Eligible applicants must have a project located in one of the following regions in order to be considered by the REDCs for funding: Capital Region, Central New York, Finger Lakes, Mid-Hudson, Mohawk Valley, North Country and the Southern Tier.

URI applicants seeking additional funding through the CFA must submit a separate CFA. A URI Intent to Propose is not a substitute for a CFA for ESD Capital Grants or other State agency resources. URI applications will not be considered for other State funding.

To locate a Zip Code, click HERE

To determine the US Congressional District, click HERE

Applicants will be required to provide the specified ID number upon request by the funding agencies.

If applying in the name of a business please type in the name as it appears on your business papers. If applying as an individual insert your name here.

To look up a zip code, click HERE

Please includes details relevant to all programs on this application. Programs on this application are: {{program_list}}

Provide a brief summary of the need for the project in the geographic area proposed, the project's financing needs, including funding gaps and, where applicable, describe the additional short and long term jobs that will be created through the development of the proposed project.

Describe how the proposed project advances the REDC/URI plan for the region, specifically linking the project to the region’s goals, strategies, and targeted industry clusters. A response to this question should directly and specifically link the project to a section or sections of REDC/URI plan for the region.

The REDC and Upstate Revitalization Initiative’s (URI) are designed to support projects that will help transform the region’s economy. Applicants seeking these resources should explain why the project is a priority for the region. Providing details on the impact of the project such as the ability to create net new high paying jobs, the extent of private sector support, the impact it has on the community, and how the project will advance, in a meaningful way, the implementation of the REDC/URI plans, will help the REDCs and state during review.

A Full-time equivalent job equals any combination of two or more part-time jobs that, when combined together, constitute the equivalent of a job of at least 35 hours per week.  NOTE: Your base employment for Excelsior is calculated using the prior 4 quarters from when you are accepted into the program.

A Full-time Contract Employee a full-time private sector employee (or self-employed person) who is not on the Recipient’s payroll but who works exclusively for the Recipient at the project location for a minimum of 35 hours per week for not less than four consecutive weeks, providing services that would otherwise be provided by a Full-time Permanent Employee. The position held by a Full-time Contract Employee must be a year-round position.

 NOTE: A full-time equivalent job equals any combination of two or more part-time jobs that, when combined together, constitute the equivalent of a job of at least 35 hours per week. Please note if any of these positions are contract employees and if so, how many of the total are contract employees.

"At Risk" shall mean a permanent Full-time employee position currently located in New York State that is found by ESD to be at risk of being lost or moved out of state based on compelling information provided by the applicant.

A Full-time Contract Employee is a full-time private sector employee (or self-employed person) who is not on the Recipient’s payroll but who works exclusively for the Recipient at the project location for a minimum of 35 hours per week for not less than four consecutive weeks, providing services that would otherwise be provided by a Full-time Permanent Employee. The position held by a Full-time Contract Employee must be a year-round position.

Please reference job definitions at the top of this page.

The base employment for Excelsior is calculated using the prior 4 quarters from when you are accepted into the program.

Financial statements should be audited or reviewed.  If the statements are only compiled, they must be accompanied by copies of signed Federal tax returns (3 yrs).  Financial statements should be provided by the parent company or any individual owning 50% or greater of the Applicant) unless the Applicant prepares separate audited or reviewed financial statements or files separate tax returns from the parent.

Financial statements should be audited or reviewed.  If the statements are only compiled, they must be accompanied by copies of signed Federal tax returns (3 yrs).  Financial statements should be provided by the parent company or any individual owning 50% or greater of the Applicant) unless the Applicant prepares separate audited or reviewed financial statements or files separate tax returns from the parent.

Financial statements should be audited or reviewed.  If the statements are only compiled, they must be accompanied by copies of signed Federal tax returns (3 yrs).  Financial statements should be provided by the parent company or any individual owning 50% or greater of the Applicant) unless the Applicant prepares separate audited or reviewed financial statements or files separate tax returns from the parent.

For information about this requirement, contact your local ESD Regional Office. https://esd.ny.gov/regions

In order to effectively transform the region’s economy, the project must demonstrate that it has the connections and relationships in sufficient scale and strength to support and sustain growth, particularly in the region’s key clusters. Critical mass should be attained through the engagement of individuals and organizations whose knowledge and skills contribute to distinct projects, augment the scale of the plan, and generate transformational change in the region. Projects will be evaluated for the ability to establish these connections, develop complementary proposals that form a unified plan, and create critical mass.

For information about this requirement, contact your local ESD Regional Office. https://esd.ny.gov/regions

For privately owned companies, IDAs, not-for-profits, educational institutions, start-ups, municipalities, or any business or organization other than publicly traded companies, please provide an organizational chart and/or description of ownership structure, including the percentage of ownership for each individual/entity. If the company is a parent, subsidiary and/or affiliate of another company, please provide a description of the relationship. Additional financial information may be requested

Information and forms can be found at http://www.dec.ny.gov/permits/357.html and http://www.dec.ny.gov/permits/6191.html . If you are a not-for-profit, please complete and attach the following form: https://parks.ny.gov/documents/grants/EnvironmentalReviewFormNotforProfits2021.pdf  v

Below is a list of the economic indicators specified in the URI Guidebook that applicants should address. More information and definitions can be found in the guidebook posted on the URI website: www.ny.gov/programs/upstate-revitalization-initiative
• Innovation
• Leveraging Private Sector Investment
• Anti-Poverty
• Connectivity
• Sustainability
• Workforce Development
• Hard-to-Place Workers
• Community Reinvestment
• Global Economy
• Collaboration
• Readiness
• Implementation and Reporting
• Leveraging Other State Initiatives

As a part of developing comprehensive growth strategies, regions must demonstrate their readiness to implement the plan and take advantage of major state investment. Overall readiness will be considered, in addition to the readiness for large-scale capital projects. It is possible that a workforce development initiative will be ready earlier than a construction project involving more significant private sector investment. All projects submitted for consideration must work together to advance the region’s long-term plan.

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 Each REDC plan must demonstrate a minimum investment ratio of 5 to 1 of private sector to public sector investment across the plan. The private sector investments, if clearly linked to the regional priorities, can take many forms, including, but not limited to, investments in the purchase or lease of land, buildings or equipment; the construction of new or upgraded buildings or capital equipment; funds expended on training, apprenticeship or mentorship programs; in some instances, the salaries for new employees; investment in venture capital funds; upgrading of key infrastructure; or similar expenditures. Other types of private sector investment will be considered on a case-by-case basis.

It is recognized that not every project will demonstrate a 5 to 1 investment ratio. For example, workforce development and certain infrastructure projects may provide a greater public investment. However, projects with outside investment must have a close relationship to the region’s priorities. Regions should identify projects expected to substantially exceed the 5 to 1 leverage ratio and describe how their strategies will lead to a plan that in aggregate and over time, meets or exceeds the 5 to 1 ratio.

For help determining the NAICS Code, click HERE.

 Each REDC plan must demonstrate a minimum investment ratio of 5 to 1 of private sector to public sector investment across the plan. The private sector investments, if clearly linked to the regional priorities, can take many forms, including, but not limited to, investments in the purchase or lease of land, buildings or equipment; the construction of new or upgraded buildings or capital equipment; funds expended on training, apprenticeship or mentorship programs; in some instances, the salaries for new employees; investment in venture capital funds; upgrading of key infrastructure; or similar expenditures. Other types of private sector investment will be considered on a case-by-case basis.

It is recognized that not every project will demonstrate a 5 to 1 investment ratio. For example, workforce development and certain infrastructure projects may provide a greater public investment. However, projects with outside investment must have a close relationship to the region’s priorities. Regions should identify projects expected to substantially exceed the 5 to 1 leverage ratio and describe how their strategies will lead to a plan that in aggregate and over time, meets or exceeds the 5 to 1 ratio.

URI plans must comprehensively address the region’s workforce development needs by describing how they will cultivate a workforce that is responsive to employment prospects and industry demand.

Specific steps must be outlined that will lead to progress in filling vacant or newly created positions and improving weaknesses in the workforce of key sectors.

In determining whether a project is in a highly distressed area, ESD considers whether the area is characterized by pervasive poverty, high unemployment, and general economic distress based on characteristics including but not limited to:

•    a poverty rate of at least twenty percent, or if the area does not contain a census tract or tracts, a block numbering area, or a city, town, or village, a poverty rate of at least thirteen percent;
•  an unemployment rate of at least 1.25 times the statewide unemployment rate;
•  significant job loss from one employer or in a particular industry;
• the President of the United States declares the area a natural disaster area;
• closure or realignment of a defense or military base or facility;
• contraction or discontinuance of a State hospital or mental hygiene facility;
•  population and employment decline,increase in unemployment and public assistance recipients,decline in real property values, decline in per capita income,abandoned property and deteriorated industrial, commercial, and residential properties, a decline in business establishments, obsolescence in plant capacity, loss of markets to foreign competition, the unavailability of expansion financing, poor access to markets, and other indictors of chronic and severe economic distress;
• potential to attract private investment that will employ unemployed or economically disadvantaged persons;
• substantial public and private commitments to a long-term economic revitalization program and the capacity to manage the program;
• a plan that states the area’s needs, proposals for meeting such needs, the process for routine periodic evaluation of progress in implementing the plan and compilation of essential information for such evaluation;
•  applicable land use laws or regulations allow the use of at least twenty-five percent of the area for commercial or industrial activity; and
• twenty-five percent or more of the area is vacant, abandoned, or otherwise available for industrial or commercial development.

It is strongly recommended that project sponsors work with the appropriate REDCs where the project is located to help them understand the dynamics of the project and enlist any assistance the REDC may be able to provide for further development of the project prior to submitting an application for review.  Opportunities are available throughout the year in each region for potential projects to address the council through REDC meetings, public forums, CFA workshops, and other activities.  Empire State Development acting as the administrative agency overseeing the REDCs has regional offices throughout the state and can provide assistance to potential applicants.

ESD Regional Office Contact Information:

Capital Region                                   Central New York Region
Hedley Park Place                                620 Erie Boulevard West - Suite 112
433 River Street - Suite 1003               Syracuse, NY 13204
Troy, NY 12180                                    (315) 425-9110
(518) 270-1130                                    Email Us
Email Us                                              

Finger Lakes Region                          Long Island Region
400 Andrews Street - Suite 300           150 Motor Parkway
Rochester, NY 14604                           Hauppauge, New York 11788
(585) 399-7050                                    (631) 435-0717
Email Us                                               Email Us

Mid-Hudson Region                          Mohawk Valley Region
33 Airport Center Drive - Suite 201      207 Genesee Street
New Windsor, NY 12553                      Utica, NY 13501
(845) 567-4882                                     (315) 793-2366
Email Us                                               Email Us

New York City Region                        North Country Region
633 Third Avenue - 36th Floor             401 West Bay Plaza
New York, NY 10017                            Plattsburgh, NY 12901
(212) 803-3130                                     (518) 561-5642
Email Us                                               Email Us

North Country Region                       Southern Tier Region

Dulles State Office Building                  44 Hawley Street - Suite 1508
Watertown, NY 13601                          Binghamton, NY 13901
(315) 785-7907                                     (607) 721-8605
Email Us                                               Email Us

Southern Tier Region                         Western New York Region
Elmira Savings Bank                              95 Perry Street - Suite 500 
333 East Water Street, 4^th Floor            Buffalo, NY 14203-3030
Elmira, NY 14901                                   (716) 846-8200
(607) 734-8130                                      Email Us
Email Us                                               

Qualified investments are tangible personal property, including a building or structural component of a building.

 If "yes", the project requires consultation with the State Historic Preservation Office (SHPO). 

 If "yes", the project requires consultation with the State Historic Preservation Office (SHPO). 

Municipal Centers are areas of concentrated and mixed land use that serve as centers of various activities (civic, commercial, recreational, and residential, among others).  Specific examples include Central Business Districts; Brownfield Opportunity Areas (BOAs); Downtowns in Local Waterfront Revitalization Program (LWRP) Areas; Transit-Oriented Development, Environmental Justice Areas and Hardship Areas; in many instances, an entire city, village or hamlet can be considered a municipal center.  This definition can include development “adjacent to municipal centers” and a “future municipal center” – an area planned and zoned to be a municipal center.   

For specific guidance on rail/port, aviation, and other transportation projects please refer to Smart Growth Public Infrastructure Policy Act