RFP 26-6181 (2026 CAT) Proposal Cover Page, Checklist, and Certification Form.doc

Empire State Development

Division of Science, Technology & Innovation Centers for Advanced Technology (CAT) Program

2026 Request for Proposals (RFP 26-6181)

Proposal Cover Page

Key Contact Person for Proposal:

City:

State: Zip Code:

Authorized Organizational Representative

City:

State: Zip Code:

Technology Focus:

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Artificial Intelligence

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Life Sciences, Enabling Sciences

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Nanotechnology

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Semiconductors and Microelectronics

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Photonics and Imaging Science Systems

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Energy Systems

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Advanced Manufacturing

Proprietary Information

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No proprietary information is included in this Proposal; or, FORMCHECKBOX

All proprietary information is either identified in the body of the Proposal with a “CONFIDENTIAL” or “PROPRIETARY” stamp or included as Appendix 5 (Proprietary Information) to the Proposal. In addition, a cover letter requesting exception from public disclosure, addressing the required components of Section II.D., is included.

Proposal Checklist:

Each of the following items is required. Failure to include any of these items, in accordance with the guidelines provided in the Request for Proposals (RFP), will result in the applicant institution’s Proposal being rejected without review. A check indicates that the authorized individual(s) has(have) reviewed the specific section of the RFP and determined that the required item(s) is(are) included in both the original Proposal and in each copy.

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The Proposal is in compliance with the specific matching funds requirements including allowable thresholds prescribed in the RFP, and required matching funds is committed as required by the RFP.

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Requested ESD funds have been budgeted only for the allowable uses identified in the RFP.

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Up to $903,954 of ESD funds have been requested for year one. Applicant understands that actual funds awarded may differ from the requested amount based on the availability of State funds.

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The Proposal Narrative does not exceed 15 pages. The Proposal is formatted according to instructions of the RFP.

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A completed and signed Proposal Cover Page is included.

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The Certification that follows this checklist has been signed by the President of the applicant institution.

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A Table of Contents prepared in accordance with the RFP is included.

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An alphabetized Glossary of Terms Used with a brief definition of each item including all acronyms follows the Table of Contents within the Proposal.

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An Executive Summary prepared in layman’s terms in accordance with the RFP is included and does not exceed one page.

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A Proposal Narrative is included that addresses each of the specific review criteria delineated in the RFP and the Proposal Narrative follows the sequence as stipulated in the RFP.

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Appendix 1: CAT Director’s Curriculum Vita (CV), a brief resume of each member of the management team, and Biographical Sketch Form for each participating research faculty member

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Appendix 2: CAT Organizational Chart

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Appendix 3: Project Summary Templates for Committed projects (up to ten)

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Appendix 4: Budget Forms One and Two

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Appendix 5: Proprietary Information (include a page stating “Not Used” if proprietary information is included within the body of the Proposal or if no proprietary information is included) Certification:

“I/We certify that each of the required sections and templates identified above are in the Proposal submitted. I/We understand that failure to include any of these required items or failure to follow the format or use the templates provided in the Request for Proposals (RFP) will result in this Proposal being rejected without consideration for funding.

I/We certify that the information provided in this Proposal is accurate and that no misrepresentations have been made in any part of this submission. I/We further certify that any internal policies of the Applicant or Lead Institution and Consortium Member (if applicable) including, but not limited to, those related to issues of collaboration with industry, collaboration with not-for-profit organizations, confidentiality, and intellectual property matters are consistent with the goals of the CAT Program as outlined in the RFP and will not impede the Applicant’s or Lead Institution’s and Consortium Members’ (if applicable) ability to achieve the goals of the Program and those outlined in the Proposal. Copies of the Applicant’s or Lead Institution’s and Consortium Members’ (if applicable) policies and procedures will be maintained on site and available for inspection by ESD or its designee upon request. The Applicant or Lead Institution and Consortium Member (if applicable) has the ability to meet and, if designated, intends to provide the financial and/or administrative commitments outlined in the Proposal.”

Signature, printed name, and title of Vice Provost or Vice President of Research, or equivalent, of the Applicant/Lead Institution who will be responsible for the CAT

Signature, printed name, and title of institution’s Authorized Organizational Representative1

(Printed Name)

(Printed Name)

(Title)

(Title)

(Signature)

(Signature)

(Date)

(Date)

Required Consortium Member Signatures (if applicable):

Signature(s), printed name(s), and title(s) of Vice Provost or Vice President of Research, or equivalent, of the Consortium Member(s) who will be responsible for the CAT3

Signature(s), printed name(s), and title(s) of institution’s Authorized Organizational Representative1

(Printed Name)

(Printed Name)

(Title)

(Title)

(Institution)

(Institution)

(Signature)

(Signature)

(Date)

(Date)

(Printed Name)

(Printed Name)

(Title)

(Title)

(Institution)

(Institution)

(Signature)

(Signature)

(Date)

(Date)

(Printed Name)

(Printed Name)

(Title)

(Title)

(Institution)

(Institution)

(Signature)

(Signature)

(Date)

(Date)

� The institution’s Authorized Organizational Representative is defined as the duly authorized representative with authority to enter legal agreements on behalf of, and commit resources of, the institution.

� An individual with higher authority may also sign this certification.