1.RFA_SGCP_2026_FINAL.docx

Environmental Protection Fund Smart Growth Community Planning Program 2026-2027 RFA #26-OPDSG-18

RFA #26-OPDSG-18

New York State Department of State Office of Planning, Development & Community Infrastructure Environmental Protection Fund Smart Growth Program Smart Growth Community Planning Program

2026-2027 REQUEST FOR APPLICATIONS

RFA Release Date: This Request for Applications (RFA) and additional grant resources have been posted on June 1, 2026 to the Department of State’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. All applicants are encouraged to review the RFA in its entirety as grant program requirements may change from year to year.

RFA Updates/Questions: 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.

Written questions will be accepted until June 19, 2026. Questions regarding this grant opportunity should be submitted by e-mail to SmartGrowth@dos.ny.gov or in writing to the address below. When corresponding by e-mail, clearly indicate the subject as: “26-OPDSG-18 Questions”. To the degree possible, each inquiry should cite the RFA section and paragraph to which it refers. Responses to questions received by June 19, 2026 will be posted by July 10, 2026 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. 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. All responses to questions received by the due date will be incorporated into this Request for Applications as the official response by DOS.

Workshops & Webinars: A schedule of regional workshops and webinars which provide an overview of the application process and program requirements are available at http://regionalcouncils.ny.gov/. Recorded webinars are posted on the DOS Funding & Bid Opportunities 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.

Applications Due: Applications are due by 4:00 PM, July 31, 2026, and must be submitted through the web-based Consolidated Funding Application, as noted below.

Application Submission: To apply, 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: SGCP RFA Questions 99 Washington Avenue, Suite 1010 Albany, NY 12231-0001 Smart.Growth@dos.ny.gov

Letters 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 and Community Infrastructure, 99 Washington Avenue, Suite 1010, Albany, NY 12231-0001.

Smart Growth Program Community Planning Program

2026-2027 REQUEST FOR APPLICATIONS

INTRODUCTION:

The Smart Growth Community Planning Program accelerates key statewide efforts, including climate resilience, housing availability and affordability, accessible and livable communities, waterfront development and revitalization, and accessibility and availability of child care. In an effort to meet Governor Hochul’s affordable child care expansion priority, the Department of State is partnering with Office of Children and Family Services to implement the Child Care Friendly Zoning Initiative.

The Department of State (Department or DOS) is soliciting applications through the New York State Consolidated Funding Application (CFA) under the Environmental Protection Fund to support Smart Growth Community Planning Program(s) from eligible towns, villages, cities, counties, regional planning entities, and not-for-profit organizations to advance the preparation and adoption of one of the activities below. For the purpose of this solicitation, “planning” and “zoning” in this document are inclusive of child care friendly zoning initiatives.

· A new or updated comprehensive plan for an entire town, village, or city that integrates DOS Smart Growth Principles and Child Care Friendly Zoning Initiative as described in section V below, pursuant to Town Law §272-a, Village Law §7-722 or General City Law §28-a. (hereinafter “Comprehensive Plan Grant”)

· A new or updated comprehensive plan for an entire county that integrates DOS Smart Growth Principles and Child Care Friendly Zoning Initiative as described in section V below, pursuant to General Municipal Law §239-D. (hereinafter “County Comprehensive Plan Grant”)

· New or updated community wide zoning regulations (i.e., local law, ordinance) for a town, village, or city that would implement an existing comprehensive plan that supports DOS Smart Growth Principles and Child Care Friendly Zoning Initiative for the community (hereinafter “Comprehensive Zoning Grant”)

· Amendment of existing zoning regulations for part of a town, village, or city to implement an existing comprehensive plan or previously adopted area plan that integrates DOS Smart Growth Principles and Child Care Friendly Zoning Initiative (hereinafter “Zoning Amendment Grant")

· A new or updated area plan for part of a town, village, or city that supports DOS Smart Growth Principles and Child Care Friendly Zoning Initiative for the community, including but not be limited to transit-oriented development plans and downtown/hamlet area plans (hereinafter, “Area Plan Grant”)

· A new or updated area plan and subsequent zoning amendment update that supports DOS Smart Growth Principles and Child Care Friendly Zoning Initiative for part of a town, village, or city (hereinafter “Area Plan and Zoning Amendment Grant”) The comprehensive plan establishes the land use planning policy of communities in New York State and articulates the community vision and goals to guide official decision-making. State law requires that all zoning regulations (i.e., local law, ordinance) be in accordance with a comprehensive plan in towns and villages and a well-considered plan in cities; therefore, zoning and land use regulations are an important tool in implementing the goals of any such plan. Lack of a comprehensive plan, or an outdated comprehensive plan that no longer reflects the conditions and wishes of the community, can put a local government at risk of legal challenges to planning and zoning decisions. Applications are encouraged from communities without up-to-date comprehensive plans.

Some municipalities desire to focus planning, zoning, development and/or conservation efforts in priority areas, such as downtowns, central business districts, Brownfield Opportunity Areas designated by the Secretary of State, areas accessible to transit, critical environmental areas, or historic neighborhoods, among others. Plans focused on specific areas are considered area plans under this program. Area plan projects must result in a holistic planning framework for the area of the town, village, or city that is the subject of the plan.

By preparing comprehensive or area plans, communities should address a wide range of local and state issues including, but not limited to, guiding physical development and land use patterns, economic development, transportation systems, and natural and built resource inventories. An effective comprehensive or area plan should:

· include a strong, inclusive public participation process to develop public consensus on a vision for the future through community visioning, public meetings and workshops, focus groups, charrettes, etc.

· determine appropriate land uses to implement community goals and objectives

· provide a sound, rational basis for local decision making, including the adoption of zoning and local land use regulations

Comprehensive plans, zoning regulations, and area plans that incorporate Smart Growth principles help communities make the most efficient use of their resources, help provide access to housing across all income levels, reduce the property tax burden, promote sustainable economic development, protect water resources, and enhance equity and quality of life for people and households of all incomes, backgrounds, ages, and abilities.

Zoning regulations can effectively codify the smart growth principles articulated in an adopted comprehensive plan. Zoning regulations must advance smart growth principles by providing flexibility in the type of uses allowed in zoning districts, enabling compact development, improving access to housing across all income levels, prioritizing equitable investments throughout a community, creating a streamlined and accessible development review process, and more. Zoning regulations can also serve as an effective tool to encourage denser development, protect sensitive water and natural resources and farmland, and guide thoughtful development which balances environmental protection, economic development, and equity.

Key statewide efforts tying into the Smart Growth Community Planning program include, but are not limited to, the following:

Climate Resilience: New York communities are faced with increasing risks related to climate change, such as more intense and frequent rain events, increased and extended droughts, greater coastal storm flooding, and periods of extreme heat. Comprehensive plans provide a mechanism for local governments to assess and plan for climate risks on a local level. Planning and zoning can protect and improve water quality, improve the quality and efficiency of new development, protect farmland and forests, plan for clean energy infrastructure, and improve community health. Thus, the comprehensive plan, zoning regulations, or area plans funded through this program should support the New York Climate Leadership and Community Protection Act goals in addition to the DOS Smart Growth Principles.

Housing: The lack of housing availability and affordability in NYS has reached crisis proportions, with negative implications for economic development, equity, and quality of life. Smart growth promotes the creation of diverse housing options for people of all ages, incomes, abilities and backgrounds - with an emphasis on compact, mixed-use, mixed-income, and affordable housing in municipal centers and previously developed areas, such as hamlets, downtowns, central business districts and Transit-Oriented Development (TOD) districts, among others.

Accessible, Livable Communities: The way we plan and design our communities has a tremendous impact on the public health, safety, accessibility and quality of life of New Yorkers. DOS is committed to supporting and fostering communities that are accessible to people of all ages and abilities, from the design of public spaces to the construction of age-friendly housing. New York State was named the first “Age-Friendly State” in the nation by AARP and Governor Hochul released the State’s first-ever Master Plan for Aging (MPA) in 2025, which calls for smart growth planning and downtown revitalization as means toward creating communities in which older New Yorkers can age with dignity. In addition to this, the SGCP program is focused on expanding child care opportunities across the state by incorporating child and child care-friendly planning practices into planning and zoning initiatives, increasing community consideration of children and family needs with the goal of communities becoming certified as child care friendly by the Office of Children and Family Services (OCFS).

Waterfront Development and Revitalization: New York State’s approach to managing waterfront areas recognizes that municipalities are in the best position to determine their own waterfront objectives and needs through the development of a Local Waterfront Revitalization Program (LWRP). LWRPs are the principal means of implementing the State’s Coastal Management Program and LWRP development and implementation is strengthened through new or updated municipal wide comprehensive plans or zoning regulations that are consistent with the Department’s Smart Growth Principles. Completed comprehensive plans and zoning regulations (i.e., local laws or ordinances) may initiate the LWRP planning process, or ensure local land and water use regulations are effectively implementing a completed LWRP or LWRP Component.

FUNDING OPPORTUNITY:

The Department is making approximately $4,800,000 available to fund applications for the Smart Growth Community Planning Program. Approximately $2 million of this funding is specifically available for communities within the state coastal area or with jurisdiction along a designated inland waterway pursuant to Executive Law, Article 42.

There is a minimum State assistance request of $75,000. There is no maximum State assistance request.

State assistance awarded shall not exceed 75% of the total eligible project costs set forth in the application and as approved by the Department, except where the proposed project meets at least one of the following criteria: 1) the project area includes an Environmental Justice Area or Disadvantaged Community, or 2) the municipality has greater than 20% of owner and renter occupied households spending at least 30% of income on housing, or 3) the project area includes a medium- or high- severity child care desert. For applicants meeting one or more of these criteria, the state assistance awarded shall not exceed 85% of the total eligible project costs.

For the purposes of determining if a CFA applicant is eligible to receive state assistance at a rate of 85% of the total eligible project cost under this solicitation see criteria listed in Section VI. Funding and Budget Guidance. All determinations will be confirmed by DOS during application review.

In addition, projects must document the amount and source of secured match funds in the application. Applicants who propose an ineligible match source or insufficient match will be contacted to verify if they have additional match from eligible sources. Applicants who do not have another source of eligible match equaling the required match will have their award reduced, up to and including reduced to $0, based on the amount of eligible match available.

ELIGIBLE APPLICANTS:

Eligible applicants are:

· Towns, counties, villages, and cities.

· Counties on behalf of a town, village, or city.

· Regional planning entities on behalf of a town, village, city, or county.

· Eligible not-for-profit organizations on behalf of a county, town, village, or city. To be eligible for this grant opportunity, a not-for-profit organization must be:

· Pre-qualified through the New York Statewide Financial System (SFS) as of the application due date and

· Incorporated pursuant to New York State Not-For-Profit Corporation Law

· Towns, villages and cities jointly with a county, not-for-profit, or regional planning board.

Local government applicants may apply jointly with a county, not-for-profit, or regional planning board where the intent is for the staff of the joint applicant to complete (in whole or in part) the eligible activities. Such applications should identify the municipality, county, not-for-profit, or regional planning board that the Department should recognize as the primary applicant for all purposes, including contract award.

Additionally, communities may enter into intermunicipal agreements to undertake planning activities and land-use regulation with one another if each of the communities have the authority under any state statutory law to prescribe, perform, or exercise the function or power separately. For example, counties do not have authority to adopt zoning regulations and may not adopt joint zoning regulations with a town, city, or village. Please be aware that each participating town, city, or village must formally adopt the joint zoning regulations through its own local legislative process. Applications to complete and adopt joint zoning regulations should be submitted by the entity that the Department should recognize as the primary applicant for all purposes, including contract award.

For applications submitted by a county, not-for-profit, or regional planning board on behalf of a village, town, or city, the application must include a letter or resolution from each eligible municipality participating in the project which demonstrates the municipal consent and support for the application.

For applications submitted by a not-for-profit organization or regional planning entity on behalf of a county, the application must include a letter or resolution from the county participating in the project which demonstrates its consent and support for the application.

Not-for-profit applicants must register and be pre-qualified through the New York Statewide Financial System (SFS) as of the application due date. Such applicants will be required to submit documentation of registration and pre-qualification with SFS, to include: (1) SFS Vendor ID; and (2) confirmation of Pre-Qualification Application Status. Information on this process is available at: https://www.sfs.ny.gov/index.php/vendors.

ELIGIBLE ACTIVITIES:

Applicants may apply for funding for one of the following:

· Preparation and local adoption of a new or updated comprehensive plan for an entire town, village, or city that integrates DOS Smart Growth Principles and Child Care Friendly Zoning Initiative as described in section V below, pursuant to Town Law §272-a, Village Law §7-722 or General City Law §28-a (hereinafter “Comprehensive Plan Grant”)

· Preparation and local adoption of a new or updated comprehensive plan for an entire county that integrates DOS Smart Growth Principles and Child Care Friendly Zoning Initiative as described in section V below, pursuant to General Municipal Law §239-D (hereinafter “County Comprehensive Plan Grant”)

· Preparation and local adoption of new or updated community wide zoning regulations (i.e., local law, ordinance) for a town, village, or city that would implement an existing comprehensive plan that supports DOS Smart Growth Principles and Child Care Friendly Zoning Initiative for the community (hereinafter “Comprehensive Zoning Grant”)

· Amendment of existing zoning regulations for part of a town, village, or city to implement an existing comprehensive plan or previously adopted area plan that integrates DOS Smart Growth Principles and Child Care Friendly Zoning Initiative (hereinafter “Zoning Amendment Grant")

· Preparation and local adoption of a new or updated area plan for part of a town, village, or city that supports DOS Smart Growth Principles and Child Care Friendly Zoning Initiative for the community, including but not limited to transit-oriented development plans and downtown/hamlet area plans (hereinafter “Area Plan Grant”)

· Preparation of a new or updated area plan and subsequent zoning amendment update that supports DOS Smart Growth Principles and Child Care Friendly Zoning Initiative for part of a town, village, or city (hereinafter “Area Plan and Zoning Amendment Grant”) Applications to prepare or update a municipal comprehensive plan, county-wide comprehensive plan, or zoning regulations may only include one plan per application. Applications to establish or update zoning regulations for an entire town, village, or city should be in accordance with a comprehensive plan either 1) currently under development through the SGCP program or 2) duly adopted by the local government (town, village, or city) by September 4, 2026. Applicants may apply for an area plan and subsequent zoning amendment grant for part of a town, village, or city provided both are in accordance with a comprehensive plan duly adopted by the local government (town, village, or city) by September 4, 2026.

Eligible activities, as defined in Section I, must incorporate and be consistent with the DOS Smart Growth Principles described in Section V, below.

REQUIREMENTS FOR SMART GROWTH PRINCIPLES

All comprehensive plans, area plans, and zoning regulations funded under this grant program are required to be consistent with the following DOS Smart Growth Principles:

1. Allow for and encourage neighborhoods with a mix of uses, such as residential, commercial and community spaces. Mixed-use neighborhoods encourage a range of diverse uses that allow people to easily access common needs and amenities. They are generally comprised of residential, commercial, civic, and recreational uses. These uses should be incorporated at a building, street, or neighborhood scale and should facilitate transportation options, like walking, biking, or public transportation.

2. Enable a diverse mix of housing types, providing for opportunity and choice for people of all ages, abilities and incomes. A housing supply that meets needs of current and future residents regardless of income, ability, or age includes diverse types of housing, such as detached single-family, townhomes, apartments, accessory dwelling units, cooperative housing units, and other configurations of housing. Diverse housing types should be integrated into and across communities and neighborhoods.

3. Prioritize infill and redevelopment of existing buildings to revitalize neighborhoods and downtowns, including areas around public transit. Infill development prioritizes the use of underutilized or vacant sites in existing neighborhoods. Such development should complement the surrounding built environment and increase density, add diverse uses, and encourage reinvestment.

4. Provide well-planned, equitable, and accessible public spaces for people of all ages and abilities. Well-planned and designed public spaces, including parks, sidewalks, and buildings, should be designed to provide users of all ages and abilities with the opportunity to use and enjoy these community resources. Age-friendly public spaces should be distributed equitably across the community, extend beyond basic ADA compliance, and provide a range of options and amenities that enable diverse programming and activities.

5. Encourage compact neighborhood design and concentrated development around existing infrastructure. Compact neighborhood design makes efficient use of existing infrastructure and enables easy access to common needs and amenities by locating development in existing neighborhoods. Development should facilitate walking, bicycling, and the use of public transportation.

6. Preserve open space, agricultural resources and natural resources.

Land preservation directs development toward areas that are already developed, minimizing encroachment on open space and natural resources. Such efforts include actively protecting farms, forests, wetlands, and other sensitive areas from development.

7. Prioritize transportation options that are safe and accessible for everyone, including pedestrians, cyclists and public transit users. Safe, reliable, and diverse transportation options provide access to common needs and amenities for all ages and abilities. Transportation investments should prioritize pedestrian and bicycle infrastructure, as well as access to public transportation.

8. Promote climate resiliency and adaptation, preferably through nature-based solutions, and reduce greenhouse gas emissions. Nature-based solutions that restore and enhance natural features in the built environment build climate resiliency and reduce the risks associated with extreme weather and a changing climate. Additionally, efforts to reduce reliance on fossil fuels and promote clean energy and energy efficiency will contribute to long-term resilience.

9. Build on unique traits to create an attractive and welcoming community with a strong sense of place. Each community has unique attributes, such as historic buildings, natural surroundings, local traditions, or small businesses. Highlighting and caring for these unique traits through good design and improvements to public spaces can create places that are welcoming, distinctive, and rooted in a local identity.

10. Engage in an inclusive, collaborative public planning process that considers the needs and character of the community. Successful community planning engages many different stakeholders, including historically underrepresented populations. Planning processes should be open, accessible, transparent, and welcoming, providing opportunities for public discussion.

In addition to the DOS Smart Growth Principles, communities participating in the SGCP will be required to incorporate child care friendly practices into their planning and zoning projects. Child care friendly planning and zoning projects directly consider the needs and experiences of families and children and remove barriers to the expansion and creation of child care facilities and resources in municipal planning documents and zoning regulations. These activities may include but not be limited to assessing permitted uses, parking requirements, outdoor space needs, noise, and buffers from incompatible uses.

FUNDING AND BUDGET GUIDANCE

The Smart Growth Community Planning Program is reimbursement-based. State assistance awarded shall not exceed 75% of the total eligible project cost, except where the proposed project meets at least one of the criteria listed below, in which case the state assistance awarded and paid shall not exceed 85% of the total eligible project costs. DOS analysis will confirm the determination made by the applicant during the application review. All determinations made by DOS are final.

· Environmental Justice or Disadvantaged Community Projects in an Environmental Justice Area or Disadvantaged Community are eligible for increased state assistance up to 85% of total eligible project costs. To determine whether your project is in an Environmental Justice Area or Disadvantaged Community, reference Potential Environmental Justice Area mapping created by the Department of Environmental Conservation (DEC) available at: https://www.arcgis.com/apps/mapviewer/index.html?url=https://services6.arcgis.com/DZHaqZm9cxOD4CWM/ArcGIS/rest/services/Potential_Environmental_Justice_Area__PEJA__Communities/FeatureServer, and Disadvantaged Communities mapping created by the New York Climate Justice Working Group available at: https://www.nyserda.ny.gov/ny/disadvantaged-communities

· Housing Burden A household that spends at least 30% of its income on housing is considered housing-cost burdened. Municipalities where more than 20% of owner and renter households are considered housing-cost burdened are eligible for increased state assistance up to 85% of total eligible project costs. To determine whether this is applicable to your project, please see the PDF resource on housing-cost burden available 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.

· Child Care Deserts Projects in a municipality or area containing one or more census tracts rated as medium or high level child care deserts are eligible for increased state assistance up to 85% of total eligible project costs. To determine eligibility for this increased assistance, please utilize the map available here: NYS Child Care Desert Census Tract Map - 2025 (FINAL)

In addition, you may use a supplemental PDF resource available 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.

The minimum State assistance request is $75,000; there is no maximum State assistance request. Applicants are required to provide a detailed 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. As a reference, DOS generic work plans describing tasks necessary to complete comprehensive plans and zoning projects are available 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. 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 will be required to prepare and submit 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 DOS. Eligible costs include the following:

Personal Services – including direct salaries, wages, and fringe benefits of employees of the applicant for activities in direct relation to or in support of project work, 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 consultant/contractual services for direct project related costs, project management, grant administration, project-related supplies and materials, necessary travel, and other goods and services required to complete the project.

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 may include, but is not limited to, activities undertaken to comply with grant budgeting, record keeping and reporting requirements, such as preparation and submission of payment vouchers and other documents required under the grant. Grant administration may not exceed 15% of the award amount or $50,000, whichever is less.

Ineligible Costs Ineligible costs include the following:

· 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

· Local match funded with other Environmental Protection Funding (including but not limited to WQIP, BOA, Smart Growth, LWRP, OPRHP EPF)

· Taxes, insurance, fines, deficit funding

· Loan and bond interest and associated fees. The interest associated with a Loan, Bond, or Bond Anticipation Note (BAN) cannot be calculated into project cost, whether for reimbursement or local match.

· Contingency costs

· Lobbying costs

· Expenses associated with fundraising

· Costs incurred outside the contract term

· Costs that 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.

PRE-SUBMISSION REQUIREMENTS

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. Completed Certification forms should be submitted no later than 4:00 pm on October 1, 2026, via email to SGCP@dos.ny.gov. The applicant’s name and CFA# should be included in the subject line.

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 bidder cannot make this certification, they must include a signed statement setting forth in detail the reasons therefor.

AWARD METHOD

DOS is making approximately $4,800,000 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.

Approximately $2 million of this funding is specifically available to communities within the state coastal area or with jurisdiction along a designated inland waterway as defined in NYS Executive Law, Article 42, Section 911 available at https://www.nysenate.gov/legislation/laws/EXC/911.

Up to $1.9 million in funds is available to eligible not-for-profit organizations.

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.

In the event that another NYS agency fully funds a high scoring project through the CFA process, the awardee will receive funding from only one state agency. DOS will work with other NYS agencies to ensure that duplication of funding does not occur. If an applicant receives full funding from another agency, DOS reserves the right to award full or partial funding to the next highest scoring unfunded application.

The opportunity to be debriefed will be provided, upon request, to unsuccessful applicants who were not otherwise disqualified. 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/.

APPLICATION EVALUATION CRITERIA

Applications will be reviewed according to the specific criteria presented below.

Minimum Criteria (Pass/Fail) All applications must meet the following criteria:

· Applicant meets minimum state assistance request per RFA Section II. Funding Opportunity.

· Applicant is an eligible applicant per RFA Section III. Eligible Applicants.

· Additionally, not-for-profit applicants must be:

· Pre-qualified through the New York Statewide Financial System (SFS) as of the application due date and

· Incorporated pursuant to New York State Not-For-Profit Corporation Law

· For applications submitted by a county, not-for-profit, or regional planning board on behalf of a village, town, or city, the application must include a letter or resolution from each eligible municipality participating in the project which demonstrates the municipal consent and support for the application.

· For applications submitted by a not-for-profit organization or regional planning entity on behalf of a county, the application must include a letter or resolution from the county participating in the project which demonstrates its consent and support for the application.

Failure to meet these criteria will result in immediate disqualification of the application, which will not be further evaluated.

Mandatory Application Components:

Applications must comply with guidelines established in Section IV. Eligible Activities and V. Program Requirements. Failure to comply with criteria will result in disqualification:

· Proposed project is an eligible activity per RFA Section IV. Eligible Activities.

Program Criteria (maximum of 120 points)

Applications will be evaluated 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 criterion below.

The program criteria (with total available points) and elements are:

1. Demonstration of Need and Indicators of Economic Distress (maximum 20 points)

· Clearly identifies and discusses the community-specific conditions, opportunities, and challenges that warrant near-term assistance with updating local planning and zoning (e.g., shortage of high quality, affordable housing; need for revitalization of community centers, downtowns, large newly vacant sites such as college campuses; new development pressure on the community; loss of farmland and open space; facilitating the preparation or implementation of a Local Waterfront Revitalization Program (LWRP) or an LWRP Component, including a DOS approved Watershed Management Plan etc.) (Up to 10 points).

· Describes how the community’s most recent comprehensive plan or zoning regulations (or lack thereof) are failing to guide community development and local action that advances smart growth principles. (Up to 5 points)

· The community contains one or more census tracts that meet the Disadvantaged Community criteria as defined by the New York State Climate Leadership and Community Protection Act (CLCPA)[footnoteRef:2] (0 or 3 points). [2: The Climate Justice Working Group finalized a set of criteria defining disadvantaged communities on March 27, 2023. Communities meeting the criteria can be identified by following this link. Additional detail on the disadvantaged communities criteria can be found on the Climate Act Website under the “Disadvantaged Communities Criteria Documents” section.

· The community has a Median Household Income (MHI[footnoteRef:3]) less than 80% of the 2024 Statewide MHI (i.e., MHI less than $68,779.20). (0 or 2 Points) 2 [3: Median Household Income (MHI) may be established using publicly available census data and does not require detailed demographic and economic data from the municipality. Per the U.S. Census American Community Survey (https://data.census.gov/cedsci/), the 2024 Statewide MHI for total households in New York State is $85,974. Instructions for how to determine the MHI for a community are posted on the DOS website at https://dos.ny.gov/funding-bid-opportunities .

2. Demonstration of Smart Growth Commitment (maximum of 12 points)

· Describes the actions taken by the municipality in the past decade to advance smart growth principles outlined above, including capital projects, policy changes, etc. Explains how the actions advance smart growth principles. (Up to 8 points)

· Target community is recognized as a Certified Bronze Level (or above) Climate Smart Community as certified by NYS Department of Environmental Conservation. (0 or 2 points)

· Target community is recognized as an age-friendly community within AARP’s Network of Age-Friendly Communities. (0 or 2 points)

3. Public Engagement and Commitment (maximum of 14 points)

· Describes the populations, including frequently underrepresented populations, groups, and stakeholders the applicant anticipates engaging and the anticipated strategies to solicit input from those groups. (Up to 7 points)

· Identifies and describes the primary issues for which public input is needed to inform the plan or zoning regulations. (Up to 5 points)

· Demonstrates committed local leadership and strong support from the community through letters of support, resolutions, or other means of demonstrating commitment. (Up to 2 points)

4. Integration of Smart Growth Principles & Child Care Friendly Zoning Initiative (maximum of 44 points) Describes how each Smart Growth Principle is related to the conditions in your community and how that principle will be integrated into the planning and zoning process. If a particular principle is not relevant or feasible, applicant should articulate the reasons for such irrelevance and infeasibility.

· Describes the opportunities in the community as they relate to the development of mixed-use neighborhoods that allow people to easily access common needs and amenities. (Up to 6 points)

· Describes the opportunities in the community as they relate to the potential for a diverse mix of housing types that provide for current and future residents regardless of income, ability, or age. (Up to 8 points)

· Describes the opportunities in the community as they relate to the development and redevelopment of underutilized or abandoned properties in existing neighborhoods. (Up to 5 points)

· Describes the opportunities in the community as they relate to the presence and development of well-planned, equitable, and accessible public spaces, such as parks, sidewalks, and buildings. (Up to 4 points)

· Describes the opportunities in the community for encouraging compact neighborhood design and concentrating development around existing infrastructure. (Up to 4 points)

· Describes the opportunities in the community as they relate to preserving open space, agricultural resources, and natural resources. (Up to 6 points)

· Describe the opportunities in the community for the development of safe and reliable transportation options and prioritization of walking, cycling, and public transportation. (Up to 5 points)

· Describes the opportunities in the community as they relate to implementing practices that minimize the impacts of climate change and reduce greenhouse gas emissions. (Up to 3 points)

· Describes the opportunities for enhancing the community’s unique traits to make it an attractive and welcoming community with a strong sense of place. (Up to 2 points)

· Describes the opportunities for facilitating the development of clean energy facilities, such as solar, battery energy storage systems, transmission infrastructure (Up to 1 point)

5. Local Capacity (maximum of 6 points)

· Clearly demonstrates the capacity and administration/organizational structure to advance and complete the project in a timely manner. Identifies and demonstrates that key project personnel possess the experience and ability to successfully carry out the project. (Up to 6 points)

6. Evaluation of Budget and Cost (maximum of 24 points) Applications will also be evaluated to assess the degree to which they meet the elements of each criterion below.

· Applicant describes the project budget as related to the scope of work, detailing costs for discrete tasks necessary to complete the project, and relevant deliverables, timeframes, key personnel or parties responsible. (Up to 6 points)

· Application describes and documents how the budget and cost were determined. Identifies the method, approach, and justification for the budget. (Up to 6 points)

· Budget includes adequate detail for all project components involved, is cost-effective, presents necessary and realistic costs, and does not contain extraneous or ineligible expenses. Budget narrative includes an explanation for the estimate of each budget line. (Up to 12 points) Note: All eligible projects will be required to clearly demonstrate the source of local match at the time of application. Awards may be reduced or deemed ineligible if the applicant fails to document sufficient, eligible match.

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.

CONTRACT REQUIREMENTS

New York Statewide Financial System All grant applicants are encouraged to register through the New York Statewide Financial System. In addition, not-for-profit applicants are required to be registered and pre-qualified through the New York Statewide Financial System (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 cannot 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.