The first step in applying for CWSRF financial assistance is a Project Listing on the Intended Use Plan (IUP). Using EFC’s Project Listing and Update System (PLUS), applicants must submit initial project information, including contact information, a general description of the project’s scope, a budget, and a project schedule. EFC accepts new project listings on a continuous basis, but applicants must submit their project information through PLUS by May 1 to have their projects listed in the Draft IUP each year, and by the end of the public comment period for the Draft IUP to have their projects listed in the final IUP. Applicants may also upload documents such as engineering reports, consent orders, or project descriptions. EFC recommends that applicants submit all available project information at the time of the project listing to ensure that EFC determines the most accurate project score and ranking.
Each project seeking CWSRF financial assistance is scored using a project priority score system. Each project is categorized based on the applicant’s population, whether the applicant is experiencing economic hardship, and whether the applicant is a non-municipal entity. A project’s rank relative to other projects in its category determines the type of financial assistance available.
The IUP contains two lists of eligible projects:
- Multi-Year Project Priority List- Identifies all projects for which applicants have expressed an interest in receiving financial assistance. The Multi-Year list identifies projects alphabetically by applicant name and indicates whether a project is also included on the Annual List, which category it is in, and the project score.
- Annual Project Priority List- Identifies projects that EFC may provide financial assistance to in the IUP Period. For a project to be included on the Annual List, the applicant must also submit an approvable engineering report and a Smart Growth Assessment Form to EFC. A project may receive financial assistance in the IUP period only if it is on the Annual List.
Once an applicant’s project is listed on the Annual List, a Financing Application must be submitted. Applications for interest-free and subsidized financing are accepted on a continuous basis until June 29, 2019 for the current IUP period. Applications received after the deadline may be postponed to the next IUP year. Applicants with projects below the IUP Annual List subsidy lines may submit a financing application at any time if interested in receiving unsubsidized financing.
Plan on submitting your financing application as soon as possible to meet your needs for timely access to funds. This will give EFC adequate time to process your application, request clarification, prepare closing documents, and ensure you are able to receive disbursements when you need them.
- SEQR: All applicants for EFC financial assistance are required to assess the environmental impacts of their projects pursuant to the State Environmental Quality Review (SEQR) Act.
- SERP: Applicants seeking State Revolving Fund financing also must comply with the applicable requirements of the federal State Environmental Review Process (SERP), which may be more stringent than the requirements under SEQR. To comply with SERP, unless the project is a Type II Action exempt from SEQR, it generally must be treated as a Type I Action under SEQR.
Each applicant seeking financial assistance from EFC is required to consult with New York's State Historic Preservation Office (SHPO), within the New York State Office of Parks, Recreation, and Historic Preservation and obtain a letter from SHPO stating that based upon its review, it is SHPO's opinion that the project will have no effect upon cultural resources in or eligible for inclusion in the National Register of Historic Places, or that SHPO has no objection to the applicant proceeding with the planning of the projects, subject to SHPO's final approval and the applicant's compliance with any conditions of SHPO's approval.
For more information regarding SHPO, click here.
If the applicant is seeking State Revolving Fund (SRF) financing or a non-EFC loan, the applicant must adopt a bond resolution. A bond resolution is a resolution of the governing body of a municipality that establishes the municipality's legal authority to issue debt for a specific project. The form and content of, and procedures for adopting, a bond resolution are prescribed by the New York State Local Finance Law. An applicant seeking EFC financial assistance should consult with a bond counsel for assistance in drafting and adopting a valid bond resolution.
An engineering agreement is a contract with a professional engineering firm for planning, design, and/or construction management services. Planning services involve the development of an engineering report. Design services result in the production of plans and specifications for the project.
An acceptable engineering report is a document that comprehensively describes a water quality related problem, assesses alternatives for addressing and resolving the problem, including the "no action" alternative, recommends a solution, and includes the costs and implementation schedule for that solution. Engineering reports are prepared by a professional engineer licensed and registered to practice in New York State.
The Engineering Report Outline must be followed to ensure the report meets the requirements of an acceptable engineering report for wastewater infrastructure projects in New York State. The report should detail the analysis undertaken to assess the problem, ensuring that: 1) acceptable engineering principles, including applicable design criteria, were utilized in the evaluation; 2) the data justifies and supports the conclusions; and 3) the proposed solution has reasonable expectations of solving the problem.
If applicable, documentation that a special improvement district for wastewater has been established or expanded, or that the maximum amount to be expended for such district has been increased, and that approval has been obtained from the Office of the State Comptroller (OSC), as needed. This may only be applicable to towns and counties.
The project budget identifies all known and estimated costs that are projected to be incurred during the planning, design, and construction of the project. The budget should contain all costs that pertain to the project, including costs for professional services such as legal counsel, financial adviser services, and other consultants. Actual executed contract or agreement amounts should be used when available.
The project budget includes a plan of finance that identifies all sources of moneys expected to fund the total cost of the projects. This includes the estimated amount of EFC financial assistance and any additional sources of moneys which will pay for the project, including all grants and loans from EFC, any third party, and any municipal or other contributions.
The State Smart Growth Public Infrastructure Policy Act of 2010 is intended to augment the state's environmental policy by maximizing the social, economic, and environmental benefits of public infrastructure development while minimizing unnecessary environmental degradation, disinvestment in urban and suburban communities, and the loss of open space resulting from sprawl development.