The first step to applying for DWSRF financial assistance is submitting a Project Listing Form to DOH, including a description of the project and other essential information. The Project Listing Form is used to rank and list the project in the Intended Use Plan.
The Project Listing Form for listing projects in the DWSRF IUP requires project and applicant information sufficient to score projects based on the priority ranking criteria found in Attachment 1 of the IUP. The criteria are based on:
MCL/Treatment Technique Violations
Non-Treatment Sanitary Code Violations
System Reliability/Dependability Issues
All projects are scored, ranked, and listed on the Annual List and/or Multi-Year List. To be placed on the Annual List, an engineering report must be submitted or be on file with the Department of Health.
Applicants are encouraged to submit the Project Listing Forms for all potential projects. Each year, a subsidy line is identified on the IUP Annual List. All projects that are above the subsidy line on the Final IUP Annual List are eligible for subsidized interest rate financing. Projects below the subsidy line may become “reachable” for subsidized interest rate financing in a subsequent funding cycle. Unsubsidized (Market Rate) financing is also available for projects below the subsidy line on the Final IUP Annual List, and for projects above the subsidy line that require short-term financing in excess of the amount available under the Short-Term Interest-Free Financing Program. In addition to the subsidy line, the Annual List has a Hardship Evaluation Eligibility Line. Eligible projects with a score equal to where the line is drawn are automatically evaluated for hardship financing and, if available, grant.
IUP Listing, Scoring, and Ranking Process: Information provided by the applicant on the DWSRF Listing Form is used to score and rank projects (described in detail in the IUP). It is important for applicants to provide adequate information for DOH project engineers to properly score projects. Once DOH project engineers score each individual project, projects that are expected to be ready for the next financing period will be added to the Annual List. Projects on the Annual List are ranked based on the Project Priority Score. Projects that may be ready for a future financing period are added to the Multi-Year list only.
Drinking water systems that are eligible for DWSRF project funding are community water systems, both municipally and privately-owned, and non-profit, non-community water systems.
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 March 1st of each IUP financing 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 anytime 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 applicants proceeding with the planning of the project, 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 an 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 the drinking water infrastructure related public health problems, assesses alternatives for addressing and resolving the problems, 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 drinking water 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 drinking water 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 project. 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.