NYStateMinority&WomenRevolvingLoanTrustFund-RFA-7.31.26.pdf

REQUEST FOR APPLICATIONS

FOR NEW YORK STATE

MINORITY AND WOMEN

REVOLVING LOAN TRUST FUND

Issued: July 31, 2026

Designated Contacts for this Procurement:

Primary Contact: Caitlin Armstrong Secondary Contact: Morgan Clark

All contacts/inquiries shall be made via Submittable messaging (see section IV for more details)

This Request for Applications (“RFA”) is posted on the Empire State Development website:

https://esd.ny.gov/doing-business-ny/requests-proposals

APPLICATIONS DUE DATE AND TIME:

On or before August 31, 2026, by 3:00 PM ET.

Late applications will not be accepted https://esd.ny.gov/doing-business-ny/requests-proposals

I. Introduction

The mission of Empire State Development (“ESD”) is to promote a vigorous and growing state economy, encourage business investment and job creation, and support diverse, prosperous local economies across New York State through the efficient use of loans, grants, tax credits, real estate development, marketing and other forms of assistance.

A. Project Summary

The Minority and Women Revolving Loan Trust Fund (“MWRLTF” or the “Trust Fund”) is a program created by the State of New York (“New York State” or the “State”). Through selected Administering Corporations (“Administering Corporations”), the Trust Fund provides working capital loans of up to $35,000 and loans of up to $50,000 for the acquisition of real property, machinery and equipment to help Minority-Owned Business Enterprises (“MBEs”) and Women-Owned Business Enterprises (“WBEs”) to grow and succeed. By making local and community-based economic development professionals responsible for processing loan applications, and for making and administering these loans, MWRLTF will provide a valuable tool to enhance broad-based community economic development. This Request for Applications conforms to the Rules and Regulations governing the Trust Fund.

B. Invitation to Apply

Empire State Development (“ESD”, or the “Corporation”) invites eligible Administering

Corporations (as described in section II(A)) to administer a Minority and Women Revolving Loan Trust

Fund Account (the “Trust Fund Account”) of up to $1,000,000 to be established under the Minority and

Women Revolving Loan Trust Fund (the “Trust Fund or “MWRLTF”). The Minority and Women

Revolving Loan Trust Fund is authorized pursuant to the New York State Urban Development

Corporation Act and the regulations governing the Minority and Women Business Development and

Lending Program.” A total of $15,000,000 has been allocated to the Minority and Women Business

Development and Lending Program (“MWBDLP”), which intends to address financing gaps through the coordinated deployment of the MWRLTF. MWRLTF operates on a revolving basis, ensuring that repaid capital may be redeployed to support additional borrowers over time and preserving public capital for sustained economic impact.

While ESD will consider statewide applications, special consideration may be given to regions demonstrating unmet demand and opportunities associated with strategic economic development. In this manner, the MWBDLP will not only address persistent capital access gaps but also position minority- and women-owned enterprises to participate in and benefit from one of the most significant economic development initiatives in New York State’s history.

C. Request for Application Schedule

Item Date

Release of Request for Applications July 31, 2026

Deadline for Submission of Questions August 14, 2026 by 5:00 PM ET

Deadline for ESD to Respond to Questions August 19, 2026

Submission of Applications August 31, 2026 by 3:00 PM ET

Anticipated Announcement of Selections September 2026

Anticipated Contract Start Date October 2026

II. Program Guidelines

A. Eligibility Requirements

To be eligible to receive grant proceeds from ESD, an applicant must be in good standing with the State of New York and ESD.

A. Eligible Applicants:

i. An organization may apply to become a MWRLTF Administering Corporation if it is:

a. An empire zone capital corporation established pursuant to section nine hundred sixty-four of the general municipal law; or

b. A community-based local development corporation or industrial development agency that serves a municipality in which an empire zone has been established pursuant to article eighteen-B of the general municipal law and have as their primary purpose assistance to minority-and women-owned businesses located or to be located in such empire zone; or

c. A local and community development corporation, industrial development agency, or other not-for-profit entity, representative of the community; or

d. A federally certified Community Development Financial Institution (“CDFI”).

ii. Applicants will be required to:

1. Identify and provide service to a proposed Service Delivery Region that is comprised of all or part of the counties targeted in this solicitation;

2. Have available staff with sufficient expertise to analyze loan applications, to regularly monitor MWRLTF loans, and have made arrangements to provide management or technical assistance to its clients;

3. Establish a loan committee composed of six or more persons experienced in business management, commercial lending or in the operation of a for-profit business, at least one-half of whom shall be experienced in commercial lending, at least one-third of whom shall be minority persons and at least one-third of whom shall be women. Such loan committee shall review every application, determine the feasibility of the proposed project and the likelihood of repayment of the requested financing and shall recommend to the governing body of the entity such action on the application as the loan committee deems appropriate;

4. Obtain New York State prequalification and related registration standards through the Grants Reform System. This will ensure eligibility to participate in this and future RFAs and receive potential program awards (see instructions in section VII(A)(8));

5. Primarily focuses its activities on M/WBE and/or small business lending;

6. Be legally able to receive and use the proceeds as herein stated;

7. Meet any other requirements herein stated for the specific purpose of the grant;

8. Be current with reporting requirements for any other ESD assistance;

9. Demonstrate strong lending capacity and the ability to provide lending products in an impactful way; and

10. Demonstrate linkages with other service providers in the area, which can support its efforts and help source clients.

B. Grant Funding

Grant awards are as follows:

Grantees Award Up To Expected Completion Date

Dependent on Number of Selected Awardees $1,000,000.00 After Utilization Period

ESD reserves the right to award grants in amounts greater or less than the above listed figures and/or at a varying schedule depending on the number and quality of applications received and other considerations set forth in this RFA.

There is no cost-match requirement associated with this grant.

The following limitations apply to this RFA:

• Indirect costs are PROHIBITED.

• Expenses must be relevant and justifiable to the project(s) outcome.

ESD has the right to review all expenses and deny the reimbursement of any expenses that are deemed ineligible.

C. Eligible Borrowers

An eligible business is defined as: a M/WBE whose primary place of business is located in New York State, independently owned and operated, not dominant in its field, and employs one hundred or fewer persons.

D. Ineligible Projects

Program assistance shall not be made available for any of the following projects:

i. Payment of any tax arrearage(s);

ii. Payment of any employee benefit arrearage(s);

iii. Projects that would result in the relocation of any business operation from one municipality in the state to another, except under one of the following conditions:

a. When a business is relocating within a municipality with a population of at least one million, where the governing body of such municipality approves such relocation; or

b. The Administering Corporation notifies each municipality from which such business operation will be relocated, and each municipality agrees to such relocation.

iv. Projects of newspapers, broadcasting or other news media, medical facilities, libraries, community or civic centers, or public infrastructure improvements.

v. Projects involving the refinancing of any portion of the total eligible trust fund project cost or other existing loans or debts of an applicant, except for the purpose of transferring to the employees or to other local interests’ ownership of a company that would otherwise depart from or cease or substantially reduce operations in the State. For the purposes of this paragraph, a substantial reduction of operations in the State shall mean:

a. The loss of an MBE and/or WBE of 25 or more permanent jobs; or

b. The loss by a minority and/or women-owned business enterprise of fewer than 25 permanent jobs, if such a loss would have a major adverse impact on the community in which the business is located.

vi. Retail projects, except where the Administering Corporation finds there will be an increase in net new permanent jobs.

vii. To the extent permitted by law, projects involving the making of a trust fund loan to:

a. A full-time employee of the State or any agency, department, authority, public benefit corporation, or political subdivision thereof, or

b. An MBE and/or WBE in which an employee described in the previous sub paragraph directly or indirectly controls a majority ownership interest.

viii. Projects that would provide funds, directly or indirectly, for payment, distribution or loan to owners, partners or shareholders of an applicant except as ordinary income for services rendered.

E. Trust Fund Process

A. Disbursement by ESD to Trust Fund Account Program funds will be disbursed into a Trust Fund Account established exclusively for MWRLTF as follows:

i. 70% of total award upon execution of Grant Disbursement Agreement.

ii. 30% upon Administering Corporation’s submission of documentation to ESD of disbursement or commitment of 80% of the first disbursement.

B. Loan Approval Prior to disbursement to borrower:

i. Each loan must be approved by Trust Fund Loan Committee.

ii. An Administering Corporation certified by ESD shall use the funds received from the

ESD, subject to the terms, conditions and restrictions set forth in this section, to provide financial assistance to eligible businesses for projects that demonstrate a substantial likelihood of providing increases in net new permanent jobs or retaining jobs in businesses that need such financial assistance to remain viable.

iii. The decision to approve or reject an application for financial assistance pursuant to the provisions of this section shall be made by a majority of the directors of the Administering Corporation, and such decision shall be final.

iv. No member of the board or other governing body of an Administering Corporation shall participate in a decision on a project application when such member is a party to or has a financial interest in such project.

v. Any member who cannot participate in a decision on a project application for such reason shall not be counted as a member of the board or other governing body for purposes of determining the number of members required for a majority vote on such application.

vi. No employee or officer of any Administering Corporation shall be a party to or have any financial interest in any project that receives financial assistance pursuant to this section.

C. Loan Repayments

Interest payments may be retained by the Administering Corporation to defray administrative costs.

F. Funding Source

The Program will be funded by existing funds allocated to the Empire State Development Minority and Women Revolving Loan Trust Fund.

G. Data Collection

Applicants awarded grant funding will be required to track and record information relevant to the success of this grant. Data will be made available to ESD as requested. Data points to be captured and tracked are at the discretion of ESD.

I. Reporting

a. Semi Annual Reports

1. Due within 15 days of the end of each semi-annual period.

2. Must include:

a. A narrative statement and schedule demonstrating portfolio status;

and

b. Bank statements for the Trust Fund Account

3. Failure to submit repayments and/or required documentation of portfolio status may result in default and termination.

b. Annual Reports

1. Due within 45 days of the end of the fiscal year ending March 31.

2. Annual report includes:

a. Narrative Report;

b. Loan Portfolio Performance Report and;

c. The most recent audited/Reviewed/Compiled financial statements.

III. Application Information

A. Application Requirements

i. All fields are properly executed through the Submittable Platform

ii. Executive Summary Describe the following:

a. The organization’s mission and history, including the number of years of providing technical and financial assistance to M/WBEs and/or small businesses and efforts to serve start-up firms;

b. The geographic service area and/or targeted populations served by the organization, including any emphasis on startups, credit risks, other businesses that lack access to credit, and whether other community development organizations serve this geographic area and/or target population;

c. The types of financial and technical assistance products and services offered and how many clients receive these services each year;

d. The organization’s marketing strategy and coordination with other community-based organizations. Please be specific about how the organization works with other community-based organizations to reach

M/WBEs and where possible, quantify referrals made by other community-based organizations or provide some details to illustrate the depth of the relationship. Please include efforts to work with women and minority organizations, associations or chambers of commerce;

e. The management capacity/professional experience of key staff (refer to attached resumes as appropriate);

f. The management capacity/professional experience of the applicant’s proposed MWRLTF Loan Committee;

g. The organization’s strategic plan. If the organization does not have a formal strategic plan, provide a description of some of the goals that the organization hopes to achieve over the next three years.

B. Organizational Information and Capacity

i. Describe the organization’s status as an eligible entity that is able to administer the

Program set forth in Section II this Request for Applications. Please note whether applicant is not-for-profit or for profit entity. Include the year that the organization was established. Include the year certified, if a federally certified CDFI. State the organizational mission. (narrative);

ii. Certificate of incorporation

iii. CDFI certification letter, if applicable;

iv. Bylaws;

v. FDIC Bank Examination Reports, if applicable and available;

vi. Most recent annual report;

vii. Audited financials for 2023, 2024 and 2025.

C. Lending Activity

i. Describe credit analysis and due diligence procedures employed in the loan program;

ii. Describe loan approval and portfolio monitoring/collections procedures;

iii. Track record of providing financial products and services;

a. Describe how financial products and services are marketed, including utilizing community partnerships for outreach, loan packaging, or other activities (narrative);

b. Describe the organization’s capital structure for lending activities. Explain how the capital structure has changed over the past 3-5 years, what funds have been raised during that period, and how the capital structure is expected to change moving forward. Include a breakdown of the following:

1. total loan funds (including what amounts are from debt, grant funds, and earned income);

2. funds committed or deployed; and

3. funds available for lending.

iv. Provide business loan reports certified by an organization officer, showing the following:

a. The number of business loan or applications received and the number approved, and the number and aggregate principal amount of business loans closed for the years 2023, 2024 and 2025;

b. The number and aggregate principal amount of business loans disbursed to

M/WBEs and/or small businesses in 2023, 2024 and 2025

c. The number of business loans that were current in their repayments or were under 31 days past due, and the aggregate amount of principal outstanding for those loans, as of December 31, 2025;

d. The number of business loans with payments past due as of December 31, 2025, and the aggregate amount of principal outstanding for those loans, in the following categories: 3160 days past due, 61-90 days past due, and 90+ days past due; and the total amount of principal outstanding for all three delinquency categories;

e. The Delinquency Ratio as of December 31, 2025 (the ratio of the principal outstanding for business loans or lines of credit with payments 31 days or more past due, divided by the total amount of business loan or principals outstanding);

f. The number of business loans and aggregate amount of business loan principal charged off in 2023, 2024 and 2025;

g. The number of business lines of credit and aggregate amount of business credit line principal charged off in 2023, 2024 and 2025;

h. The Net Loan Loss and Loss Ratios for 2023, 2024 and 2025 (net charge-offs of business loans during the year, divided by the total amount of business loan or credit line principals outstanding at year-end);

i. The Loan Loss Reserve and Loss Reserve Ratios as of December 31, 2025

(total business loan loss reserve divided by total business loan principal outstanding);

j. Capital Available as of December 31, 2025 (please include formula used):

1. Total Borrowed Capital, Equity and Equity Equivalents immediately available for lending;

2. Total Committed Capital (Funds committed to your organization by an outside source that are available for lending but have not yet been drawn down. Such undrawn funds can consist of both debt and equity but excludes lines-of-credit. Attach a list of sources and amounts committed).

D. Project Activities, Results, and Implementation

i. Explain the need for this type of funding in terms of the applicant’s overall supply and demand for loan capital, including a discussion of other sources of loan capital that is available to the applicant, as well as the ways in which the benefits of this funding will be passed along to M/WBEs and small businesses borrowers;

ii. Discuss the need and level of demand for these activities in the target area(s). Please include which other community development organizations serve the target area(s), how the applicant’s services are unique, and how the applicant works with other community development organizations that serve the target community; and

iii. Describe the ways, if any, that your organization’s participation in MWRLTF will leverage other revenue sources.

IV. Review Criteria and Process

ESD will balance individual application scores. For the review of eligible applications, ESD has established the following criteria to be applied in accordance with the review process set forth in the ‘Review Process’ subsection below. In addition to addressing the review criteria stated below, refer to the application instructions in Section III (Application Information) of this RFA for specific items that must also be addressed.

A. Review Criteria

ESD will balance individual application scores with priorities for geographic distribution.

The evaluation criteria will include the following: Weight

Track Record: Small business and M/WBE lending history in the Proposed Service Delivery Region(s) 30%

Lending/Underwriting Capacity: Ability to demonstrate a strong lending base and deal-sourcing capacity 25%

Strategic Vision: Capacity to illustrate a strategic plan and align it with ESD assistance 15%

Institutional Capacity: Fiscal operating budget stability and efficient use of grant funds 10%

Organizational Stability: Core operational history and administrative strength 10%

Application Completeness: Execution of all required fields and structural compliance 5%

Regulatory Compliance: Ability to comply with Section II and standard RFA terms 5%

B. Review Process

Reviewers may include ESD staff, staff from federal or other State agencies, and individuals selected from the commercial lending, economic development, business, and academic communities. The reviewers will adhere to the process described in this section and will apply the review criteria detailed above. ESD may limit the number of proposals a reviewer is required to evaluate. Each proposal will be reviewed and scored by at least three reviewers.

Scoring: Reviewers will independently evaluate and assign a preliminary score to proposals that have been accepted by ESD. The preliminary scores for a proposal will be combined to provide an initial average score for that proposal.

After the initial average scores are calculated, reviewers will convene as a group to review these preliminary scores and discuss the proposals in accordance with the review criteria. At the conclusion of the discussions, each reviewer will individually provide a final score for each proposal based upon the panel’s discussions.

In the event that two or more proposals have the same final score, and the score is high enough for the applicants to be considered for funding, the review panel will hold an additional session to review only those affected proposals. The review panel will deliberate until there is a consensus regarding the selection. At times, it may be necessary to conduct interviews in order to determine the selected applicant.

ESD reserves the right to reject any and all applications. ESD may recall this RFA at any time prior to award announcement and may also reject proposals for deficiencies; waive technicalities, irregularities, and omissions; or solicit new proposals. ESD reserves the right to act in accordance with the best interests of the people of New York in its interpretation of this RFA.

Applicants and/or their surrogates are prohibited from contacting any ESD staff to advocate on behalf of a proposal submitted in response to this RFA. Violation of this restriction will disqualify an applicant’s proposal from the competition.

IV. SUBMISSION OF APPLICATIONS

All applications should be submitted via Submittable no later than 3:00 PM ET on August 31, 2026.

Please create your account here. To Apply visit ESD Capital Access Application Manager.

V. QUESTIONS

All questions, comments, requests for clarification or any other communication regarding this RFA must be submitted by Submittable messaging no later August 14, 2026, by 5:00 PM ET.

VI. GENERAL PROVISIONS

The issuance of this RFA and the submission of a response by an applicant or the acceptance of such a response by ESD does not obligate ESD in any manner. ESD reserves the right to:

1) amend, modify or withdraw this RFA;

2) revise any requirement of this RFA;

3) require supplemental statements or information from any responsible party;

4) accept or reject any or all responses hereto;

5) extend the deadline for submission of responses hereto;

6) negotiate potential contract terms with any Applicants;

7) communicate with any Applicants to correct and/or clarify responses which do not conform to the instructions contained herein;

8) cancel, or reissue in whole or in part, this RFA, if ESD determines in its sole discretion that it is its best interest to do so; and

9) extend the term of any agreement on terms consistent with this RFA.

ESD may exercise the foregoing rights at any time without notice and without liability to any responding firm or any other party for its expenses incurred in preparation of responses hereto or otherwise. All costs associated with responding to this RFA will be at the sole cost and expense of the Applicants.

https://manager.submittable.com/signup https://esdcapitalaccess.submittable.com/submit

All information submitted in response to this RFA is subject to the Freedom of Information Law (“FOIL”), which generally mandates the disclosure of documents in the possession of ESD upon the request of any person unless the content of the document falls under a specific exemption to disclosure. In addition, Proposals may be discussed at meetings of the ESD Directors, which meetings are subject to the Open Meetings Law.

ESD reserves the right, in its sole discretion, to retain and use all the materials and information, and the ideas and suggestions therein, submitted in response to this solicitation (collectively, the “Response Information”) for any purpose. By submitting an application, each Respondent waives any and all claims against ESD relating to ESD’s retention or use of the Response Information.

VII. SUBMISSION REQUIREMENTS

A. Procurement Forms and Requirements

Additional requirements for this RFA are described below. Relevant forms, where required to be submitted, must be executed and included in the submission in the same order as listed below:

1) Conflicts of Interest

Respondent must attest it has read, understood and will comply with the following provisions https://esd.ny.gov/sites/default/files/Conflict-of-Interest-Attestation-June-2019.pdf. ESD shall have the right to disqualify any respondent to this RFA or terminate any contract entered into as a result of this RFA should ESD determine that the Respondent has violated any of these requirements.

A. Gifts and Offers of Employment: Respondent has not and shall not during this procurement and during the negotiation of any contract resulting from this procurement, offer to any employee, member or director of ESD, any gift, whether in the form of money, services, loan, travel, entertainment, hospitality, thing or promise, or in any other form, under circumstances in which it could reasonably be inferred that the offer was intended to influence said employee, member or director, or could reasonably be expected to influence said employee, member or director, in the performance of the official duty of said employee, member or director or was intended as a reward for any official action on the part of said employee, member or director. Respondent may not make any offers of employment or discuss the possibility of such offers with any employee, member or director of ESD who is involved in this procurement and/or resulting contract negotiation within at least 30 days from the time that the employee’s involvement in this matter closed.

B. Disclosure of Potential Conflicts: Respondent shall disclose any existing or contemplated relationship with any other person or entity, including relationships with any member, shareholders of 5% or more, parent, subsidiary, or affiliated firm, which would constitute an actual or potential conflict of interest or appearance of impropriety, relating to other clients/customers/employers of the Respondent or former officers and employees of ESD, in connection with your rendering services enumerated in this RFA. If a conflict does or might exist, Respondent must describe how it would eliminate or prevent it.

https://esd.ny.gov/sites/default/files/Conflict-of-Interest-Attestation-June-2019.pdf

Disclosure of Ethics Investigations: Respondent must disclose whether it, or any of its members, shareholders of 5% or more, parents, affiliates, or subsidiaries, have been the subject of any ongoing investigation or disciplinary action by the New York State Commission on Public Integrity or its predecessor State entities (collectively, “Commission”), and if so, a description must be included indicating how any matter before the Commission was resolved or whether it remains unresolved.

https://esd.ny.gov/sites/default/files/Conflict-of-Interest-Attestation-June-2019.pdf

2) State Finance Law Sections 139J and 139K forms

State Finance Law Sections 139-j and 139-k (collectively, the “Procurement Requirements”) apply to this RFA. These Procurement Requirements: (1) govern permissible communications between potential Applicants and ESD or other involved governmental entities with respect to this RFA; (2) provide for increased disclosure in the public procurement process through identification of persons or organizations whose function is to influence procurement contracts, public works agreements and real property transactions; and (3) establish sanctions for knowing and willful violations of the provisions of the Procurement Requirements, including disqualification from eligibility for an award of any contract pursuant to this RFA. Compliance with the Procurement Requirements requires that all communications regarding this RFA, from the time of its issuance through final award and execution of any resulting contract (the “Restricted Period”), be conducted only with the designated contact persons listed above; the completion by Applicants of the Offeror Disclosure of Prior Non-Responsibility Determinations, and the Offeror’s Affirmation of Understanding and Agreement pursuant to State Finance Law (each form is accessible at the Required Forms for Vendors link at the ESDC web site under “RFPs/RFQs”); and periodic updating of such forms during the term of any contract resulting from this RFA.

Applicants must submit the Offeror Disclosure of Prior Non-Responsibility Determinations, and the Offeror’s Affirmation of Understanding and Agreement pursuant to State Finance Law as part of their submittal. Copies of these forms are available at:

https://esd.ny.gov/CorporateInformation/Data/RFPs/RequiredForms/SF_Law139_JK.pdf.

The Procurement Requirements also require ESD staff to obtain and report certain information when contacted by Applicants during the Restricted Period, make a determination of the responsibility of Applicants and make all such information publicly available in accordance with applicable law. If an Applicant is found to have knowingly and willfully violated the State Finance Law provisions, that Applicant and its subsidiaries, related or successor entities will be determined to be a non-responsible Applicant and will not be awarded any contract issued pursuant to this solicitation. In addition, two such findings of non-responsibility within a four-year period can result in debarment from obtaining any New York State governmental procurement contract. The designated contact account for this solicitation is referenced on the cover of this RFA.

This is not a complete presentation of the provisions of the Procurement Requirements. A copy of State Finance Law Sections 139-j and 139-k can be found at:

http://esd.ny.gov/CorporateInformation/Data/RFPs/RequiredForms/PermissibleContactsPolicy_ Jan2007.pdf. All potential Applicants are solely responsible for full compliance with the Procurement Requirements. Both the prime consultant and any sub-consultants complete the forms required above.

https://esd.ny.gov/sites/default/files/Conflict-of-Interest-Attestation-June-2019.pdf https://esd.ny.gov/CorporateInformation/Data/RFPs/RequiredForms/SF_Law139_JK.pdf http://esd.ny.gov/CorporateInformation/Data/RFPs/RequiredForms/PermissibleContactsPolicy_Jan2007.pdf http://esd.ny.gov/CorporateInformation/Data/RFPs/RequiredForms/PermissibleContactsPolicy_Jan2007.pdf

3) Vendor Responsibility Questionnaire

All Respondents to this RFA must be “responsible,” which in this context means that they must have the requisite financial ability, organizational capacity and legal authority to carry out its obligations under this RFA, and in addition must demonstrate that both the Respondent and its principals have and will maintain the level of integrity needed to contract with New York State entities such as ESD. Further, the Respondent must show satisfactory performance of all prior government contracts. Accordingly, the contract to be entered into between ESD and the Respondent, if any, shall include clauses providing that the Respondent remain “responsible” throughout the term of the contract, that ESD may suspend the contract if information is discovered that calls into question the responsibility of the contracting party, and that ESD may terminate the contract based on a determination that the contracting party is non-responsible.

On request, model language to this effect will be provided to any Respondent to this RFA.

To assist in the determination of responsibility, ESD requires that all respondents to this RFA register in the State's Vendor Responsibility System (“Vend-Rep System”). The Vend-Rep System allows business entities to enter and maintain their Vendor Responsibility Questionnaire information in a secure, centralized database. New York State Procurement Law requires that state agencies award contracts only to responsible vendors. Respondents are to file the required Vendor Responsibility Questionnaire online via the Vend-Rep System or may choose to complete and submit a paper questionnaire. Please include a copy of your Vend-Rep submission receipt or paper questionnaire with your proposal.

To enroll in and use the Vend-Rep System, see the System Instructions available at www.osc.state.ny.us/vendrep or go directly to the Vend-Rep system online at https://portal.osc.state.ny.us. For direct Vend-Rep System user assistance, the Office of the State Comptroller’s Help Desk may be reached at 866-370-4672 or 518-408-4672 or by email at helpdesk@osc.state.ny.us.

Respondents opting to file a paper questionnaire can obtain the appropriate questionnaire from the Vend-Rep website (http://www.osc.state.ny.us/vendrep/forms_vendor.htm) and execute accordingly pertaining to the company’s trade industry. Per the website, respondents are to “Select the questionnaire which best matches the business type (either For-Profit or Not-For- Profit) and business activity (Construction or Other).”

https://www.osc.state.ny.us/state-vendors/vendrep/vendor-responsibility-forms

4) Compliance with State Finance Law Section 139-m

Section 139-m of the New York State Finance Law requires that all vendors bidding or otherwise submitting a proposal for a competitive procurement must implement and attest (via written certification) to a Gender-Based Violence and the Workplace policy. This policy must be in place at the time for bid or proposal submission set forth in Section I.C above for a bid or submission to be considered.

The model policy published by the New York State Office for the Prevention of Domestic Violence can be found at: opdv-gbv-workplace-bidder-model-policy_2025.08.28_0.pdf. The required Gender-Based Violence and the Workplace Certification can be found at:

http://www.osc.state.ny.us/vendrep https://portal.osc.state.ny.us/ mailto:helpdesk@osc.state.ny.us http://www.osc.state.ny.us/vendrep/forms_vendor.htm https://www.osc.state.ny.us/state-vendors/vendrep/vendor-responsibility-forms https://opdv.ny.gov/system/files/documents/2025/08/opdv-gbv-workplace-bidder-model-policy_2025.08.28_0.pdf https://esd.ny.gov/sites/default/files/media/document/GBVandtheWorkplacePolicyAttestation Template-103125.pdf and must be signed and included with all bids, proposals or other submissions.

5) Insurance Requirements

The prospective grantee will be expected to show evidence of the following insurance requirements, (at a minimum and to the extent applicable) as listed below:

• Commercial General Liability insurance - $2 million per occurrence / $4 million aggregate;

• Cyber Liability - $3 million;

• Professional Liability - $1 million;

• Fidelity and Employee Dishonesty - $5 million, additional named insured with ESD as loss payees;

NYS Urban Development Corporation (d/b/a Empire State Development) must be named as additional insured on a primary and non-contributory basis on the policies. All policies above should include a waiver of subrogation in favor of ESD.

6) Non-Discrimination and Contractor & Supplier Diversity Requirements

Pursuant to New York State Executive Law Article 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 New York State certified minority-and women-owned business enterprises (MWBEs) and service-disabled veteran-owned businesses (SDVOBs) in the performance of ESD projects. The Office of Contractor and Supplier Diversity has reviewed the project and has determined that MWBE and SDVOB participation goals will not apply to this project.

7) W-9 Form

Provide a completed W-9 form (https://www.irs.gov/pub/irs-pdf/fw9.pdf), submit with application.

8) New York State Prequalification System for Grants Contract Vendors To better serve the people of the State of New York, a web-based grants management system, Grants Gateway, was launched in spring 2013. The Grants Gateway was established to improve the way grants are administered by the State of New York. Beginning July 31, 2013, all not-for-profit organizations receiving funds from New York State agencies and authorities must be prequalified in Grants Gateway prior to the execution of a contract or a contract amendment.

Based on the above information, you are required to complete the steps outlined below to receive an executed contract or contract amendment. If you are not the appropriate contact for this communication, please forward to the person in your organization responsible for the management of grant funding. Send any questions to GrantsReform@Budget.ny.gov with Prequalification in the subject line.

A. Register with the Statewide Financial System

1. The Registration Form is available for download at www.grantsreform.ny.gov. The https://esd.ny.gov/sites/default/files/media/document/GBVandtheWorkplacePolicyAttestationTemplate-103125.pdf https://esd.ny.gov/sites/default/files/media/document/GBVandtheWorkplacePolicyAttestationTemplate-103125.pdf https://www.irs.gov/pub/irs-pdf/fw9.pdf http://www.grantsreform.ny.gov/

Registration Form can be accessed by clicking the link at the top of the page in yellow labeled “Click HERE to access the Portal or browse for more information below”.

2. Include your State Financial System (“SFS”) Vendor ID on the Form; if you are a new vendor and do not have a SFS Vendor ID, include a Substitute for W-9 with your signed, notarized registration (also available from the Grants Reform Web site).

3. All registrations must include an Organization Chart in order to be processed.

4. Mail the completed Registration Form, Organization Chart that shows the Head of your

Organization, and Substitute W-9 (if new vendor) to:

Division of Budget - Grants Reform Agency Building 1 - 5th Floor Empire State Plaza, Albany, NY 12224

5. When you receive your login information via email, log in and change your password.

This password will allow access to the Grants Reform Web site.

6. Associate your organization with a State agency (ESD) by clicking on Organization(s) and then selecting Organization Information; complete all required fields.

7. Complete the Document Vault by uploading requested documents and answering all questions.

8. Upon completion of the Document Vault, submit it for review and prequalification.

If you believe your organization has submitted its Prequalification application and has submitted any requested documents omitted from your registration, please contact ESD’s program representative or the Grants Reform Team by emailing GrantsReform@Budget.ny.gov with Prequalification in the subject line.

APPENDIX A: ESD IT Security Standard Brief https://esd.ny.gov/sites/default/files/ESD-Security-Standard-Brief.pdf mailto:GrantsReform@Budget.ny.gov https://esd.ny.gov/sites/default/files/ESD-Security-Standard-Brief.pdf