RFP 26 - 1470 ADMINISTRATION AND MANAGMENT SERVICES OF THE ROOSEVELT ISLAND PUBLIC PURPOSE FUND.pdf

Roosevelt Island Operating Corporation of the State of New York

Request for Proposals # 26-1470

ADMINISTRATION OF THE ROOSEVELT ISLAND

PUBLIC PURPOSE FUND

Schedule of Events Event Date

Publication Date September 09, 2026 9:00 AM

Request for Information Cutoff Date September 18, 2026 2:00 p.m.

Request for Information Response Posting September 25, 2026 3:00 p.m.

Due Date October 1st , 2026 2:00 p.m.

Interview Schedule TBD

Anticipated Award End of October 2026

IMPORTANT NOTICE: A restricted period under the Procurement Lobbying Law is currently in effect for this Request for Proposals (RFP). Bidders are prohibited from contact related to this procurement with any New York State employee other than the designated contacts as described in this Request for Proposals.

*RFP proposals are due on or before October 1st 2026 at 2:00 P.M. EST (the “Proposal Deadline”). Proposals submitted past the Proposal Deadline will not be accepted.

RFP for ADMINISTRATION OF THE ROOSEVELT ISLAND PUBLIC PURPOSE FUND

Purpose of This RFP

Roosevelt Island Operating Corporation (hereinafter “RIOC” or “Authority”) is seeking to engage a qualified organization to provide complete administrative and operational support for the Fund. Roosevelt Island Public Purpose Fund (the "Fund). Definition of the Fund is that it supports nonprofit organizations whose programs, services and projects directly benefit residents of Roosevelt Island and enhance the quality of life of the Roosevelt Island community.

A detailed description of the work to be performed is set forth in the “Scope of Work” attached to this RFP as Exhibit 1 (the “Work”).

Respondents, shall mean any prospective vendor, inclusive of a Bidder or Proposer, or directive to the effect that submits a response to this Solicitation (RFP).

Qualified organization to provide comprehensive administration and management services for the Roosevelt Island Public Purpose Fund (the "Fund"). A detailed description of the work to be performed is set forth in the “Scope of Work” attached to this RFP as Exhibit 1 (the “Work”).

The Fund supports nonprofit organizations whose programs, services and projects directly benefit residents of Roosevelt Island and enhance the quality of life of the Roosevelt Island community.

The selected Respondent shall:

1. Develop and administer the annual grant application process;

2. Conduct outreach to eligible nonprofit organizations;

3. Provide technical assistance to applicants;

4. Receive, organize and review applications;

5. Conduct eligibility and completeness reviews;

6. Conduct appropriate applicant due diligence;

7. Establish and administer an independent community review process;

8. Facilitate an independent Grant Review Committee;

9. Administer the scoring and evaluation process;

10. Provide funding recommendations to RIOC;

11. Prepare and administer grant agreements;

12. Process grant payments;

13. Monitor grant compliance and performance;

14. Collect and review grantee reports;

15. Maintain accurate financial and program records;

16. Provide RIOC with regular and annual reports;

17. Maintain appropriate data security and confidentiality;

18. Support public communications regarding the Fund; and

ADMINISTRATION AND MANAGMENT SERVICES OF THE ROOSEVELT ISLAND PUBLIC PURPOSE FUND

19. Provide an orderly transition at the conclusion of the contract.

Neither the submission of a response to this Request for Proposal (“RFP”) by any entity nor the acceptance of such response by RIOC will obligate RIOC in any manner whatsoever. RIOC reserves the right to accept or reject any or all proposals received in response to this RFP. Legal obligations will only arise upon execution of a formal agreement by RIOC, and the Respondent(s) selected by RIOC.

Additional information regarding the scope of the administration and management services for the Roosevelt Island Public Purpose Fund is set forth in the Scope of Services, attached hereto as Exhibit 1.

Neither the submission of a response to this RFP by any entity nor the acceptance of such response by RIOC will obligate RIOC in any manner whatsoever. RIOC reserves the right to accept or reject any or all Proposals received in response to this RFP. contractual obligations will only arise upon execution of a formal contract by RIOC and the entity/entities selected by RIOC.

Organizational Background

The Roosevelt Island Operating Corporation was created by New York State as a public benefit corporation and is charged with the planning, development, operation, maintenance and management of Roosevelt Island.

RIOC seeks proposals from qualified organizations to provide comprehensive administration and management services for the "Fund".

The Fund supports nonprofit organizations whose programs, services and projects directly benefit residents of Roosevelt Island and enhance the quality of life of the Roosevelt Island community.

RIOC previously engaged The New York Community Trust ("NYCT" or "The Trust") to administer the Fund. The Fund was established at The Trust in 2022. The existing model includes competitive solicitation of nonprofit applicants, eligibility and application review, an independent community advisory committee, grant recommendations, grant agreements, disbursements, monitoring and reporting.

RIOC is seeking a qualified Respondent through a competitive procurement process to provide these services for future grant cycles.

The selected Respondent shall serve as an independent grant Respondent and shall administer the Fund in accordance with this RFP, the resulting agreement, RIOC policies, applicable New York State requirements and all applicable laws and regulations.

Neither the submission of a response to this Request for Proposals ("RFP") by any entity nor the acceptance of such response by RIOC shall obligate RIOC in any manner whatsoever. RIOC reserves the right to accept or reject any or all proposals received in response to this RFP, to request additional information, to negotiate with one or more Respondents, to modify the scope of services, to cancel this RFP, or to make no award.

Legal obligations shall arise only upon execution of a formal agreement approved and executed in accordance with RIOC requirements.

RIOC was created by New York State legislature in 1984 and charged with the duty to develop, operate and manage Roosevelt Island. To date, these broad goals have furthered the Advisory of fifteen residential complexes that provide approximately a total of 5,900 units of housing to Roosevelt Island residents, which total includes the Island’s thriving mixed-income community. The Island’s 147 acres supports a population of approximately 12,000 residents. The Corporation operates an Aerial Tramway, an on-Island bus service, and maintains a safe environment for the Island’s residents, workers and visitors. As part of its mission, the Corporation has strived to enhance the quality of life by promoting public facilities, open spaces and commercial facilities including the noted Aerial Tramway, sanitary and safety departments, pedestrian walkways, recreational activities, open spaces, and a street system, as well as a variety of storefronts along the Island’s Main Street.

Recreational activities available in the Sportspark recreational facility include a swimming pool, full-size basketball court, ping pong room, and weight room. Open recreational spaces include Lighthouse Park, Octagon Soccer Field, Octagon Pony Field, Capobianco Field, Firefighters Field and Southpoint Park .

RIOC's Public Purpose Fund provides financial support to nonprofit organizations providing direct services or benefits to Roosevelt Island residents.

The Fund has supported programming in areas including educational opportunity, artistic and cultural enrichment, health, environmental improvement, community services and other activities that enhance the quality of life of Roosevelt Island residents.

For the calendar year 2026 grant cycle, the Fund awarded $260,000 through one-year grants of up to $30,000 to qualifying nonprofits operating regular, ongoing programming on Roosevelt Island.

RIOC intends for the Fund to remain a transparent, equitable, competitive and community-focused grantmaking program.

The selected Respondent shall maintain the essential characteristics of the Fund while providing RIOC with appropriate oversight, accountability, financial controls, reporting, data management and program evaluation.

The anticipated annual grant pool currently $250,000, maximum grant amount, grant term, number of awards and other program parameters shall be established by RIOC for each grant cycle and may be modified by RIOC.

RIOC currently employs approximately 161 employees, including approximately 73 union employees pursuant to three collective bargaining agreements (Local 210, Local 32BJ, and

PSOBA).

RFP Key Points

Read the RFP in its entirety. Note key items such as: critical dates, qualifying and mandatory requirements, services required, and proposal packaging requirements.

Only correspond with the “Designated E-mail Contact For Respondent(s).” Note the name and e-mail address of the “Designated Contact(s),” i.e., the only individual(s) you are allowed to contact regarding this RFP — as specified in the “Instructions to Respondent(s)”.

Check the RIOC website often. All amendments, clarifications, Respondent(s) questions with RIOC responses, along with any announcements relating to this bid will be posted on RIOC’s web site at https://www.rioc.ny.gov/info/rfps-and-bids

It is the Respondent(s)’ responsibility to check RIOC’s website periodically for any updates.

All applicable amendment information must be incorporated into the Respondent’s Proposal.

Failure to include this information in your Proposal may result in disqualification or a reduced technical score.

Take advantage of the question and answer period. Submit your questions to the Designated Contact by the date listed in the Schedule of Events.

Provide complete answers/descriptions. Respondent Proposals must completely address all qualifying and mandatory requirements. To ensure you are not disqualified from the bid evaluation process, thoroughly read all proposal requirements and provide complete responses.

Review the RFP document and your Proposal. Make sure all requirements are addressed and all copies are identical and complete.

Package your Proposal as specified in the RFP. Make sure your Proposal conforms to the packaging requirements. Proposals not packaged accordingly may be deemed non-responsive leading to disqualification of the bid.

Submit your Proposal on time. Proposals received after the date and time listed in the Schedule of Events will not be considered for award except as indicated in section titled “NYS Reserved Rights” and may be returned, unopened, to the sender.

General Information/Requirements about this RFP

Term and Commencement of Services

RIOC seeks the aforementioned ADMINISTRATION OF THE ROOSEVELT ISLAND

PUBLIC PURPOSE FUND

for an initial contract term of one (1) year commencing on or about [DATE].

RIOC may, at its sole discretion and subject to applicable approvals and funding availability, exercise up to [FOUR] additional one-year renewal options.

The contract shall not be deemed renewed unless RIOC provides written authorization for the renewal.

The Respondent shall have no expectation of renewal beyond the initial contract term.

When awarded the contract, the attached consultant services agreement will be presented to the selected contractor for execution. If the selected contractor fails or refuses to perform the services as described in the Bid Package, RIOC may terminate the selected contractor’s services in accordance with Section 7 - Termination of RIOC’s Standard Form of Contract for Services annexed hereto as Exhibit 3. Respondent(s) are encouraged to review this document prior to submitting proposals as the successful Respondent will be required to execute this standard contract.

The anticipated contract commencement date is End of November 2026 upon prior Board approval.

Restricted Period

As provided in the Lobbying Form appended to this RFP at Attachment D, a Respondent is restricted from making contacts from the earliest notice of intent to solicit offers through final award and approval of the contract. Helpful background and guidance related to legislative requirements imposed upon a Respondent may be found in Attachment D, as well as the Instructions to Respondent(s) included below.

Accordingly, interested parties shall only contact the Designated Contact, Amy Firestein, Director of Procurement, by email only ( rfpbids@rioc.ny.gov ).

Registered Intent to Bid

As stated in the “RFP Key Points,” it is the Respondent(s) responsibility to check RIOC’s website for any addenda and to include such addenda with their proposals. For those Respondent(s) electing to register their intent to bid, RIOC will make reasonable attempts to notify each registered Respondent of posted addenda or changes in the bid document for the specific project registered. Respondent(s) may register their intent to bid for this RFP by sending an e-mail to the Designated E-mail Contact for Respondent(s) by the Request for Information Cutoff Date outlined in the “Timeline for RFP,” below. Please provide your e-mail address, name of registering business entity, and name of the authorized contact within the body of the e-mail.

Submissions

Information submitted as attachments/appendices to the proposal should specifically support elements considered in the Proposal Evaluation Criteria (see below “Proposal Evaluation Criteria”). Attachment/Appendix material may include curriculum vitae and/or resumes of staff that will be assigned to this project. Elaborate brochures, reproduced copies, or printouts of standard manuals or sales literature may not be substituted for the required proposal narratives and responses, but may be included in appendix material as a sample to further exemplify the narrative and response (i.e., responses such as “see attachment” or “see appendix” are not sufficient). New York State Tax Law §5-a.

New York State Department of Taxation and Finance – Section 5-a of the Tax Law, as amended, effective April 26, 2006, requires certain contractors awarded state contracts for commodities, services and technology valued at more than $100,000 to certify to the Department of Tax and Finance (“DTF”) that they are registered to collect New York State and local sales and compensating use taxes. The law applies to contracts where the total amount of such contractors’ sales delivered into New York State are in excess of $300,000 for the four quarterly periods immediately preceding the quarterly period in which the certification is made, and with respect to any affiliates and subcontractors whose sales delivered into New York State exceeded $300,000 for the four quarterly periods immediately preceding the quarterly period in which the certification is made.

Respondent(s) MUST complete and submit Contractor Certification Form ST-220-TD directly to the New York State Taxation and Finance (see http://www.tax.ny.gov/pdf/current_forms/st/st220td_fill_in.pdf). Unless the information upon which the ST-220-TD is based changes, this form only needs to be filed once with DTF. If the information changes for the contractor, its affiliate(s), or its subcontractor(s), a new form (ST-220-TD) must be filed with DTF.

Further, where the amount of the contract is expected to exceed $100,000 all respondents must include a properly completed Form ST-220-CA (see http://www.tax.ny.gov/pdf/current_forms/st/st220ca_fill_in.pdf). However, if a vendor is not registered with DTF due to a lack of sales of over $300,000 within the relevant period, the vendor must submit an affidavit certifying the same. It is important to note that Section 5-a does not apply to contracts for architectural, engineering or surveying services. If in doubt, respondents should contact the Department of Tax and Finance after having reviewed DTF Publication 223 (http://www.tax.ny.gov/pdf/publications/sales/pub223.pdf).

Contractor MUST complete and submit form ST-220-CA to RIOC (see http://www.tax.ny.gov/pdf/current_forms/st/st220ca_fill_in.pdf), certifying that the contractor filed the ST-220-TD with DTF. Failure to make either of these filings may render an Respondent/Respondent non-responsive and non-responsible. Respondent(s) shall take the necessary steps to provide properly certified ST-220-CA forms to RIOC with their bid as applicable. Further in accordance with the requirements of Section 5-a, any contract resulting from a solicitation will require periodic updating of the certifications contained in Form ST-220-CA.

Scope of Services

RIOC is a New York State Public Benefit Corporation that operates and develops Roosevelt Island. RIOC seeks qualified counsel to advise, assist and represent RIOC (on an as needed basis) on matters pertaining to, inter alia, those subject matters listed in the above section entitled “Purpose of This RFP”, all of which are further described in Exhibit 1.

INSTRUCTIONS TO RESPONDENTS

Exhibit 5 outlines specific insurance coverages that the successful Respondent will be required to obtain.

Proposal Format and Required Attachments:

Respondents should take into account all items requested in the Scope of Services, References, Timeline, Instructions to Respondent(s), and all other pertinent sections of this RFP, when submitting a proposal.

Respondents MUST submit one (1) original with all documents required to be signed in ink and two (2) copies of the proposal including any and all forms and attachments.

Proposals should be indexed clearly marking the different items included in Part A and B below.

Each Respondent MUST submit a USB containing the complete submission in PDF format along with the number of hard copies specified above. The inclusion of the required USB without also submitting the required printed copies will not be considered a timely submission and Respondent(s) will be disqualified for doing so.

A. Cover Letter

Each Respondent MUST submit a cover letter containing a description of the services and the names of Respondent members to be assigned to the account, the experience of the Respondent and its members, in representing RIOC in Respondent’s selected subject matters, and the fixed fee rate applicable.

TO EXPAND UPON THE AFOREMENTIONED COVER LETTER

REQUIREMENTS, REVIEW THE FOLLOWING:

1. Questions and Information Sought Relating to the Services

i. Briefly describe your Respondent ’s background, services, size, and history, as these factors are relevant to the Administration of the Roosevelt Island Public Purpose Fund Services.

ii. Identify ”Key Personnel or Person” who will be the primary contact and key personnel in providing services to RIOC, and who will be listed as a “key person” in any contract with RIOC.

iii. Indicate whether services have been provided previously to RIOC, or any other New York State, local or federal entities. If so, list and describe any and all work performed including (a) the date(s) such work was performed, (b) the entity for which such work was performed, and (c) the area of expertise for the work performed.

iv. Please describe your Respondent’s experience with similar work for any other public sector clients outside of those listed in your response to question 4,(3) above.

If the respondent is a State-certified MWBE or SDVOB Respondent, provide documentation evidencing certification.

Respondent s that are not certified, but have applied for certification, should provide evidence of filing, including the filing date.

2. Questions and Information Sought Relating to Respondent & Eligibility

i. Within the past three (3) years, have there been any significant developments in your Respondent such as changes in ownership or restructuring? Do you anticipate any significant changes in the near future? If so, please describe.

ii. How does your Respondent identify and manage conflicts of interest?

iii. Are there any potential conflict of interest issues posed by your Respondent ’s performance of the Services on behalf of RIOC?

iv. Has your Respondent or have any of the Respondent ’s partners/employees been disciplined or censured by any regulatory body within the last five (5) years? If so, please describe the relevant facts and disposition.

v. Within the last five (5) years, has your Respondent, or a partner or employee in your Respondent, been involved in litigation or other legal proceedings relating to the provision of professional services? If so, please provide an explanation and the current status or disposition of the matter.

vi. List any professional or personal relationships your Respondent ’s employees may have with RIOC’s Board Members and/or employees. This does not include contacts Respondent has had with RIOC Board Members or employees relating to Respondent’s past or present representation of RIOC in a legal matter. A list of RIOC Board Members and employees is attached as Exhibit 4.

vii. If selected, will your Respondent assign any person to this engagement who was previously an employee of RIOC? If so, please: i) identify when (month and year) that person’s employment at RIOC terminated, and ii) describe that person’s involvement, if any, with matters related to this RFP during his/her employment at

RIOC.

viii. In the past five (5) years, have any public sector clients terminated their working relationship with your Respondent? If so, please provide a brief statement of the reasons. Provide the name of the client and provide a contact person, address and telephone number.

B. References

Respondent shall provide a minimum of three (3) references that are using services of the type proposed in this RFP.

Respondent shall provide the company or agency name, the location where the services were provided, contact person(s), customer telephone number, a complete description of the services performed, and dates the services were provided.

RIOC reserves the right to use any information, including additional references deemed necessary to determine respondent’s ability to perform the conditions of the contract.

Negative references may be grounds for proposal disqualification.

C. Attachments

1. Attachment A: Each Respondent MUST include a Non-Collusive Proposal Certificate, Non Collusive Affidavit and a notarized Acknowledgement by Respondent form.

2. Attachment B: Bid Proposal Form. The Bid Proposal Form Document should specify the financial compensation model for the Respondent. If it will be billed by the hour, then include the hourly rates for categories of team members. Attachment C: M/WBE Utilization Documents – As a NYS Public Benefit Corporation, RIOC encourages the participation of minority and women-owned businesses in all contracts. For the purposes of this solicitation, utilization goals of 30% minority owned business and women-owned business have been established, resulting in a total M/WBE utilization goal of 30%. Only entities certified as M/WBEs by the Empire State Development Corporation will be considered toward the utilization goals. Respondent(s) are required to submit a Utilization Plan, on the form provided, indicating the percentage of the contract that will be fulfilled by M/WBE participants, whether as prime Respondent(s),), or suppliers. Any requests for waivers must be submitted on the proper form with appropriate reasoning and/or documentation to substantiate a waiver request.

The following M/WBE Utilization Documents are included in Attachment C:

Contractor Requirements and Procedures for Business Participation Opportunities for New York State Certified Minority-and-Women- Owned Business Enterprises and Equal Employment Opportunities for Minority Group Members and Women

M/WBE 100: Minority and Women-Owned Business Enterprises- Equal Employment Opportunity Program (M/WBE- EEO) Policy Statement

M/WBE 103: M/WBE Utilization Plan

M/WBE 104: Waiver Request

M/WBE 105: M/WBE Quarterly Contractor Compliance Report

RIOC wishes to maximize the participation of Service-Disabled Veteran-Owned-Businesses (SDVOB) in the performance of RIOC contracts, in accordance with Article 3 of the New York Veterans' Services Law (VET) Chapter 13.

RIOC has established an overall goal of 0% for SDVOB participation for this RFP. The basis for determining the dollar value of this 0% is the final contract price (including change orders). Only Respondent s currently certified by OGS can be used to meet SDVOB participation goals on this contract. Certified Respondent s can be found at https://online.ogs.ny.gov/SDVOB/search.

Required SDVOB Forms: N/A

Form SDVOB 103– Utilization Plan

SDVOB 104 and request a full or partial waiver.

If your Respondent is unable to identify any partnership opportunities with currently certified SDVOB Respondent s, in lieu of Form SDVOB 103 above, you may submit Form SDVOB 104 and request a full or partial waiver. With this waiver request you must submit documentation showing your Respondent ’s Good Faith Efforts, as listed on page 2 of Form SDVOB 104 and defined by 5 NYCRR Section 252.2(n). Such documentation includes, but is not limited to, a list of all SDVOB Respondent s from the OGS SDVOB Directory in this region and applicable trades, and copies of emails and/or dates-times of all phonecalls soliciting the certified SDVOBs for this bid.

RIOC may deem a Bidder non-responsive if a Bidder fails to submit an SDVOB Utilization Plan.

If awarded a Contract, Contractor certifies that it will follow the submitted SDVOB Utilization Plan for the performance of SDVOBs on the Contract pursuant to the prescribed SDVOB contract goals set forth above. Respondent(s) will be required to submit a “Contractor’s Monthly SDVOB Compliance Report” (Form SDVOB 101) pursuant to their SDVOB Utilization Plan

Contractor further agrees that a failure to use SDVOBs as agreed in the Utilization Plan shall constitute a material breach of the terms of the Contract. Upon the occurrence of such a material breach, RIOC shall be entitled to any remedy provided herein, including but not limited to, a finding of Contractor non-responsibility.

3. Attachment D: Lobbying Form – Respondent(s) must complete a copy of the Lobbying Form. General background information about relevant legislation and requirements imposed upon the Respondent(s) may be found directly on the form.

4. Attachment E: Encouraging Use of New York Businesses in Contract Performance

– New York State businesses have a substantial presence in State contracts and strongly contribute to the economies of the state and the nation. In recognition of their economic activity and leadership in doing business in New York State, Respondent(s)/Respondent(s) for this contract for commodities, services or technology are strongly encouraged and expected to consider New York State businesses in the fulfillment of the requirements of the contract. Such partnering may be as subcontractors, suppliers, protégés or other supporting roles. All Respondent(s) should complete this form to indicate their intent to use/not use New York Businesses in the performance of this contract.

5. Attachment F: Vendor Responsibility Questionnaire - New York State Procurement Law requires that state agencies award contracts only to responsible vendors.

Vendors are invited to file the required Vendor Responsibility Questionnaire online via the New York State VendRep System or may choose to complete and submit a paper questionnaire. To enroll in and use the New York State VendRep System, see the VendRep System Instructions available at www.osc.state.ny.us/vendrep or go directly to the VendRep system online at https://portal.osc.state.ny.us. For direct VendRep System user assistance, the OSC Help Desk may be reached at 866-370- 4672 or 518-408-4672 or by e-mail at ITServiceDesk@osc.state.ny.us. Vendors opting to file a paper questionnaire can obtain the appropriate questionnaire from the VendRep website www.osc.state.ny.us/vendrep or may contact the Roosevelt Island Operating Corporation or the Office of the State Comptroller for a copy of the paper form. Respondent(s) must also complete and submit the Vendor Responsibility Attestation at Exhibit 2 as part of its proposal.

Timeline for RFP:

Schedule of Events

Event Date Publication Date September 09, 2026 9:00 AM

Request for Information Cutoff Date September 18, 2026 2:00 p.m.

Request for Information Response Posting September 25, 2026 3:00 p.m.

Due Date October 1st , 2026 2:00 p.m.

Interview Schedule TBD

Anticipated Award End of October 2026

Bid Submission:

All proposals must be sealed. Proposals will be received at the address below by 2:00 p.m.

on October 1st , 2026. Proposals received after this date and time may not be considered.

Please forward proposals as follows to:

ATTN: Amy Firestein, Director of Procurement

– RFP #26-1470 ADMINISTRATION AND MANAGMENT SERVICES OF THE

ROOSEVELT ISLAND PUBLIC PURPOSE FUND

Roosevelt Island Operating Corporation 426 Main Street Roosevelt Island, NY 10044

EVALUATION SELECTION PROCESS: PROPOSAL EVALUATION

CRITERIA/PROPOSAL SCORING METHODOLOGY

A. Evaluation Each timely submitted Proposal will be reviewed for compliance with the form and content requirements of this RFP. A committee of RIOC employees selected by RIOC (the “Committee”) will then review and evaluate the Proposals in accordance with the evaluation criteria set forth below. While only Committee members will score the evaluation criteria, the Committee may consult an outside expert for advisement on the evaluation of matters requiring technical expertise. Before final selection, RIOC must determine that the proposed selected Respondent is responsible, in accordance with applicable law and RIOC’s Procurement Guidelines posted on RIOC’s website.

B. Interviews

RIOC reserves the right to decide whether to interview any or all of the Respondents. The Committee may conduct interviews for various purposes, including to further assess a Respondent’s ability to perform the Work or provide specific services, or to seek information related to any other evaluation criteria.

Evaluation Criteria for Selection

Selection will be based upon the best value method comprised of (a) the technical evaluation and (b) the cost proposal evaluation as follows:

a. Technical Evaluation:

Evaluation Category Weight

Relevant grant administration experience 25% Technical approach and methodology 20% Community engagement and independent review process 15% Understanding of RIOC and Fund objectives Financial controls and reporting

10% 10%

Technology/data security 5% Key personnel 5% Cost 10%

TOTAL 100%

b. Cost Proposal Evaluation.

The Contract will be awarded to the highest technically rated Respondent whose Proposal is determined to be responsive and in the best interests of RIOC, subject to a determination that the Cost Proposal is fair, reasonable, and provides the best value to

RIOC.

D. Basis for Panel Selection and Contract Award

RIOC will assess the Proposals utilizing the criteria set forth above. RIOC will select one Respondent for this contract selection as a Respondent is subject to RIOC’s determination that the Proposal is responsive to the requirements stated in this RFP, that the Cost Proposal is fair and reasonable and that the Respondent receives a satisfactory score as a result of the technical evaluation.

Interviews will be conducted as follows:

1. RIOC reserves the right, in its absolute and sole discretion, whether to interview any or all the Respondents. The rating committee may conduct interviews for many reasons, including to further assess Respondent’s ability to perform the services, or to seek information related to any other evaluation criteria.

Respondent(s) will be notified of the date and time of their Interview and whether such Interview will be conducted via telephone, video conference or other medium. The Interview should further demonstrate the Respondent's ability to provide the required services. Further information with regard to the format of this stage of the evaluation may be requested at this time.

2. Following the Interview(s), RIOC staff responsible for review and evaluation of the proposals will finalize the scoring of each finalist interviewed on the criteria listed above.

NYS Reserved Rights

RIOC reserves the right to:

Reject any or all proposals received in response to the RFP;

Withdraw the RFP at any time, at the agency’s sole discretion;

Make an award under the RFP in whole or in part;

Disqualify any Respondent whose conduct and/or proposal fails to conform to the requirements of the RFP;

Seek clarifications and revisions of proposals;

Use proposal information obtained through site visits, management interviews and the State’s investigation of a Respondent’s qualifications, experience, ability or financial standing, and any material or information submitted by the Respondent in response to the agency’s request for clarifying information in the course of evaluation and/or selection under the RFP;

Prior to the bid opening, amend the RFP specifications to correct errors or oversights, or to supply additional information, as it becomes available;

Prior to the bid opening, direct Respondent(s) to submit proposal modifications addressing subsequent RFP amendments;

Change any of the scheduled dates;

Eliminate any mandatory, non-material specifications that cannot be complied with by all of the prospective Respondent(s);

Waive any requirements that are not material;

Negotiate with the successful Respondent within the scope of the RFP in the best interests of the State;

Conduct contract negotiations with the next responsible Respondent, should the agency be unsuccessful in negotiating with the selected Respondent;

Utilize any and all ideas submitted in the proposals received; and

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 Respondent’s/Respondent’s proposal and/or to determine an Respondent’s/Respondent’s compliance with the requirements of the solicitation.

Exhibit 1

Scope of Work

The selected Respondent shall provide all services necessary for the successful and professional administration of the Fund.

A. Program Planning and Annual Grant Cycle

The Respondent shall work with RIOC to establish and implement each annual grant cycle.

Services shall include:

1. Developing an annual grant administration work plan;

2. Establishing an annual grant calendar;

3. Reviewing prior-year program results;

4. Recommending improvements to the application and review process;

5. Preparing proposed eligibility requirements;

6. Preparing application guidelines;

7. Preparing application questions;

8. Preparing proposed grant categories and priorities;

9. Preparing proposed evaluation criteria and scoring rubrics;

10. Establishing application deadlines;

11. Preparing applicant communications;

12. Coordinating all application-related activities with RIOC; and

13. Obtaining RIOC approval of program materials before public release.

The Respondent shall not materially alter eligibility criteria, grant priorities, maximum grant amounts or other fundamental program requirements without RIOC's prior written approval.

B. Grant Opportunity Outreach and Public Communications

The Respondent shall conduct a comprehensive outreach effort designed to ensure that eligible Roosevelt Island nonprofit organizations are aware of the Fund.

Outreach shall include, as appropriate:

Maintaining a dedicated Fund webpage or grant portal;

Preparing outreach announcements;

Email outreach;

Community organization outreach and site visits;

Information sessions;

Applicant webinars;

Frequently Asked Questions;

Technical assistance;

Social media and other digital communications;

Coordination with RIOC's Communications/Public Affairs personnel; and Other appropriate community outreach.

The Respondent shall make reasonable efforts to ensure that the application opportunity reaches both established organizations and smaller community-based organizations that may have limited grant-writing capacity.

C. Applicant Technical Assistance

The Respondent shall provide reasonable technical assistance to prospective applicants.

Technical assistance may include:

Explaining eligibility requirements;

Explaining application questions;

Providing application instructions;

Conducting applicant webinars;

Responding to procedural questions;

Providing general guidance concerning budgets and required documentation; and Assisting applicants experiencing technical difficulties with the application platform.

The Respondent shall maintain consistent communications with applicants and shall not provide preferential treatment or substantive advice to one applicant that is unavailable to similarly situated applicants.

Questions and answers of general applicability shall be incorporated into an FAQ or otherwise made available to all applicants.

D. Application Management

The Respondent shall provide and maintain an electronic application process.

The application system shall:

1. Accept applications electronically;

2. Provide confirmation of submission;

3. Maintain submission dates and times;

4. Accept supporting documentation;

5. Permit authorized reviewers to access applications;

6. Maintain an audit trail;

7. Protect confidential information;

8. Prevent unauthorized modification of submitted applications;

9. Generate application and award reports; and

10. Permit RIOC to obtain an electronic export of program data.

The Respondent shall maintain a complete application record for each applicant.

E. Eligibility and Completeness Review

The Respondent shall conduct an initial review of each application.

The review shall determine whether:

The applicant meets applicable eligibility requirements;

The application was submitted timely;

Required information was submitted;

Required documentation was provided;

The proposed activity is eligible;

The requested funding complies with program requirements;

The proposed budget is complete and reasonable; and Any conflict or other issue requires further review.

The Respondent may request clarification or missing information in accordance with procedures approved by RIOC.

The Respondent shall document all eligibility determinations.

RIOC may request a review of any eligibility determination.

F. Applicant Due Diligence

The Respondent shall conduct appropriate due diligence on applicants and prospective grantees.

Due diligence shall include, as appropriate:

Verification of nonprofit status;

Review of organizational information;

Review of financial information;

Review of prior grant performance;

Review of proposed budgets;

Review of organizational capacity;

Review of conflicts of interest;

Review of any known compliance issues; and Site visits, interviews or telephone calls where appropriate.

The Respondent shall promptly notify RIOC of any material concern identified through due diligence.

G. Independent Grant Review Committee

The Respondent shall establish and administer an independent community-based Grant Review Committee.

The anticipated committee shall consist of approximately five (5) individuals, unless otherwise determined by RIOC.

Committee members should:

Live, work or have substantial involvement in Roosevelt Island;

Understand the needs of the Roosevelt Island community;

Represent a range of professional, community and lived experiences;

Be capable of reviewing nonprofit grant applications objectively; and Have no conflicts of interest with applicants.

The Respondent shall recommend prospective committee members to RIOC for approval.

The Respondent shall conduct:

1. Conflict-of-interest screening;

2. Confidentiality acknowledgments;

3. Committee orientation;

4. Training concerning the evaluation rubric;

5. Application review meetings;

6. Committee deliberations;

7. Scoring and ranking;

8. Documentation of recommendations; and

9. Final recommendation procedures.

Committee members shall not receive compensation unless expressly approved by RIOC.

The Respondent shall maintain the confidentiality of committee members during the review process to the extent appropriate and permitted by law.

Committee members shall recuse themselves from consideration of any application presenting an actual, potential or perceived conflict.

The Respondent shall facilitate the committee but shall not improperly influence grant recommendations.

RIOC may establish additional requirements concerning committee composition, independence and conflicts.

H. Grant Evaluation Criteria

The Respondent shall utilize an evaluation rubric approved by RIOC.

Unless otherwise approved by RIOC, the rubric should consider:

Criterion Weight

Direct benefit to Roosevelt Island residents

25%

Program quality and feasibility 20%

Demonstrated community need 15%

Organizational capacity 15%

Accessibility and community reach 10%

Financial need and budget reasonableness 10%

Sustainability and potential impact 5%

Total 100%

RIOC reserves the right to modify the evaluation criteria before each grant cycle.

The Respondent shall ensure that reviewers use consistent criteria for all applicants.

I. Grant Recommendations and RIOC Approval

Following completion of the review process, the Respondent shall prepare a written recommendation package for RIOC.

The recommendation package shall include:

Recommended grantees;

Recommended grant amounts;

Summary of applications received;

Total amount requested;

Total amount recommended;

Summary of evaluation results;

Identification of any conflicts or recusals;

Identification of significant due diligence concerns;

Summary of the Grant Review Committee's recommendations; and Recommended disposition of remaining or unallocated funds.

RIOC shall retain final authority over grant awards to the extent provided by applicable law, RIOC policies, Board resolutions and the resulting agreement.

The Respondent shall not publicly announce awards until authorized by RIOC.

J. Grant Agreements

The Respondent shall prepare and administer grant agreements using a form approved by

RIOC.

Each grant agreement shall address, as applicable:

Grant amount;

Grant term;

Approved program;

Approved budget;

Allowable expenditures;

Reporting requirements;

Payment schedule;

Modification procedures;

Compliance requirements;

Recordkeeping;

Audit rights;

Publicity requirements;

Intellectual property, where applicable;

Termination provisions;

Return of unspent or improperly spent funds; and Other RIOC requirements.

The Respondent shall monitor execution of all grant agreements and shall not disburse funds until required agreements and documentation have been completed.

K. Grant Disbursement and Financial Administration

The Respondent shall administer grant payments in accordance with RIOC-approved procedures.

The Respondent shall:

1. Establish grant payment schedules;

2. Verify required documentation;

3. Maintain accurate records of all payments;

4. Reconcile grant accounts;

5. Track outstanding payments;

6. Track returned or unspent funds;

7. Identify irregularities;

8. Provide periodic financial reports to RIOC; and

9. Maintain records sufficient for audit.

RIOC funds shall be separately accounted for or otherwise tracked in a manner that permits RIOC to identify all receipts, expenditures, obligations and balances associated with the Fund.

The Respondent shall not transfer or use Fund monies for purposes outside the approved scope without RIOC's prior written approval.

L. Grant Monitoring

The Respondent shall monitor grantee performance throughout the grant term.

Monitoring shall include:

Review of required reports;

Review of expenditures;

Review of program performance;

Follow-up concerning significant variances;

Technical assistance to grantees;

Identification of compliance issues;

Corrective action when necessary; and Grant closeout.

RIOC may require enhanced monitoring of particular grantees.

The Respondent shall immediately notify RIOC of any suspected fraud, material misuse of funds, material breach of a grant agreement or other significant compliance issue.

M. Grantee Reporting

The Respondent shall develop reporting requirements subject to RIOC approval.

Final grantee reports should generally include:

Narrative description of activities;

Number and types of residents served;

Accomplishments;

Challenges;

Outcomes;

Expenditures;

Comparison of actual expenditures to approved budget;

Unspent funds;

Other sources of funding, where appropriate; and Other information reasonably requested by RIOC.

The Respondent shall review all reports and identify material concerns for RIOC.

N. Program Outcomes and Performance Measurement

The Respondent shall work with RIOC to establish meaningful performance measures.

Measures may include:

Number of residents served;

Frequency of services;

Program participation;

Program completion;

Community reach;

Geographic or population reach;

Quality indicators;

Resident feedback;

Organizational capacity improvements; and

Other measurable outcomes.

The Respondent shall not impose unreasonable reporting burdens on small nonprofit organizations.

RIOC may modify performance measures from year to year.

O. Financial Reporting to RIOC

The Respondent shall provide RIOC with financial reports at least quarterly, or more frequently if requested.

Reports shall include:

Beginning balance;

Contributions/funds received;

Grant commitments;

Grant payments;

Administrative expenses;

Outstanding obligations;

Unspent funds;

Returned funds;

Ending balance; and Any other financial information requested by RIOC.

The Respondent shall provide an annual financial reconciliation.

P. Administrative Costs and Fees

Respondents shall clearly identify all costs associated with administration of the Fund.

The proposed fee structure shall separately identify:

Program administration;

Application administration;

Grant review;

Grant committee administration;

Financial administration;

Technology;

Reporting;

Communications/outreach;

Grant monitoring;

Closeout; and Any reimbursable expenses.

Respondents shall identify any proposed pass-through costs.

RIOC strongly prefers a transparent fee structure that permits RIOC to understand the amount of Fund resources devoted to administration versus grants.

No additional fees or expenses shall be charged without RIOC's prior written approval.

Q. Data Management and Cybersecurity

The Respondent shall maintain appropriate administrative, technical and physical safeguards for Fund information.

At a minimum, the Respondent shall:

Restrict access to authorized personnel;

Maintain secure user credentials;

Maintain appropriate access controls;

Protect applicant financial and organizational information;

Maintain backups;

Maintain an incident response procedure;

Promptly notify RIOC of a data security incident;

Maintain appropriate records;

Comply with applicable privacy and cybersecurity requirements; and Return or securely dispose of data at contract termination as directed by RIOC.

RIOC shall have reasonable access to all Fund data generated or maintained in connection with the contract.

R. Records, Audit and FOIL Cooperation

The Respondent shall maintain complete and accurate records relating to the Fund.

Records shall include, as applicable:

Applications;

Supporting documentation;

Review records;

Scoring;

Committee records;

Grant agreements;

Payment records;

Financial records;

Grantee reports;

Correspondence;

Monitoring records; and Closeout documentation.

The Respondent shall retain records for the period required by applicable law and RIOC policy.

The Respondent shall cooperate fully with RIOC, its auditors and other authorized governmental entities.

Because RIOC is subject to New York State's Freedom of Information Law, the Respondent shall cooperate with RIOC in responding to requests for records and shall not independently determine that RIOC records are exempt from disclosure. Any confidentiality or proprietary-information claim shall be handled in accordance with applicable law and RIOC direction.

S. Conflict of Interest and Ethics

The Respondent shall maintain and enforce a written conflict-of-interest policy applicable to its personnel and all Grant Review Committee members.

The policy shall address:

Financial interests;

Family relationships;

Employment relationships;

Board relationships;

Prior or current relationships with applicants;

Gifts;

Preferential treatment;

Recusal;

Confidentiality; and

Disclosure requirements.

All committee members and appropriate Respondent personnel shall complete conflict-of-interest disclosures before participating in grant review.

Any actual, potential or perceived conflict shall be promptly disclosed to RIOC.

T. Communications and Public Announcements

The Respondent shall coordinate all public announcements concerning the Fund with

RIOC.

RIOC shall have the right to approve:

Press releases;

Public announcements;

Grant award lists;

Website content;

Public reports;

Social media announcements; and Other public-facing Fund materials.

The Respondent shall not represent that it speaks for RIOC without RIOC's authorization.

U. Annual Program Report

Within [60] days following completion of each annual grant cycle, the Respondent shall provide RIOC with a comprehensive annual report.

The report shall include:

1. Overview of the grant cycle;

2. Number of applications received;

3. Total amount requested;

4. Number of eligible applicants;

5. Number of awards;

6. Total amount awarded;

7. Grant distribution by program area;

8. Summary of beneficiaries;

9. Summary of program outcomes;

10. Grant monitoring results;

11. Financial reconciliation;

12. Administrative expenses;

13. Unspent funds;

14. Material compliance issues;

15. Applicant/grantee feedback;

16. Recommendations for improving the program; and

17. Other information requested by RIOC.

V. TRANSITION AND CONTINUITY

The Respondent shall develop a transition plan during the first [30] days of the contract.

If the Respondent is replacing an existing Respondent, the transition plan shall include:

Transfer of grant records;

Transfer of financial records;

Transfer of application data;

Review of outstanding grants;

Review of open compliance matters;

Transfer of approved program materials;

Technology implementation;

Stakeholder communications;

Grant calendar development; and Continuity of services.

Upon expiration or termination of the agreement, the Respondent shall cooperate…