CLEAR Implementation Design Grant RFA #26-OPD-37

RFA #26-OPD-37

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

CLEAR Implementation Design Grant

2026 REQUEST FOR APPLICATIONS

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

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

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

RFA Questions: Written questions will be accepted until September 17, 2026. Questions should be submitted by e-mail to Resilience@dos.ny.gov or in writing to the address below. When corresponding by e-mail, clearly indicate the subject as: “26-OPD-37 RFA Questions”.

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

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

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

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

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

Funding Application materials, go to http://regionalcouncils.ny.gov/.

Contact: NYS Department of State

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

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

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

CLEAR Implementation Design Grant RFA #26-OPD-37

CLEAR Implementation Design Grant

2026 REQUEST FOR APPLICATIONS

I. INTRODUCTION

The New York State Department of State’s Office of Planning, Development & Community Infrastructure (Department or DOS) is soliciting applications from eligible applicants for Coastal Lakeshore Economy and Resiliency (CLEAR) Implementation Design Grants. These grants will enhance community resiliency across the five CLEAR planning regions.

Eligible entities include municipalities along the Lake Ontario Shoreline located in the following counties: Cayuga, Jefferson, Monroe, Niagara, Orleans, Oswego, St. Lawrence, and Wayne.

The goal of this grant program is to advance Article 14 of the NYS Environmental Conservation Law and provide communities with funding to complete design, feasibility, or engineering equivalent work associated with the implementation of the following CLEAR recommendations:

Nature Based Shoreline Protection Measures: Create or enhance natural shorelines to restore beneficial ecosystem services.

Resilient Stormwater Systems: Upgrade or replace aging and failing systems to ensure they are resilient to a changing climate.

Implement Blue-Green Infrastructure: Where possible, replace traditional gray infrastructure (e.g. culverts and pipes) with blue infrastructure (e.g. water spaces) and green infrastructure (e.g. vegetated spaces).

Funding is available on a competitive basis to complete design, feasibility, or engineering equivalent work that helps make coastal Lake Ontario communities more resilient. Applicants must demonstrate that their project meets at least one of the CLEAR recommendations listed above. Applicants should demonstrate how they will utilize the design/engineering work completed through this program to leverage other sources of funding (e.g. Bond Act) or local funds to fully implement the project.

CLEAR Implementation Design Applicants for design projects are encouraged to incorporate some or all of the following NYSDOS Resilience Principles1 into their design:

Risk – Know It, Avoid It, Reduce It: Use maps, risk viewers, and hazard mitigation plans to learn about risks to an area. Apply land use concepts that place development and community assets out of hazardous areas. Explore options to manage risks through the full range of measures, including non-structural and structural approaches.

Maintain Capacity to Adapt: Consider different scenarios of future conditions and be prepared to change course if necessary

Multiple Benefits from One Measure: Seek solutions that provide multiple benefits and address multiple goals.

Let Nature Do the Work: Conserve, enhance, and restore naturally resilient features and systems.

Stack Resiliency Measures: Create a layered approach of multiple measures to provide greater reliability should one measure fail.

Share Costs and Benefits Equitably: Identify the impact on existing inequities and the potential costs to future generations.

Make Inclusive and Transparent Decisions: Transparency, accountability, and inclusivity tend to lead to better decisions and reduce conflicts.

All proposed project designs must directly address and advance the goals outline in Article 14 of the NYS Environmental Conservation Law.

II. FUNDING OPPORTUNITY

The Department is making $1,500,000 available to fund applications for the CLEAR Implementation Design Grant program. The maximum grant funding will be $300,000 per award. State assistance awarded and paid to a grant recipient shall not exceed 90% of the total eligible costs set forth in the application and as approved by DOS.

1 https://dos.ny.gov/system/files/documents/2025-10-03-opdci-resilience-principles.pdf

CLEAR Implementation Design Grant RFA #26-OPD-37

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

III. ELIGIBLE APPLICANTS

Eligible applicants are:

Municipalities and Counties along the Lake Ontario shoreline located within Cayuga, Jefferson, Monroe, Niagara, Orleans, Oswego, St. Lawrence, and Wayne Counties.

Regional Planning Boards and Soil and Water Conservation Districts located within Cayuga, Jefferson, Monroe, Niagara, Orleans, Oswego, St. Lawrence, or Wayne County, on behalf of an eligible municipality or County.

For applications submitted by a County, Regional Planning Board or Soil and Water Conservation District on behalf of an eligible municipality, the application must include a letter or resolution from the municipality(ies) participating in the project which demonstrates municipal consent and support for the application to be submitted on their behalf.

Applicants may partner with other organizations; however, only applications from eligible applicants will be evaluated for funding. Multiple eligible applicants can jointly apply for funding, however a Memorandum of Understanding (MOU) or municipal resolution demonstrating the consent and support of all participating entities is required at the time of submission. Joint applicants must also identify the primary applicant that DOS will recognize for all purposes, including contract award.

IV. ELIGIBLE ACTIVITIES

Funding awarded through this solicitation may be used for activities necessary to complete design, feasibility, and/or engineering equivalent work for nature-based shoreline protection measures, resilient water and wastewater systems, and/or blue-green infrastructure. Successful applicants will demonstrate a need for the design work; explain how the project will help increase coastal resiliency for the community; assess vulnerability if the project is not completed;

identify the resilience principles met by the project; estimate costs and benefits of the resiliency measure; and demonstrate how the project will be able to leverage other funding sources such as local funds, state grants, and federal grants to move towards final implementation after design, feasibility, and/or engineering equivalent work is completed.

Applicants may apply for design funding for eligible activities including but not limited to the following:

Nature-based Shoreline Protection Measures:

Natural and Nature-based elements in combination with minimal structural elements (e.g. living shorelines, horizontal levees, etc.)

Bluff grading with vegetative stabilization Vegetative buffers between land use and natural features Living shorelines Floodplain reconnection Stream restoration Vegetated buffers Natural sediment transport restoration Wetland restoration and expansion Beach and dune restoration and expansion Natural and nature-based shoreline stabilization

Resilient Stormwater Systems

Culvert right-sizing with natural stream bottoms Projects to reduce localized flooding and/or provide resiliency to impacts from increased precipitation and increased flooding due to climate change Stormwater retrofit projects

CLEAR Implementation Design Grant RFA #26-OPD-37

Blue-Green Infrastructure

Projects to make public facilities, including parks, trails, blueway trails, etc. more accessible and resilient to potential severe weather and flooding impacts

Green Infrastructure (bioswales, rain gardens, and infiltration areas) Flood-resilient waterfront parks Shoreline stabilization in areas of public access and recreation

Completed design projects must consist of a feasibility study, engineering report, preliminary design, 30% design, or equivalent documents. These documents should include the following at a minimum:

Detailed project summary and/or objectives Current conditions Need for project and/or alternative analysis Proposed project schedule Anticipated project costs

Development of design projects will require public input and engagement. A project committee should be established to provide guidance on the identification of potential project design sites and to review project designs throughout the planning process. The committee should include elected officials and/or municipal staff, as well as at least one local resident who is not an elected official or employee of the municipality, to ensure community representation and input.

This committee will act in an advisory capacity and final design documents will be approved by local leadership and DOS. Public engagement in the form of a survey, public meeting, or other forms of outreach will also be required as part of this project.

All design projects should demonstrate alignment with Article 14 of the New York State Environmental Conservation Law. Projects should prioritize solutions that contribute to the health of Lake Ontario and its tributaries by reducing pollutant runoff, enhancing natural filtration, improving coastal habitats, improving water quality in Lake Ontario, and increasing resilience to coastal storm events. Applicants must demonstrate how their proposed project design will directly address and incorporate at least one of the following principles outlined in Article 14 of the NYS Environmental Conservation Law:

Ecosystem-Based Management Principles - Demonstrates how ecosystem-based management principles, including the use of natural and nature-based solutions, protection of ecosystem functions, and consideration of community needs and economic viability, will guide project development and resilience planning.

Systems-Based Planning Approach - Demonstrates consideration of watershed, coastal, or Great Lakes systems, regional coordination, complex cross-jurisdictional issues, and the interconnectedness of natural and built environments.

Science-Based and Adaptive Planning - Incorporates climate science, vulnerability assessments, best available data, and an adaptive management approach that supports long-term resilience and measurable outcomes.

V. FUNDING AND BUDGET GUIDANCE

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

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

Applicants will be required to prepare and submit a project work schedule and timeline that includes major tasks and milestones with completion dates for each.

CLEAR Implementation Design Grant RFA #26-OPD-37

Eligible Costs

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

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

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

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

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

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

Local Match

State assistance awarded and paid shall not exceed 90% of the total eligible cost for the project. Local match of 10% of project costs shall include any of the items listed above in Eligible Costs. Local match must be outlined in the application for consideration.

Applicants must identify the amount, type and source of eligible local match, and demonstrate that it has been secured.

Applicants who propose an insufficient amount of match or an ineligible source of match will be contacted to verify if they have additional match from eligible sources. Eligible match includes any Federal, State, or local funding, excluding funding from the NYS Environmental Protection Fund. Applicants who do not have another source of eligible match equaling 10% of the project costs will have their award reduced, up to and including reduced to $0, based on the amount of eligible match available.

Ineligible Costs

The following costs are ineligible and will not be reimbursed with grant funds or accepted as local match:

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

Salaries and other expenses of elected officials Local match (10% of Total Project Costs) funded with NYS Environmental Protection Funding Taxes, insurance, fines, deficit funding Loan and bond interest and associated fees Contingency costs Lobbying expenses Expenses associated with fundraising Costs incurred outside the contract term Costs that, in DOS’s sole discretion, are not adequately justified or that do not directly support the scope of work for the proposed project

CLEAR Implementation Design Grant RFA #26-OPD-37

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

VI. AWARD METHOD

DOS is making approximately $1,500,000 available for award(s) under this procurement. Each application will be reviewed for eligibility and, if determined eligible, will be scored according to the application evaluation criteria.

Applications deemed ineligible will not be scored. Eligible applications will be scored and funds will be awarded in rank order until available funds are fully distributed.

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

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

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

In the event unsuccessful applicants wish to protest the award resulting from this RFA, applicants should follow the protest procedures established by the Office of the State Comptroller (OSC). These procedures can be found in Chapter XI Section 17 of the Guide to Financial Operations (GFO): http://www.osc.state.ny.us/agencies/guide/MyWebHelp/.

VII. APPLICATION EVALUATION CRITERIA

Pre-Submission Requirements

Gender-Based Violence and the Workplace Policy:

Applicants are required to complete and submit with their application the Gender-Based Violence and the Workplace Certification to certify that their organization has in place and has implemented a Gender-Based Violence and the Workplace Policy and has provided such policy to all of its employees, directors and board members. The certification may be found here: https://dos.ny.gov/procurement-forms. Such policy shall, at a minimum, meet the requirements of subdivision 11 of section five hundred seventy-five of the executive law. If the applicant cannot make this certification, they must include a signed statement setting forth in detail the reasons why.

Eligibility Requirements

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

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

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

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

Additionally, for applications submitted by a County, Regional Planning Board or Soil and Water Conservation District on behalf of an eligible municipality and/or County:

A letter or resolution from the municipality(ies) and/or County participating in the project which demonstrates municipal consent and support for the application must be submitted on their behalf.

Additionally, for joint applications:

Memorandum of Understanding (MOU) or municipal resolution from each joint applicant, demonstrating their consent and support for the application to be submitted.

CLEAR Implementation Design Grant RFA #26-OPD-37

Any application that does not meet these eligibility requirements will result in immediate disqualification of the application, which will not be further evaluated.

Applications that meet the eligibility requirements will be reviewed using the Program Criteria outlined below:

Program Criteria (maximum of 100 points)

Applications will be evaluated by DOS to assess the degree to which they meet the elements of each criterion.

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

1. Alignment with Article 14 and CLEAR Recommendations (up to 20 points)

Demonstrates how the project designs will implement nature-based shoreline protection measures, resilient stormwater and wastewater infrastructure, and/or blue-green infrastructure that directly benefit Lake Ontario’s coastal ecosystems and communities (maximum of 5 points).

Clearly articulates how the project design incorporates and advances the principles of Article 14 of the NYS Environmental Conservation Law. Preference will be given to projects that demonstrate alignment with multiple Article 14 principles (maximum of 10 points).

Demonstrates how the project design will contribute to the overall goal of the CLEAR initiative and enhance the resilience of coastal communities along Lake Ontario (maximum of 5 points).

2. Connection to Funding Sources for Final Implementation (up to 15 points)

The applicant identifies and explains how they intend to leverage other funding sources (e.g. Bond Act, Climate Smart Communities grants, etc.) to advance implementation of the proposed project following completion of the 30% design(s) (maximum of 5 points).

The applicant demonstrates how the proposed project aligns with the goals, eligibility requirements, or funding priorities of identified implementation funding sources (maximum of 3 points).

The applicant describes a realistic strategy and timeline for pursuing implementation funding, including any planned partnerships, local commitments, matching funds, or actions necessary to position the project for successful funding applications (maximum of 4 points).

The applicant demonstrates how completion of the 30% design will reduce barriers to implementation and increase the project’s competitiveness for future funding opportunities (maximum of 3 points).

3. Resiliency and Sustainability (up to 15 points) The project will improve local, regional, waterfront, or waterway resiliency to a changing climate, including both adaptation and mitigation strategies to proactively address risks and reduce vulnerabilities and seeks solutions that provides multiple benefits and addresses multiple goals (maximum of 5 points).

Demonstrates how the project designs will incorporate the NYSDOS Resilience Principles found at https://dos.ny.gov/system/files/documents/2025/11/2025-10-03-opdci-resilience-principles.pdf , meeting at a minimum 2 of the principles (maximum of 5 points).

The project will utilize a climate adaptive design approach which prioritizes non-structural or natural-based measures approaches to promote resiliency. Only utilizes structural measures where non-structural or nature-based alternative measures have been tried and proven to be inadequate to protect the principal use (maximum of 3 points).

The project will ensure that governmental decision-making is based on sound science and considers cumulative effects including but not limited to incorporating consideration of project effect on regional water resources and natural processes in project design to make projects on public property and/or public facilities more resilient (maximum of 2 points).

4. Timeframe and Readiness (up to 5 points)

Demonstrates an ability to meet project deadlines (maximum of 1 point).

Explains the readiness of the applicant to undergo 30% design work for an identified resiliency project (maximum of 3 points).

CLEAR Implementation Design Grant RFA #26-OPD-37

The applicant demonstrates organizational capacity to manage grant requirements, including project administration, reporting, consultant procurement and oversight, public engagement, and coordination with project partners (maximum of 1 point).

5. Need for Resiliency Design (up to 15 points)

Project is located in an area identified as high-risk for coastal erosion, flooding, or other climate-related impacts affecting Lake Ontario’s shoreline and associated ecosystems as documented by the NYS Geographic Information Gateway, FEMA Flood Map Service Center, DEC Info Locator, NYS Climate Impacts Assessment or other relevant state or federal tool (maximum of 3 points).

Demonstrates a need for resiliency design through the documentation of current or future hazards, and how those hazards may negatively impact the community (maximum of 3 points).

The applicant utilizes tools such as the DOS Geographic Information Gateway to identify high hazard areas (maximum of 3 points).

The applicant connects hazard risk to socioeconomic conditions, and demonstrates how without this funding, it would be difficult to advance the design project (maximum of 3 points).

Demonstrates the anticipated resilience benefits and long-term outcomes of the proposed project, including reduction of hazard risk, protection of assets, ecosystem benefits, public benefits, and broader community benefits (maximum of 3 points).

6. Planning and Implementation Efforts (up to 10 points) The proposed project is identified as a priority in existing planning efforts such as a comprehensive plan, hazard mitigation plan, Local Waterfront Revitalization Plan (LWRP), CLEAR plan, or climate adaptation plan (maximum of 5 points).

The existing planning efforts address coastal and/or Great Lakes ecosystem conservation (maximum of 2 points).

The applicant demonstrates a commitment to advancing the project beyond the planning stage through local support, coordination with partners, previous planning efforts, or implementation actions already completed (maximum of 3 points).

7. Evaluation of Budget and Cost (Up to 20 points)

Application describes and documents how the budget and cost were determined. Identifies the person(s) responsible for compiling the budget including relevant experience and background of all parties and the method/approach used to arrive at estimates (maximum of 2 points).

Budget and related attachments include adequate detail for all projects components involved and is accurate and thorough. Budget narrative includes an explanation for the estimate of each budget line. If requested funding is part of a larger project scope, budget clearly identifies which line items are seeking funding under this RFA (maximum of 8 points).

Budget demonstrates a clear and cost-effective pathway to developing a high-value, actionable preliminary design deliverable (maximum of 8 points).

Budget presents necessary and realistic costs and does not include ineligible expenses (maximum of 2 points).

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

VIII. CONTRACT REQUIREMENTS

New York Statewide Financial System All grant applicants are encouraged to register through the New York Statewide Financial System.

https://www.sfs.ny.gov/index.php/vendors

Standard Cost Reimbursement Contract Each successful applicant must enter into a State of New York Contract for Grants with DOS, which will include standard clauses required by the NYS Attorney General, Appendix A (including compliance with Article 15-A of the New York Executive Law), the agreed upon work plan and budget, and other applicable attachments as required. The contract will: 1) be subject to approval by the Attorney General and State Comptroller; 2) require submission of final products in both hard copy

CLEAR Implementation Design Grant RFA #26-OPD-37 and electronic format; 3) be subject to reimbursement only upon proper documentation and compliance with reimbursement procedures and 4) be subject to all other contractual requirements. The State of New York Contract for Grants including the attachments outlined above is available on DOS’s website at https://dos.ny.gov/funding-bid-opportunities. Please use the RFA number listed on the cover page of the RFA to help locate a link to the specific page for this opportunity.

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

Compliance with Procurement Requirements

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

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

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

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

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

cancelled checks and the related bank statements, time and attendance records, payroll journals, cash and check disbursement records including copies of money orders and the like, vouchers and invoices, records of contract labor, any and all records listing payroll and the money value of non-cash advantages provided to employees, time cards, work schedules and logs, employee personal history folders, detailed and general ledgers, sales records, miscellaneous reports

CLEAR Implementation Design Grant RFA #26-OPD-37 and returns (tax and otherwise), and cost allocation plans, if applicable, (ii) payroll taxes and fringe benefits: cancelled checks, copies of related bank statements, cash and check disbursement records including copies of money orders and the like, invoices for fringe benefit expenses, miscellaneous reports and returns (tax and otherwise), and cost allocation plans, if applicable, (iii) non-personal services expenditures: original invoices/receipts, cancelled checks and related bank statements, consultant agreements, leases, and cost allocation plans, if applicable, (iv) receipt and deposit of advances and reimbursements: itemized bank stamped deposit slips, and a copy of the related bank statements.

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

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

IX. SATISFACTORY PROGRESS

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

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

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

XI. AMENDMENTS TO THE CONTRACT

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

XII. GENERAL SPECIFICATIONS

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

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

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

4. Provisions upon default:

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

RFA.

CLEAR Implementation Design Grant RFA #26-OPD-37

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

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

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

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

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

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

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

RFA;

e. Seek clarifications of applications;

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

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

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

i. Change any of the scheduled dates;

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

k. Waive any requirements that are not material;

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

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

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

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

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

q. Make awards based on geographic distribution;

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

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

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

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

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

w. Make additional awards if funding becomes available;

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

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

CLEAR Implementation Design Grant RFA #26-OPD-37

Appendix 1 – MWBE and SDVOB Information

CONTRACTOR REQUIREMENTS AND PROCEDURES FOR PARTICIPATION BY NEW YORK STATE-

CERTIFIED MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES, EQUAL EMPLOYMENT

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

VETERAN-OWNED BUSINESSES

I. MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES PARTICIPATION

NEW YORK STATE LAW

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

Business Participation Opportunities for MWBEs

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

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

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

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

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

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

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

CLEAR Implementation Design Grant RFA #26-OPD-37

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

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

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

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

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

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

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

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

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

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

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

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

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

Equal Employment Opportunity Requirements

By submission of a proposal in response to this solicitation, the respondent agrees with all of the terms and conditions of the State of New York Contract for Grants, including Appendix A Section 12 - Equal Employment Opportunities for Minorities and Women. The respondent is required to ensure that it and any subcontractors awarded a subcontract over $25,000 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work"), except where the Work is for the beneficial use of the respondent, undertake or continue programs to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status.