Current through Register Vol. 46, No. 39, September 25, 2024
(a) All
projects, other than the linked loan project, known to the department or the
corporation for which a recipient has expressed interest in CWSRF assistance
shall be listed on the PPL in the IUP. Projects shall be ranked on the annual
PPL in the accordance with the criteria contained in the priority ranking
system scoring criteria set forth under section
649.13
of this Part and the IUP.
(b) The
commissioner shall prepare annually an IUP identifying the funds estimated to
be available for binding commitments during the period covered by the IUP, the
anticipated projects for which such binding commitments will be made, and those
contingency projects for which binding commitments may be made if financing
becomes available.
(c) Projects
shall be listed in the IUP according to their rank on the PPL and within
project categories. Project categories A through D relate solely to municipal
projects. Categories A through C are determined solely be the number of people
who reside within the municipality's jurisdiction based upon the latest census
figures published by the United States Department of Commerce Bureau of the
Census. Category D relates to municipal projects which are determined to be
ESPs which qualify for a reduced interest rate direct financing because of
financial hardship as determined under 21 NYCRR section 2602.6. Category E
relates solely to non-municipally owned projects. Category G relates to
projects or portions thereof that address green infrastructure, including,
without limitation, water and energy efficiency improvements, or other
environmentally innovative activities. The project categories shall be:
(1) Category A--all municipalities where
population is identified as 3,500 or less.
(2) Category B--all municipalities where
population is identified as being 3,501 through 2,000,000.
(3) Category C--all municipalities where
population is identified as being more than 2,000,000.
(4) Category D--all projects for which the
municipality has received a written confirmation from the corporation that it
qualifies for a reduced interest rate direct financing because of financial
hardship.
(5) Category E--all
non-municipally owned projects which may be eligible for CWSRF assistance
pursuant to the provisions of the act and as stated in the IUP.
(6) Category F--the linked loan project as
subsequently supplemented from time to time to identify linked loan
recipients.
(7) Category
G--recipient projects or portions thereof which address green infrastructure,
including, without limitation, water and energy efficiency improvements, or
other environmentally innovative activities, or qualify as a demonstration
project of new green infrastructure technology as provided in the
IUP.
(d) Funds
potentially available for CWSRF assistance shall be allocated to financing
needs in the following order:
(1) Category F
linked loan project. Linked loan recipients shall be listed in category F on a
first come first served basis through updates to the IUP as complete
applications from linked loan recipients are approved by the
corporation.
(2) Category D annual
list projects.
(3) Category E
annual list projects. The commissioner in consultation with the corporation
shall determine a yearly allotment and a per project limit.
(4) Short-term funding allotment. The
commissioner in consultation with the corporation shall determine a yearly
allotment and a per project limit.
(5) Category G annual list projects. The
commissioner in consultation with the corporation shall determine a yearly
allotment and a per project limit as set forth in the IUP.
(6) Categories A, B, and C annual list
projects. After reserving funds for project costs set forth in categories D, E
and G, the remaining available funds shall be allocated to each of categories
A, B and C by multiplying the amount of such remaining available funds by a
fraction, the numerator of which is the sum of all project costs in such
category and the denominator of which is the sum of all project costs in
categories A, B and C. To the extent such remaining available funds exceed the
need in each category, those funds will be made available for use as provided
in paragraph (7) of this subdivision.
(7) Any remaining funds will be made
available upon consultation between the commissioner and the corporation for
identified CWSRF needs.
(e) Based upon the presence of an imminent
extreme health hazard, a recipient may request a change in project ranking such
that the project will be ranked highest in its project category. Such requests
shall be approved if supported by an order of the Commissioner of the New York
State Department of Health or a court of competent jurisdiction which:
(1) states that there is an imminent extreme
health hazard; and
(2) determines
that the project is essential to alleviate the hazard and is the only feasible
means of doing so; and
(3) directs
that the proceed forthwith on a specified schedule irrespective of the
availability of financial assistance from any source; or
(4) mandates the payment of substantial
penalties for failure to achieve the various milestones set forth in the
schedule.
(f)
Contingency projects may receive CWSRF assistance if:
(1) project funding needs for higher scoring
projects have been within the project category;
(2) funds become available through bypassing
of a project on the IUP, or funds become available for any other reason
permitted under applicable law.
(g) The commissioner shall allocate funds and
select projects to be listed in the annual IUP in compliance with the following
requirements:
(1) Unless otherwise permitted
by applicable law, 80 percent or more of Federal capitalization funds shall be
allocated to projects for the construction of:
(i) secondary treatment or more stringent
treatment facilities or any effective alternative thereto;
(ii) new interceptors and appurtenances;
and
(iii) infiltration/inflow
correction.
The balance of any Federal capitalization funds may be
allocated to any other projects.
(2) In selecting projects within each
category, the commissioner shall give consideration:
(i) first, to those projects receiving phased
funding for which additional funds have been committed in an executed
PFA;
(ii) second, to any other
projects including short-term financing recipients, for which additional funds
have been committed in an executed PFA; and
(iii) third, to other projects having a
priority score on the PPL that equals or exceeds the score at the funding line
for financings in the current year IUP.
(3) The commissioner shall, subject to the
constraints of paragraphs (1) and (2) of this subdivision, seek to apportion to
each region for ESPs in categories A, B, C and D, no less than three percent of
the CWSRF funds available statewide. If three percent of the CWSRF funds
available statewide exceeds the aggregate total cost of such approvable ESP
applications received from any region within six months of the effective date
of an IUP, the excess shall be used for other ESPs listed in the IUP. For
purposes of this paragraph, a region is any of the geographic areas of the
State served by a regional office of the department, except that department
regions 5 and 6 shall together be treated as a single region.
(h) In preparing the annual IUP
and adopting the PPL the commissioner shall provide for public comment and
review in accordance with applicable law.
(i) The IUP may provide for the financing of
a project in segments or through phased funding as necessary or desirable to
meet program goals, including, without limitation, program or recipient cash
flow, other recipient considerations, or to meet the requirements of a Federal
or State court or administrative order.
(j) The corporation in its discretion, upon
prior notice to the department, may bypass a project on the IUP upon written
notice to the recipient if the project schedule and timing indicates that
funding will not be effectively used in the IUP period, or that the recipient
will not be able to satisfy any other condition precedent to obtaining funding,
during the period specified in the IUP.
