RFA#25-OPDSG-11.pdf

RFA #25-OPDSG-11

New York State Department of State

Office of Planning, Development & Community Infrastructure

Environmental Protection Fund Smart Growth Program

SMART GROWTH COMNMUNITY PLANNING PROGRAM

2025 REQUEST FOR APPLICATIONS

RFA Release Date: May 19, 2025. This Request for Applications (RFA) has been posted on the

Department of State’s (Department) public website at https://dos.ny.gov/funding-bid-opportunities. All applicants are encouraged to read the RFA in its entirety as grant program requirements may change from year to year.

RFA Updates/Questions: Any updates and/or modifications to this RFA will be posted on the Department’s website at https://dos.ny.gov/funding-bid-opportunities.

Written questions will be accepted until June 20, 2025. Questions regarding this grant program should be submitted by e-mail to opd@dos.ny.gov or in writing to the address below. When corresponding by e-mail, clearly indicate the subject as: “25-OPDSG-11

Questions”. To the degree possible, each inquiry should cite the RFA section and paragraph to which it refers. Responses to questions received by June 20th will be posted by July 11th 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 Request for Applications.

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

Bid Opportunities website.

Applications Due: Applications are due by 4:00 PM, July 31, 2025, and must be submitted through the web-based Consolidated Funding Application, as noted below.

Application Submission: To apply, or to access related Consolidated Funding Application materials, go to http://regionalcouncils.ny.gov/

Contact: NYS Department of State

Office of Planning, Development & Community Infrastructure

Attn: SGCP RFA Questions

99 Washington Avenue, Suite 1010

Albany, NY 12231 opd@dos.ny.gov

Letter of Support: Letters of support are not required but are encouraged and may be submitted through the CFA portal. Letters may be addressed to NYS Secretary of State c/o Office of

Planning, Development and Community Infrastructure, 99 Washington Avenue, Suite

1010, Albany, NY 12231.

https://dos.ny.gov/funding-bid-opportunities https://dos.ny.gov/funding-bid-opportunities https://dos.ny.gov/funding-bid-opportunities mailto:opd@dos.ny.gov https://dos.ny.gov/funding-bid-opportunities https://dos.ny.gov/funding-bid-opportunities http://regionalcouncils.ny.gov/ https://dos.ny.gov/funding-bid-opportunities https://dos.ny.gov/funding-bid-opportunities http://regionalcouncils.ny.gov/ mailto:opd@dos.ny.gov

Environmental Protection Fund Smart Growth Community Planning Program RFA 2025-2026 RFA# 25-OPDSG-11

Smart Growth Program Community Planning Program

2025-2026 REQUEST FOR APPLICATIONS

I. INTRODUCTION:

II. FUNDING OPPORTUNITY:

III. ELIGIBLE APPLICANTS:

IV. ELIGIBLE ACTIVITIES:

V. REQUIREMENTS FOR SMART GROWTH PRINCIPLES

VI. FUNDING AND BUDGET GUIDANCE

VII. AWARD METHOD

VII. APPLICATION EVALUATION CRITERIA

IX. NEW YORK STATE SMART GROWTH PUBLIC INFRASTRUCTURE POLICY ACT

X. CONTRACT REQUIREMENTS

XI. SATISFACTORY PROGRESS

XII. GENERAL SPECIFICATIONS

I. INTRODUCTION:

The Department is soliciting applications through the New York State Consolidated Funding Application (CFA) under the Environmental Protection Fund Smart Growth Community Planning Program from eligible towns, villages, cities, counties, regional planning entities, and not-for-profit organizations to advance the preparation and adoption of one of the following:

• A new or updated comprehensive plan for an entire town, village, or city that integrates Smart Growth principles as described in section V below, pursuant to Town Law §272-a, Village Law §7-722 or General City

Law §28-a (hereinafter “Comprehensive Plan Grant”)

• Preparation and local adoption of a new or updated comprehensive plan for an entire county that integrates

Smart Growth principles as described in section V below, pursuant to General Municipal Law §239-D

(hereinafter “County Comprehensive Plan Grant”)

• A new or updated community wide zoning regulations (i.e., local law, ordinance) for a town, village, or city that would implement an existing comprehensive plan that supports Smart Growth principles for the community

(hereinafter “Comprehensive Zoning Grant”)

• Amendment of existing zoning regulations for part of a town, village, or city to implement an existing comprehensive plan or previously adopted area plan that integrates Smart Growth principles (hereinafter

“Zoning Amendment Grant")

• A new or updated area plan for part of a town, village, or city that supports Smart Growth principles for the community, and which plans may include, but would not be limited to, transit-oriented development plans and downtown/hamlet area plans (hereinafter, “Area Plan Grant”)

• Preparation of a new or updated area plan and subsequent zoning amendment update that supports Smart Growth principles for part of a town, village, or city (hereinafter “Area Plan and Zoning Amendment Grant”)

The comprehensive plan establishes the land use planning policy of communities in New York State and articulates the community vision and goals to guide official decision making. State law requires that all zoning regulations (i.e., local law, ordinance) be in accordance with a comprehensive plan; therefore, zoning and land use regulations are an important tool in implementing the goals of the comprehensive plan. Lack of a comprehensive plan, or an outdated comprehensive plan that no longer reflects the conditions and wishes of the community, can put a local government at risk of legal challenges to planning and zoning decisions. Applications are encouraged from those communities that do not have a comprehensive plan.

Some municipalities desire to focus planning, zoning, development and/or conservation efforts in priority areas, such as downtowns, central business districts, Brownfield Opportunity Areas designated by the Secretary of State, areas accessible to transit, critical environmental areas, or historic neighborhoods, among others. A comprehensive plan often addresses local and state planning and development goals, including clean energy siting, greenhouse gas reductions, downtown revitalization, equity and housing affordability, among others. Area plan projects must result in a holistic planning framework for the area of the town, village, or city that is the subject of the plan.

By preparing comprehensive or area plans that support Smart Growth principles, community stakeholders have the opportunity to evaluate local resources, develop goals and a comprehensive strategy for the best and most efficient use of those resources, propose future projects, and adopt a municipal-wide or area plan that will guide development to maximize economic, social, and environmental benefits for the community.

Planning should address a wide range of issues including, but not limited to, appropriate physical development, economic development, transportation patterns, natural and built resource inventories, affordable housing and demographic trends. An effective comprehensive or area plan should:

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

• determine appropriate land uses to implement community goals and objectives

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

Smart Growth encourages several best practices for community planning and development including but not limited to:

• Development in areas where water and sewer infrastructure is available.

• Redevelopment of existing community and municipal centers.

• Protection of important historic and natural resources.

• Walkable neighborhood designs with multi-modal-oriented streetscapes.

• Development around transit lines in the form of transit-oriented development.

• Promotion of equity, such as affordable housing and environmental justice; and

• The promotion of siting and development of community-scale clean energy facilities.

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

Zoning regulations will effectively codify the Smart Growth principles articulated in an adopted comprehensive plan.

Zoning regulations must advance Smart Growth principles by providing flexibility in the type of uses allowed in zoning districts, access to housing across all income levels, creating a zoning map that prioritizes equitable investments throughout a community, and by creating a streamlined and accessible development review process. Zoning regulations can also serve as an effective tool to encourage denser development through the elimination of parking minimums and to protect sensitive natural resources and farmland. Most importantly, strong zoning regulations can guide thoughtful development which balances environmental protection, economic development, and equity. In this respect, the Smart

Growth Community Planning Program seeks to reverse and alleviate the disproportionately negative impacts of zoning on historically underserved and disenfranchised communities.

New York communities are faced with increased risks related to climate change, such as more intense and frequent rain events, increased and extended droughts, greater coastal storm flooding, and periods of extreme heat. Comprehensive plans provide a mechanism for local governments to address climate risks on a local level. The comprehensive plan, zoning regulations, or area plan can set a course for clean, affordable, and reliable energy and transportation; safe and energy efficient businesses; protection of farmland and forestlands to avoid loss of natural resources; and overall healthy communities. Thus, the comprehensive plan, zoning regulations, or area plan should support the New York Climate

Leadership and Community Protection Act goals and Smart Growth principles, consider asset risk assessments, and incorporate and advance emissions reduction, energy efficiency, and renewable energy strategies.

The lack of housing availability and affordability in NYS—with its deleterious impacts on economic development, equity and quality of life—has reached crisis proportions. Governor Hochul is addressing the issue through her Pro-

Housing Communities Initiative. Smart Growth planning and zoning is part of the solution in a variety of ways— providing housing for professionals, such as teachers and nurses, that allows them to live where they work; creating vibrant, livable communities with expanded housing options for older New Yorkers who wish to downsize and remain in their community, thus freeing up their previous homes to the next generation of growing families and younger professionals; and strengthening opportunities for new and expanding businesses in NY communities through greater workforce housing options.

Smart Growth promotes the creation of diverse housing options for people of all ages, incomes, abilities and backgrounds—with an emphasis on compact, mixed-use, mixed-income and affordable housing in municipal centers and previously developed areas, such as hamlets, downtowns, central business districts and Transit-Oriented

Development (TOD) districts, among others. In many places, post-war land use planning and zoning practices excluded this type of housing and enabled low-density, single use, suburban sprawl, with its concomitant predominance of large-lot, single-family, detached housing subdivisions. Reversing that trend starts with inclusionary planning and zoning that enables all types of housing.

Applications to prepare or update a municipal comprehensive plan, county-wide comprehensive plan, or zoning regulations may only include one plan per application. Applications to establish or update zoning regulations for an entire town, village, or city should be in accordance with a comprehensive plan duly adopted by the local government

(town, village, or city) by September 30, 2025. However, applicants may apply for both an area plan and zoning amendment grant for part of a town, village, or city provided that both documents are in accordance with a comprehensive plan duly adopted by the local government (town, village, or city) by September 30, 2025. Written questions will be accepted until June 20, 2025. Questions should be submitted by e-mail to opd@dos.ny.gov or in writing to: NYS Department of State Office of Planning, Development and Community Infrastructure, Attn: SGCP RFA

Questions, 99 Washington Avenue, Suite 1010, Albany, NY 12231.

When corresponding by e-mail, clearly indicate the subject as “25-OPDSG-11 RFA Questions.” To the degree possible each inquiry should cite the RFA section and paragraph to which it refers. Responses to questions received by June 20, 2025, will be posted by July 11, 2025 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 contacting DOS staff directly via email or telephone. It is recommended all applicants review the final responses. The response to questions received during this time period will be the official response by the Department and will be incorporated into the Request for

Applications.

II. FUNDING OPPORTUNITY:

The Department is making approximately $2,000,000 available to fund applications for the Smart Growth Community

Planning Program. There is a minimum State assistance request of $75,000. There is no maximum State assistance request. State assistance awarded and paid to a grant recipient shall not exceed 90% of the total eligible costs.

https://dos.ny.gov/funding-bid-opportunities

III. ELIGIBLE APPLICANTS:

Eligible applicants are:

• Towns, counties, villages, and cities.

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

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

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

o Incorporated pursuant to New York State Not-For-Profit Corporation Law and o Approved for tax-exempt status under the Internal Revenue Service code on or before December 31, 2023.

• Towns, villages and cities with a county, non-profit, or regional planning board jointly

Local government applicants may apply jointly with counties, non-profits, or regional planning boards where the intent is for the staff of the joint applicant to complete (in whole or in part) the eligible activities. Such applications should identify the municipality, county, non-profit, or regional planning board that the Department should recognize as the primary applicant for all purposes, including contract award.

For applications submitted by a county, regional planning entity, or non-profit organization acting on behalf of a village, town, or city, the application must include a letter or resolution from each eligible municipality participating in the project which demonstrates the municipal consent and support for the application.

For applications submitted by a non-profit organization or a regional planning entity on behalf of a county, the application must include a letter or resolution from the county participating in the project which demonstrates its consent and support for the application.

Additional requirements for applications by non-municipal applicants

Non-municipal applicants are required to complete and submit the Certification under Executive Order No. 16

Prohibiting State Agencies and Authorities from Contracting with Businesses Conducting Business in Russia. The certification may be found here: https://ogs.ny.gov/system/files/documents/2022/04/eo16_certification.pdf. Completed

Certification forms should be submitted no later than 4:00 pm on October 1, 2025, via email to opd@dos.ny.gov. The applicant’s name and CFA# should be included in the subject line.

Non-municipal applicants must register and and be pre-qualified through the New York Statewide Financial System

(SFS) on or before the application due date. Such applicants will be required to submit documentation of registration and pre-qualification with SFS, to include: (1) SFS Vendor ID; and (2) confirmation of Pre-Qualification Application

Status. Information on this process is available at: https://www.sfs.ny.gov/index.php/vendors.

IV. ELIGIBLE ACTIVITIES:

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

Applicants may apply for funding for one of the following:

• Preparation and local adoption of a new or updated comprehensive plan for an entire town, village, or city that integrates Smart Growth principles as described in section V below, pursuant to Town Law §272-a, Village Law

§7-722 or General City Law §28-a (hereinafter “Comprehensive Plan Grant”)

• Preparation and local adoption of a new or updated comprehensive plan for an entire county that integrates

Smart Growth principles as described in section V below, pursuant to General Municipal Law §239-D

(hereinafter “County Comprehensive Plan Grant”) https://ogs.ny.gov/system/files/documents/2022/04/eo16_certification.pdf https://www.sfs.ny.gov/index.php/vendors

• Preparation and local adoption of new or updated community wide zoning regulations (i.e., local law, ordinance) for an entire town, village, or city adopted to implement an existing comprehensive plan that integrates Smart

Growth principles (hereinafter “Comprehensive Zoning Grant”)

• Amendment of existing zoning regulations for part of a town, village, or city to implement an existing comprehensive plan or previously adopted area plan that integrates Smart Growth principles (hereinafter

“Zoning Amendment Grant")

• Preparation and local adoption of a new or updated area plan for part of a town, village, or city that supports Smart

Growth principles, and any such plan may include but not be limited to, transit-oriented development plans and downtown/hamlet area plans (hereinafter “Area Plan Grant”)

• Preparation of a new or updated area plan and subsequent zoning amendment update that supports Smart Growth principles for part of a town, village, or city (hereinafter “Area Plan and Zoning Amendment Grant”)

The following activities are eligible for reimbursement:

• Surveys, assessments, maps, charts, studies, and other research-oriented activities.

• Writing, illustrating, and producing a Comprehensive Plan or area plan.

• Drafting zoning laws.

• Holding and facilitating community forums and other costs related to public outreach and engagement.

• Coordinating with other governmental entities.

• Activities required to comply with the State Environmental Quality Review Act (SEQRA); and

• Project management, comprehensive plan committee coordination, and other activities needed to complete a plan that addresses Smart Growth principles.

Resources for planning and zoning include:

• Zoning and the Comprehensive Plan, James A. Coon Local Government Technical Series:

https://dos.ny.gov/system/files/documents/2024/09/zoning-and-the-comprehensive-plan.pdf.

• Creating the Community You Want, James A. Coon Local Government Technical Series:

https://video.dos.ny.gov/lg/publications/Creating_the_Community_You_Want.pdf?msclkid=8621cdf0a70011ec ba16c5fc90bfab38.

• New York State Comprehensive Plan Development A Guidebook for Local Officials 2015 by Environmental

Finance Center of Syracuse University: https://efc.syr.edu/wp-content/uploads/2015/03/ComprehensivePlanning.pdf.

• LEED-ND- A Citizen’s Guide to LEED for Neighborhood Development https://www.nrdc.org/sites/default/files/citizens_guide_LEED-

ND.pdf?msclkid=13a12bd0a6f911ecbf9d2e5d2e14391f.

V. REQUIREMENTS FOR SMART GROWTH PRINCIPLES

Comprehensive plans, area plans, and zoning regulations (i.e., local law, ordinance) funded under this grant program should contain strategies/projects that are consistent with the following general Smart Growth principles:

1. Develop plans and land use regulations that allow for and encourage mixed-use neighborhoods.

2. Enable a diverse mix of housing types that provide for opportunity and choice for all.

3. Prioritize infill and redevelopment of existing buildings to revitalize neighborhoods and downtowns, including areas around public transit.

4. Provide well-planned, equitable, and accessible public spaces.

5. Encourage compact neighborhood design and concentrated development around existing infrastructure.

https://dos.ny.gov/system/files/documents/2024/09/zoning-and-the-comprehensive-plan.pdf https://video.dos.ny.gov/lg/publications/Creating_the_Community_You_Want.pdf?msclkid=8621cdf0a70011ecba16c5fc90bfab38 https://video.dos.ny.gov/lg/publications/Creating_the_Community_You_Want.pdf?msclkid=8621cdf0a70011ecba16c5fc90bfab38 https://efc.syr.edu/wp-content/uploads/2015/03/ComprehensivePlanning.pdf https://efc.syr.edu/wp-content/uploads/2015/03/ComprehensivePlanning.pdf https://www.nrdc.org/sites/default/files/citizens_guide_LEED-ND.pdf?msclkid=13a12bd0a6f911ecbf9d2e5d2e14391f https://www.nrdc.org/sites/default/files/citizens_guide_LEED-ND.pdf?msclkid=13a12bd0a6f911ecbf9d2e5d2e14391f

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

7. Prioritize transportation options such as walking, cycling, and public transportation.

8. Promote climate resiliency and adaptation, preferably through nature-based solutions, and reduce greenhouse gas emissions.

9. Build on unique traits to create an attractive and welcoming community with a strong sense of place.

10. Engage in an inclusive, collaborative public planning process that considers the needs and character of the community.

VI. FUNDING AND BUDGET GUIDANCE

The Smart Growth Community Planning Program is reimbursement-based. State assistance awarded and paid through the SGCP shall not exceed 90% of the total eligible project costs set forth in the application and approved by the

Department. An eligible applicant receiving a grant award must demonstrate the ability to cover the remaining 10% of the project costs, and those costs must be eligible and essential to project completion.

There is a minimum State assistance request of $75,000; there is no maximum State assistance request. Applicants are required to provide a detailed justification for their funding request. When estimating the total eligible project cost, applicants should calculate the cost to complete each task included in the project scope of work, which may include costs associated with project management and grant administration. As a reference, DOS generic work plans describing tasks necessary to complete comprehensive plans and zoning projects are available at: https://dos.ny.gov/funding-bid-opportunities. The budget may only include eligible costs described below which directly support the project scope of work.

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

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

Eligible Costs

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

(a) Personal Services – Personal services include direct salaries, wages, and fringe benefits of the employees of the applicant for activities in direct relation to or in support of to project work, including project management and grant administration. Fringe benefits must be outlined in the application and include the organization’s documented rate.

(b) Non-Personal Services – Non-personal services include consultant/contractual services for direct project related costs, project management, grant administration, project-related supplies and materials, necessary travel, and other goods and services required to complete the project.

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

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

Subcontracts for consultant/contractual services should be competitively procured based on the applicable provisions of

New York State General Municipal Law or the specified provisions adopted within the bylaws or charter of the non-profit organization, and additional requirements as described in this RFA.

Ineligible Costs

Ineligible costs include the following:

(a) Indirect or overhead costs, such as rent, telephone service, general administrative support, computers, office equipment, general office supplies, general operations costs, membership fees, subscription costs.

(b) Salaries and other expenses of elected officials.

(c) Costs incurred outside of the contract term.

(d) Costs that are not adequately justified or that do not directly support the project.

(e) Other Environmental Protection Fund awards (including but not limited to WQIP, BOA, Smart Growth, LWRP, OPRHP EPF).

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.

VII. AWARD METHOD

Approximately $2,000,000 is anticipated for award for 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.

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

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

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

In the event unsuccessful bidders wish to protest the award resulting from this RFA, bidders should follow the protest procedures established by the Office of the State Comptroller (OSC). These procedures can be found in Chapter XI

Section 17 of the Guide to Financial Operations (GFO), available on-line at:

http://www.osc.state.ny.us/agencies/guide/MyWebHelp/.

VIII. APPLICATION EVALUATION CRITERIA

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

Minimum Criteria

Eligible applicants are villages, towns, cities, counties, regional planning entities, and not-for-profits. Regional planning entities, counties, and not-for-profit organizations may apply on behalf of one or more eligible villages, towns, or cities provided that each eligible community provides their consent. Regional planning entities and not-for-profit organizations may apply on behalf of one or more eligible counties provided that each eligible community provides their consent.

Applications will also be assessed to determine if the proposed project is an eligible activity.

The minimum State assistance request must be at least $75,000.

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

Program Criteria (maximum of 120 points)

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

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

Demonstration of Need and Indicators of Economic Distress (maximum 12 points)

• Clearly identifies and discusses the community-specific conditions, opportunities, and challenges that warrant near-term assistance with updating local planning and zoning (e.g., current planning documents that are outdated and do not accommodate certain Smart Growth principles, shortage of quality, affordable housing, need for revitalization of community centers or downtowns, new development pressure on the community, loss of farmland and open space, etc) (Up to 7 points).

• The community contains one or more census tracts that meet the Disadvantaged Community criteria as defined by the New York State Climate Leadership and Community Protection Act (CLCPA)1 (0 or 3 points).

• The community has a Median Household Income (MHI2) less than 80% of the 2023 Statewide MHI (i.e., MHI less than $65,676.00).2 (0 or 2 Points)

Demonstration of Smart Growth Commitment (maximum of 4 points)

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

• Target community is recognized as an age-friendly community within AARP’s Network of Age-Friendly

Communities. (0 or 2 points)

Public Engagement and Commitment (maximum of 14 points)

1 The Climate Justice Working Group finalized a set of criteria defining disadvantaged communities on March 27, 2023. Communities meeting the criteria can be identified by following this link. Additional detail on the disadvantaged communities' criteria can be found on the Climate Act Website.

2 Median Household Income (MHI) may be established using publicly available census data and does not require detailed demographic and economic data from the municipality. Per the U.S. Census American Community Survey the 2023 Statewide MHI for total households in New York State is $82,095. See SGCP 2023-

MHI.pdf, available at https://dos.ny.gov/funding-bid-opportunities, to look up your municipality’s 2023 MHI.

http://www.osc.state.ny.us/agencies/guide/MyWebHelp/ https://climate.ny.gov/-/media/Project/Climate/Files/Disadvantaged-Communities-Criteria/List-of-Disadvantaged-Communities.pdf https://www.nyserda.ny.gov/ny/disadvantaged-communities https://climate.ny.gov/

• Describes an effective approach and process to ensure ongoing public participation and engagement during planning process. (Up to 5 points)

• Describes how the public participation and engagement process will identify, conduct outreach to, include, and engage frequently underrepresented populations in the community such as immigrants, refugees, minorities, seniors, people with mobility impairments, veterans, and people on limited incomes. (Up to 5 points)

• Identifies and describes the primary issues for which public input is needed to inform the plan or zoning code.

(Up to 2 points)

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

Integration of Smart Growth Principles (maximum of 36 points)

Describes how each Smart Growth Principle is related to the conditions in your community and how that principle will be integrated into the planning and/or zoning process. If a particular principle is not relevant or feasible, applicant should articulate the reasons for such irrelevance and infeasibility.

• Describes the conditions in the community as they relate to opportunities for mixed-use neighborhoods.

Explains how planning and/or zoning actions taken in accordance with this Smart Growth principle will help the community. (Up to 5 points)

• Describes the conditions in the community as they relate to the availability of a diverse mix of housing types, providing a range of housing opportunities and choices. Explains how the planning and/or zoning actions taken in accordance with this Smart Growth principle will help the community. (Up to 6 points)

• Describes the conditions in the community as they relate to the need for development and redevelopment of properties in existing neighborhoods. Explains how the planning and/or zoning actions taken in accordance with this Smart Growth principle will help the community. (Up to 4 points)

• Describes the conditions in the community as they relate to the need for well-planned, equitable, and accessible public spaces. Explains how the planning and/or zoning actions taken in accordance with this Smart Growth principle will help the community. (Up to 3 points)

• Describes the existing conditions in the community as they relate to encouraging compact neighborhood design and concentrated development around existing infrastructure. Explains how the planning and/or zoning actions taken in accordance with this Smart Growth principle will help the community. (Up to 4 points)

• Describes the existing conditions in the community as they relate to the need for preservation of open space, agricultural resources, and natural resources. Explains how the planning and/or zoning actions taken in accordance with this Smart Growth principle will help the community. (Up to 5 points)

• Describe the current conditions in the community as they relate to prioritizing transportation options such as walking, cycling, and public transportation. Explains how the planning and/or zoning actions taken in accordance with this Smart Growth principle will help the community. (Up to 4 points)

• Describes the conditions in the community as they relate to climate resiliency, adaptation, and the reduction of greenhouse gas emissions. Explains how the planning and/or zoning actions taken in accordance with this Smart

Growth principle will help the community. (Up to 3 points)

• Describes the conditions in the community as they relate to the existence of unique traits to create an attractive and welcoming community with a strong sense of place. Explains how the planning and/or zoning actions taken in accordance with this Smart Growth principle will help the community. (Up to 2 points)

Scope of Work (maximum of 18 points)

• Considering the generic workplans posted with this RFA, lists all tasks and sub-tasks necessary to complete the project with a detailed description, parties responsible, time frame for completion, products/deliverables, and costs for each. (Up to 12 points)

• Lists and clearly describes preliminary work that has been completed to advance the proposed project including a review of previous planning efforts, committee development, public surveys, data analysis, and GIS mapping.

(Up to 6 points)

Time Frame and Readiness (maximum of 6 points)

• Presents a clear and realistic schedule and timeline to complete the planning process in three years or less that includes major tasks, milestones and completion dates. (Up to 4 points)

• Demonstrates the ability to proceed with the project upon award. (Up to 2 points)

Local Capacity (maximum of 6 points)

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

Evaluation of Budget and Cost (maximum of 24 points)

Applications will also be evaluated to assess the degree to which they meet the elements of each criterion below. For further reference on budget development, please use the sample worksheets located on the Department of State Website:

http://dos.ny.gov/funding-bid-opportunities.

• 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. (Up to 6 points)

• Budget includes adequate detail for all project components involved, is cost-effective, presents necessary and realistic costs, and does not contain extraneous or ineligible expenses. Budget is accurate and thorough. Budget narrative includes an explanation for the estimate of each budget line and clearly supports the applicant's need for financial resources requested to achieve project outcome. Budget narrative describes how the grant recipient will monitor expenditures during the life of the project to ensure that the project stays on schedule and within budget. (Up to 18 points)

REDC Feedback

DOS will accept feedback from the Regional Economic Development Councils (REDC) on applications received under this grant and will take that feedback into account if practicable.

IX. NEW YORK STATE SMART GROWTH PUBLIC INFRASTRUCTURE POLICY ACT

Awards made through this grant program shall be consistent with the State’s Smart Growth Public Infrastructure Policy

Act (Environmental Conservation Law, Article 6), where applicable.

X. CONTRACT REQUIREMENTS

Standard Cost Reimbursement Contract

Each successful applicant must enter into a Master Contract for Grants with the Department, which will include standard clauses required by the NYS Attorney General, Attachment 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) required to submit final products in both hard copy and electronic format; 3) subject to reimbursement only upon proper documentation and compliance with reimbursement procedures and 4) subject to all other contractual requirements. A copy of the Master Contract for Grants including the attachments outlined above is available from the Department upon request.

To ensure that funds are awarded to applicants that are ready to move forward, the Department of State reserves the right to rescind an award if the state contract is not signed and returned within an acceptable period of time. Expenses incurred prior to the start date of the state contract cannot be reimbursed.

Compliance with Procurement Requirements

Municipalities

All contracts by municipalities for service, labor, and construction involving not more than $35,000 and purchase contracts involving not more than $20,000 are subject to the requirements of General Municipal Law §104-b, which requires such contracts to comply with the procurement policies and procedures of the municipality involved. All such contracts shall be awarded after and in accordance with such municipal procedures, subject to the Minority or Women-Owned Business

Enterprise (MWBE) requirements as set forth below in Appendix 1 and any additional requirements imposed by the State as set forth in Attachment C of the State Contract.

The municipal attorney, chief legal officer or financial administrator of the municipality shall certify to the Department of

State 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 the Department of

State 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 the Department. 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 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 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 of contracts is April 1, 2025. No extensions are anticipated, however special consideration for extensions due to extreme extenuating circumstances may be granted on a case-by-case basis.

XI. 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 other tasks identified in the work plan within the time allocated for their completion. The

Department 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 period of time and/or will not be able to complete the project within the time period cited in the application.

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 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.

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, which 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 and revisions 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 agency'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…