N.Y. Comp. Codes R. & Regs. tit. 6 § 649.3

Current through Register Vol. 46, No. 45, November 2, 2024

Section 649.3 - Priority ranking and iup

(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.

N.Y. Comp. Codes R. & Regs. Tit. 6 § 649.3