Required Application Documents for Financing

Required Application Documents for Financing

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Note: Templates are not available for all required application materials. Please be sure to review each step of the application process to ensure you are submitting all of the required materials. 

The engineering report outline for drinking water projects is available on the Department of Health website.

Engineering Report

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 must conform to our Engineering Report Outline (ERO) to ensure it meets the requirements for wastewater 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 used in the evaluation; 2) the data justifies and supports the conclusions; and 3) the proposed solution has reasonable expectations of solving the problem. EFC requires previously submitted reports to be rewritten be consistent with the current ERO. Revisions are likely to be needed for a report more than four years old. 

EFC offers grants to certain municipalities for the preparation of engineering reports for wastewater, sewer and water quality projects through the Engineering Planning Grant (EPG) program

Project Budget and Plan of Finance

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 money expected to fund the total cost of the projects. This includes the estimated amount of EFC financial assistance and any additional sources of money which will pay for the project, including all grants and loans from EFC, any third party funding, and any municipal or other contributions. 

Environmental Review Documentation

State Environmental Quality Review (SEQR) Act

All applicants for EFC financial assistance are required to assess the environmental impacts of their projects pursuant to the SEQR Act.

SEQR Handbook


State Environmental Review Process (SERP)

Applicants seeking State Revolving Fund financing also must comply with the applicable requirements of 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, and is subject to a coordinated review. 

Environmental Review Requirements are available in Appendix C of the application instructions.

State Historic Preservation Documentation

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 applicant proceeding with the planning of the projects, subject to SHPO's final approval and the applicant's compliance with any conditions of SHPO's approval. 

Go to the State Office of Parks, Recreation and Historic Preservation’s website for more information about SHPO.

Bond Resolution

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.

Engineering Agreement

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. Engineering agreements financed with the State Revolving Fund must contain the Mandatory Terms & Conditions

Special Improvement District Documentation

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. 

Smart Growth

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. 

Smart Growth Assessment Form