Final - HCIDA_DRI_Small_Projects_Fund_RFP.pdf

HERKIMER COUNTY INDUSTRIAL DEVELOPMENT AGENCY | DRI SMALL PROJECTS FUND RFP | 1

HERKIMER COUNTY INDUSTRIAL DEVELOPMENT AGENCY

REQUEST FOR PROPOSALS

DRI SMALL PROJECTS FUND

PROGRAM ADMINISTRATION AND PROJECT MANAGEMENT

CONSULTANT SERVICES

RFP INFORMATION

Proposal Due Date October 22, 2026 Proposal Due Time 2PM Program Contact Nicole Farber Telephone (315)866-3000 Email nfarber@herkimercountyida.org Submission Method One bound original and three copies

Village of Herkimer Downtown Revitalization Initiative Study Area

Issued: September 29, 2026

IMPORTANT PROGRAM DEADLINE

All projects funded through the DRI Small Projects Fund must be fully completed and closed out no later than December 31, 2028, unless a different deadline is approved in writing by HCIDA and HTFC, where required.

mailto:nfarber@herkimercountyida.org

HERKIMER COUNTY INDUSTRIAL DEVELOPMENT AGENCY | DRI SMALL PROJECTS FUND RFP | 2

1. REQUEST FOR PROPOSALS

The Herkimer County Industrial Development Agency (“HCIDA”) is soliciting proposals from qualified consulting firms or individuals to provide program administration, project management, grant administration, technical assistance, and compliance support services for the DRI Small Projects Fund (the “Program”).

HCIDA is the Local Program Administrator (“LPA”) and lead administrator. HCIDA will retain overall responsibility for program administration, financial management, project approvals, funding decisions, and compliance with the Housing Trust Fund Corporation (“HTFC”) and applicable State requirements.

The selected consultant will assist HCIDA in administering the Program and will work with HCIDA staff, the Project Review Committee, participating property and business owners, design professionals, contractors, and other project partners.

The consultant will not have independent authority to approve, deny, or award grant funds. Final project review and funding decisions remain with HCIDA and the designated Project Review Committee.

2. PROGRAM OVERVIEW

HCIDA has been awarded $600,000 in DRI funds to administer a Small Projects Fund within the Village of Herkimer DRI Study Area.

Program Activity Amount Building Renovation & Business Assistance $480,000 Architecture, Engineering & Environmental Testing $20,000 Design Guidelines / Building Re-Use Analysis $40,000 Administration $60,000 Total DRI Award $600,000

The Program anticipates approximately four commercial or mixed-use buildings rehabilitated and four businesses assisted.

The current Grant Agreement period of performance extends through December 31, 2028, unless amended in writing.

2.1 Controlling Requirements

The selected consultant shall perform services in accordance with HCIDA’s DRI Grant Agreement with HTFC, Schedule A – Awarded Budget & Projected Accomplishments, Schedule B – Administrative Plan, Schedule C – MWBE/SDVOB requirements, applicable New York State requirements, applicable HTFC policies and procedures, and subsequent written guidance issued by HTFC. In the event of a conflict, the Grant Agreement and applicable State/HTFC requirements shall control.

3. CONSULTANT ROLE

3.1 HCIDA Role

HCIDA will remain the LPA and retain responsibility for overall program administration, financial management, oversight, final project approvals, funding decisions, required agreements, and compliance with HTFC requirements.

3.2 Consultant Role

The selected consultant will provide professional project management and grant administration services under HCIDA direction. The consultant will support HCIDA; it will not replace HCIDA as LPA or assume independent decision-making authority.

HERKIMER COUNTY INDUSTRIAL DEVELOPMENT AGENCY | DRI SMALL PROJECTS FUND RFP | 3

4. SCOPE OF SERVICES

4.1 Program Administration and Outreach

• Assist with Program guidelines, informational materials, applications and instructions.

• Assist with outreach, marketing materials and public informational meetings, as requested.

• Respond to applicant questions and assist with application procedures.

• Maintain application/project files, tracking systems, schedules and deadlines.

• Provide general administrative support to HCIDA throughout the Program.

4.2 Application Review and Project Selection Support

• Review applications for completeness and preliminary eligibility; identify missing information.

• Review proposed scopes, budgets, cost estimates, ownership, readiness and financing documentation.

• Prepare project summaries, eligibility determinations, scoring materials and review memoranda.

• Assist with Project Review Committee meeting materials and documentation.

• Prepare materials for HCIDA approval and HTFC review.

• Support the approved selection criteria: Readiness, Physical Impact, Economic Impact, and Goals Achieved.

The Project Review Committee will implement the selection process and generate funding decisions. The consultant will provide administrative and technical support only.

4.3 Project Development and Implementation

• Work with owners, businesses, architects, engineers and other professionals to develop project scopes.

• Review scopes, budgets and proposed designs for Program eligibility and applicable design requirements.

• Assist with permits, schedules, environmental review and SHPO/OPRHP coordination.

• Assist with project commitment, award and HTFC review documentation.

• Monitor project progress and maintain project schedules through completion.

4.4 Procurement, Construction and Compliance

• Assist with procurement procedures and contractor bid/proposal documentation.

• Review contractor qualifications, references and insurance documentation.

• Monitor Program compliance and identify potential issues.

• Conduct or coordinate site inspections and document progress.

• Assist with change orders or scope modifications.

• Assist HCIDA in ensuring that all funded project work is completed by December 31, 2028.

The Grant Agreement requires full and open competition and generally requires a minimum of two bids or proposals for Program costs. Contractor insurance and other applicable Program requirements must be documented.

4.5 Reimbursement, Reporting and Closeout

• Review reimbursement requests and supporting documentation.

• Confirm completion of approved work and coordinate inspections.

• Prepare reimbursement packages and assist with HTFC payment requests.

• Track project budgets, expenditures and remaining balances.

• Prepare required reports and track project outcomes.

• Maintain compliance and closeout documentation, including applicable post-project requirements.

HERKIMER COUNTY INDUSTRIAL DEVELOPMENT AGENCY | DRI SMALL PROJECTS FUND RFP | 4

5. ENVIRONMENTAL, SHPO/OPRHP AND PROGRAM COMPLIANCE

The consultant shall assist HCIDA with applicable environmental, historic-preservation and other Program compliance requirements.

• Coordinate required environmental review documentation and submissions.

• Assist with SEQRA and applicable HTFC environmental requirements.

• Coordinate SHPO/OPRHP review when required.

• Track required approvals and maintain supporting documentation.

• Assist with applicable design standards, building codes, permits and other Program requirements.

• Ensure no construction or Program activity proceeds before required approvals and HTFC notice to proceed.

6. REQUIRED WORK PRODUCTS

• Program outreach and informational materials.

• Application forms, instructions and review checklists.

• Eligibility determinations, project summaries and scoring materials.

• Project Review Committee materials and documentation.

• Project scopes, budgets and cost reviews.

• Procurement, contractor and compliance documentation.

• Environmental and SHPO/OPRHP documentation.

• Award, commitment, inspection and reimbursement materials.

• Program reports and project closeout files.

Other work products reasonably necessary for successful Program administration may be required. Final work products prepared specifically for HCIDA shall become HCIDA property, subject to applicable law and contract terms.

7. CONSULTANT QUALIFICATIONS

HCIDA seeks a consultant or consulting firm with demonstrated experience in grant administration, community development, project management, construction administration or similar work. Experience in the following areas is preferred:

• New York State DRI or New York Forward programs.

• HCR or HTFC-funded programs.

• Municipal or public-sector grant programs.

• Commercial building rehabilitation or small business assistance.

• Construction project management and procurement.

• Environmental review and SHPO/OPRHP coordination.

• Reimbursement and financial documentation.

• MWBE/SDVOB compliance and community/economic development.

The proposer must demonstrate sufficient staff capacity to perform the work through Program completion. Proposed subcontractors/subconsultants shall be identified with their roles, qualifications and anticipated percentage of work.

8. PROPOSAL REQUIREMENTS

• Cover Letter and authorized representative.

• Firm Information, including organization, location, years in business and areas of expertise.

• Qualifications and Relevant Experience, including comparable public-sector or grant work.

• Proposed Project Team, roles, qualifications and availability.

• Approach and Work Plan, including how the proposer will keep projects on schedule for completion by December 31, 2028.

• Relevant Project Experience completed within the past five years.

• Schedule and Capacity.

• Cost Proposal using Attachment B.

• At least three professional References.

• M/WBE/SDVOB information, if applicable.

• Conflict of Interest disclosure.

• Addenda acknowledgement.

HERKIMER COUNTY INDUSTRIAL DEVELOPMENT AGENCY | DRI SMALL PROJECTS FUND RFP | 5

HCIDA will evaluate responsive proposals using the following c riteria:

9. RFP SCHEDULE

Activity Date RFP Issued September 29, 2026 Deadline for Questions October 12, 2026 Responses / Addendum Issued Proposals Due October 22, 2026 Proposal Review No later than November 6, 2026 Interviews, if required TBD Consultant Selection November 30, 2026 Contract Negotiation December 7, 2026 Anticipated Contract Execution December 11, 2026 Anticipated Notice to Proceed December 11, 2026

10. QUESTIONS AND ADDENDA

Questions concerning this RFP shall be submitted in writing to the Program Contact identified on the cover page by the deadline in Section 9. Responses to substantive questions and changes to the RFP will be issued by written addendum and provided through the same public notice or distribution method used for the RFP, as applicable.

Oral statements or interpretations shall not be binding unless confirmed by written addendum issued by HCIDA.

11. SUBMISSION PROCEDURE

Proposals shall be submitted to:

Herkimer County Industrial Development Agency Attn: Nicole Farber Administrative Assistant 420 East German ST. NY 13350 nfarber@herkimercountyida.org

Proposals must be received no later than October 22, 2026 at 2pm Late proposals may be rejected. Proposals shall be clearly marked: “DRI SMALL PROJECTS FUND – PROGRAM ADMINISTRATION AND PROJECT MANAGEMENT

SERVICES.”

Each proposer is responsible for timely delivery. Proposals shall remain valid for a minimum of 90 days following the proposal due date.

12. EVALUATION AND SELECTION

Evaluation Factor Weight Understanding of Program and Scope 20% Relevant Experience and Qualifications 20% Qualifications of Proposed Team 15% Proposed Approach and Work Plan 20% Availability and Capacity 10% Cost Proposal 15%

TOTAL 100%

HCIDA may request clarification or additional information and may conduct reference checks. HCIDA may conduct interviews with one or more proposers and may consider interview information as part of the evaluation.

13. CONSULTANT COMPENSATION

The maximum amount available for consultant services is $60,000, representing the administration allocation in HCIDA’s approved DRI budget. Proposed compensation shall not exceed $60,000.

Proposers shall provide hourly rates, estimated hours, task-level costs, reimbursable expenses and total proposed compensation using Attachment B. The final contract will establish the scope, fee, billing procedures, deliverables, schedule and responsibilities.

The consultant shall not incur costs beyond the approved contract amount without prior written authorization from HCIDA.

mailto:nfarber@herkimercountyida.org

HERKIMER COUNTY INDUSTRIAL DEVELOPMENT AGENCY | DRI SMALL PROJECTS FUND RFP | 6

14. INSURANCE AND CONTRACT REQUIREMENTS

The selected consultant shall provide insurance documentation reasonably required by HCIDA before contract execution and/or commencement of services, including applicable commercial general liability, professional liability/errors and omissions, automobile liability where applicable, workers’ compensation, and disability benefits coverage.

Specific limits and additional-insured requirements will be established in the final contract based on the nature and scope of services.

The selected consultant will be required to execute a written agreement with HCIDA incorporating the negotiated scope, fee, schedule, insurance requirements and applicable Program requirements.

15. MWBE, SDVOB AND EQUAL OPPORTUNITY

The selected consultant shall comply with applicable New York State requirements relating to equal employment opportunity and participation by Minority- and Women-Owned Business Enterprises (M/WBEs) and Service-Disabled Veteran-Owned Businesses (SDVOBs), including applicable requirements in Schedule C of HCIDA’s DRI Grant Agreement.

16. RECORDKEEPING, AUDIT AND PUBLIC RECORDS

The consultant shall maintain complete and accurate records relating to services performed and provide records to HCIDA upon request. Records shall be available for inspection, copying and audit as required by HCIDA, HTFC, New York State or other authorized governmental entities.

Applicable Program records must be maintained for seven years following final disbursement of the DRI award. The consultant shall maintain confidentiality to the extent permitted by law and shall recognize that HCIDA remains subject to the New York State Freedom of Information Law and other public-records requirements.

17. CONTRACT TERM AND PROJECT COMPLETION

The anticipated consultant contract term will correspond with the needs of the Program and availability of administration funds. The current DRI Grant Agreement period of performance extends through December 31, 2028, unless amended.

All projects receiving DRI Small Projects Fund assistance must be fully completed and closed out no later than December 31, 2028, unless a different deadline is approved in writing by HCIDA and HTFC, where required. The consultant shall establish and maintain schedules that support this deadline and promptly notify HCIDA of any issue that may jeopardize timely completion.

18. RESERVATION OF RIGHTS

• Reject any or all proposals.

• Waive minor irregularities where permitted.

• Request clarification or additional information.

• Modify the RFP schedule.

• Amend, cancel or reissue the RFP.

• Negotiate with a selected proposer, including scope and fee.

• Select a proposer other than the lowest-cost proposer when determined to be in the best interests of HCIDA and the

Program.

• Take any other action permitted under applicable law and HCIDA procurement requirements.

Issuance of this RFP does not obligate HCIDA to award a contract. All costs associated with preparing and submitting a proposal are the responsibility of the proposer.

19. GENERAL CONDITIONS

• Perform services professionally and in accordance with generally accepted standards.

• Follow HCIDA direction regarding Program administration.

• Comply with the DRI Grant Agreement, Administrative Plan and applicable HTFC requirements.

• Maintain appropriate project and financial documentation.

• Promptly notify HCIDA of compliance issues or conflicts of interest.

• Obtain HCIDA approval before material changes to the approved scope.

• Cooperate with HTFC monitoring, review and closeout.

• Not represent itself as the LPA or make commitments on behalf of HCIDA without express written authorization.

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20. REFERENCE DOCUMENTS

The following documents will be made available to proposers and are incorporated by reference for purposes of understanding Program requirements:

• HCIDA DRI Small Projects Fund Grant Agreement.

• Schedule A – Awarded Budget & Projected Accomplishments.

• Schedule B – Administrative Plan.

• Schedule C – MWBE/SDVOB Requirements.

Proposers are responsible for reviewing the applicable Program requirements before submitting a proposal. In the event of a conflict, the Grant Agreement and applicable State/HTFC requirements shall control.

21. PROPOSER CERTIFICATION

The undersigned certifies that the proposal is true and correct to the best of the proposer’s knowledge; the proposer has reviewed this RFP and applicable Program requirements; the proposer understands HCIDA remains the LPA and retains project-selection and funding authority; the proposer agrees to comply with applicable laws and Program requirements; all known actual or potential conflicts of interest have been disclosed; and the proposal will remain valid for at least 90 days following the proposal due date.

Proposer Information

Firm Name

Authorized Representative

Title

Signature

Date

Email / Telephone

END OF REQUEST FOR PROPOSAL

HERKIMER COUNTY INDUSTRIAL DEVELOPMENT AGENCY | DRI SMALL PROJECTS FUND RFP | 8

ATTACHMENT A

CONSULTANT PROPOSAL FORM

DRI SMALL PROJECTS FUND – PROGRAM ADMINISTRATION AND PROJECT MANAGEMENT SERVICES

Use this form as the cover sheet for the proposal and attach all requested supporting materials.

Firm Information

Firm Name

Address

Primary Contact

Telephone

Email

Years in Business

Proposal Checklist

• ☐Cover Letter

• ☐Firm Information

• ☐Qualifications and Relevant Experience

• ☐Proposed Project Team

• ☐Approach / Work Plan

• ☐Relevant Project Experience

• ☐Schedule and Capacity

• ☐Cost Proposal

• ☐At Least Three References

• ☐M/WBE / SDVOB Information, if applicable

• ☐Conflict of Interest Disclosure

• ☐Addenda Acknowledgement

• ☐Signed Proposer Certification

Addenda Acknowledgement

Addendum No. Date Acknowledged By

Name / Title

HERKIMER COUNTY INDUSTRIAL DEVELOPMENT AGENCY | DRI SMALL PROJECTS FUND RFP | 9

ATTACHMENT B

COST PROPOSAL / REFERENCES FORM

DRI SMALL PROJECTS FUND – PROGRAM ADMINISTRATION AND PROJECT MANAGEMENT SERVICES

A. Cost Proposal Maximum available consultant compensation: $60,000.

Staff Classification Hourly Rate Estimated Hours Estimated Cost

TOTAL PROPOSED FEE $

Cost Item Amount / Description Reimbursable Expenses (if any) $

TOTAL PROPOSED CONTRACT AMOUNT $

Assumptions, exclusions or other pricing information:

B. References Provide at least three references for similar services.

Client / Organization Contact Person Phone / Email Project / Services

Firm