evaluated for funding.

The following map outlines the Long Island South Shore Estuary Reserve and lists the eligible municipalities.

IV. ELIGIBLE ACTIVITIES

Water Quality Improvement Projects:

Watershed analysis to reduce stormwater discharge through efforts like mapping stormwater drainage and infrastructure within a municipality.

Enhancement of existing or development of new marine debris removal programs and activities throughout the Reserve.

Water quality improvements including the installation of green infrastructure and other methods (debris interception and capture methods) to reduce stormwater runoff.

Innovative/advanced on-site wastewater treatment systems (individual private systems are currently not eligible).

Design, Engineering, and Construction of Coastal Resilience and Living Resources Projects :

Restoration and enhancement of natural resources and degraded ecological systems (submerged aquatic vegetation, wetlands, marshes).

Mitigation of barriers to diadromous species migration in tributaries of the estuary including but not limited to River Herring, American Eel, Brook Trout, and River Otters.

Protection of natural shorelines or advancement of natural protective features (i.e., living shorelines) in lieu of hardened shorelines.

Design, Engineering, and Construction of Public Access/Blueway Implementation:

Creation or expansion of Blueway Trail public access points throughout Nassau and Suffolk Counties.

Projects Supporting the goals of the South Shore Estuary Reserve Comprehensive Management Plan:

Advancement of one or more Reserve CMP recommendations or other emerging council priorities including improving water quality, living resources, estuary economy, public use and enjoyment and resiliency in the Reserve.

Applicants can propose any of the following eligible types of projects to address eligible activities within the Reserve:

Design and Engineering Capital improvement/implementation projects Outreach and community engagement

V. REQUIREMENTS FOR DESIGN, IMPLEMENTATION AND CONSTRUCTION PROJECTS

For projects which include any design and/or construction work, the applicant must identify the current legal owner(s) for all properties where improvements will be implemented. Applicants must provide proof with the application that all final design and construction work will be performed on public property or where a permanent public interest, such as an easement (e.g., public access, conservation) has been established prior to the grant application due date.

The applicant must attach proof of site control and/or permanent public interest. If property is owned by:

the applicant municipality: submit the property deed, current tax roll or property record card.

a municipality or public entity that is not the applicant: submit the property deed, current tax roll or property record card, and a letter from the landowner expressing their support of the project.

private property owner or not-for-profit: submit the property deed, current tax roll or property record card, and executed public access easement, conservation easement, or similar legal instrument establishing permanent public interest in the property.

Site control does not need to be established at time of application for planning, feasibility studies, preliminary design (up to 30% that demonstrates a project’s scope, timeline, and budget) or similar projects which do not include final design and/or construction work. However, for construction-only projects, a letter of intent from the property owner must be submitted indicating their intent to move forward with an easement or similar legal instrument granting permanent public interest in the property.

Applications that do not include the requisite proof of site control and/or permanent public interest will be found ineligible and will not be scored. The Department shall have the sole discretion of determining if a proposed project meets the DOS program expectations for design and/or construction work.

Construction projects must be in compliance with zoning and other applicable land use regulations. Property where improvements are made must remain accessible to the public and provide direct public benefit for the intended useful life of the project. Projects intended to be open to the public must be open to the general public and not limited to residents of the municipality receiving a grant. Signage to this effect must be provided at these sites.

In addition to responsibility for compliance with local regulations, the grant recipient is responsible for complying with applicable State and Federal laws and regulations, including, but not limited to:

• State Environmental Quality Review Act

• State Freshwater and Tidal Wetlands Acts

• US Army Corps of Engineer permits

• Coastal Erosion Hazards Areas Act

• Floodplain Management criteria

• State and Federal laws and regulations for Historic Preservation

• Coastal Zone Management Act (federal)

• Waterfront Revitalization of Coastal Areas and Inland Waterways (NYS Executive Law Article 42)

For construction only projects, the applicant is required to submit draft or final design documents with the grant application.

It is required that project design and construction was or will be undertaken under the supervision of an architect and/or engineer licensed to practice in the State of New York regardless of whether these costs will be funded using the grant award. In addition, proper certification from a licensed architect or engineer, as appropriate to the task, will be required for the preparation of designs and specifications and for the submission of as-built plans upon completion of the project.

Successful applicants will be required to install a sign satisfactory to the Department acknowledging the Department’s funding of the project. The project sign must remain in place for the intended useful life of the improvements undertaken.

Property improved with SSER funded grants that are sold or transferred out of public ownership and control prior to expiration of the intended useful life will require that grant funds be returned to the Department.

VI. FUNDING AND BUDGET GUIDANCE

Applicants are required to provide a detailed budget justification for their funding request. When estimating the total eligible project cost, applicants should calculate the cost to complete each task included in the project scope of work, which may include costs associated with project management and grant administration. The budget may only include eligible costs described below, which directly support the project scope of work.

Applicants are encouraged to obtain multiple project quotes from consultants with relevant professional experience and background to inform the budget. Applicants are required to demonstrate that projects are ready to move forward.

Applicants are encouraged but not required to leverage additional resources (e.g., NYS grants, federal grants or public, nonprofit or private funds) to complete the project. Applicants are required to prepare and submit with their application a project work schedule and timeline that includes major tasks and milestones with completion dates for each.

Eligible Costs Costs must be adequately justified, directly support the scope of work for the proposed project, and be essential to project completion. All costs will be paid on a reimbursement basis and must be documented to the satisfaction of the Department. Eligible costs include the following:

Personal Services – including direct salaries, wages, and fringe benefits for activities related to project implementation work by the applicant’s employees, including project management and grant administration.

Fringe benefits must be outlined in the application and include the organization’s documented rate. DOS reserves the right to review, and at its sole discretion exclude, any items which are not consistent with fringe benefits which are included in the organization’s fringe rate.

Non-Personal Services – including supplies and materials, travel, equipment, consultant/contractual services for direct project related costs, project management, grant administration, and other goods and services required to complete the project.

Equipment purchases will only be considered as an eligible cost if the equipment is essential to accomplish tasks included in project scope of work and is demonstrated to be more cost-effective than renting or leasing the equipment. The application should list each piece of equipment to be purchased with an estimated cost and how it will be used to accomplish project tasks. Equipment purchased with SSER grant funding cannot be sold without prior approval from the Department. If equipment purchased with SSER funds is sold without DOS approval, the Department may require that grant funds be returned to the Department.

Project management activities may include, but are not limited to, oversight and coordination of tasks and activities needed to produce contractual deliverables, consultant procurement and oversight, public outreach, and technical assistance.

Grant administration activities may include preparation of reports, vouchers, contract related administration and compliance with grant record keeping and reporting requirements. Grant administration may not exceed 15% of the award amount or $50,000, whichever is less.

Ineligible Costs

The following costs are ineligible and will not be reimbursed with grant funds:

Indirect or overhead costs of the applicant or municipality such as rent, telephone service, administrative support not directly related to project work, computers, office equipment, general office supplies, general operations costs, membership fees, subscription costs

Salaries and other expenses of elected officials Taxes, insurance, fines, deficit funding Loan and bond interest and associated fees Contingency costs Lobbying expenses Expenses associated with fundraising Costs incurred outside the contract term Tuition costs Costs that, in DOS’s sole discretion, are not adequately justified or that do not directly support the scope of work for the proposed project

Failure to adequately justify direct project costs will render costs ineligible. Ineligible costs will be eliminated from the total project costs in the grant application.

VII. AWARD METHOD

DOS is making approximately $2,000,000 available for award under this procurement. Each application will be reviewed for eligibility and, if determined eligible, will be scored according to the application evaluation criteria. Applications deemed ineligible will not be scored. Eligible applications will be scored and funds will be awarded in rank order until available funds are fully distributed.

A total score of 100 points is possible for any application. An application must score a minimum of 60 program criteria points out of a possible 100 points from the Department of State review to receive an award.

DOS may make an award in whole or in part and may offer partial funding if a particular component of a project is ineligible or not ready to move forward or the budget requested is not adequately supported and justified. DOS may offer partial funding to an applicant if its application cannot be fully funded within the funds remaining. If the applicant declines the partial funding, funding may be awarded to the next highest-scoring unfunded application. If an awardee fails to satisfactorily negotiate a proper contract within a reasonable amount of time, that funding may be awarded to the next highest-scoring unfunded application.

The opportunity to be debriefed will be provided, upon request, to unsuccessful eligible applicants. Requests must be made in writing within 15 calendar days of notification of status of award. Debriefings are expected to be conducted within 15 calendar days of the written request.

In the event unsuccessful applicants wish to protest the award resulting from this RFA, applicants should follow the protest procedures established by the Office of the State Comptroller (OSC). These procedures can be found in Chapter XI Section 17 of the Guide to Financial Operations (GFO), available on-line at:

http://www.osc.state.ny.us/agencies/guide/MyWebHelp/.

VIII. APPLICATION EVALUATION CRITERIA

Pre-Submission Requirements

Gender-Based Violence and the Workplace Policy Applicants are required to complete and submit the Gender-Based Violence and the Workplace Certification to certify that their organization has in place and has implemented a Gender-Based Violence and the Workplace Policy and has provided such policy to all of its employees, directors and board members. The certification may be found here:

https://dos.ny.gov/procurement-forms. Such policy shall, at a minimum, meet the requirements of subdivision 11 of section five hundred seventy-five of the executive law. If the applicant cannot make this certification, they must include a signed statement setting forth in detail the reasons therefor. The Gender-Based Violence and the Workplace Certification or signed statement is required to be submitted with the application. Failure to submit may result in the application being found ineligible.

Executive Order No. 16 Non-municipal applicants are required to complete and submit the Certification under Executive Order No. 16 Prohibiting State Agencies and Authorities from Contracting with Businesses Conducting Business in Russia. The certification may be found here: https://dos.ny.gov/procurement-forms and should be submitted no later than 4:00 pm on October 1, 2026, via email to SSER@dos.ny.gov. The applicant’s name and CFA# should be included in the subject line.

Eligibility Requirements

All applications must meet the following criteria:

Application must be received by the due date and time stated on the cover page of this RFA.

Applicant meets minimum state assistance funding request per Section II. Funding Opportunity of the RFA.

Applicant is an eligible applicant as defined in Section III. Eligible Applicants of the RFA.

The application must be for an eligible activity as defined in Section IV of the RFA.

Additionally, community-based organizations must meet all of the following criteria:

Be incorporated pursuant to New York State Not-For-Profit Corporation Law and Be pre-qualified through the New York Statewide Financial System (SFS) as of the application due date.

Additionally, depending on the project type, the following criteria must be met:

For projects which include design and/or construction work, applicants must identify the current legal owner(s) for all properties where improvements will be implemented.

Applicants must provide proof that all final design and construction work will be performed on public property or where permanent public interest, such as an easement, has been established prior to the grant application due date.

Final design (over 30%) and/or construction projects must include proof of site control and/or permanent public interest.

Planning and initial design only (up to 30%) must include a letter of intent from the property owner indicating their intent to move forward with an easement or similar legal instrument granting permanent public interest in the property.

Any application that does not meet the eligibility requirements will result in immediate disqualification of the application, which will not be further evaluated. Applications that meet the eligibility requirements will be reviewed using the Program Criteria outlined below.

Program Criteria (maximum of 100 points) Applications will be evaluated by DOS to assess the degree to which they meet the elements of each criterion.

Applications may receive points for any or all elements of each of the evaluation criteria below.

1. Long Island South Shore Estuary Reserve (Reserve) Significance (maximum of 25 points)

a. Projects supporting the goals of the South Shore Estuary Reserve Comprehensive Management Plan (up to10 points) o Advancement of Reserve CMP recommendations or other emerging council priorities including improving water quality, living resources, estuary economy, public use and enjoyment and resiliency in the Reserve.

b. Project Focus Areas (Applications will be evaluated under only one of the following categories, up to 15 points) o Water Quality Improvement Projects

Watershed analysis to reduce stormwater discharge through efforts like mapping stormwater drainage and infrastructure within a municipality.

Enhancement of existing or development of new marine debris removal programs and activities throughout the Reserve.

Water quality improvements including the installation of green infrastructure and other methods (debris interception and capture methods) to reduce stormwater runoff.

Innovative/advanced on-site wastewater treatment systems (individual private systems are currently not eligible).

Describes how the project will improve water quality in the SSER o Design, Engineering, and Construction of Coastal Resilience and Living Resources Projects

Restoration and enhancement of natural resources and degraded ecological systems (submerged aquatic vegetation, wetlands, marshes).

Mitigation of barriers to diadromous species migration in tributaries of the estuary including but not limited to River Herring, American Eel, Brook Trout and River Otters.

Protection of natural shorelines or advancement of natural protective features (i.e., living shorelines) in lieu of hardened shorelines.

Describe how the project addresses resilience.

o Design, Engineering, and Construction of Public Access/Blueway Implementation

Creation or expansion of Blueway Trail public access points throughout Nassau and Suffolk Counties.

Describe how the project addresses public access.

2. Budget and Cost (maximum of 20 points)

a. The budget clearly meets eligibility requirements of the program and supports the activities identified in the proposed workplan. The project complements other projects/activities in the Reserve and may leverage additional resources (e.g., NYS grants, federal grants or public, nonprofit or private funds). (up to 10 points)

b. The budget includes appropriate justifications for directly related expenses and how costs were determined. (up to 10 points)

3. Project Readiness (maximum of 12 points)

a. The project identified a defined scope of work, engaged or are engaging stakeholders, and has all necessary permits (or does not need permits) and approvals and is ready to proceed. (up to 6 points)

b. Demonstrates the ability to proceed with project upon award. (up to 6 points)

4. Local Capacity (maximum of 12 points)

a. Has completed high-quality work on past projects with State or Federal funds. (up to 4 points)

b. Applicant demonstrates the necessary organizational structure to adequately manage and complete the proposed project. (up to 8 points)

5. Stakeholder Engagement (maximum of 11 points)

a. The project includes outreach or training components that engage a diverse and geographically distributed group of stakeholders. (up to 11 points)

6. Program Significance (maximum of 10 points, points are accumulative)

a. The project incorporates/advances measures to address climate change and/or hazard mitigation; enhances natural systems; improves public access and spaces; connects people through pedestrian, bicycle, and non-motorized vessel trails; educates the public about water quality Best Management Practices (BMP’s) or environmentally friendly resiliency measures that can be installed on private property; and/or, ensures predictability in land use regulations and procedures. (0-5 points)

b. The project advances an approved or substantially completed Local Waterfront Revitalization Program (LWRP), watershed management plan, water quality initiative, harbor management plan, maritime center management plan, community comprehensive plan, or local strategy. (0-3 points)

c. The project builds on and advances local priorities consistent with the South Shore Estuary Reserve Comprehensive Management Plan or makes efficient use of and/or protects public investment and infrastructure.

(0-2 points)

7. Partnerships (5 points)

a. The project creates or advances any regional, inter-municipal, intergovernmental, public, private, or nonprofit partnerships/collaborations within the Reserve to address Reserve issues. (up to 5 points)

8. Disadvantaged Communities (DAC) (maximum of 5 points) Please refer to the list of DAC populations here:

https://dos.ny.gov/system/files/documents/2025/02/bond_act_list_of_communities_with_dacs_0.pdff

a. A portion of the project is within a municipality with a DAC population of 81-100% (5 points)

b. A portion of the project is within a municipality with a DAC population of 61-80% (4 points)

c. A portion of the project is within a municipality with a DAC population of 41-60% (3 points)

d. A portion of the project is within a municipality with a DAC population of 20-40% (2 points)

e. A portion of the project is within a municipality with a DAC population of 1-19% (1 point)

f. Project is not within a municipality with a DAC population. (0 pts)

IX. NEW YORK STATE SMART GROWTH PUBLIC INFRASTRUCTURE POLICY ACT

Awards made through this grant program shall be consistent with the State’s Smart Growth Public Infrastructure Policy Act (Environmental Conservation Law, Article 6), where applicable.

X. CONTRACT REQUIREMENTS

New York Statewide Financial System All grant applicants are encouraged to register through the New York Statewide Financial System (SFS). In addition, not-for-profit applicants are required to be registered and pre-qualified through SFS as of the application due date. To register, log on to https://www.sfs.ny.gov/index.php/vendors.

Standard Cost Reimbursement Contract Each successful applicant must enter into a State of New York Contract for Grants with DOS, which will include standard clauses required by the NYS Attorney General, Appendix A (including compliance with Article 15-A of the New York Executive Law), the agreed upon work plan and budget, and other applicable attachments as required. The contract will: 1) be subject to approval by the Attorney General and State Comptroller; 2) require submission of final products in both hard copy and electronic format; 3) be subject to reimbursement only upon proper documentation and compliance with reimbursement procedures and 4) be subject to all other contractual requirements. The State of New York Contract for Grants including the attachments outlined above is available on DOS’s website. Please use the RFA number listed on the cover page of the RFA to help locate a link to the specific page for this opportunity.

To ensure that funds are awarded to applicants that are ready to move forward, the DOS reserves the right to rescind an award if the state contract is not signed and returned within a reasonable period of time. There will be no contract advance available to grantees. Expenses incurred prior to the start date of the state contract will not be reimbursed.

Compliance with Procurement Requirements

Municipalities All contracts by municipalities for service, labor, and construction involving not more than $35,000 and purchase contracts involving not more than $20,000 are subject to the requirements of General Municipal Law §104-b, which requires such contracts to comply with the procurement policies and procedures of the municipality involved. All such contracts shall be awarded after and in accordance with such municipal procedures, subject to the Minority or Women- Owned Business Enterprise (MWBE) requirements as set forth below and any additional requirements imposed by the State as set forth in Attachment C of the State of New York Contract for Grants.

The municipal attorney, chief legal officer or financial administrator of the municipality shall certify to DOS that applicable public bidding procedures of General Municipal Law §103 were followed for all service, labor, and construction contracts involving more than $35,000 and all purchase contracts involving more than $20,000. In the case of contracts by municipalities for service, labor, and construction contracts involving not more than $35,000 and purchase contracts involving not more than $20,000, the municipal attorney, chief legal officer or financial administrator shall certify that the procedures of the municipality established pursuant to General Municipal Law §104-b were fully complied with, in addition to the MWBE requirements.

The municipal attorney, chief legal officer or financial administrator for the municipality shall certify to DOS that alternative proposals and/or quotations for professional services were secured by use of written requests for proposals through a publicly advertised process. This certification will verify that the procurement requirements were met and ensure the prudent and economical use of public funds for professional services of maximum quality at reasonable cost.

Not-for-Profit Organizations and Regional Planning Entities The chief legal officer or financial administrator of the not-for-profit or regional planning entity which is a grant recipient and serves as State Contractor, shall certify to the State that alternative proposals and quotations for professional services were secured by use of written requests for proposals through a publicly advertised process satisfactory to meet the MWBE requirements set forth below and to ensure the prudent and economical use of public funds for professional services of maximum quality at reasonable cost.

Record Retention and Audits The successful applicant shall establish and maintain, in paper or electronic format, complete and accurate books, records, documents, receipts, accounts, and other evidence directly pertinent to its performance under the State of New York Contract for Grants with DOS. Payment requests may be subject to periodic reviews. The successful applicant will be required to agree to produce and retain for the balance of the term of the State of New York Contract for Grants, and for a period of six years from the later of the date of (i) the State of New York Contract for Grants and (ii) the most recent renewal or amendment of the State of New York Contract for Grants, any and all records necessary to substantiate upon audit, the proper deposit and expenditure of funds received under the State of New York Contract for Grants. Such records may include, but not be limited to, original books of entry (e.g., cash disbursements and cash receipts journal), and the following specific records (as applicable) to substantiate the types of expenditures noted (i) personal service expenditures:

cancelled checks and the related bank statements, time and attendance records, payroll journals, cash and check disbursement records including copies of money orders and the like, vouchers and invoices, records of contract labor, any and all records listing payroll and the money value of non-cash advantages provided to employees, time cards, work schedules and logs, employee personal history folders, detailed and general ledgers, sales records, miscellaneous reports and returns (tax and otherwise), and cost allocation plans, if applicable, (ii) payroll taxes and fringe benefits: cancelled checks, copies of related bank statements, cash and check disbursement records including copies of money orders and the like, invoices for fringe benefit expenses, miscellaneous reports and returns (tax and otherwise), and cost allocation plans, if applicable, (iii) non-personal services expenditures: original invoices/receipts, cancelled checks and related bank statements, consultant agreements, leases, and cost allocation plans, if applicable, (iv) receipt and deposit of advances and reimbursements: itemized bank stamped deposit slips, and a copy of the related bank statements.

Minority and Women-Owned Business Enterprise Utilization (MWBE) Applicants must submit the MWBE Compliance Form with their application confirming their understanding of the MWBE requirement and agreeing to show due-diligence and make good faith efforts to provide meaningful participation by MWBE’s, whenever possible, if awarded the contract.

Contract Period Subject to the continued availability of funds in the budget, the contract period shall not exceed three years from the start date of the contract. The earliest start date for contracts is April 1, 2026. No extensions are anticipated, however special consideration for extensions due to extreme extenuating circumstances may be granted on a case-by-case basis.

XI. SATISFACTORY PROGRESS

It is imperative that the grant recipient complete the project as set forth in the agreed upon work plan of the contract.

Failure to render proof of satisfactory progress or to complete the project to the satisfaction of the State may be deemed an abandonment of the project and may cause the suspension or termination of any obligation of the State. Satisfactory progress toward implementation includes, but is not limited to, executing contracts and submitting status reports and payment requests in a timely fashion, retaining consultants, written certification of compliance with procurement requirements, and completing tasks identified in the work plan within the time allocated for their completion. DOS may recapture awarded funds if satisfactory progress is not being made on the implementation of the awarded project.

Applicants should not submit applications if they do not expect to initiate the project within a reasonable time period after receiving an executed contract and/or will not be able to complete the project within the time period cited in the application.

XII. AMENDMENTS TO THE CONTRACT

Amendments and modifications to executed contracts are sometimes necessary to accommodate the needs of both the contractor and DOS. These changes, which must be by mutual written agreement, may include modification to reimbursement schedules, time and money amendments, or no-cost extensions as necessary. Contract modifications, including amendments and no-cost time extensions, will be made at the discretion of DOS with the approval of the Office of the State Comptroller.

XIII. GENERAL SPECIFICATIONS

1. By signing the “Application Form” each applicant attests to its express authority to sign on behalf of the applicant and to the accuracy of the information contained therein. Applications containing false or inaccurate information may be disqualified upon verification of information by the Department.

2. Contractors, subcontractors and consultants will possess, at no cost to the State, all qualifications, licenses and permits to engage in the required business as may be required within the jurisdiction where the work specified is to be performed. Workers to be employed in the performance of this contract will possess the qualifications, training, licenses and permits as may be required within such jurisdiction.

3. Submission of any application indicates the applicant’s acceptance of all conditions and terms contained in this RFA, including the terms and conditions of the contract between the applicant(s) and the Department acting for and on behalf of the State.

4. Provisions upon default:

a. The services to be performed by the applicant shall be at all times subject to the direction and control of the Department as to all matters arising in connection with or relating to the contract resulting from this

RFA.

b. In the event that the applicant, through any cause, fails to perform any of the terms, covenants or promises of any contract resulting from this RFA, the Department acting for and on behalf of the State, shall thereupon have the right to terminate the contract by giving notice of the fact and date of such termination to the applicant.

c. If, in the judgment of the Department, the applicant acts in such a way which is likely to or does impair or prejudice the interests of the State, the Department acting on behalf of the State, shall thereupon have the right to terminate any contract resulting from this RFA by giving notice of the fact and date of such termination to the contractor. In such case, the contractor shall receive equitable compensation for such services as shall, in the judgment of the Department, have been satisfactorily performed by the contractor up to the date of the termination of this agreement, where such compensation shall not exceed the total cost incurred for the work in which the contractor was engaged at the time of such termination, subject to audit by the State Comptroller.

5. The Department reserves the right, including but not limited, to:

a. Reject any or all applications received in response to this RFA;

b. Withdraw the RFA at any time, at the agency's sole discretion;

c. Make an award under the RFA in whole or in part;

d. Disqualify any applicant whose conduct and/or application fails to conform to the requirements of the

RFA;

e. Seek clarifications of applications;

f. Use application information obtained through site visits, management interviews and the State's investigation of an applicant's qualifications, experience, ability or financial standing, and any material or information submitted by the applicant in response to the Department’s request for clarifying information in the course of evaluation and/or selection under the RFA;

g. Prior to the application due date, amend the RFA specifications to correct errors or oversights, or to supply additional information, as it becomes available;

h. Prior to the application due date, direct applicants to submit application modifications addressing subsequent RFA amendments;

i. Change any of the scheduled dates;

j. Eliminate any mandatory, non-material specifications that cannot be complied with by all of the prospective applicants;

k. Waive any requirements that are not material;

l. Negotiate with applicants responding to this RFA within the scope of the RFA to serve the best interests of the State;

m. If unsuccessful in negotiating a state contract with the selected applicant within an acceptable time frame, DOS may begin state contract negotiations with the next ranked qualified applicant(s) in order to serve and realize the best interests of the State;

n. Utilize any and all ideas submitted in the applications received;

o. Require clarification at any time during the procurement process and/or require correction of arithmetic or other apparent errors for the purpose of assuring a full and complete understanding of an application and/or to determine an applicant's compliance with the requirements of the solicitation;

p. Waive or modify minor irregularities in applications received after prior notification to the applicant;

q. Make awards based on geographic distribution;

r. Not fund an application that fails to submit a clear and concise work plan or budget;

s. Adjust or correct cost figures with the concurrence of the applicant if errors exist and can be documented to the satisfaction of DOS and the State Comptroller;

t. Award more than one contract resulting from this RFA;

u. In its sole discretion, determine the total number of awards to be granted pursuant to this RFA;

v. Offer partial or no funding to any applicant if its application cannot fulfill its proposed program within the funding restrictions herein;

w. Make additional awards if funding becomes available;

x. Require reporting on forms designed for use solely for this procurement;

y. Not make any awards pursuant to this RFA. This RFA does not commit DOS to award any contracts, to pay the costs incurred in the preparation of a response to this RFA, or to procure or contract for services;

and

z. Make awards based on disadvantaged community status.

Appendix 1 – MWBE and SDVOB Information

CONTRACTOR REQUIREMENTS AND PROCEDURES FOR PARTICIPATION BY NEW YORK STATE-

CERTIFIED MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES, EQUAL EMPLOYMENT

OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN, AND SERVICE-DISABLED

VETERAN-OWNED BUSINESSES

I. MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES PARTICIPATION

NEW YORK STATE LAW

Pursuant to New York State Executive Law Article 15-A and Parts 140-145 of Title 5 of the New York Codes, Rules and Regulations DOS is required to promote opportunities for the maximum feasible participation of New York State-certified Minority and Women-owned Business Enterprises (“MWBEs”) and the employment of minority group members and women in the performance of DOS contracts.

Business Participation Opportunities for MWBEs

DOS’s New York State-certified Minority and Women-owned Business Enterprises (“MWBEs”) utilization goal is 30%.

For purposes of this solicitation, the specific MWBE goal and the breakdown between the Minority-owned Business Enterprise (“MBE”) and the Women-owned Business Enterprise (“WBE”) utilization goals shall be established post award and set forth in DOS contract, in the Attachment B “Budget” (based on the current availability of MBEs and WBEs). A contractor (“Contractor”) on any contract resulting from this procurement (“Contract”) must document its good faith efforts to provide meaningful participation by MWBEs as subcontractors and suppliers in the performance of the Contract. To that end, by submitting a response to this RFA, the respondent agrees that DOS may withhold payment pursuant to any Contract awarded as a result of this RFA pending receipt of the required MWBE documentation.

The directory of MWBEs can be viewed at: https://ny.newnycontracts.com. For guidance on how DOS will evaluate a Contractor’s “good faith efforts,” refer to 5 NYCRR § 142.8.

The respondent understands that only sums paid to MWBEs for the performance of a commercially useful function, as that term is defined in 5 NYCRR § 140.1, may be applied towards the achievement of the applicable MWBE participation goal. The portion of a contract with an MWBE serving as a broker that shall be deemed to represent the commercially useful function performed by the MWBE shall be 25 percent of the total value of the broker’s contract.

FOR CONSTRUCTION CONTRACTS – The portion of a contract with an MWBE serving as a supplier that shall be deemed to represent the commercially useful function performed by the MWBE shall be 60 percent of the total value of the supplier’s contract. The portion of a contract with an MWBE serving as a broker that shall be deemed to represent the commercially useful function performed by the MWBE shall be the monetary value for fees, or the markup percentage, charged by the MWBE.

In accordance with 5 NYCRR § 142.13, the respondent further acknowledges that if it is found to have willfully and intentionally failed to comply with the MWBE participation goals set forth in a Contract resulting from this RFA, such finding constitutes a breach of contract and DOS may withhold payment as liquidated damages. Such liquidated damages shall be calculated as an amount equaling the difference between: (1) all sums identified for payment to MWBEs had the Contractor achieved the contractual MWBE goals; and (2) all sums actually paid to MWBEs for work performed or materials supplied under the Contract.

By submitting a proposal, a respondent agrees to demonstrate its good faith efforts to achieve the applicable MWBE participation goals by submitting evidence thereof through the New York State Contract System (“NYSCS”), which can be viewed at https://ny.newnycontracts.com, provided, however, that a respondent may arrange to provide such evidence via a non-electronic method by contacting DOS . As a contractor of New York State, you have a responsibility to utilize certified minority- and/or women-owned businesses in the execution of your contracts, per the MWBE percentage goals stated in your solicitation, proposal or contract documents. Through the NYSCS you will submit utilization plans, request subcontractors, record payments to subcontractors, and communicate with your project manager throughout the life of your awarded contracts.

Applicants are required to submit the MWBE Compliance Form with their application.

Additionally, successful applicants will be required to submit the following documents and information within ten (10) business days after the applicant receives notice from DOS that the grant is being awarded as evidence of compliance with the foregoing:

An MWBE Utilization Plan (Form D) or a Certification Letter (Form D-1) stating their commitment to show due-diligence to comply with the MWBE goals and requirements. Any modifications or changes to an accepted MWBE Utilization Plan after the Contract award and during the term of the Contract must be reported on a revised MWBE Utilization Plan and submitted to DOS for review and approval.

DOS shall review the submitted MWBE Utilization Plan or Certification Letter and issue a written notice of acceptance or notice of deficiency within 20 days of receipt of the utilization plan or certification letter.

If a notice of deficiency is issued, the respondent will be required to respond to the notice of deficiency within seven (7) business days of receipt by submitting to DOS, at the address provided below, a written remedy in response to the notice of deficiency. If the written remedy that is submitted is not timely or is found by DOS to be inadequate, DOS shall notify the respondent and direct the respondent to submit, within five (5) business days, a request for a partial or total waiver of MWBE participation goals. Failure to file the waiver form in a timely manner may be grounds for disqualification of the proposal.

Please see details under “Additional Notices and Explanations Regarding the MWBE Program and this Request for Applications” below.

Department may disqualify a respondent as being non-responsive under the following circumstances:

a) If a respondent fails to submit an MWBE Utilization Plan or certification letter;

b) If a respondent fails to submit a written remedy to a notice of deficiency;

c) If a respondent fails to submit a request for waiver; or

d) If DOS determines that the respondent has failed to document good faith efforts.

Successful applicant(s) will be required to attempt to utilize, in good faith, any MBE or WBE identified within its MWBE Utilization Plan, during the performance of the Contract. Requests for a partial or total waiver of established goal requirements made subsequent to Contract Award may be made at any time during the term of the Contract to DOS but must be made no later than prior to the submission of a request for final payment on the Contract.

Successful applicant(s) will be required to submit a quarterly M/WBE Contractor Compliance & Payment Report to DOS by the 10th day following each end of quarter over the term of the Contract documenting the progress made toward achievement of the MWBE goals of the Contract.

Equal Employment Opportunity Requirements

By submission of a proposal in response to this solicitation, the respondent agrees with all of the terms and conditions of the State of New York Contract for Grants, including Appendix A Section 12 - Equal Employment Opportunities for Minorities and Women. The respondent is required to ensure that it and any subcontractors awarded a subcontract over $25,000 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 respondent, undertake or continue programs to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. For these purposes, equal opportunity shall apply in the areas of recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, termination, and rates of pay or other forms of compensation. This requirement does not apply to: (i) work, goods, or services unrelated to the Contract; or (ii) employment outside New York State.

Additionally, successful applicants will…