FINAL INTENDED USE PLAN Clean Water State … Use... · FINAL INTENDED USE PLAN Clean Water State Revolving Fund Federal Fiscal Year 2018 Effective October 1, 2017 - September 30,

FINAL INTENDED USE PLAN Clean Water State Revolving Fund Federal Fiscal Year 2018 Effective October 1, 2017 - September 30, 2018

December 2017

ANDREW M. CUOMO Governor

BASIL SEGGOS Commissioner

SABRINA M. TY President and CEO

FINAL INTENDED USE PLAN

Clean Water State Revolving Fund for Water Pollution Control

Federal Fiscal Year 2018

Effective October 1, 2017 - September 30, 2018

State of New York

Andrew M. Cuomo, Governor

New York State Department of Environmental Conservation

Basil Seggos, Commissioner

New York State Environmental Facilities Corporation

Sabrina M. Ty, President and CEO

Department of Environmental

Conservation

625 Broadway

Albany, NY 12233-3500

www.dec.ny.gov

Environmental Facilities Corporation

625 Broadway

Albany, NY 12207-2997

www.efc.ny.gov

(518) 402-6924

Printed on 100% Recycled Paper with Soy Ink

FINAL 2018 CWSRF INTENDED USE PLAN

i

Contents

Contents ...................................................................................................................................... i

Foreword ..................................................................................................................................... ii

Introduction ......................................................................................................................... 1

Eligible Projects .................................................................................................................. 1

Project Priority Lists - Evaluation and Scoring ..................................................................... 2

Multi-year List and Annual List ..................................................................................... 2

Project Score System .................................................................................................. 3

Project Categories ....................................................................................................... 4

Project Bypass ............................................................................................................. 5

Project Listing and Project Updates .................................................................................... 6

Financing Terms and Financial Assistance Options ............................................................ 7

Financial Assistance Options ....................................................................................... 7

Applications for Financial Assistance ..........................................................................10

Programmatic Requirements ......................................................................................12

EFC Compliance with EPA Program Requirements (Assurances and Specific Proposals) 12

Binding Commitments .................................................................................................12

Timely Use of Funds ...................................................................................................12

Compliance with Federal Requirements (Equivalency Projects)..................................12

Environmental Review ................................................................................................13

6.5. State Match Funds and Anticipated Cash Draw Ratio ...................................................13

6.6 Transfer of Funds Between SRF Programs ................................................................13

Green Project Reserve (GPR).....................................................................................13

Allocation, Sources and Uses of Funds ..............................................................................14

Sources and Uses.......................................................................................................14

Allocation of Funds .....................................................................................................15

Use of Administrative Funds .......................................................................................16

Amendments and Modification ...........................................................................................17

Program Goals ...................................................................................................................17

Public Comment .............................................................................................................18

EFC Website Resources ..........................................................................................................20

Appendix A Multi-Year Project Priority List ................................................................................

Appendix B Annual Project Priority List .....................................................................................


ii

Foreword

The New York State (State) Environmental Facilities Corporation (EFC), with its partner the

State Department of Environmental Conservation (DEC), is responsible for the operation and

administration of the States Clean Water State Revolving Fund (the CWSRF). The CWSRF

allows EFC to provide interest-free or low-interest rate financing and grants to support a variety

of eligible water quality improvement projects, including point source projects, nonpoint source

projects and national estuary projects. EFC similarly operates and administers the States

Drinking Water State Revolving Fund (the DWSRF), with its partner the State Department of

Health (DOH), to finance drinking water infrastructure projects.

The federal Environmental Protection Agency (EPA) annually provides a grant (the

Capitalization Grant) to the State to further capitalize the CWSRF and DWSRF programs. EFC

uses this federal money, along with the required State match funds equal to 20%, to make loans

and provide financial assistance for approved projects. As borrowers repay their loans,

repayments of loan principal and interest earnings are recycled back into both the CWSRF and

DWSRF programs to finance new projects and allow the funds to revolve over time. In

addition, EFC issues bonds to increase the capital available to fund projects in the CWSRF and

DWSRF programs. EFC is able to use CWSRF and DWSRF assets for security and repayment

of its bonds.

Since the inception of the CWSRF program in 1990, EFC has provided more than $17.2 billion

in low-cost financing from the CWSRF to protect water quality. To improve drinking water in the

State, EFC has provided more than $4.4 billion in low-cost financing for drinking water projects

since the DWSRF began in 1996.

The demand for EFCs financial assistance is higher than ever, in part due to the renewed focus

on water infrastructure issues, and because of the State Water Infrastructure Improvement Act

of 2017 (WIIA). The enacted State budget for State Fiscal Year 2017-18 made available $225

million for the third offering of WIIA grants to help fund critical wastewater and drinking water

system improvements. To date, WIIA grants have been awarded to 290 projects in support of

nearly $1.9 billion in infrastructure investment. For federal fiscal year (FFY) 2018, EFC expects

to close over $1 billion of total project financings for the CWSRF and DWSRF programs.

EFC anticipates that the demand for financing will continue to exceed the amount of financial

assistance that EFC can provide each year. This CWSRF Intended Use Plan (IUP), which

covers FFY 2018, identifies clean water infrastructure projects that would require over $4.1

billion in funding. EFC anticipates that it will be able to provide zero-percent interest rate or low-

cost financing for approximately $903 million of projects costs, which comprises approximately

25% of the identified demand. Other projects may receive market-rate financing, which is

typically at a more favorable rate than a borrower could obtain independent of EFC financing.


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In order to determine the type of financing that a borrower may receive, its project must first be

listed on the IUP. Projects are ranked using the scoring criteria prescribed in State regulation,

which are generally based on how critical a project is to protecting or improving water quality.

EFC provides an array of financial assistance options that make one-stop shopping possible

for all phases of clean water infrastructure projects. EFC can finance the full project cost,

including planning, design and construction, with a short-term financing. EFC may offer

affordable long-term financing to the borrower when the projects final costs have been

determined. Section 5.1 of this IUP discusses these financing options in greater detail.

For FFY 2018, EFC is using updated median household income (MHI), population, and poverty

data.

The IUP establishes EFCs annual work flow and the parameters for financing eligible CWSRF

projects. The table below summarizes important program dates for the upcoming FFY.

October 1, 2017 Effective Date of the 2018 IUP

March 1, 2018 Income survey deadline if financing during FFY 2018

June 29, 2018 Financing applications are due for all projects

July 2018 Draft FFY 2019 IUP issued

Late August 2018 Comments on Draft FFY 2019 IUP are due

New project listing deadline for the FFY 2019 IUP

September 30, 2018 End of the 2018 IUP year


1

Introduction

The federal Water Pollution Control Act (Clean Water Act) requires the State to prepare a plan

identifying the intended uses of the funds in the CWSRF and describing how those uses support

the goals of the CWSRF. The State prepares an IUP annually, providing for public review and

comment, before submitting it to the EPA. The EPA must receive the IUP before it awards the

Capitalization Grant to the States CWSRF.

This IUP is divided into major topics to provide fundamental information to readers about which

projects are eligible for CWSRF financing, how the CWSRF works, the type of financial

assistance available through the CWSRF, and the sources and uses of the CWSRFs funds.

This IUP also provides links throughout the body of the document to a listing of IUP resources

on EFCs website (https://www.efc.ny.gov/2018-cw-iup).

Eligible Projects

EFC provides CWSRF financial assistance for the planning, design and construction of the

following types of eligible projects:

a. Municipally-owned treatment works projects, including:

New, expanded or rehabilitated wastewater treatment plants;

Sludge treatment and disposal facilities including biosolids reuse;

Collector, trunk and interceptor sewers;

Sewer rehabilitation and infiltration/inflow correction;

Landfill leachate collection, storage and treatment;

Sewers and treatment capacity for industrial wastewater (including storage,

recycling or reclamation); and

Combined sewer overflow (CSO) and sanitary sewer overflow (SSO)

abatement.

b. Stormwater/Non-Point Source (NPS) projects. These projects may be publicly or

privately owned, and must be consistent with New York States NPS Management

Plan:

Green infrastructure projects that manage stormwater, such as constructed

wetlands, bioretention, porous pavement, and green roofs;

Waterbody restoration including stream bank stabilization and drainage erosion

and sediment control;

Restoration of riparian vegetation, wetlands and other water bodies;

Environmentally innovative projects that demonstrate new and/or innovative

approaches to delivering services or managing water resources;

Capping and closure of municipal solid waste landfills, landfill reclamation, and

landfill gas collection and control systems for existing and new landfills; and

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Measures to manage, reduce, treat, or recapture stormwater or subsurface

drainage water.

c. Municipal and non-municipal projects that support and implement EPA-approved

National Estuary Conservation and Management Plans for the New York-New Jersey

Harbor, Peconic Bay, and Long Island Sound Estuaries.

d. Construction, repair, or replacement of municipal and non-municipal, decentralized

wastewater treatment systems that treat municipal wastewater or domestic sewage.

EFCs website provides more information about the types of projects that are eligible for

CWSRF financial assistance. If additional information is required, applicants may contact EFC

to discuss their proposed water quality projects and their potential eligibility.

Project Priority Lists - Evaluation and Scoring

EFC scores each project pursuing CWSRF financial assistance using a project priority score

system. Each project is categorized based on the applicants population and whether the

applicant is a non-municipal entity. A projects rank relative to other projects in its category

determines the type of financial assistance available for the project.

EFC determines the interest rate for which each eligible project qualifies, by:

Compiling a list of the eligible projects for applicants that have expressed an intent to

move forward with CWSRF financing in the coming year to determine the Annual Project

Priory List;

Ranking the projects within each category on the Annual Project Priority List based on

project score;

Comparing the list to the amount of funds EFC can commit to projects for the year; and

Establishing the Subsidy Line in each category to determine which projects are eligible

for subsidized interest rates in the FFY covered by the IUP (the IUP Period).

Determining which projects are eligible for hardship financing.

This evaluation and scoring process is described in more detail in the following Sections 3.1

through 3.4.

Multi-year List and Annual List

The IUP contains two lists of eligible projects:

1. The Multi-Year Project Priority List (the Multi-Year List), included as Appendix A,

identifies all projects for which applicants have expressed an interest in receiving

CWSRF 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.

https://www.efc.ny.gov/2018-cw-iup


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2. The Annual Project Priority List (the Annual List), included as Appendix B, identifies

projects that EFC may provide financial assistance to in the IUP Period. The Annual List

is a subset of the Multi-Year List. The Annual List is divided into the project categories

described in Section 3.3; it provides the applicants name, project description, estimated

project cost, State Pollutant Discharge Elimination System (SPDES) permit number, if

applicable, and project score. The projects within each project category are ranked in

descending order of score. A project may receive financial assistance in the IUP Period

only if it is on the Annual List.

See Section 4 for information about adding a project to these lists.

Project Score System

EFC scores CWSRF eligible projects in Categories A, B, C, D, and E using the criteria stated in

6 NYCRR 649.13. Projects that improve and restore water quality generally receive the

highest scores; projects that protect water quality are given secondary priority.

EFC scores these projects based on:

1. the existing conditions that cause the water quality problem;

2. the value of the resource that will be improved or protected based on the classification

of the receiving water;

3. the severity of impairment to the desired usage of the affected water;

4. the degree of improvement to the desired usage likely to result;

5. consistency with an approved management plan;

6. an obligation or mandate for the project; and

7. the financial impact of the project and economic need of the applicant.

Projects in Category G use a separate scoring system.

A projects placement on the Annual List determines the likelihood that the project will be eligible

for subsidized financing.

To show projects that may receive reduced-interest, also known as subsidized, financing, a line

(the Subsidy Line) is drawn in Categories A, B, and C on the Annual List. Projects above the

Subsidy Line are eligible for subsidized financing during the IUP Period. Projects below the

Subsidy Line are not eligible for subsidized financing in the IUP Period but may receive market-

rate financing. See Section 5 for more information about the types of financial assistance

available from EFC.


4

EFC may commit financing to a large project in phases or segments over several years. EFC

does this by adding 1000 bonus points to the original project score for all project phases when

EFC closes a subsidized short-term financing for the project. With these bonus points,

subsequent phases continue to be eligible to receive subsidized financing. When one phase of

a project closes a long-term subsidized financing, EFC adds an additional 1000 points to the

project score of any remaining phases to ensure financial resources will be available for long-

term subsidized financing for all phases of the project. With any phased project, all phases of

the project must be defined within one engineering report and the environmental review must be

inclusive of all phases of the project.

Project Categories

The Annual List is divided into six categories and projects are listed within those categories in

descending score order, with the exception of Category G. Projects are generally placed in

categories based on whether the applicant is a municipality or not, then by the population of the

municipality. Categories A, B, C, and D are each comprised of municipal projects. Category E

is for non-municipal projects. Categories A, B and C are determined solely on municipal

population, using population data from the 2015 American Community Surveys five-year

estimates. Category D is for municipal projects that meet the criteria established in the Hardship

Financing and Grant Eligibility Policy (Hardship Policy; see Section 5.1). Category G is for

Green Innovation Grant Program and Integrated Solutions Construction projects that meet

EPAs Green Project Reserve criteria (see Section 6.7).


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The categories are established in 6 NYCRR 649.3, as follows:

CATEGORY DESCRIPTION

A. Municipalities where population is identified as 3,500 or less.

B. Municipalities where population is identified as being 3,501 through 2,000,000.

C. Municipalities where population is identified as being more than 2,000,000.

D.

Municipal projects for which the municipality has received a written confirmation for a reduced interest rate financing in accordance with the Hardship Policy.

E. Non-municipally owned projects.

G. Green Innovation Grant Program and Integrated Solutions Construction projects that meet EPAs Green Project Reserve criteria.

Project Bypass

EFC may bypass a project on the Annual List if EFC determines the project is not ready to close

financial assistance during the IUP Period. Examples of when a project is not ready include:

1. the applicant fails to submit an acceptable financing application by EFCs June 29th

project application due date;

2. the project is delayed or withdrawn by the applicant; or

3. the applicant fails to submit critical items that are required to close a financing.

EFC may re-allocate any bypassed funds to other projects, some of which may be ranked with a

lower score on the Annual List. If EFC bypasses a project, financial assistance will be first

offered to those communities in Category D with an acceptable financing application before the

funds are used to finance projects in any other category. If EFC bypasses a project, the project

may be considered for financing in a subsequent IUP Period.


6

Project Listing and Project Updates

To list a project on the IUP, an applicant must submit initial project information through EFCs

Project Listing and Update System (PLUS) (https://plus.efc.ny.gov/PLUS/), including contact

information, a general description of the projects scope, a budget, and a project schedule.

Applicants can 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 so that EFC may develop the most accurate project score and ranking.

EFC includes projects on the Multi-Year List based on the submission of this initial information.

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.

The engineering report must conform to the Engineering Report Outline available on EFCs

website. The report must be prepared by an engineer licensed to practice in New York State.

The report must identify and assess the water quality problem, recommend a solution, and

include a cost estimate and construction schedule. EFC will not require previously submitted

reports to be rewritten, but an amendment may be required to address all items included in the

Outline.

All CWSRF projects are subject to the State Smart Growth Public Infrastructure Policy Act of

2010 (the Act) and must submit to EFC a Smart Growth Assessment Form. EFC uses this

form to determine whether a project meets the Acts smart growth criteria, and to establish a

justification if it does not. The Smart Growth Assessment Form and guidance are available on

EFCs website.

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.

To ensure that the Annual List remains current and contains projects that applicants desire to

finance in the current IUP Period, EFC requires applicants to update their project information

annually, using PLUS. If an applicant did not update project information by the end of the public

comment period for the Draft IUP, the applicants project is not identified on the Annual List in

the Final IUP, and is not eligible for CWSRF financial assistance during the 2018 IUP Period. If

an applicant did not update its project information using PLUS for two consecutive years, EFC

designated the project inactive and it no longer appears in the IUP.

https://plus.efc.ny.gov/PLUS/https://www.efc.ny.gov/2018-cw-iuphttps://www.efc.ny.gov/2018-cw-iuphttps://www.efc.ny.gov/2018-cw-iup


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Financing Terms and Financial Assistance Options

Financial Assistance Options

EFC works with applicants to identify the appropriate financial assistance option or options for a

project, and EFC financing packages may include one or more of the funding options as

outlined in Table A below.

EFCs website presents additional information about each financing option. The construction

schedule of the project and its ranking (project score) are key considerations in determining the

appropriate term and type of assistance that may be offered. Short-term financing is typically

offered for projects that require cash flow and/or reimbursement funds for planning, design, and

early stages of construction. Long-term financings are often used to convert existing short-term

financings to long-term debt, refinance/refund external debt and/or fund projects that do not

qualify for short-term financing.

Municipalities with fewer than 300,000 residents may also qualify for interest-free financing for

their projects. Further, certain of these municipalities may also qualify for additional subsidy in

the form of a grant or principal forgiveness. The Hardship Policy has been revised and is

available on EFCs website. For FFY 2018, EFC is using data from the 2015 American

Community Survey 5-year data, published by the US Census Bureau. In addition, the Hardship

Policy now includes regionally adjusted MHI thresholds for hardship eligibility. A hardship

subsidy line has been added to the Annual List. Projects that may be considered for hardship

are identified on the Annual List with a notation.

EFC sends hardship eligibility letters notifying municipalities that they are eligible for interest-

free financing. Letters sent in the 2018 IUP period will include a finance application due date of

June 29, 2019 and a required finance close date of December 1, 2020. Hardship eligibility will

expire if the municipality does not submit an acceptable finance application by June 29, 2019

and close a hardship financing before December 1, 2020.



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Table A - Financing Options

FINANCING

OPTIONRATE AMOUNT QUALIFICATIONS FEES NOTES

SHORT-TERM

INTEREST-FREE

(STIFF)

0% The lesser of:

50% of eligible

project costs

or

50% the

Estimated

Amount on the

IUP

Project IUP score must

be above the Subsidy

Line

None May not be used

to prefinance

grants.

Land Acquisition

is limited to $15

million or 1/2 of

the Estimated

Amount on the

IUP, whichever is

less.

SHORT-TERM

MARKET-RATE

(SMRF)

MMD AAA

Market Rate

1-year rate

plus

EFC cost

of funds

1. Finance costs

not funded with

STIFF.

2. Finance 100%

of eligible project

costs up to the

IUP amount.

3. Prefinance

anticipated third-

party grant funds

Project IUP score below

the subsidy line or not

offered subsidy

None SMRF Funds are

subject to

availability.

EFC will not

process

applications for

SMRF with priority

scores below 10

points unless

reachable for

subsidized

financing.

HARDSHIP 0% interest

Some

applicants

may qualify

for grant

funds

Finance up to

$20 million of

eligible project

costs with

interest free

funding

Applicants must be

eligible for Hardship

financing

None Restrictions apply,

see Hardship

Policy.

INNOVATIVE

PROJECTS

0% Finance 100%

of eligible

project costs up

to $3 million for

up to 20 years

Project must be

determined to be an

innovative project by EFC

None Funding for one

Innovative Project

remains available.

SHORT-TERM

SHORT AND LONG TERM


9

FINANCING


LONG-TERM

MARKET RATE

AAA/aaa

borrowing

rates

Finance 100% of

eligible project

costs or the

Estimated

Amount on the

IUP

Project IUP score below

the subsidy line or not

offered subsidy

1.0%

Direct

Expense

State Bond

Issuance

Charge

Long-Term Market

Rate financings

will be funded as

leveraged

financings at the

applicable market

rate.

Projects closed

with a Long-Term

Market Rate

financing will

remain eligible to

compete for

subsidized

funding for up to 5

years from the

long-term closing

date. These

projects will

remain on the

Annual PPL

during this period.

Note: Annual

Administrative Fee

would apply if

converted to

subsidized

funding.

SUBSIDIZED

LONG-TERM

LEVERAGED

AAA/aaa

borrowing

rates plus

50%

subsidized

interest rate

Finance 100% of

eligible project

costs or the

Estimated

Amount on the

IUP

Project IUP score must

be above the Subsidy

Line

1.0%

Direct

Expense

State Bond

Issuance

Charge

0.25% Annual

Administrative

Fee

(calculated on

outstanding

balance)

LONG-TERM


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Applications for Financial Assistance

To be considered for CWSRF financial assistance this IUP Period, an applicants project must

be listed on the Annual List. Applications are due to EFC by June 29, 2018.

FINANCING


LONG-TERM

DIRECT

AAA/aaa

borrowing

rates

Finance 100% of

eligible project

costs or the

Estimated

Amount on the

IUP

Only available in cases

where it is not feasible or

efficient to include the

financing in a bond sale.

0.25% Annual

Administrative

Fee

(calculated on

outstanding

balance)

BOND

GUARANTEE

Access to

financing at

preferred

interest

rates

Determined Per

Transaction

Subject to EFC

Evaluation and

Determination.

Determined

Per

Transaction

Up to thirty years.

GREEN

INNOVATION

GRANT

PROGRAM

(GIGP)

Grant 40% to 90% of

eligible

planning, design

and construction

costs

Projects that use unique

storm water infrastructure

design and construct

new green technologies.

Projects must meet EPA

Green Project Reserve

criteria.

None Utilize the

Governor's

Consolidated

Funding

Application (CFA)

to apply.

Minimum $8

million available

in FFY 2018.

All recipients are

responsible for

providing a

minimum local

match of 10%

from non-federal

funds.

INTEGRATED

SOLUTIONS

CONSTRUCTION

GRANT (ISC)

Grant 50% of eligible

Green

Infrastructure

Construction

costs

Grant must be

incorporated in

combination with a base

SRF financing.

SRF financing

fees apply to

non-grant

portion of

financing

$8 million

available in FFY

2018.

NYSDEC/NYSEFC

ENGINEERING

PLANNING

GRANT

PROGRAM (EPG)

Grant Up to $100,000

for planning

costs

Engineering reports

resulting from this

program must adhere to

the Engineering Report

Outline.

None Utilize the

Governor's CFA to

apply.

$3 million

available in FFY

2018.

OTHER FINANCIAL ASSISTANCE PROGRAMS

LONG-TERM CONTINUED


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An acceptable financing application includes:

1. documentation that the required environmental review has been completed (guidance is

available on EFCs website);

2. a municipal applicants bond resolution authorizing the municipality to issue debt for the

project, and to incur project costs. Issuance of debt for the project should be authorized

by non-municipal applicants as well;

3. if applicable, documentation that a special improvement district 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); and

4. an executed engineering agreement for planning services, if those services are expected

to be financed with the project. An application for financing may be considered acceptable

without an executed engineering agreement for planning services, but those costs will not

be eligible for financing.

All financing applications submitted to EFC between October 1, 2017 and the June 29, 2018

application due date and deemed acceptable will remain qualified for financial assistance through

December 2, 2019. Applications that were submitted prior to October 1, 2015 that have not been

updated are considered inactive and will not be processed by EFC.

EFC recommends that applicants for financial assistance:

access the most current version of the application forms on the EFCs website and

consult the guidance materials;

contact EFC as early as possible in the application preparation process to ensure the

proper documents are collected and forms are completed. Please call 518-402-6924 for

assistance; and

submit the application and all supporting materials well in advance of when funds are

needed to the following address:

Public Finance Division

NYS Environmental Facilities Corporation

625 Broadway 7th Floor

Albany, NY 12207-2997

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Programmatic Requirements

A recipient of CWSRF financial assistance and its contractors must comply with certain federal

and State regulatory requirements, including:

American Iron and Steel;

Davis-Bacon and Related Acts federal wage rates;

Equal Employment Opportunity; and

Minority and Women Business Enterprise (MWBE) participation.

EFCs SRF bid packet, available on EFCs website, provides EFCs recipients and their

contractors with required contract and subcontract language, forms, and guidance.

EFC Compliance with EPA Program Requirements

(Assurances and Specific Proposals)

40 CFR 35.3150 requires the State to provide assurances for the CWSRF programs

compliance with certain federal requirements. The States assurances are embodied in the

Operating Agreement, as of May 28, 2017, between the DEC and the EPA (the Operating

Agreement), which provides for the organization and administration of the States CWSRF. The

Federal Assistance ID Number is CS-360001 and CFDA number is 66.458.

Binding Commitments

The State will make binding commitments through execution of Project Finance Agreements

with CWSRF recipients in a total amount equal to 120% of each Capitalization Grant payment

within one year after receipt of the payment. If the State commits more than the required 120%,

the EPA will recognize the cumulative value of the binding commitments, and the excess

balance may be banked towards the binding commitment requirements of subsequent years.

Timely Use of Funds

The State will expend all funds in the CWSRF in an expeditious and timely manner.

Compliance with Federal Requirements (Equivalency Projects)

The amount of money in the CWSRF equal to the funds directly made available by the

Capitalization Grant are considered federal funds, or federal financial assistance. Accordingly,

treatment works projects with project costs totaling an amount equal to the Capitalization Grant

must meet various federal regulatory requirements. These projects are considered equivalency

projects. EFC identifies on the Annual List the projects that may be used to meet this

requirement.



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Environmental Review

Potential environmental impacts must be considered for projects receiving CWSRF financial

assistance, in accordance with the State Environmental Review Process. This applies for all

treatment works construction projects (Clean Water Act 212), including NPS pollution control

projects (Clean Water Act 319) and estuary protection projects (Clean Water Act 320) that are

also treatment works projects.

6.5. State Match Funds and Anticipated Cash Draw Ratio

For FFY 2018, New York State will use State General Fund appropriations to provide a 20%

match to funds provided by the federal Capitalization Grant. The State will be using a cash

draw ratio of 83.33% federal funds and 16.67% state funds. State match funds will be deposited

in the CWSRF at the same time as Capitalization Grant funds are deposited in the CWSRF.

6.6 Transfer of Funds Between SRF Programs

In order to give states flexibility to address their greatest public health and water quality

priorities, the Safe Drinking Water Act (SDWA) Amendments of 1996 offered states the flexibility

to meet the funding needs for drinking water and wastewater facilities by transferring funds from

one SRF program to the other (Section 302 of Public Law 104-182). The SDWA Amendments

authorized the transfer of up to 33 percent of the DWSRF Capitalization Grant amount to the

CWSRF, or an equivalent amount of the CWSRF Capitalization Grant amount to the DWSRF

program. While the authority expired on September 30, 2001, Congress extended this provision

in EPAs FFY 2002, 2003, 2004, 2005 and 2006 budgets. Transfers from the CWSRF to the

DWSRF were made for FFYs 1997 through 2001, totaling $82,443,933. Transfers between the

CWSRF and the DWSRF programs may be made again, if Congress approves such transfers.

Any funds transferred during this IUP Period will be returned using program funds within this

IUP Period. Therefore, there will be no effect on the Subsidy Line of either the CWSRF

program or the DWSRF program.

Green Project Reserve (GPR)

As authorized in annual federal appropriations, EFC must use a portion of the Capitalization

Grant to finance projects or aspects of projects that meet the EPAs Green Project Reserve

(GPR) requirement. GPR projects must be eligible for CWSRF financing and:

1. address stormwater and wet weather issues through the use of green

infrastructure;

2. promote energy efficiency;

3. promote water efficiency; or

4. use innovative approaches to managing water resources.

EFC encourages projects to incorporate all four categories of GPR into their CWSRF projects.


14

The FFY 2017 CWSRF Capitalization grant GPR requirement is $14,634,300. EFC intends to

use a portion of the additional subsidization authorized from the FFY 2017 Capitalization Grant

to fund a ninth round of the Green Innovation Grant Program (GIGP) and a second round of the

Integrated Solutions Construction (ISC) program to help meet the GPR requirement. The GIGP

program focuses CWSRF additional subsidization towards innovative stormwater projects that

meet the most recent (2012) EPA GPR Guidance. The remainder of the requirement will be met

with CWSRF projects funded from Categories A, B, C, and D that construct GPR practices. The

final list of projects used to meet the GPR requirement and their GPR allocations will be

presented in CWSRF Annual Reports.

GPR requirements for FFY 2018, if any, were unknown when this Final IUP was prepared.

Allocation, Sources and Uses of Funds

Sources and Uses

Table B identifies the estimated sources of funds for FFY 2018 and their uses.

Table B Sources and Uses of Subsidized Financing


15

Allocation of Funds

To fund short-term direct and long-term direct financings this IUP Period, EFC will use:

the Capitalization Grant and the State match;

repayments on financings;

recycled funds; and

returns on investments.

EFCs leveraged long-term financings (subsidized and market-rate) will be funded with

Corporation bond proceeds and/or other available proceeds under the revolving funds.

EFC expects to allocate as much as $640 million to new financings in FFY 2018. This amount

includes funds allocated to projects in the 2017 IUP that will not close a financing in FFY 2017.

When EFC prepared this Final IUP, Congress had not yet enacted the budget for FFY 2018.

The 2018 IUP assumes the 2018 Capitalization Grant to the State will be $100 million. The

enacted 2018 federal budget may differ significantly.

$270,905,335

100,000,000

20,000,000

14,634,300

517,300,958

137,788,575

$1,060,629,167

$288,620,318

37,253,255

208,867,665

16,287,898

5,431,000

6,050,194

14,181,950

$576,692,280

481,424,887

2,512,000

$483,936,887

$1,060,629,167

Bond Debt Service

Program Administration

Subtotal

Total

Subtotal - Amount for Projects

Repayments 10/1/17 9/30/18

Investment Returns

Total

Proposed Uses of Funds During Federal Fiscal Year 2018

Projects in Category A, B & C (Funds for Long-Term Leveraged or Short-Term Financings)

Projects in Category D

Additional Subsidy for Category D

Projects in Category A and B with Acceptable Applications in 2017

Additional Subsidy for Category G - Green Innovation Grant Program (GIGP)

Additional Subsidy for Category G - Integrated Solutions Construction (ISC) Grant

Projects in Category E

Additional Subsidy from 2017 Capitalization Grant

Sources and Uses of Subsidized Financing

Estimated Sources of Funds for Federal Fiscal Year 2018

Remaining Resources on October 1, 2017

Capitalization Grant from EPA

State Match for Capitalization Grant


16

The following table identifies the allocation of project dollars for FFY 2018.

Table C Allocation of Project Dollars

Use of Administrative Funds

EFC uses a portion of the Capitalization Grant to fund certain administrative expenses. EFC

intends to use an amount equal to 0.05% of the equity in the CWSRF for this purpose.

EFC charges its long-term non-hardship borrowers an annual administrative fee. EFC holds the

administrative fees in accounts outside the CWSRF. The fees cover administrative expenses

that exceed costs recovered from the Capitalization Grant. Administrative fees are also

intended to support program expenses in the event the federal government discontinues or

reduces its financial support to the CWSRF program.

In addition to covering administration expenses, administrative fees are available to EFC to fund

certain water quality activities. EFC anticipates the following uses of administrative fees during

FFY 2018: $3 million for CWSRF Engineering Planning Grants; $5 million for Hunts Point; up to

$1 million for an asset management pilot program in cooperation with DEC; $200,000 for the

Excelsior Conservation Corps; $1.5 million for the Center for Clean Water Technology; $2.3

million for the NYS Department of Transportation; and up to $6 million for additional water

quality purposes.

As of October 2017, EFC estimates it will receive approximately $15.3 million from

administrative fees in FFY 2018, consisting of $0.4 million in program income earned during the

grant period, $8.4 million in program income earned after the grant period, and $6.5 million in

non-program income.

Category Subtotal

(Annual List)

($)

Category Subtotal/

Total List

(%)

Funds

($)

Potential

Loans and

Grants

($)

Category A 376,854,275 11.32% 32,671,820 65,343,640

Category B 1,081,497,746 32.48% 93,743,879 187,487,758

Category C 1,870,920,617 56.20% 162,204,619 324,409,238

Category D 225,155,563 225,155,563

Projects in Category A and B with Acceptable Applications in 2017 37,253,255 74,506,511

Category E 5,431,000 5,431,000

Category G 6,050,194 6,050,194

Category G Integrated Solutions Construction Grant 14,181,950 14,181,950

Total: 576,692,280 902,565,854

Green Innovation Grant Program - FFY 2017

Allocation of Project Dollars


17

Amendments and Modification

EFC may amend this IUP to reflect significant project or program modifications during the IUP

year. Significant modifications to the IUP include changes in funding levels or program

requirements. EFC will make such amendments only after publication of a notice in the

Environmental Notice Bulletin (ENB) and opportunity for public comment. EFC will post any

draft amendments on EFCs website during the public review and comment period, and will

publish final amendments on EFCs website.

EFC may make minor modifications to the IUP after publication of a notice in the Environmental

Notice Bulletin (ENB) and opportunity for public comment. Minor modifications to the IUP

include changes that would not affect the overall funding levels or priorities, such as transferring

projects on the Multi-Year List to the Annual List or adding new projects to the Annual List for

market-rate financing. The Final IUP will be revised to reflect minor modifications after the

opportunity for public comment is ended.

In situations where proposed changes to the Annual List could jeopardize access to subsidized

financing to a small number of projects, rather than processing an amendment, EFC will

communicate with each of the affected communities to solicit comments or concerns.

EFC maintains the current Annual List on EFCs website.

Program Goals

The State has the following short-term goals for the CWSRF in FFY 2018:

1. Commit FFY 2018 funds to projects that are in construction, ready to proceed with

construction, or otherwise positioned to have funds disbursed quickly and steadily and

advance both the environmental and economic goals of the State and the CWSRF to

fund the highest priority water quality improvements as soon as needs arise.

2. Administer the CWSRF in conjunction with State grant programs in a manner that

encourages communities to advance water quality projects to construction.

3. Encourage the incorporation of green infrastructure practices into traditional, gray

infrastructure projects.

4. Ensure consideration of the States smart growth criteria when evaluating projects.

5. Work with Storm Mitigation Loan Program (SMLP) recipients to move projects forward

expeditiously. SMLP recipients were funded from the Disaster Relief Appropriations Act,

2013 (DRAA).

https://www.efc.ny.gov/2018-cw-iuphttps://www.efc.ny.gov/2018-cw-iuphttps://www.efc.ny.gov/2018-cw-iup


18

6. Incorporate sea level rise projections and the related regulations and guidance into

EFCs programs in accordance with the NYS Community Risk and Resiliency Act.

7. Continue to improve the publics access to information on EFC's website.

The State has the following long-term goals for the CWSRF program:

1. Provide reduced interest rate financings and grants that encourage the repair,

replacement, and upgrade of existing infrastructure and the construction of new point

source, nonpoint source and estuary projects in order to improve, maintain, or protect

water quality.

2. Administer the CWSRF in a manner that will ensure its revolving nature in perpetuity,

including managing the funds to expand financial resources and benefits, and assisting

applicants in developing sustainable projects and systems.

3. Provide financial assistance for projects that will protect groundwater, consistent with

DECs goal to prevent pollution and protect the States groundwaters as a source of

potable water supply.

4. Help recipients achieve and maintain compliance with Federal and State water quality

standards and enforceable requirements of the Clean Water Act for the protection and

enhancement of New Yorks water resources.

5. Promote the innovative use of Green Infrastructure to effectively manage stormwater.

6. Assist municipalities in the development of consistent engineering and feasibility reports.

7. Using knowledge gained from the Asset Management Pilot Program, encourage

communities to develop asset management plans for their water quality assets.

8. Identify meaningful opportunities for participation by minority- and women-owned

business enterprises in projects that are supported with CWSRF financial assistance.

Public Comment

The comment period of the Draft 2018 IUP was August 23, 2017 until October 10, 2017. A

notice regarding the availability of the Draft IUP and a request for comments was published in

the Environmental Notice Bulletin (ENB) and in the State Register on August 23, 2017. Email

notices were sent to applicants with projects on the IUP and other interested persons. EFC also

made the Draft IUP available on EFCs website.

EFC hosted a webinar on Wednesday, September 20, 2017 to present an overview of the Draft

2018 IUP. The State held a public hearing on the Draft 2018 CWSRF IUP and the Draft 2018



19

DWSRF IUP on September 26, 2017 at the William K. Sanford Town Library, Loudonville, NY.

No oral statements were made and no written statements were submitted on the Draft CWSRF

IUP during the formal hearing.

During the public comment period, several applicants provided EFC with new project listing

forms and updated information for projects in the Draft IUP. The project priority lists have been

updated as necessary to address these submissions. No other comments were received during

the comment period.


20

EFC Website Resources The following resources are available on EFCs website at https://www.efc.ny.gov/2018-cw-iup:

Application for Financing

Bid Packet

Engineering Report Outline

Environmental Review Requirements

Hardship Policy

Intended Use Plan

Project Listing and Update System (PLUS)

Smart Growth Assessment Form and Guidance



21

Table of Abbreviations Used in Project Descriptions

and Project Numbering System

BRNFLD A project for which a municipality has applied for Clean Water/Clean

Air Bond Act assistance under the Brownfields Program

COMP Composting or co-composting STP sludge, where municipality has not

applied for DEC Title 7 assistance

COMP (TITLE 7) Composting or co-composting STP sludge, where municipality has


COLL Collector/Sanitary Sewers

CSO Combined Sewer Overflow (control, treatment or conveyance)

DW Drinking Water

EST Estuary

EXP Expansion or increase in capacity

FM Force Main

I/I CORR Infiltration and Inflow Correction

IMP Improvement

INT Interceptor Sewer

GIGP Green Innovation Grant Program

LAND ACQ Land Acquisition

LF-CAP (TITLE 3) Closure or Capping of an inactive hazardous waste landfill, where

municipality has applied for DEC Title 3 assistance

LF-CAP (TITLE 5) Closure or Capping of a solid waste landfill, where municipality has


LF-CAP (MSW) Closure or Capping of a solid waste landfill, where municipality has not


LF-GAS Landfill Gas collection and control systems up to the point of sale of the

gas as a fuel or conversion to energy

LF-RECLAIM Landfill closure by Reclamation of site

LF-LCH Landfill Leachate collection, storage and treatment

MOD Modification

NPS Nonpoint Source

NPS (319 Land) Nonpoint Source Land Acquisition (CWA Section 319)


22

NPS (320 Land) Nonpoint Source Land Acquisition (CWA Section 320)

ORF Overflow Retention Facility

OS

OWS

Outfall Sewer

Onsite Wastewater System

PS Pump Station

REBUILD Major repairs and replacement of worn out facilities

REF Refinance

REHAB Rehabilitation

RELIEF SEW Relief Sewer

REMED Remediation of contamination from leaking petroleum storage tanks or

other municipal facilities

REPL Replacement

SALT-STOR Deicing materials storage facility

SAWS Small Alternative Waste Systems

SEP Separation

SEW Sewer

SSO Sanitary Sewer Overflow (control, treatment or conveyance)

STMSEW Storm Sewer

STMW Stormwater

STP Sewage Treatment Plant/Wastewater Treatment Plant

UP Upgrading the treatment process level

WTP Water Treatment Plant

CWSRF Project Number System (ex: C4-5863-01-00):

C designates a CWSRF project. 4 designates the DEC Region. 5863 is the current base number. 01 is the current 2-digit project number. 00 is the current phase or cost increase number.


Appendix A Multi-Year Project Priority List

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Documents

FINAL INTENDED USE PLAN Clean Water State … Use... · FINAL INTENDED USE PLAN Clean Water State Revolving Fund Federal Fiscal Year 2018 Effective October 1, 2017 - September 30,