Applicants who would like to be considered for an IMG grant must submit a grant application, with all other required supporting documents, to the Environmental Facilities Corporation. One municipality, designated as the "lead municipality", must apply on behalf of all cooperating municipalities.
- 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 inclusions in the National Register of Historic Places, or that SHPO has no objection to the Applicant 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.
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.
A board resolution is a motion or formal proposition adopted by an entity's governing body setting forth the intent of that body. An applicant seeking EFC financial assistance must submit a certified copy of a resolution that authorizes, at a minimum: undertaking of the project and the maximum total cost of the project; expenditures for the project, including identification of any non-municipal source of funds; obligation of funds necessary to meet any required local match, including any cash and/or in-kind services; and application to EFC for financial assistance. The resolution must also designate a representative of the applicant who is authorized to sign the funding agreement with EFC and any associated documents. If the applicant is issuing debt for the project and has adopted a bond resolution, a separate board resolution may not be necessary.
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 principle, 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.
An intermunicipal agreement (IMA) is a binding written agreement between two or more municipal entities to undertake a joint project authorized by General Municipal Law Article 5-G. The IMA formally designates the participating entities, describes the joint project, and provides the tasks and details of the joint project and assigns responsibilities to various municipal departments to carry out the joint project. The IMA must, at a minimum, detail each municipal entity's responsibilities with respect to ownership, construction, and repayment of debt service on the joint project, as well as operation and maintenance of the project.
If applicable, documentation that a special improvement district for drinking water or 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 ass 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, including required local match. 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.