2026 Available CFA Resources.pdf

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REDC

AVAILABLE CFA RESOURCES

Table of Contents

Table of Contents

Introduction

2026 REDC Available CFA Resources

New York State Empire State Development Regional Council Capital Funds (formerly ESD Grant Funds)

Strategic Planning & Feasibility Studies

Excelsior Jobs Program

Market New York (tourism marketing projects only)

NY KICKS Program

New York State Business Incubator and Innovation Hot Spot Support Program

New York State Homes and Community Renewal New York Main Street Program

Community Development Block Grant Program – Public Infrastructure

Community Development Block Grant Program – Open Round

New York State Office of Parks, Recreation & Historic Preservation (OPRHP) Environmental Protection Fund Grants Program for Parks, Preservation and Heritage (EPF)

New York State Department of State Local Waterfront Revitalization Program

Brownfield Opportunity Areas Program

Smart Growth Community Planning Program

New York State Canal Corporation Canalway Grant Program

New York State Energy Research and Development Authority Building Cleaner Communities Competition

New York Power Authority ReCharge New York

New York State Department of Environmental Conservation Climate Smart Communities

Water Quality Improvement Project (WQIP) Program

Non-Agricultural Nonpoint Source and MS4 Planning Grant (NPG)

Introduction

The Regional Economic Development Councils (REDC) and the Consolidated Funding Application (CFA) were created to advance efforts to improve New York’s business climate and expand economic growth. The REDCs support the state’s innovative approach to economic development, which empowers regional stakeholders to establish pathways to prosperity, mapped out in regional strategic plans.

New York State drives economic growth by making investments that enforce four interconnecting strategies:

• Placemaking - The notion that where investment occurs matters. In order to attract a talented workforce, our built environment must emphasize creating accessible job centers, sustainable infrastructure, and livable communities.

• Workforce - The belief that people drive the economy. Targeted job training and education ensures that jobs in high-paying, in-demand, tradeable sectors are filled in an equitable way.

• Tradeable Sectors - The industries New York State is targeting to increase export-based employment opportunities. They are the industry sectors that are part of a global market like manufacturing, agricultural products, and energy.

• Innovation - The strategy of investing in and creating synergies between research and commercialization to drive the economy forward.

Over the past fifteen years, the Regional Councils have revitalized the state’s economy through a bottom-up, community-based, and performance-driven approach to economic development.

Through the comprehensive strategic planning process, every region across the state has succeeded in creating private sector jobs, driving private investment, bolstering workforce development, and revitalizing long-neglected cities, towns, and neighborhoods. Public, private, and civic collaboration has been the cornerstone of this process since its inception and the partnerships forged through the Regional Economic Development Councils are vital to the sustainable growth of New York’s economy.

In 2023, each Council developed new strategic plans for their region to outline an economic vision for the future and develop strategies to capitalize on key regional assets and priorities for the region.

The new strategic plans serve as a road map for growth in each region based on economic circumstances, existing resources, and future opportunities to achieve each region’s vision for success. Each Council developed their strategic plan to re-evaluate and re-affirm their goals and strategies for the region as it is through this comprehensive strategic planning process that guides every region across the state to succeed in creating private sector jobs, driving private investment, bolstering workforce development, and revitalizing long-neglected cities, towns, and neighborhoods.

Each region’s strategic plan and progress reports can be found online at www.regionalcouncils.ny.gov

This year Regional Councils will maintain their focus on implementing each region’s strategic plan and continue to identify and invest in significant economic development projects. The 2026 REDC Initiative includes core capital and tax-credit funding that will be combined with a wide range of agency programs through the CFA process. The core funding includes $135 million in grants and tax credits to fund high value regional priority projects, as well as additional funding from state agencies available to support community revitalization and business growth consistent with the REDC plans.

http://www.regionalcouncils.ny.gov/

This year, there are programs available through 8 state agencies for the REDC Initiative, including Empire State Development; NYS Canal Corporation; NYS Energy Research and Development Authority; Homes and Community Renewal; New York Power Authority; Office of Parks, Recreation and Historic Preservation; Department of Environmental Conservation; and Department of State. In an effort to provide the most appropriate state resources through this process, participating agencies will be able to review and potentially provide funding to a project that did not specifically apply to that program, if the materials submitted at time of application satisfy the requirements for that program and allow for fair review under the circumstances. In addition, all programs contained in this document will use regional distribution standards to ensure projects are funded throughout the state, to the extent possible.

This document outlines information about each agency’s grant programs, including eligibility, scoring criteria, applicant requirements, and agency contact information for programs that are part of the 2026 REDC Initiative.

Please be advised that all CFA grants are subject to the New York State Executive Law Articles 15- A and Article 3 of New York State Veterans’ Services Law, which requires, where applicable, an obligation under the law to promote opportunities for maximum feasible participation of certified minority and women-owned business enterprises (MWBEs) and service-disabled veteran-owned businesses (SDVOBs) in the performance of ESD projects. Recipients shall be required to use Good Faith Efforts (pursuant to 5 NYCRR §142.8 and 9 NYCRR § 252.2(m) to achieve MWBE and SDVOB Participation. In addition, ESD’s MWBE and SDVOB Participation/Equal Employment Opportunity Policy will apply to this project.

202 6 REDC Available CFA Resources

Programs Subject to the 4:00PM EST July 31 Deadline

New York State Empire State Development: Up to $84.875 million

• Up to $60 million for Regional Council Capital Funds (now includes Market New York capital funding)

• Up to $11.875 million for New York State Business Incubator and Innovation Hot Spot Support Program

• Up to $7 million for Market New York (working capital only)

• Up to $5 million for New York KICKS Program*

• Up to $1 million for Strategic Planning and Feasibility Studies

New York State Homes and Community Renewal: Up to $29.2 million

• Up to $25 million for New York State Community Development Block Grant Program- Public

Infrastructure *

• Up to $4.2 million for New York Main Street Program

New York State Office of Parks, Recreation and Historic Preservation: Up to $28.75 million

• Up to $28.75 million for Environmental Protection Fund Grants Program for Parks, Preservation and

Heritage (EPF)

New York State Department of State: Up to $20.775 million

• Up to $13.975 million for the Local Waterfront Revitalization Program (LWRP)

• Up to $4.8 million for the Smart Growth Community Planning Program*

• Up to $2 million for the Brownfield Opportunity Areas Program (BOA)

New York State Canal Corporation: Up to $1 million

• Up to $1 million for the Canalway Grant Program

New York State Energy Research and Development Authority: Up to $25 million

• Up to $25 million for Building Cleaner Communities Competition (BCCC)**

New York State Department of Environmental Conservation: At least $96 million

• At least $75 million for the Water Quality Improvement Project (WQIP) Program*

• Up to $18 million for the Climate Smart Communities Grant Program*

• Up to $3 million for the Non-Agricultural Nonpoint Source and Municipal Separate Storm Sewer System (MS4) Planning Grant Program*

REDC Open Enrollment Programs

Programs included as Open Enrollment will continue to accept applications on an ongoing basis and are not subject to the July 31st, 2026, 4:00PM EST deadline.

New York State Empire State Development: Up to $75 million

• Up to $75 million for Excelsior Jobs Program*

Homes & Community Renewal: Up to $20 million

• Up to $20 million for New York State Community Development Block Grant Program – Open Round *

New York State Power Authority: Up to 22.7 Megawatts

• Up to 22.7 Megawatts for the ReCharge NY Program

*REDCs will be made aware of projects applying to these programs but REDCs will not score these projects.

**Deadline for the NYSERDA Building Cleaner Communities Competition (BCCC) is August 14, 4pm EST.

Programs Subject to the 4:00PM EST July 31 Deadline

Open Enrollment Programs

New York State Empire State Development

Regional Council Capital Funds (formerly ESD Grant Funds) Funding Available: Up to $60 million

PROGRAM DESCRIPTION:

Empire State Development (ESD) has $60 million of capital grant funding available for the State’s Regional Economic Development Council Initiative, which helps drive regional and local economic development across New York State in cooperation with ten Regional Economic Development Councils (“Regional Councils”). The $60 million available includes $8 million for tourism projects, formerly offered though the Market New York Capital Grant program. Grant funding is available for capital-based economic development projects intended to create or retain jobs; prevent, reduce or eliminate unemployment and underemployment; increase business or economic activity in a community or Region; and/or expand, construct, restore or renovate New York State tourism destinations and attractions.

Grant funding will be allocated among the ten regions, each represented by a Regional Council. Funding decisions will be based on each Regional Council’s strategic plan and subsequent progress reports that set out a comprehensive vision for economic development and specific strategies to implement that vision, coupled with New York State’s economic growth priorities. Funding will be awarded by the New York State Urban Development Corporation (d/b/a Empire State Development) at its discretion.

Applicants are strongly encouraged to reach out to their ESD Regional Office to discuss their project prior to submitting an application.

ESD may consider projects outside of the CFA deadline subject to the availability of funds and economic impact of a project. These considerations will be made on a case-by-case basis and are only intended to support time-sensitive business investment and/or high-impact economic development projects consistent with regional strategic goals. An application will be made available after the CFA deadline for applicants to submit requests for funding. Applicants are strongly encouraged to submit their projects prior to the CFA deadline as funding for projects after the July deadline will be very limited and at the sole discretion of ESD based on project merits, timing, and impact to the region and state.

ELIGIBLE TYPES OF APPLICANTS:

Eligible Applicants include but are not limited to for-profit businesses, not-for-profit corporations*, business improvement districts, local development corporations, public benefit corporations (including industrial development agencies), economic development organizations, research and academic institutions, incubators, technology parks, municipalities, counties, regional planning councils, tourist attractions and community facilities.

City, town, and village applicants must be certified by NYS Homes and Community Renewal (HCR) as a pro-housing community** prior to receiving an award.

• City, town, and village applicants must either be certified as a pro-housing community prior to submitting an application for Regional Council Capital Funds OR

• Must apply to HCR to become a certified pro-housing community when applying for Regional Council Capital Funds and must be approved for certification prior to award announcements.

• No awards will be made to cities, towns, or villages that are not a certified pro-housing community at the time of award.

* If awarded funding, prior to ESD Directors’ approval and execution of a contract with ESD, a not-for-profit corporation must be registered and up-to-date with filings with the New York State Office of the Attorney General’s Charities Bureau and the New York State Office of the State Comptroller’s VendRep System and must be prequalified in the New York Statewide Financial System (SFS).

** The Pro-Housing Certified Communities Program was created to incentivize local governments that are committed to addressing New York’s housing crisis and is administered by NYS Homes and Community Renewal (HCR). HCR will review and certify communities who have taken steps and are committed to increasing their housing stock and once certified, will then be eligible for various NYS programs including the Regional Council Capital Funds program.

FUNDING AVAILABLE:

• Up to $60,000,000 will be made available;

• The minimum request/award is $100,000

EQUITY REQUIREMENTS:

ESD requires that the Applicant contribute a minimum of ten percent (10%) of the total project cost in the form of equity contributed after the Applicant’s acceptance of ESD’s incentive proposal. Equity is defined as cash injected into the project by the Applicant or by investors and should be auditable through the Applicant’s financial statements or accounts, if requested by ESD. Equity cannot be borrowed money secured by the assets in the project or grants from a government source.

ELIGIBLE PROJECTS AND MATCH REQUIRMENTS:

Only minimum grant requests of $100,000 or more will be considered for funding. Awards are offered as an incentive to undertake a project. The amount of an award from ESD is based on several factors including, but not limited to, the project’s alignment with the state and regional priorities, as well as the potential for direct and indirect job creation, direct and indirect fiscal benefit to the state and local governments, overall economic activity, community development, and private investment. Applicants should apply for the necessary amount of funding needed to incentivize the project to occur and request the amount of funding needed to complete their project versus the maximum amount they may be eligible for. The likelihood of receiving an award improves as the percentage of ESD assistance is reduced and private investment or other sources are better leveraged. A strong emphasis will be placed on project readiness along with the applicant having the capacity to complete the project if awarded.

Exceptions to funding limits in each of the categories listed below may be made at the sole discretion of ESD in cases where it is found that a project will have extraordinary regional or statewide impact.

Applicants seeking funding for a project are strongly encouraged to reach out to the ESD Regional Office for where their project is located to discuss the project prior to applying.

Assistance generally falls into four categories:

1. Business Investment Business investments are capital expenditures that facilitate an employer’s ability to create new jobs in New York State or to retain jobs that are otherwise in jeopardy.

https://hcr.ny.gov/phc

Applicants applying for funding under the business investment category should apply for the necessary amount of funding needed to incentivize the project to move forward. Applicants will be required to demonstrate the project budget including financing secured or in progress, equity, and the identified gap and need for ESD assistance. The likelihood of receiving an award will increase based on the need for the requested amount of funding, the strength of the project, economic benefits of the project in relation to similar projects and leveraging other sources versus ESD assistance. Projects that consist of new construction and/or renovations of space in order to expand production capacity or capabilities while creating and/or retaining jobs will be looked upon more favorably than projects that are primarily focused on upgrading or replacing older / aging machinery and equipment.

Applicants will be required to fill out a qualified investments table and should accurately input machinery and equipment costs that will be purchased outside of New York State versus machinery and equipment costs that will be purchased within New York State, as projects making purchases of machinery and equipment within New York State will be looked upon more favorably. If awarded, applicants will be required to show proof that these purchases were made from companies within New York State. Failure to meet this requirement will subject a funding recipient to potential recapture of assistance or adjustment of an award.

Five-year job commitments will be required of all award recipients because it is by underwriting these job commitments that ESD is best able to forecast the economic benefits of providing assistance to any particular project. Applicants will therefore be required to commit to the number of jobs at risk (of relocation or loss) that will be retained by the proposed project, the number of net new full-time jobs that will be created by the project, and the average salaries of each. Failure to achieve or maintain these employment commitments will subject a funding recipient to potential recapture of assistance.

Applicants should use their Form NYS 45 to answer the job / employment questions in the application, using the most recent quarter. If an award is offered to the applicant which includes retaining or creating jobs, the applicant will be required to submit upon award notification their Form NYS 45 for confirming and establishing the baseline employment. If it differs significantly to what was entered into the application for review, ESD reserves the right to adjust/prorate the award.

Jobs/Employee Definitions Full-time Permanent Employee: A full-time, permanent, private-sector employee on the Recipient's payroll, who has worked at the Project Location for a minimum of 35 hours per week for not less than four consecutive weeks and who is entitled to receive the usual and customary fringe benefits extended by Recipient to other employees with comparable rank and duties.

Full-time Equivalent Employee (FTEs): Two or more part-time, permanent, private-sector employees on Recipient's payroll, who have worked at the Project Location for a combined minimum of 35 hours per week for not less than four consecutive weeks and who are entitled to receive the usual and customary fringe benefits extended by Recipient to other employees with comparable rank and duties.

Full-time Contract Employee / Job: A Full-time Contract Employee is a full-time private sector employee (or self-employed person) who is not on the applicant's payroll but who works for the applicant for a minimum of 35 hours per week providing services that would otherwise be provided by a Full-time Permanent Employee. The position held by a Full-time Contract Employee is a year-round position.

Jobs "At Risk": The number of permanent Full-time employee positions and Full Time Equivalent positions currently existing and located in New York State that are at risk of being lost or moved out of state based on compelling information provided by the applicant.

Net New Jobs: The number of new full-time permanent employees and full-time equivalents (FTEs) that will be created at the project location(s) as a result of the project. Jobs transferred from employment with another business located in the State including from a related person in this State are not net new jobs for purposes of the employment commitment.

2. Economic Growth Investment An Economic Growth Investment project fosters economic growth through cultural activity, higher education activity, agribusiness initiatives, other local or regional initiatives, improvements to facilities in distressed areas (census tracts), commercial revitalization activities in central business districts and commercial strips, strategic redevelopment projects such as shopping malls that are consistent with ESD pillars for economic development and other types of projects that may not have direct job creation goals but do foster economic development within the area the project will occur. All economic growth investment projects should be consistent with ESD pillars for fostering economic development and should align with the growth strategy of the region.

Applicants applying for funding under the economic growth program category will generally not be considered for more than twenty percent (20%) of the financing for any particular project based on the eligible total project cost. Applicants should apply for the necessary amount of funding needed to incentivize the project to occur and request the amount of funding needed to complete their project versus the maximum amount they may be eligible for as the likelihood of receiving an award improves as the percentage of ESD assistance is reduced and private investment or other sources are better leveraged. Economic Growth projects that are able to provide direct job commitments will be viewed favorably, however job commitments may not be applicable depending on the project type.

Economic Growth projects supporting strategic community development investments within downtown areas which foster the principals of the Downtown Revitalization Initiative will be looked upon favorably. Grant funds may be used to finance strategic community development investments within a downtown or mixed-use commercial district in order to attract new businesses and expand existing businesses, thereby fostering further investment. Applicants must demonstrate how the project will result in a benefit to the viability of the area it is located in and how it will lead to increased economic activity. Applicants that propose a project within a specific area where there are other proposed or ongoing projects will be looked upon favorably as a way to redevelop a specific area as opposed to standalone projects without other investments within an area.

3. Tourism (formerly Market New York Capital Grant Program) Projects in the Tourism category will support the tourism industry with strategic investments to expand, construct, restore or renovate New York State tourism destinations and attractions.

Applications to this project category, which were formerly funded under the Market New York

Grant program, must demonstrate how the capital project will help achieve the tourism goals of the corresponding REDC’s strategic plan and how the project complements the state’s tourism strategy as reflected through the work of I LOVE NY.

The more a project aligns with the goals and strategies of I LOVE NY, the REDC strategic plan, and its impact on tourism to the region and/or state versus smaller local community projects, the more favorably it will be viewed. Preference will be given to projects that demonstrate increases number of visitors, visitor spending, and/or the length of stay within the region. Applicants should provide clear performance measures and metrics to quantify the return on investment and demonstrate the expected economic impact as a result of the project. Successful tourism capital projects will increase the perception and consideration of New York State as a travel destination, making New York State the destination of choice for visitors.

Applicants applying for funding under the tourism economic growth program category will generally not be considered for more than twenty percent (20%) of the financing for any particular project based on the eligible total project cost. Applicants should apply for the necessary amount of funding needed to incentivize the project to occur and request the amount of funding needed to complete their project versus the maximum amount they may be eligible for as the likelihood of receiving an award improves as the percentage of ESD assistance is reduced and private investment or other sources are better leveraged.

4. Strategic Focus Areas A strong emphasis will be placed on projects that encompass one or more of the following strategic focus areas. Applicants who apply to one or more of these focus areas below may be considered for an enhanced incentive of up to forty percent (40%), depending on the category, type of project and organization applying for funds. Applicants should apply for the necessary amount of funding needed to incentivize the project to occur and request the amount of funding needed to complete their project versus the maximum amount they may be eligible for as the likelihood of receiving an award improves as the percentage of ESD assistance is reduced and private investment or other sources are better leveraged. Strategic Focus Area projects that are able to provide direct job commitments will be viewed favorably, however job commitments may not be applicable depending on the project type.

• Childcare Projects Despite record investments in childcare, many New Yorkers still struggle to access high quality childcare forcing families to choose between quality childcare and employment or placing families in the position to use unlicensed childcare providers. Expanding the capacity of childcare offerings helps strengthen the state’s economy and address issues that affect the business community.

An enhanced incentive of up to forty percent (40%) of eligible total project costs may be provided to organizations whose capital project seeks to improve access to high quality childcare. Incentives are intended to support capital projects which increase the number of childcare spots by building a new facility or expanding an existing facility. Projects that attest to a willingness to accept families in receipt of childcare assistance will be looked upon more favorably. Applicants should also demonstrate the ability to obtain all necessary approvals and licenses/registrations to operate the childcare program.

Applicants should provide any information about their project that works to improve access to high quality childcare, including but not limited to the number of new child care spots that will be made available (both affordable childcare spots - for families receiving childcare assistance, and market rate spots), the need in the community for a new or expanded childcare facility, whether the project is located in a childcare desert (Search the NYS Child Care Desserts Map here), the populations that will likely utilize the services, and any additional economic benefits that will occur from the project. If awarded, grantees will be required to show proof of childcare licensing from the Office of Children and Family Services (OCFS) as a condition of reimbursement.

• Projects located in a Distressed Area (Census Tract) Strong consideration will be made for applications from not-for-profit organizations for projects located within economically distressed areas (census tracts) where investments are needed to spur economic growth. Not-for-profit organizations whose project is located in a severely distressed area (census tract) may be eligible for an enhanced incentive of up to forty percent (40%) of eligible total project costs. The criteria below include communities defined by their stress level, however, if a not-for-profit organization believes their project is located in a severely distressed area (census tract) that is not listed as such, they may apply for an enhanced incentive but should discuss the project with their respective ESD Regional Office prior to applying and demonstrate why the area should be considered severely distressed.

Applicants should demonstrate the need for funding as the potential for an award is not an as of right solely because the project is located in a distressed area but rather will be dependent on the community benefits as a result of the project along with needing additional financing to ensure the project occurs. Enhanced incentives are intended for not-for-profit organizations whose mission is to serve a community need and benefit.

Applicants should provide any information about their project that bolsters the need for funding in addition to metrics that will result from the project, including but not limited to the anticipated community benefit as a result of the project, the populations that will benefit from the project, a demonstrated need for the services of the project, community support for the project, and any additional economic benefits that will occur from the project.

Below is the definition of communities considered to be economically distressed along with a link to a map to search for a project location to identify its distress level.

Economically Distressed Area (Census Tract) Map

Economically distressed areas shall mean the following based on the census tract for where the project is located.

▪ Severely distressed areas (census tracts) shall have at least 25 households receiving public assistance income in the 2026 ACS 5-year estimate and meet at least five of the criteria listed below.

▪ Moderately distressed areas (census tracts) shall have at least 25 households receiving public assistance income in the 2026 ACS 5-year estimate and meet at least three of the criteria listed below.

https://nysccf.maps.arcgis.com/apps/webappviewer/index.html?id=b0281149b595404e9d1c26fbef8b9735 https://nysccf.maps.arcgis.com/apps/webappviewer/index.html?id=b0281149b595404e9d1c26fbef8b9735 https://www.arcgis.com/apps/mapviewer/index.html?layers=e7e526e3bac5461a8453816b9bfacef4

▪ Slightly distressed areas (census tracts) shall have at least 100 households receiving public assistance income in the 2026 ACS 5-year estimate and meet at least two of the criteria listed below.

Criteria for Determining Distress Level o Population loss between the 2026 ACS 5-year estimate and the 2026 ACS 5-year estimate – an absolute loss in population.

o Unemployment rate (2026 ACS 5-year estimate) higher than the State’s rate.

o Private sector employment growth rate (2026 ACS 5-year estimate) over the preceding 5 years was lower than the State’s OR private sector employment (2026 ACS 5-year estimate) as a percentage of total employment was less than the State’s.

o Percentage of households receiving public assistance (2026 ACS 5-year estimate) was greater than the statewide percentage.

o Poverty rate (2026 ACS 5-year estimate) was greater than the State’s poverty rate.

o Per Capita Income change (2026 ACS 5-year estimate) over the preceding five years was less than the growth in the consumer price index (CPI) for all urban consumers nationally OR per capita income was less than the State’s per capita income.

• Innovative Public-Private Partnerships Projects which leverage unique regional assets to advance the regions’ economic development strategies will be looked upon favorably. Innovative public-private partnerships are intended for higher education institutions with a focus on innovation and research partnerships. Applicants whose project aligns public and private sectors in working together on capital projects that drive economic growth, job creation, and innovation may be eligible for additional financing for their project based on eligible total project costs.

Applicants should provide any information about their project that bolsters the need for funding in addition to metrics that will result from the project, including but not limited to the number of jobs created, the increase in access to advanced/valuable equipment otherwise not available to a certain subset of businesses and organizations, anticipated growth of innovation and technology transfer, the impact on the industries or communities as a result of the project, the populations or industries that will benefit from the project, a demonstrated need and benefit from the partnership and the project, community and industry support for the project and any additional economic benefits that will occur from the project.

Applicants seeking funding for a project which fosters this innovative public-private partnership should reach out to their ESD Regional Office prior to submitting an application.

PROJECT COSTS (for all categories listed above):

1. ELIGIBLE PROJECT COSTS & ACTIVTIES:

• Acquisition of land, buildings, machinery and/or equipment;

• Demolition and environmental remediation;

• New construction, renovation or leasehold improvements;

• Acquisition of furniture and fixtures;

• Commercial portion of mixed use projects;

• Soft costs of up to twenty-five percent (25%) of total project costs; and

• Other costs / expenditures deemed eligible by ESD.

2. INELIGIBLE PROJECT COSTS & ACTIVITIES:

The following types of expenses are not eligible for reimbursement by grant funds and should not be included in the project budget:

• Developer fees;

• Training;

• Residential development only projects, although program funds may be used for the non-residential components of a mixed-use project;

• Medical / hospital development projects although medical research facility projects will be considered for funding;

• Retail development projects;

• Block grant projects or revolving loan funds;

• Home based service provider projects;

• In-kind costs;

• Overhead and indirect costs associated with the day-to-day operations of the eligible entity, including but not limited to:

o Salaries and wages;

o Fringe benefits;

o Rent/lease costs;

o Website maintenance;

o App maintenance; and o Communication;

• Marketing or advertising media costs;

• Events;

• Costs associated with completing an application;

• Costs incurred prior to the submission and award of a grant, actual or anticipated; and

• Other costs / expenditures deemed ineligible by ESD.

APPLICANT REQUIREMENTS:

Applicants are strongly encouraged to reach out to their ESD Regional Office to discuss their project prior to submitting an application. Applicants must complete and submit a Consolidated Funding Application (CFA) for review by ESD and the Regional Council for the region in which the proposed project is located. The project should not begin and expenses should not be incurred before awards have been announced. Expenses incurred prior to submission of a CFA should not be included in CFA project budgets, nor should expenses that will be incurred after submission of a CFA but prior to an award announcement.

Applicants must always disclose when pursuing or intending to pursue multiple ESD funding sources including grants, loans, and tax incentives. When filling in the budget in the CFA, applicants should clearly identify the source of funding, if it is secured already, if they have applied for the funding, or if it is the funding being requested through this grant program, and provide all relevant information about the budget for ESD to consider.

Applicants applying for Regional Council Capital Funds should clearly describe the scope and budget for the “project” for which funds are being requested. For example, an Applicant may be planning a larger project that would include multiple phases, such as in the case of a major infrastructure project or redevelopment of a specific geographic area. However, the “project” for which funds are being requested via the CFA might consist of only one phase of the larger project. In such situations, the request for Regional Council Capital Funds should be specific to the phase, NOT the overall multi-phase project.

Applicants that have previously submitted an application for the same project are also strongly encouraged to consult with their ESD Regional Office where their project is located for feedback prior to new submission(s). Failure to do so may result in the application being deemed ineligible.

Applicants that apply more than once for the same project are required to show a substantial change in situation or scope to warrant another scoring review by ESD, the Regional Council, or both, to be determined by the Regional Office. Failure to show this improvement may result in the project being deemed ineligible.

SELECTION CRITERIA:

In addition to the criteria noted below, ESD shall have the discretion to consider additional factors in determining the relative merits of projects.

Vision and Regional Economic Development Strategies:

• The overall economic impact that the project identified in the application will have on a region, including, but not limited to, the amount of capital investment and the level of increased economic activity from the proposed capital investment;

• The economic and community benefit to the viability of the area in which the project is located in;

• The number and impact of any direct or indirect jobs that will be created;

• The number of and impact new jobs created and/or at-risk jobs that will be retained;

• The increase and impact on tourism and the perception and consideration of New York State as a travel destination to increase visitation;

• The likelihood that the project identified in the application would be located outside of New York State or would not occur in New York State but for the availability of state or local incentives.

Public/Stakeholders:

• Whether the project has demonstrated support from local government and private sector leaders in the locality and the region where the project will be located;

• Whether the project will have a significant regional impact or is likely to increase the subject community‘s economic and social viability and vitality; and

• The degree of economic distress in the area where the Applicant will locate the project identified in its application, including downtown revitalization and brownfield areas.

Implementation:

• The degree of project readiness and likelihood of completion, including, where applicable for real estate development projects, if there are identified tenants for a completed project; and

• The degree of the Applicant’s financial viability and strength of financials/operating history/ESD credit score.

Leveraged Resources:

• The amount of private financing leveraged; and

• The amount of public financing leveraged.

Performance Measures:

• The estimated return on investment that the project identified in the application will provide to New York State;

• For non-job creation projects, the direct and ancillary benefits that will result from the project occurring;

• For projects applying for funding in one of the Statewide Focus Areas, applicants should provide metrics relevant to the focus area applied to as outlined in the Strategic Focus Area section in order to justify the request for funding and to indicate the economic impact that will result from the project;

• For Tourism projects, the benefits of increases in room nights, number of visitors, visitor spending and length of stay;

• For downtown areas, whether or not the project concerns the preservation of the architectural character of a building or neighborhood;

• Whether, where applicable, there are identified tenants for a completed project;

• The degree to which the project supports the principals of smart growth, energy-efficiency (including but not limited to, the reduction of greenhouse gas and emissions and the Leadership in Energy and Environmental Design [LEED] green building rating system for the project identified in its application), and sustainable development; and

• The degree to which the project identified in the application supports New York State minority-and women-owned business enterprises and service-disabled veteran-owned businesses.

AWARD CRITERIA DETAILS:

• Notice of a funding award will be given in the form of an incentive proposal outlining the terms of the proposed assistance. The award is subject to approval of the ESD Directors and compliance with applicable laws and regulations. Project funding may only be used for expenses incurred after the date that notice of the funding award is given. Applicants are strongly encouraged to review and countersign ESD’s incentive proposal prior to starting the project.

• All Applicants will be requested to certify and agree that any decrease in the scope of work described in the Applicant’s final CFA submission including, but not limited to, total project costs, jobs retained, and jobs created, may result in ESD’s reduction of the award, in ESD’s sole discretion, in an amount proportionate to any such decrease.

• All Applicants will be requested to certify and agree that any expansion of the scope of work described in the Applicant’s final CFA submission including, but not limited to, total project costs, jobs retained, and jobs created, will not result in the increase of the award by ESD.

• The awarded grants are transferable at the sole discretion of ESD.

• The essential terms for the disbursement of assistance are included in the incentive proposal.

Although funding is offered prior to project commencement as an inducement to undertake the project, funds are disbursed in arrears, as reimbursement for eligible project expenditures.

• Grant funds will be subject to pro rata recapture if property is sold within 5 years of disbursement of funds.

• It is expected the project will proceed in the time frame set forth by the Applicant. If the implementation of a project fails to proceed as planned and is delayed for a significant period of time and there is, in the exclusive judgment of ESD, doubt as to its viability, ESD reserves the right to cancel its funding commitment to such project. If awarded, the Incentive Proposal expires two years from the date of acceptance by the Recipient. ESD reserves the right to require Recipient to provide any additional information and/or documentation ESD deems necessary and terminate the project at any point if the applicant fails to provide such documentation in a timely manner.

• For Business Investment projects, partial funding is disbursed upon project completion and interim job creation/retention milestones, with additional funding disbursed upon achievement of job creation/retention milestones. For Infrastructure Investment and Economic Growth Investment projects, funding is typically disbursed upon project completion.

• Projects generally are presented to the ESD Directors once all project expenditures have been undertaken and disbursement of ESD assistance is sought.

• All required public approvals must be in place prior to the start of construction and approval by the ESD Directors, including State Environmental Quality Review (SEQR) and consultation with the State Historic Preservation Office, if applicable. Physical work on an ESD-funded project may not be started prior to the completion of any necessary environmental, historic and/or smart growth review.

• For projects with job creation and/or retention, job numbers will be verified using the employer’s NY-45 and NY-45 ATT and/or payroll reports prior to disbursement of funds and annually thereafter through the required reporting period. Grant funds will be subject to recapture for failure to achieve or maintain these employment commitments.

• Pursuant to New York State Executive Law Articles 15-A and Article 3 of New York State Veterans’ Services Law, ESD recognizes its obligation under the law to promote opportunities for maximum feasible participation of certified minority and women-owned business enterprises (MWBEs) and service-disabled veteran-owned businesses (SDVOBs) in the performance of ESD projects.

Recipients shall be required to use Good Faith Efforts (pursuant to 5 NYCRR §142.8 and 9 NYCRR § 252.2(m) to achieve MWBE and SDVOB Participation. In addition, ESD’s MWBE and SDVOB Participation/Equal Employment Opportunity Policy will apply to this project.

o Please note that ESD’s agency-wide MWBE utilization goal is 30%. Each project will be assigned an individual contract-specific goal, which may be high or lower than 30%.

Should an Applicant receive a funding award, the Applicant shall be required to use good faith efforts to achieve the prescribed MWBE goals assigned to this project. Applicants must maintain such records and take such actions necessary to demonstrate such compliance. Failure to achieve the specified MWBE goal may result in award reduction.

Additional information can be found here: https://esd.ny.gov/participation-requirements-new-york-state-certified-mwbes.

o Please note that ESD’s agency-wide SDVOB utilization goal is 6%. Each project will be assigned an individual contract-specific goal, which may be higher or lower than 6%.

Should an Applicant receive a funding award, the Applicant shall be required to use good faith efforts to achieve the prescribed SDVOB goals assigned to this project. Applicants must maintain such records and take such actions necessary to demonstrate such compliance. Failure to achieve the specified SDVOB goal may result in award reduction.

Any utilization of SDVOBs would be in addition to goals established pursuant to Article 15-A of the Executive Law with respect to MWBEs. A further explanation of the SDVOB requirements is found here: https://esd.ny.gov/participation-requirements-new-york-state-certified-sdvobs.

• In accordance with State law, after approval by the ESD Directors, a public hearing will be required if the project involves the acquisition, construction, reconstruction, rehabilitation, alteration or improvement of any property. ESD will schedule a public hearing in accordance with the New York State Urban Development Corporation Act (“UDC Act”) and will take such further action as may be required by the UDC Act and other applicable law and regulations. The ESD Directors must reconsider the matter if any negative testimony is received at the public hearing.

(Generally, this hearing occurs the month after the Directors’ initial approval). Approval by the Public Authorities Control Board (“PACB”), New York State Comptroller (“OSC”) and the New York State Attorney General (“AG”) may then be required. Following approval by the ESD Directors and PACB, OSC and AG approval, if required, the documents for processing the grant award will be prepared by ESD. Notwithstanding the process outlined above, no project shall be funded if sufficient resources are not received by ESD for such project.

• A $250 Application Fee, payable when funding is documented in an Incentive Proposal, and a one percent (1%) non-reimbursable commitment fee based on the grant amount awarded will be assessed to all awardees. The commitment fee will be due when the Applicant executes documents required for processing the award, after approval by the ESD Directors. The Applicant will be obligated to pay for out-of-pocket expenses incurred by ESD in connection with the project, including, but not limited to, expenses related to attorney fees, appraisals, surveys, title insurance, credit searches, filing fees, public hearing expenses and other requirements deemed appropriate by ESD.

• Grant funds originally awarded to projects that have since been cancelled or terminated will be repurposed for economic development projects by ESD at its discretion in consultation with the REDCs.

• Projects having a hotel as a principal function will be required to demonstrate compliance with Section 2879-b of Public Authorities Law regarding labor peace if funding is awarded. Public Authorities Law Section 2879-b prohibits public authorities from providing financing for any project that includes, as one of the principal functions, a hotel with more than fifteen employees unless a labor peace agreement (“LPA”) is entered into with a labor organization representing hotel or convention center employees in the State, for a period of at least five years. An LPA is an agreement between the project developer (or its contractors) and a labor organization https://esd.ny.gov/participation-requirements-new-york-state-certified-mwbes https://esd.ny.gov/participation-requirements-new-york-state-certified-mwbes https://esd.ny.gov/participation-requirements-new-york-state-certified-sdvobs prohibiting the labor organization and its members from engaging in labor activities that disrupt the hotel’s operations.

• The distribution of government funds is subject to constitutional limitations under the First Amendment’s Establishment and Free Exercise Clauses. Applications that implicate these Clauses may require additional information from the applicants and will be subject to legal review and approval by the agency before award. Applicants are encouraged, but not required, to anticipate and address factual and legal issues relevant to these Clauses in their application.

ADDITIONAL RESOURCES:

For more information, eligible Applicants should contact the local Empire State Development Regional Office. A complete list of the ESD Regional Offices can be found at https://esd.ny.gov/regions.

To access the Consolidated Funding Application and apply to the Regional Council Capital Funds Program please visit https://apps.cio.ny.gov/apps/cfa/ and follow the instructions to register or log in. Any questions regarding the CFA portal should be directed to cfa-programs@ny.gov .

https://esd.ny.gov/regions https://apps.cio.ny.gov/apps/cfa/ mailto:cfa-programs@ny.gov

Strategic Planning & Feasibility Studies Funding Available: Up to $1 million

PROGRAM DESCRIPTION:

The Strategic Planning and Feasibility Studies Program was established to support planning grants for future development for communities and urban areas across New York State. Up to $1 million is available for working capital grants of up to $100,000 each to support 1) strategic development plans for a city, county, or municipality or a significant part thereof and 2) feasibility studies for site(s) or facility(ies)…