MUNICIPALITIES, SOIL AND WATER CONSERVATION DISTRICTS, REGULATED MUNICIPAL MS4 OPERATORS

Applications will be accepted through 4:00 PM on July 29, 2022 for Non-Agricultural Nonpoint Source Planning and Municipal Separate Storm Sewer System (MS4) Mapping Grants for the initial planning of non-agricultural nonpoint source water quality improvement projects, and MS4 mapping. Up to $3 million is available in 2022.

Funding is available for the following grant categories:

• Nonpoint Source Planning Reports

o Description: The program aims to prepare nonpoint source projects for construction and application for implementation funding.

o Maximum Award: Grants of up to $30,000 are available to finance planning services to produce project planning reports, as outlined in each category. Grants of up to $75,000 are available for comprehensive stream corridor studies.

o Require Match: 10% of award amount

o Eligible Applicants: Municipalities, Soil and Water Conservation Districts (excluding Decentralized Wastewater Treatment Facilities for Failing On-Site Treatment Systems)

o Planning Report Categories: Decentralized Municipal Wastewater Treatment Facilities for Failing On-Site Treatment Systems; Green Infrastructure; Stormwater Retrofits; Streambank/Shoreline Stabilization; Comprehensive Stream Corridor Assessment; Stream Sediment and Debris Management Plans; In-Waterbody Controls for Nutrients; Bathing Beach Restoration; Stream Culvert Repair and Replacement

• MS4 Mapping

o Description: Funding can be used to complete comprehensive stormwater system maps. This program category encourages and supports cooperation among regulated MS4s to complete mapping of their stormwater system.

o Maximum Award: For MS4 Operators applying as a collaborative, grants of up to $30,000 per municipality with a maximum grant award of up to $400,000 per MS4 collaborative are available. For MS4 Operators that must apply alone, there is a maximum grant award of $75,000.

o Required Match: 10% of award amount

o Eligible Applicants: Regulated Municipal MS4 Operators, Soil and Water Conservation Districts on behalf of regulated MS4 Operators

The NPG Program Overview and other grant information are available on the Department of Environmental Conservation website at: https://www.dec.ny.gov/pubs/116725.html

Applications must be completed and submitted through the Consolidated Funding Application: https://apps.cio.ny.gov/apps/cfa/

MUNICIPALITIES, SOIL AND WATER CONSERVATION DISTRICTS, NOT-FOR-PROFIT CORPORATIONS

Applications will be accepted through 4:00 PM on July 29, 2022 for Water Quality Improvement Project (WQIP) grants to implement projects that directly improve water quality or aquatic habitat, or protect a drinking water source.

WQIP is a competitive, statewide reimbursement grant program. At least $75 million is available.

It is highly recommended that all potential WQIP applicants read the WQIP Program Overview, particularly the section for their project type, in its entirety before applying for WQIP funding.

Funding is available for the following project types:

• Wastewater Treatment Improvement

o Description: Funding is available for wastewater treatment improvements to municipal wastewater systems.

o Maximum Award: $1,000,000 to $10,000,000 depending on project subtype and population

o Required Match: 25% to 60% of award amount depending on project subtype priority

o Eligible Applicants: Municipalities

o Project Subtypes: Wastewater Effluent Disinfection; Combined Sewer Overflow / Sanitary Sewer Overflow; Watershed Plan Implementation; Municipal Systems to Serve Multiple Properties with Inadequate On-site Septic Systems; Wastewater Treatment Facility Nitrogen Abatement for Shellfishing Waters; Other Wastewater Treatment Improvements

• Non-Agricultural Nonpoint Source Abatement and Control

o Description: Funding is available for non-agricultural nonpoint source projects or programs that directly improve water quality or protect a drinking water source.

o Maximum Award: $500,000 to $4,000,000 depending on project subtype

o Required Match: 25% of award amount

o Eligible Applicants: Municipalities, Soil and Water Conservation Districts

o Project Subtypes: Decentralized Municipal Wastewater Treatment Facilities for Failing On-Site Treatment Systems; Green Infrastructure Practices; Stormwater Retrofits; Streambank / Shoreline Stabilization and Riparian Buffers; In-Waterbody Controls for Nutrients; Bathing Beach Restoration; Stream Culvert Repair and Replacement; Vacuum Trucks in MS4 Areas; Nonpoint Source Program (multiple projects or locations that impact multiple waterbody segments)

• Land Acquisition for Source Water Protection

o Description: Funding is available to purchase land, including associated transactional, riparian buffer, or groundwater recharge area restoration costs for the purpose of protecting public surface or groundwater drinking water supplies.

o Maximum Award: $5,000,000

o Required Match: 25% of award amount

o Eligible Applicants: Municipalities, Soil and Water Conservation Districts, Not-for-profit Corporations

• Salt Storage

o Description: Funding is available for projects to construct a permanent structure to cover a salt or a salt/sand mixture storage pile.

o Maximum Award: $500,000

o Required Match: 50% of award amount

o Eligible Applicants: Municipalities, Soil and Water Conservation Districts

• Aquatic Connectivity Restoration

o Description: Funding is available for projects that improve aquatic habitat connectivity at road/stream crossings or dams.

o Maximum Award: $250,000

o Required Match: 25% of award amount

o Eligible Applicants: Municipalities; Soil and Water Conservation Districts; Not-for-profit Corporations

• Marine District Habitat Restoration

o Description: Funding is available for projects that improve the ecological condition of waters within the state’s marine district with the intent to support a spawning, nursery, wintering, migratory, breeding, or foraging environment for fish and wildlife, and other biota.

o Maximum Award: $750,000

o Required Match: 25% of award amount

o Eligible Applicants: Municipalities; Soil and Water Conservation Districts; Not-for-profit Corporations

Applications are ineligible that:

• Do not improve water quality, aquatic habitat, or protect a drinking water source

• Are only seeking funds for studies, planning, or design

• Do not include required attachments (view the section for your project type for a full list of required attachments)

• Do not meet the requirements for that project type or subtype

• Are from not-for-profit organizations that are neither registered nor have a current prequalification in Grants Gateway as of the application deadline

• Fail to meet the minimum scoring criteria as detailed for each project type in this Program Overview. A project must receive a score of at least 30 to be eligible for funding

• Do not show match and a match source, or use ineligible match sources; or

• Are seeking funds for costs incurred before May 2, 2022 unless the project is a Land Acquisition for Source Water Protection Project/Program

The WQIP Program Overview and other grant information are available on the Department of Environmental Conservation website at: https://www.dec.ny.gov/pubs/4774.html

Applications must be completed and submitted through the Consolidated Funding Application: https://apps.cio.ny.gov/apps/cfa/

MUNICIPALITIES; PRIVATE ENTITIES; STATE AGENCIES; SOIL AND WATER CONSERVATION DISTRICTS; PUBLIC-OWNED TREATMENT WORKS (POTW)

The New York State Environmental Facilities Corporation (EFC) is pleased to announce the availability of $15 million in grant funding through the Green Innovation Grant Program (GIGP). The GIGP grants are awarded on a competitive basis to projects that will implement one or more of the following green practices (Green Practice(s)):

• Green Stormwater Infrastructure

• Energy Efficiency

• Water Efficiency

• Environmental Innovation

The Program Overview for the GIGP can be found on EFC’s website at: https://www.efc.ny.gov/GIGP

Engineering Planning Grant

EFC will offer grants to municipalities to help pay for the initial planning of eligible Clean Water State Revolving Fund (CWSRF) water quality projects. Up to $3 million has been made available for this round of the Wastewater Infrastructure Engineering Planning Grant (EPG) program.

The goal of the EPG program is to encourage communities to advance water quality projects to the design stage, and ultimately construction, by funding the development of an engineering report. This allows the community to seek financing through the CWSRF program or funding from other sources.

The Program Overview for the EPG program can be found on EFC’s website at: www.efc.ny.gov/epg

Application Due Date:

Applications for both grant programs must be submitted through the Consolidated Funding Application website at: https://apps.cio.ny.gov/apps/cfa/index.cfm by 4:00 p.m., July 29, 2022.

Webinar:

EFC will host a webinar to present the GIGP and EPG programs on June 15, 2022 at 10:00 am. A recording of the webinar will be available on EFC’s website for those who cannot attend the live webinar. This event will provide an overview of GIGP and EPG, as well as guidance on how to apply for grant funds. There will also be an opportunity to ask questions. You may register for the webinar on EFC’s website at: www.efc.ny.gov

CONTACTS:

If you have questions on either program, please email: [email protected] or contact: Brian Hahn, Division of Engineering, Environmental Facilities Corporation at the above address or call (518) 402-6924, FAX: (518) 402-6954

GREEN INNOVATION GRANT PROGRAM

Funding Available: $15 million

The New York State Environmental Facilities Corporation (EFC) will offer grants to help pay for certain projects that improve water quality and mitigate the effects of climate change through the Green Innovation Grant Program (GIGP). The GIGP grants are awarded on a competitive basis to projects that will implement one or more of the following green practices (Green Practice(s)):

Green Stormwater Infrastructure

Energy Efficiency

Water Efficiency

Environmental Innovation

GIGP projects selected for funding maximize opportunities to leverage the multiple benefits of green infrastructure, energy efficiency, water efficiency, and environmental innovation to build capacity in these fields and facilitate the transfer of new technologies and practices to other areas of the State.

PROGRAM PRIORITIES:

Climate Change Mitigation: Projects that implement one of the eligible Green Practices to reduce the effects of greenhouse gases and/or support clean energy initiatives.

Environmental Justice: Projects that use Green Practices to advance the fair treatment and meaningful involvement of all people regardless of race, income, national origin or color, with respect to the development, implementation, and enforcement of environmental laws, regulations, and policies.

Integration: Water infrastructure projects that integrate green stormwater infrastructure into traditional gray infrastructure projects to demonstrate the value of water quality improvements to the community and ecosystem to provide water quality benefits). The planning process for such projects should include the evaluation of important community benefits such as economic opportunity, climate action, and water equity.

Natural Restoration: Projects that demonstrate the effectiveness of green stormwater infrastructure in a natural environment, such as flood plains, riparian buffers, streams, and wetlands.

Transformation: Larger transformative projects that utilize Green Practices to provide multiple environmental, economic, and social benefits. These projects align with larger goals of the community or region.

FUNDING OVERVIEW: Up to $15 million will be available for several types of grants that range from a minimum of 50% up to a maximum of 90% of total eligible project costs up to a maximum of $3 million. The grant amount is determined based on the eligible project costs as estimated in the application for planning, design, and construction. See below for more information on types of grants.

Funding will be provided to projects to the extent that funds are available based on the evaluation criteria, including the specific green practice, water quality impacts of the project, and financial need of the municipality. EFC, in its sole discretion, may fund all or a portion of an eligible project and will determine the percentage amount available for any project. A local match for the balance of the estimated project costs is required.

The maximum percentage available to fund a GIGP project will be determined based on the median household income (MHI) of the municipality in which the project is located and whether EFC determines the project serves, protects, or benefits an environmental justice (EJ) area. Projects in municipalities that meet the following Median Household Income (MHI)¹ criteria, or that serve, protect, or benefit an EJ area will be eligible to receive up to the maximum grant available for the Green Practice.

• Municipal MHI equal to or less than $75,000 for communities in New York State, excluding the Long Island, New York City and Mid-Hudson Regions.

• Municipal MHI equal to or less than $95,000 for communities in the Long Island, New York City and Mid-Hudson Regions.

All other projects will be eligible for a maximum grant up to the lesser grant available as set forth under “Funding” for each practice. If a project employs two types of Green Practices, EFC, at its sole discretion, will determine which maximum applies.

A summary of the funding available based on the type of green practice is below:

Applicants may have no more than two active GIGP awards at the same time. An active GIGP award means a project has been awarded funding and is in construction and not completed. EFC, however, reserves the right to limit GIGP funding to one grant award per applicant. Applicants must prioritize projects if submitting more than one application.

EVALUATION CRITERIA: A project will be evaluated and scored based on the level to which it:

• Addresses EJ issues

• Establishes or restores natural features, ecology, and hydrology

• Implements measures that address climate change, including cooling the surrounding environment, mitigating urban heat islands, reducing air pollution, and reducing energy use

• Is likely to succeed based on project development at time of application

• Is anticipated to make measurable improvements to or protect water quality, including the applicant’s proposal for generating water quality metrics

• Leverages additional resources through removing barriers to collaboration, developing new partnerships, utilizing staff, securing other funding and investments, and/or provides workforce development

• Plans for the long-term operation, maintenance, and water quality of the project

• Provides opportunities for the applicant to facilitate the transfer of new technologies, knowledge, and practices to other water quality issues and other regions of the State

• Spurs innovation in the area of green stormwater infrastructure, energy efficiency, or water efficiency through the development and/or adoption of new technologies

EVALUATION CRITERIA

• 30% Planning

• 30% Water Quality Impact

• 40% Environmental Benefit

AWARDEE REQUIREMENTS (after Grant Award): Awardees must fulfill certain requirements to enter into a Grant Agreement with EFC, including, but not limited to:

• EFC Certificate for Procuring Architectural and Engineering (A/E) Services. All A/E services must be procured in accordance with 40 U.S.C 1101

• Single Audit compliance as defined in 2 CFR 200, subpart 7

• State environmental and historic preservation reviews, i.e., SEQR and SHPO

• Detailed final budget and plan of finance to show that sufficient funding has been secured for the full project cost.

• Proof of legal right to own, operate and maintain project for the duration of its useful life

• Compliance with Minority/Women-Owned Business Enterprises (MWBE) requirements

• Compliance with Disadvantaged Business Enterprises and Equal Employment Opportunity requirements

• Compliance with Davis Bacon Wage and American Iron and Steel Requirements for Treatment Works Projects Only. Treatment Works Projects are any devices and systems used in the storage, treatment, recycling and reclamation of municipal sewage or industrial wastes of a liquid nature. It also includes sewers, pipes and other conveyances, only if they convey wastewater to a publicly owned treatment plant, and combined storm water and sanitary sewer systems.

GREEN STORMWATER INFRASTRUCTURE

SUMMARY: Green stormwater infrastructure projects improve water quality by reducing and treating stormwater at its source through infiltration and/or evapotranspiration. Green stormwater infrastructure projects selected for funding go beyond offering a greener solution. Green stormwater infrastructure practices treat rainwater as a valuable resource to be harvested and used on site or filtered and allowed to soak into the ground, recharging aquifers, rivers and streams. The plants used in green stormwater infrastructure help to cool our surroundings and improve air quality through the process of evapotranspiration. These Green Practices have multiple benefits, which include restoring habitat, protecting against flooding, providing cleaner air, and beautifying our streets to spur economic development and community revitalization.

FUNDING: The maximum percentage grant is up to 90% of eligible project costs for a green stormwater infrastructure project in a municipality that meets the MHI criteria, or that serves, protects, or benefits an EJ area. All other green infrastructure projects are eligible to receive up to a maximum of 75% of total eligible project costs.

ELIGIBLE APPLICANTS:

• Municipalities

• Private Entities

• State Agencies

• Soil and Water Conservation Districts

ELIGIBLE ACTIVITIES:

Regional Green Stormwater Infrastructure projects utilize green stormwater infrastructure to restore natural landscape features, such as flood plains, riparian buffers, streams, and wetlands. These natural features provide water quality benefits and enhance watersheds, while preserving wildlife and their habitat.

Local Green Stormwater Infrastructure projects are typically located in an urban environment and consist of site and neighborhood specific practices, such as bioretention, cisterns, downspout disconnections, green roofs, green walls, permeable pavements, stormwater street trees, and urban forestry programs.

Eligible projects must meet or exceed requirements identified in USEPA Green Project Reserve guidance (published in 2012).

APPLICATION REQUIREMENTS: All applicants must submit the following with their application:

• A Conceptual site plan

• Existing conditions plan

• Feasibility study

• Site photographs

Minimum content requirements for the feasibility study, conceptual site plan, and existing conditions plan, are included in the CFA and can also be found at: https://efc.ny.gov/gigp-apply.https://efc.ny.gov/gigp-apply.

Applicants should refer to the New York State Stormwater Management Design Manual: http://www.dec.ny.gov/chemical/29072.html for design guidance.

INELIGIBLE ACTIVITIES/COSTS: Ineligible activities and costs include, but are not limited to, the following:

• Hardening, channelizing, or straightening streams and/or stream banks

• In-line and end-of-pipe treatment systems that only filter or detain stormwater

• Stormwater controls that have impervious or semi-impervious liners and provide no compensatory evapotranspirative or harvesting function for stormwater retention

• Stormwater conveyance systems that are not soil/vegetation based (swales) such as pipes and concrete channels

• Stormwater ponds that serve an extended detention function and/or extended filtration, including dirt-lined detention basins

• Underground stormwater control and treatment devices such as swirl concentrators, hydrodynamic separators, baffle systems for grit, trash removal/floatables, oil and grease, inflatable booms and dams for in-line underground storage and diversion of flows

• Practices implemented to comply with the requirements of the New York State Department of Environmental Conservation SPDES General Permit for Stormwater Discharges from Construction Activity Permit No. GP-0-15-002

• Wetland construction or restoration required as compensation (mitigation) for adverse impacts to wetlands or other environmental damage caused through construction activities

• Purchase of capital equipment such as street sweepers, sewer cleaners, and vactor trucks

• Project costs not directly related to water quality, including asbestos abatement and site amenities, e.g., bus shelters, benches, light poles, traffic devices

ENERGY EFFICIENCY

SUMMARY: Energy Efficiency projects improve technologies and/or practices to reduce the energy consumption of water quality projects, use energy in a more efficient way, or produce/utilize renewable energy.

FUNDING: The maximum percentage grant is up to 75% of eligible project costs for an energy efficiency project in a municipality that meets the MHI criteria, or that serves, protects, or benefits an environmental justice area. All other energy efficiency projects are eligible to receive up to a maximum of 50% of total eligible project costs.

ELIGIBLE APPLICANTS: Publicly-Owned Treatment Works (POTW)

ELIGIBLE ACTIVITIES:

Renewable Energy projects such as wind, solar, micro-hydroelectric, and biogas combined heat and power systems (CHP) that provide power to a POTW. POTW renewable energy projects can be located onsite or offsite. These projects include the portion of a publicly owned renewable energy project that serves the POTW’s energy needs. The project must feed into the grid from which the utility draws and/or must be directly connected to the grid.

Energy Efficient Replacement projects achieve at least a 25% reduction in energy consumption through the replacement of equipment with energy efficient equipment. These projects must compare the energy used by the existing system or unit process to the proposed project. The energy used by the existing system should be based on name plate data when the system was first installed, recognizing that the old system is currently operating at a lower overall efficiency than at the time of installation. New POTW projects or capacity expansion projects should be designed to maximize energy efficiency and should select high efficiency premium motors and equipment where cost effective.

Eligible projects must meet or exceed requirements identified in USEPA Green Project Reserve guidance (published in 2012)

APPLICATION REQUIREMENTS: All applicants must submit an engineering report consistent with the DEC/EFC Engineering Report Outline, and Flex Tech report if available, with their CFA.

INELIGIBLE ACTIVITIES / COSTS: Ineligible activities and costs include, but are not limited to, the following:

• Renewable energy generation by a privately owned facility or the portion of a publicly owned renewable energy facility that does not provide energy to a POTW, either through a connection to the grid that the utility draws from and/or a direct connection to the POTW.

• Replacing a pump or other piece of equipment at the end of its useful life with equipment of average efficiency.

• Facultative lagoons, even if integral to an innovative treatment process.

WATER EFFICIENCY

SUMMARY: Water Efficiency projects use improved technologies and/or practices to deliver equal or better services with less water. Water efficiency encompasses conservation and reuse efforts, as well as water loss reduction and prevention, to protect water resources for the future. All water meters must be installed by a professional under contract with the applicant and may not be installed or coordinated by the homeowner.

FUNDING: The maximum percentage grant is up to 75% of eligible project costs for a water efficiency project in a municipality that meets the MHI criteria, or that serves, protects, or benefits an environmental justice area. All other water efficiency projects are eligible to receive up to a maximum of 50% of total eligible project costs.

ELIGIBLE APPLICANTS: Municipalities

ELIGIBLE ACTIVITIES:

Water Meter Installation projects provide for the purchase and installation of water meters in previously unmetered areas. These projects can include backflow prevention devices if installed in conjunction with water meters.

Water Meter Replacement projects include the replacement of existing broken/malfunctioning water meters or upgrading existing meters with automatic meter reading systems (AMR), smart meters, meters with built in leak detection, or backflow prevention devices if installed in conjunction with water meter replacement.

Water Meter Retrofit projects add AMR capabilities or leak detection equipment to existing meters (not replacing the meter itself).

Water Reuse projects recycle gray water, condensate, and wastewater effluent to reduce potable water consumption.

Eligible projects must meet or exceed requirements identified in USEPA Green Project Reserve guidance (published in 2012).

APPLICANT REQUIREMENTS: All applicants must submit an engineering report consistent with the DEC/EFC Engineering Report Outline with their CFA.

INELIGIBLE ACTIVITIES / COSTS: Ineligible activities and costs include, but are not limited to, the following:

• Replacing drinking water distribution lines.

• Leak detection equipment for drinking water distribution systems.

ENVIRONMENTAL INNOVATION

SUMMARY: Environmentally Innovative projects include those that demonstrate new and/or innovative approaches to delivering services or managing water resources in a more sustainable way.

FUNDING: The maximum percentage grant is up to 75% of eligible project costs for a water efficiency project in a municipality that meets the MHI criteria, or that serves, protects, or benefits an environmental justice area. All other water efficiency projects are eligible to receive up to a maximum of 50% of total eligible project costs.

ELIGIBLE APPLICANTS: Municipalities

ELIGIBLE ACTIVITIES:

Adaptation projects that prepare for long term effects of climate change and/or extreme weather. These projects include the relocation of equipment or treatment facilities located in areas with a documented history of flooding.

Upgrades or Retrofits to a POTW that remove phosphorous for beneficial use, such as biofuel production with algae.

Implementation of asset management plans that meet DEC’s guidelines. These capital projects must align with the objectives of the asset management plan to effectively manage infrastructure investments. Grants are limited to one grant per asset management plan.

INELIGIBLE ACTIVITIES / COSTS: Ineligible activities and costs include, but are not limited to, the following:

• Facultative lagoons, even if integral to an innovative treatment processes.

• Surface discharging decentralized wastewater systems where there are cost effective soil-based alternatives.

• Higher sea walls to protect POTW from sea level rise.

• Air scrubbers to prevent nonpoint source deposition.

• Reflective roofs at POTW to combat heat island effect.

ADDITIONAL RESOURCES:

For more GIGP program information, visit: http://www.efc.ny.gov/gigp

Wastewater Infrastructure Engineering Planning Grant Program

Funding Available: Up to $3 million

Description

The New York State Environmental Facilities Corporation (EFC) will offer grants to municipalities to help pay for the initial planning of eligible Clean Water State Revolving Fund (CWSRF) water quality projects. Up to $3 million has been made available for this round of the Wastewater Infrastructure Engineering Planning Grant (EPG) program.

Grants of up to $100,000² are available to municipalities to fund engineering and planning activities to produce an engineering report.

The goal of the EPG program is to encourage communities to advance water quality projects to the design stage, and ultimately construction, by funding the development of an engineering report. This allows the community to seek financing through the CWSRF program or funding from other sources.

Eligible Applicants

Municipalities as defined in the Definitions section of this document with median household income (MHI):

• Equal to or less than $75,000 according to the United States Census, 2019 American Community Survey³ for municipalities located in Regional Economic Development Council (REDC) regions of Capital District, Southern Tier, North Country, Mohawk Valley, Central NY, Finger Lakes, or Western NY; or

• Equal to or less than $95,000 according to the United States Census, 2019 American Community Survey for municipalities located in REDC regions of Long Island, New York City, and Mid-Hudson.

• A municipality may have no more than two active EPG awards at the same time. An active EPG award means a project has been awarded funding but does not yet have an accepted engineering report.

Eligible Activities

A municipality must use EPG funding for the preparation of an engineering report⁴ for an eligible CWSRF project. This includes planning activities to determine the scope of water quality issues, evaluation of alternatives, and the recommendation of a capital improvement project. An environmental review for the recommended alternative is also an eligible activity. Design and construction costs are not eligible.

Funding priority will be given to municipalities whose planning activities are for a capital project:

• Required by an executed United States Environmental Protection Agency (EPA) Administrative Order, NYS Department of Environmental Conservation (DEC) Order on Consent; or

• Required by a DEC draft or final State Pollutant Discharge Elimination System (SPDES) permit (e.g. nutrient removal, inflow and infiltration, disinfection); or

• For upgrading or replacing an existing wastewater system; or

• For constructing a wastewater treatment and/or collection system for an area with failing onsite septic systems; or

• Addressing a pollutant of concern in a watershed implementation plan (see Definitions section).

Report Requirements

The report must follow the current Engineering Report Outline for New York State Wastewater Infrastructure Projects, consider storm and flood resiliency (sea level rise, storm surge, potential for flooding impacts, or other extreme weather events)⁵, consider impacts on environmental justice (EJ) areas (see below), and include a comprehensive analysis of the following alternatives:

• No-action alternative.

• Green infrastructure, in combination with gray infrastructure or individually, is required for projects involving stormwater, including stormwater inflow to sewer systems. A justification must be provided if a green infrastructure component is not part of the recommended alternative.

• Repair or replacement versus new construction.

• Regional consolidation opportunities.

• Centralized versus decentralized (for new systems), or a combination thereof (small cluster or individual systems).

Any alternatives considered technically infeasible must be identified as such and the rationale briefly discussed.

Smart Growth alternative(s) must be considered and documented in the engineering report. For more information regarding Smart Growth see the Definitions section below.

Projects Affecting Water Quality in Environmental Justice Areas

New York State is committed to EJ and supporting remedies for communities that may be burdened by negative environmental consequences. EJ is defined by the State as the fair treatment and meaningful involvement of all people, regardless of race, income, national origin or color, with respect to the development, implementation and enforcement of environmental laws, regulations and policies. An application to fund a report for a proposed capital improvement project that will positively impact water quality in an EJ community or will positively impact the quality of drinking water serving an EJ community will receive additional points in the evaluation. Maps of EJ areas in New York State are available at the link provided in the Additional Resources section below.

To qualify for EJ points, the application must include specific details demonstrating the water quality improvement the proposed project will make to an EJ area or to drinking water serving an EJ community, and the area that will benefit from improved water quality or the exact street location(s) where the project will be implemented.

Ineligible Activities

A municipality may not use EPG funding for planning activities related to a proposed capital project that is not a CWSRF eligible project, or for the preparation of or amendment to an existing engineering report.

Ineligible activities include planning activities for a capital project that:

• Will not restore or protect a surface waterbody or groundwater.

• Is not for improvements to a publicly-owned treatment works⁶.

• Is listed on the 2022 CWSRF Intended Use Plan Annual Project Priority List.

• Has an engineering report that was previously funded by an EPG.

• Has a completed engineering report.

Grant Awards

Local Match

All grants require a local match equal to 20 percent of the requested grant amount. The match may include cash and/or in-kind services⁷. Grants from other sources may not be used to satisfy the local match requirement. The applicant municipality must identify the source of the match in the application.

Grant Payments

Grants are disbursed in two or more payments based on the municipality’s progress toward completion of an acceptable engineering report. The municipality will receive the first disbursement as an advance payment once a grant agreement with EFC is executed. The final disbursement will be made to the municipality when the engineering report has been completed and accepted by EFC/DEC.

Long Range Program Goals

The State encourages each municipality to use their EPG grant-funded engineering report to seek funding through the CWSRF program or from other funding sources to pursue the recommendations provided in the engineering report.

Project Evaluation Criteria

Projects for which a complete application has been received will be evaluated based on the criteria outlined in the table below. EFC and DEC will evaluate applications, determine a final score, and rank projects from highest to lowest score. Projects with the highest scores will be chosen for grants.

In the case of a tie between two or more projects, EFC will look at individual scoring categories in the following order of priority to determine a grant award:

1. Performance Measures;

2. Strategies;

3. Vision; and

4. Agency priorities.

If the projects have equivalent scores in all four categories, the grant will be awarded to the project for which the application was first received.

Local Match

All grants require a local match equal to 20 percent of the requested grant amount. The match may include cash and/or in-kind services . Grants from other sources may not be used to satisfy the local match requirement. The applicant municipality must identify the source of the match in the application.

Grant Payments

Grants are disbursed in two or more payments based on the municipality’s progress toward completion of an acceptable engineering report. The municipality will receive the first disbursement as an advance payment once a grant agreement with EFC is executed. The final disbursement will be made to the municipality when the engineering report has been completed and accepted by EFC/DEC.

Long Range Program Goals

The State encourages each municipality to use their EPG grant-funded engineering report to seek funding through the CWSRF program or from other funding sources to pursue the recommendations provided in the engineering report.

Project Evaluation Criteria

Projects for which a complete application has been received will be evaluated based on the criteria outlined in the table below. EFC and DEC will evaluate applications, determine a final score, and rank projects from highest to lowest score. Projects with the highest scores will be chosen for grants.

In the case of a tie between two or more projects, EFC will look at individual scoring categories in the following order of priority to determine a grant award:

1. Performance Measures;

2. Strategies;

3. Vision; and

4. Agency priorities.

If the projects have equivalent scores in all four categories, the grant will be awarded to the project for which the application was first received.

Multiple Application Submissions

A municipality may submit only one application per project. If a municipality submits multiple applications for separate projects, they must prioritize the applications. Please note, a municipality may only have two active EPG awards.

Successful Applicant Requirements (after Grant Award)

Documentation: Successful applicants must enter into a grant agreement with EFC to receive grant funds. The following items must be submitted to EFC prior to the execution of the grant agreement.

1. Detailed final budget and plan of finance, including all third-party funding agreements and satisfaction of the minimum 20 percent local match requirement.

2. Board resolution authorizing and obligating local match funds.

3. Board resolution for designation of an Authorized Representative for the municipality.

4. Board resolution declaring State Environmental Quality Review Act (SEQR) findings or determinations for the planning activities associated with the award.

5. Executed Engineering Agreement that complies with NYS Minority/Woman-owned Business Enterprises (MWBE), Service- Disabled Veteran-Owned Business (SDVOB) Program, and Equal Employment Opportunity (EEO) requirements.

Documentation required to enter into a grant agreement must be submitted within 6 months of the grant award.

Definitions

Engineering Report – means the document or documents that determines the technical feasibility and estimated cost of a CWSRF eligible project. Engineering reports are prepared by a professional engineer licensed and registered to practice in New York State and must follow EFC/DEC’s Engineering Report Outline. The Outline can be downloaded from EFC’s webpage. See the link in the Additional Resources section below.

In-Kind Services – means services performed by capable and qualified employees of the municipality for technical and administrative force accounts that are directly related to and in support of the development of the engineering report and are deemed reasonable by EFC.

Municipality – means any county, city, town, village, district corporation, county or town improvement district, school district, Indian reservation wholly within New York State, any public benefit corporation or public authority established pursuant to the laws of New York or any agency of New York State which is empowered to construct and operate a project, or any two or more of the foregoing which are acting jointly in connection with a project.

Planning – means the orderly development of a project concept from the original statement of need or purpose through the evaluation of alternatives to a final recommendation on a course of action and measures to implement the selected alternative, including completion of the environmental review process.

Publicly-Owned Treatment Works– means any devices and systems used in the storage, treatment, recycling and reclamation of municipal sewage or industrial wastes of a liquid nature. It also includes sewers, pipes and other conveyances, only if they convey wastewater to a publicly owned treatment plant, and combined storm water and sanitary sewer systems.

Watershed Implementation Plan – means a Total Maximum Daily Load (TMDL), Nine Element Watershed Management Plan, or DEC Harmful Algal Blooms (HABs) Action Plan. See the links in the Additional Resources section below.

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.

Additional Resources

• EFC/DEC engineering report outline: https://efc.ny.gov/system/files/documents/2021/11/11122021_er_outline_ffy2022.pdf

• Summary of the United States Census, 2019 American Community Survey MHI data can be found on EFCs website at: https://efc.ny.gov/system/files/documents/2021/10/epg_mhi_pop_pov_5-year-estimates_2019.pdf

• DEC Info Locator (most up to date source of Water Inventory / Priority Waterbodies List (WI/PWL) segment assessments): https://www.dec.ny.gov/pubs/109457.html

• TR-16 Guides for the Design of Wastewater Treatment Works, Latest Edition—New England Interstate Water Pollution Control Commission: http://neiwpcc.org/learning-center/tr-16-guides-design-wastewater-treatment-works/

• The New York State Flood Risk Management Guidance for Implementation of the Community Risk and Resiliency Act: https://www.dec.ny.gov/energy/102559.html#Implementation

• Potential Environmental Justice areas information and maps: https://gisservices.dec.ny.gov/gis/dil/

• Harmful Algal Blooms (HABs) Action Plans https://www.dec.ny.gov/chemical/113733.html

• Nine Element Watershed Management Plans https://www.dec.ny.gov/docs/water_pdf/9efaq17.pdf

• Total Maximum Daily Loads (TMDLs) https://www.dec.ny.gov/chemical/23835.html

For more information visit: www.efc.ny.gov/epg

___________

¹ A summary of the United States Census, 2019 American Community Survey MHI data can be found on EFCs website at: https://efc.ny.gov/system/files/documents/2021/10/epg_mhi_pop_pov_5-year-estimates_2019.pdf

² See “Grant Awards” section of this document for details of funding amounts.

³ A summary of the United States Census, 2019 American Community Survey MHI data can be found on the EPG page on EFC’s website. See the link in the Additional Resources section below. An income survey for the service area of the project that has been approved by EFC and was completed after July 1, 2017 may be used in place of the 2019 census data.

⁴ See the “Definitions” section of this document for specific information on the required contents of the engineering report.

⁵ Must be consistent with the New York State Flood Risk Management Guidance for Implementation of the Community Risk and Resiliency Act.

⁶ In accordance with the laws, rules and regulations governing the CWSRF, projects defined in the federal Clean Water Act, Section 212 as treatment works must be publicly owned. See the “Definitions” section of this document for what is considered an eligible publicly-owned treatment works activity.

⁷ See the “Definitions” section of this document for specific information on what is considered in-kind services.

⁸ Formally adopted plans include comprehensive plans, master plans, asset management plans, local waterfront revitalization plans, and other land use plans. Unacceptable plans include: annual system reports; consent orders, REDC strategies; TMDLs; TMDL implementation plans; watershed implementation plans; and watershed action agendas.

MUNICIPALITIES, COMMUNITY BASED ORGANIZATIONS, NYC COMMUNITY BOARDS

INTRODUCTION:

The Department of State (Department) is soliciting applications through the New York State Consolidated Funding Application (CFA) from eligible municipalities, community-based not-for-profit organizations, and NYC Community Boards to establish or implement strategies for community redevelopment of brownfield affected areas through the following grant activities:

(1) Planning: Development of a Brownfield Opportunity Area (BOA) Plan (also known as a Brownfield Opportunity Area Nomination) - is a strategic plan for an area affected by known or suspected brownfields that will culminate in a request for State BOA Designation.

(2) Predevelopment Activities within a State-Designated BOA.

(3) Phase II Environmental Site Assessments (SA) within a State-Designated BOA.

Brownfields are real properties where a contaminant is present at levels exceeding the soil cleanup objectives or where levels exceed other health-based or environmental standards, criteria, or guidance adopted by New York State Department of Environmental Conservation. Such standards, criteria and guidance are based on the reasonable, anticipated use of the property. Known or suspected site contamination of real property can impede investment and redevelopment, making such property an economic and environmental drain on localities. Through the New York State Department of State Brownfield Opportunity Area (BOA) Program, these known and suspected brownfields are transformed from liabilities to community assets that generate businesses, jobs and revenues for local economies and provide new housing and public amenities.

The BOA program applies a neighborhood-wide or area-wide approach, rather than the traditional site-by-site approach, to the assessment and redevelopment of known or suspected brownfields and other vacant or abandoned properties. The neighborhood approach enables communities to comprehensively assess existing economic and environmental conditions associated with brownfield blight and impacted areas; identify and prioritize community supported redevelopment opportunities; and attract public and private investment. The types of areas where program resources are being applied include industrial/manufacturing zones, commercial corridors, mixed-use neighborhoods, downtowns and waterfronts.

Through the BOA Program, communities are empowered to:

• Address a range of problems posed by multiple known or suspected brownfield sites;

• Build community consensus on the future uses for the area with an emphasis on strategic sites that are known or suspected brownfields;

• Establish sustainable goals and objectives for area-wide revitalization and for redevelopment of strategic sites;

• Identify and establish the multi-agency and private-sector partnerships necessary to leverage assistance and investments to revitalize downtowns, neighborhoods, and communities;

• Reduce carbon emissions and increase climate resiliency in the built environment;

• Address environmental justice concerns and promote environmental equity in areas that may be burdened by negative environmental consequences; and

• Engage in activities to implement the community’s vision after BOA designation by Department of State.

It is expected that BOA Plans developed locally through this program will then be submitted to the Secretary of State in support of a request for BOA designation. BOA designation conveys certain benefits to an area that promotes redevelopment consistent with the vision, goals and objectives outlined and reported in the BOA Plan. Applications for predevelopment activities and environmental site assessments are expected to implement the vision, goals and objectives of the State-Designated BOA.

The Brownfield Opportunity Area Program Request for Applications which details all grant program requirements is available on the Department’s website Funding & Bid Opportunities website at https://dos.ny.gov/funding-bid-opportunities. All applicants are encouraged to read the RFA in its entirety as grant program requirements may change from year to year.

ELIGIBLE APPLICANTS:

Eligible applicants are:

• Towns, villages, and cities;

• Counties and regional planning entities on behalf of a town, village, or city;

• Eligible not-for-profit organizations on behalf of a town, village, or city. To be eligible for this grant opportunity, a not-for-profit organization must be:

o Incorporated pursuant to New York State Not-For-Profit Corporation Law; and

o Approved for tax-exempt status under the Internal Revenue Service code on or before December 31, 2021.

An eligible applicant may apply for a grant needed to advance eligible activities listed below in Section V.

Applicants may partner with counties or other organizations; however, only applications from eligible applicants will be evaluated for funding. Only the eligible applicant will be awarded a contract.

For applications submitted by a county, regional planning entity or non-profit organizations with the written consent and acting on behalf of a village, town, or city, the application must include a letter or resolution from each eligible municipality participating in the project which demonstrates the municipal consent and support for the application.

FUNDING OPPORTUNITY:

The Department is making approximately $4,000,000 available for BOA Program grants for the eligible activities. State assistance awarded and paid to a grant recipient shall not exceed 90% of the total eligible project cost. The maximum for each grant award is $300,000. There is no minimum State assistance request or award.

ELIGIBLE ACTIVITIES:

Please see the RFA for additional details on eligible activities under this grant.

FUNDING AND BUDGET GUIDANCE

When estimating the total eligible project cost, the applicant should calculate the cost to complete each task included in the project scope of work, which may include costs associated with project management and grant administration. As a reference, DOS generic work plans which describe tasks necessary to prepare a BOA Plan, BOA Predevelopment activities or Phase II Environmental Site Assessments are available at: https://dos.ny.gov/funding-bid-opportunities. The budget may only include eligible costs described below which directly support the project scope of work. Applicants are encouraged to obtain initial project quotes from consultants with relevant professional experience and background to inform the budget. Funding will be for 90% of all eligible costs.

Eligible Costs

Costs must be adequately justified, directly support the project and be essential to project completion. Eligible costs include the following:

Personal Services – Personal services include direct salaries, wages, and fringe benefits of employees of the applicant for activities related to project work, including project management and grant administration. Fringe benefits must be outlined in the application and include the applicant’s documented rate.

Non-Personal Services – Non-personal services include consultant/contractual services for direct project related costs, project management, grant administration, project-related supplies and materials, necessary travel, and other goods and services required to complete the project.

Project management activities may include, but are not limited to, oversight and coordination of tasks needed to produce contractual deliverables, coordination of steering committee activities, consultant procurement and oversight, public outreach, providing technical assistance, and developing or providing local and/or regional capacity to advance revitalization goals.

Grant administration activities may include preparation of reports, vouchers, contract related administration and compliance with grant record keeping and reporting requirements. Grant administration may not exceed 15% of the award amount or $50,000, whichever is less.

Subcontracts for consultant/contractual services should be competitively procured based on the applicable provisions of New York State General Municipal Law and additional requirements as described in this RFA.

Ineligible Costs

Ineligible costs include the following:

(a) Indirect or overhead costs, such as rent, telephone service, general administrative support, computers, office equipment, general office supplies, general operations costs, membership fees, subscription costs.

(b) Salaries and other expenses of elected officials.

(c) Costs incurred outside of the contract term.

(d) Costs that are not adequately justified or that do not directly support the project.

Failure to adequately justify direct project costs will render costs ineligible. Ineligible costs will be eliminated from the total project costs in the grant application.

Applications will be accepted through the Consolidated Funding Application at http://regionalcouncils.ny.gov until July 29, 2022 at 4:00 p.m.

LOCAL GOVERNMENTS: COUNTIES, CITIES, TOWNS, VILLAGES, SPECIAL IMPROVEMENT DISTRICTS, FIRE DISTRICTS, PUBLIC LIBRARIES, ASSOCIATION LIBRARIES, PUBLIC LIBRARY SYSTEMS (IF THEY ADVANCE A JOINT APPLICATION ON BEHALF OF MEMBER LIBRARIES), WATER AUTHORITIES, SEWER AUTHORITIES, REGIONAL PLANNING AND DEVELOPMENT BOARDS, SCHOOL DISTRICTS, AND BOARDS OF COOPERATIVE EDUCATIONAL SERVICES (BOCES)

Introduction

Applications will be accepted through the Consolidated Funding Application at https://apps.cio.ny.gov/apps/cfa/ until July 29, 2022 at 4:00 pm. for approximately $3.6 million for implementation projects and approximately $400,000 for planning projects. The total maximum cumulative funding for an Implementation Grant is $200,000 for each local government involved in the project, not to exceed $1,000,000. The maximum funding for a Planning Grant is $12,500 for each local government involved in the project, not to exceed $100,000. Award limits apply to existing LGE awards that include a new phase of development but not new partners.

The Local Government Efficiency (LGE) Grant program is intended to incentivize new actions between local governments that will reduce the cost of municipal operations and modernize the delivery of local services, thereby limiting growth in property taxes. Applicants must illustrate significant commitment to project completion and clearly demonstrate, through financial estimates and performance measures, the long-term benefit to New York taxpayers.

Eligible Applicants

Eligible local government entities are counties, cities, towns, villages, special improvement districts, fire districts, public libraries, association libraries, public library systems (if they advance a joint application on behalf of member libraries), water authorities, sewer authorities, regional planning and development boards, school districts, and Boards of Cooperative Educational Services (BOCES).A board of cooperative educational services will be considered a municipality only in instances where such board of cooperative educational services advances a joint application on behalf of school districts and other municipalities within the board of cooperative educational services region but any agreement with a board of cooperative educational services:

1. Will not generate additional state aid;

2. Will be deemed not to be a part of the program, capital and administrative budgets of the board of cooperative educational services for the purposes of computing charges upon component school districts pursuant to Education Law § 1950(1),(4)(b)(7) or § 1951 (1); and

3. Will be deemed to be a cooperative municipal service for purposes of Education Law § 1950(4)(d)(2).

To be eligible for funding, past awardees must have demonstrated responsible contracting in any past or current Department of State (DOS) contract.

Project Match

Applicants are required to provide local cash matching funds for all projects.

• Implementation awards require local cash matching funds equal to at least 10% of the total project cost.

• Planning Grants require local cash matching funds equal to at least 50% of the planning costs.

• In the event an applicant is implementing a project that the applicant developed through a successfully completed planning grant funded under the Local Government Efficiency grant program or the Shared Municipal Services Incentive grant program, the local matching funds required shall be credited by the local matching funds required by such successfully completed planning grant up to the amount of local matching funds required for the implementation grant. To be considered a successfully completed planning grant, the grant must be completed and paid in full by October 1, 2022.

Eligible Expenses

Local Government Efficiency Grants may be used to cover costs integral to project implementation including, but not limited to:

• legal and consultant services;

• capital improvements and equipment; and

• transitional personnel costs not to exceed three years.

Ineligible Expenses

• recurring local government expenses such as salaries, utilities, and overhead, except for transitional personnel;

• contingency expenses;

• indirect expenses;

• approved operating expense of the school district as defined in Education Law § 3602(1)(t);

• any expenses not fully justified and deemed ineligible by DOS, which will be eliminated from the budget, thereby reducing the award amount;

• any expenditures funded through the Local Government Efficiency Program (LGE), Citizens Reorganization Empowerment Grant (CREG), Financial Restructuring Board (FRB), Municipal Restructuring Fund (MRF), or any other New York State grant programs; and

• additional expenses including, but not limited to: alcohol, out-of-state or out-of-country travel, prizes and awards, honoraria, lobbying expenses, fund-raising events/expenses, grant writing costs, fines and penalties, taxes, deficit funding, religious activities and refreshments for meetings.

Applications must be completed through the Consolidated Funding Application at: https://apps.cio.ny.gov/apps/cfa/

More information about the Local Government Efficiency Grant Program can be found on the Department of State website at: https://dos.ny.gov/2022-2023-local-government-efficiency-grant-program

VILLAGES, TOWNS OR CITIES LOCATED ALONG NEW YORK’S COASTS OR INLAND WATERWAYS AS DESIGNATED PURSUANT TO EXECUTIVE LAW ARTICLE 42, A COUNTY WITH THE CONSENT AND ACTING ON BEHALF OF ONE OR MORE ELIGIBLE VILLAGES, TOWNS OR CITIES

INTRODUCTION:

The Department is soliciting applications through the New York State Consolidated Funding Application (CFA) under Title 11 of the Environmental Protection Fund Local Waterfront Revitalization Program (EPF LWRP) from eligible villages, towns, cities located along New York’s coasts or designated inland waterways, or counties (with the consent and acting on behalf of one or more eligible villages, towns, cities) to advance the preparation or implementation of strategies for community and waterfront revitalization through the following grant categories:

• Preparing or Updating a Local Waterfront Revitalization Program (LWRP)

• Preparing an LWRP Component, including a Watershed Management Plan

• Updating an LWRP to Mitigate Future Physical Climate Risks

• Implementing a Local Waterfront Revitalization Program or a completed LWRP Component

The Local Waterfront Revitalization Program, at its core, provides for more accessible, sustainable and resilient waterfront communities. The Department encourages applications that create public access to outdoor recreation and consider resiliency in design. Projects that create dynamic public areas, improve community parks and trails, and enhance recreational opportunities can provide a significant stimulus for the local economy and set the stage for community resiliency. Public investment in these types of projects can not only increase public access and enjoyment of the waterfront, but also spur private investment, create jobs, and grow the economy.

• Applications can include one planning project or one implementation project.

o Planning projects may include preparation of an LWRP or Watershed Management Plan

o Implementation may include feasibility, marketing, design, design/construction, and construction.

• Only applications for projects that can be completed within five years will be considered.

• One implementation project may include construction of a variety of enhancements such as dockage, fishing access, and other park amenities if they will all be constructed within the same park/location.

• Applications may include multiple implementation projects in multiple locations only if the projects are similar in type/scope and clearly address a common critical issue identified in a relevant LWRP or LWRP Component funded by the Department.

• Applicants may submit more than one grant application.

ELIGIBLE APPLICANTS:

Eligible applicants are:

• A village, town, or city located along New York’s coasts or inland waterways as designated pursuant to Executive Law, Article 42.

• A county with the consent and acting on behalf of one or more eligible villages, towns or cities.

An eligible applicant may apply for general planning needed to advance any of the eligible activities listed below in Section V.

Applicants may partner with counties or other organizations; however, only applications from eligible applicants will be evaluated for funding. Only the eligible applicant will be awarded a contract. Applications submitted by not-for-profit organizations and for-profit organizations are ineligible and will not be scored.

For applications submitted by a county, with the consent and acting on behalf of one or more villages, towns, or cities, the county is required to attach a letter or resolution from each eligible municipality participating in the project which demonstrates their consent and support for the application.

FUNDING OPPORTUNITY:

The Department is making approximately $16,300,000 available to fund applications for the Local Waterfront Revitalization Program grants, up to $2 million of which is available for updates to existing LWRPs to mitigate future physical climate risks. Approximately $10.5 million of the available funding will be awarded for projects which are in, or primarily serve, areas where demographic and other relevant data demonstrate that the areas are:

• densely-populated and have sustained physical deterioration, decay, neglect, or disinvestment; or

• where a substantial proportion of the residential population is of low income, or is otherwise disadvantaged and is underserved with respect to the existing recreational opportunities.

ELIGIBLE ACTIVITIES:

Please refer to the RFA for details on eligible activities under this grant.

FUNDING AND BUDGET GUIDANCE

Eligible Costs

Costs must be adequately justified and directly support the scope of work for the proposed project. Proposed total project costs, including match components, must be essential to project completion. All costs will be paid on a reimbursement basis and must be documented.

Grant funds may be used for the following costs associated with the scope outlined in the application:

Personal Services – including direct salaries, wages, and fringe benefits for activities related to project work by municipal employees, including project management, capacity building, and grant administration. Fringe benefits must be outlined in the application and include the organizations’ documented rate.

Non-Personal Services – including supplies and materials, travel, equipment, consultant/contractual services for direct project related costs, project management, capacity building, limited grant administration, and other goods and services.

Equipment – Equipment purchases will only be considered as an eligible cost if the equipment is essential to accomplish tasks included in project scope of work and is demonstrated to be more cost-effective than renting or leasing the equipment. The application should list each piece of equipment to be purchased with an estimated cost and how it will be used to accomplish project tasks. Equipment purchased with EPF LWRP grant funding cannot be sold without prior approval from the Department. If equipment purchased with EPF LWRP funds is sold without DOS approval, the Department may require that grant funds be returned to the Department. Equipment usage may only be used as local match.

Project management activities may include oversight and coordination of tasks needed to produce contract deliverables, coordination of Project Advisory Committee activities, consultant procurement and oversight, public outreach and providing technical assistance.

Capacity building may include: investment in existing staff, such as training, or automating systems that will improve a community’s ability to carry out projects and/or deliver programs funded under this RFA; or developing sustainable organizational capacity, such as through creating and recruiting new positions or enlisting external professional assistance to oversee revitalization efforts. Allowable activities under capacity building shall be within the scope of the RFA and undertaken in direct furtherance of the purpose of the grant application.

Grant administration activities may include preparation of reports, vouchers, contract related administration and compliance with grant record keeping and reporting requirements. Grant administration may not exceed 15% of the award amount or $50,000, whichever is less.

Land acquisition – land acquired (e.g., purchase or donation) may only be used as local match for projects that include construction and where the construction occurs on the acquired property. Land must be acquired within three years prior to the grant application due date. Land acquisition is not eligible for match for projects involving only design and engineering. A map identifying the property, and if available, a current appraisal report documenting the property value and a copy of the recorded deed conveying title and ownership must be submitted with the application.

Ineligible Costs

The following costs will neither be accepted as the required local match nor reimbursed with grant funds:

Indirect or overhead costs of the municipality such as rent, telephone service, general administrative support, computers, office equipment, general office supplies, general operations costs, membership fees, subscription costs.

Salaries and other expenses of elected officials

Fund raising events/expenses

Federal funding (including but not limited to CDBG, FHWA, FEMA, U.S. FWS Boating Infrastructure Grant Program)

Other Environmental Protection Fund awards (including but not limited to WQIP, BOA, Smart Growth, OPRHP EPF)

Land acquisition (except as noted above)

Taxes, insurance, fines, deficit funding

Loan and bond interest and associated fees. The interest associated with a Loan, Bond, or Bond Anticipation Note (BAN) cannot be calculated into project cost, whether for reimbursement or local match.

Contingency costs

Lobbying expenses

Cost incurred prior to the contract start date

Costs that are not adequately justified or that do not directly support the scope of work for the proposed project

Failure to adequately justify direct project costs will render costs ineligible. Ineligible costs will be eliminated from the total project costs in the grant application.

Local Match

State assistance awarded and paid shall not exceed 75% of the total eligible cost for the project, except where the proposed project is located in an environmental justice community, in which case state assistance awarded and paid shall not exceed 85% of the total eligible cost for the project. The total eligible cost of the project is the total of costs set forth in the grant application, less any federal assistance and other state assistance from the Environmental Protection Fund. In addition, the Environmental Protection Fund grants provided under this program may not be used as the local match for any federal or State grants without explicit written permission from the Department. Local match must be outlined in the application for consideration. State assistance payments will be made to grant recipients based on actual expenditures for eligible costs up to the amount of the grant awarded.

Volunteer services included in the local match are limited to those that are required to complete project tasks. Volunteer services must be listed in the application. Documented volunteer services (non-professional or administrative) may be valued at up to $15.00 per hour. Credit for project related volunteer services requires submission of detailed accurate records using Department approved forms to account for volunteer services to be included as local match. Failure to do so will result in non-approval of accrued volunteer hours for documented match.

Paid and unpaid donated professional services included in the local match are limited to those that are required to complete project tasks and only when services provided are in direct relation to the profession of the individual providing these services. Donated professional services must be listed in the application. Professional or technical services, such as engineering, legal, design, planning, and project management services will be valued at a rate of $60.00 per hour. Construction and other labor services will be valued at the prevailing wage rate set for the locality where the work is performed. Applicants must provide a description of the work to be undertaken by each individual and the reason for using a donated professional services rate rather than the volunteer services rate in the grant application.

Donated services that are not directly related to a profession will be considered as local match at the volunteer services rate. In all cases, detailed accurate records must be kept using Department approved forms to account for services to be included as local match.

Land acquisition – As detailed above, land acquired (e.g., purchase or donation) may only be used as local match for projects that include construction and where the construction occurs on the acquired property.

Applications will be accepted through the Consolidated Funding Application at http://regionalcouncils.ny.gov until July 29, 2022 at 4:00 p.m.

TOWNS, VILLAGES, CITIES, COUNTIES AND REGIONAL PLANNING ENTITIES ON BEHALF OF A TOWN, VILLAGE OR CITY, ELIGIBLE NOT-FOR-PROFIT ORGANIZATIONS ON BEHALF OF A TOWN, VILLAGE OR CITY

INTRODUCTION:

The Department is soliciting applications through the New York State Consolidated Funding Application (CFA) under the Environmental Protection Fund Smart Growth Program from eligible towns, villages, cities, counties, regional planning entities, and not-for-profit organizations to advance the preparation and adoption of one of the following:

• preparation and local adoption of a new or updated comprehensive plan for an entire town, village, or city that supports smart growth principles for the community;

• preparation and local adoption of new or updated zoning regulations (i.e., local law, ordinance) for an entire town, village, or city that would implement an existing comprehensive plan that supports smart growth principles for the community;

• preparation and local adoption of new or updated area plan for part of a town, village, or city that supports smart growth principles for the community, and which plans may include, but would not be limited to, transit-oriented development plans and downtown/hamlet area plans; or,

• preparation and local adoption of new or updated zoning regulations that would implement any such area plans already adopted by a subject town, village, or city.

Smart Growth encourages community planning and development in priority development areas where water and sewer infrastructure are available; encourages redevelopment of existing community and municipal centers; protects important historic and natural resources, including water quality and historic structures; promotes development around transit stations in the form of transit-oriented development; supports equity principles, such as affordable housing and environmental justice; and promotes the siting and development of community clean energy sources. Comprehensive plans and area plans should incorporate these Smart Growth principles to make the most efficient use of community resources, reduce the property tax burden and promote sustainable economic development, equity and quality of life for people and households of all incomes, backgrounds, ages and abilities.

Applications to prepare or update a municipal comprehensive plan or area plan may only include one plan per application.

Applications to establish or update zoning regulations for an entire town, village, or city must be in accordance with a comprehensive plan duly adopted by the local government (town, village, or city) by September 30, 2022. Likewise, applications to establish or update zoning regulations for part of a town, village, or city must be in accordance with an area plan duly adopted by the local government (town, village, or city) by September 30, 2022.

The EPF SGCP Request for Applications which details all grant program requirements is available on the Department’s website Funding & Bid Opportunities website at https://dos.ny.gov/funding-bid-opportunities. All applicants are encouraged to read the RFA in its entirety as grant program requirements may change from year to year.

ELIGIBLE APPLICANTS:

Eligible applicants are:

• Towns, villages, and cities;

• Counties and regional planning entities on behalf of a town, village, or city;

• Eligible not-for-profit organizations on behalf of a town, village, or city. To be eligible for this grant opportunity, a not-for-profit organization must be:

o Incorporated pursuant to New York State Not-For-Profit Corporation Law; and

o Approved for tax-exempt status under the Internal Revenue Service code on or before December 31, 2021.

An eligible applicant may apply for a grant needed to advance eligible activities listed below in Section V.

Applicants may partner with counties or other organizations; however, only applications from eligible applicants will be evaluated for funding. Only the eligible applicant will be awarded a contract.

For applications submitted by a county, regional planning entity or non-profit organizations with the written consent and acting on behalf of a village, town, or city, the application must include a letter or resolution from each eligible municipality participating in the project which demonstrates the municipal consent and support for the application.

FUNDING OPPORTUNITY:

The Department is making approximately $2,000,000 available to fund applications for the Smart Growth Community Planning and Zoning Grant Program.

ELIGIBLE ACTIVITIES:

Please see the RFA for additional details on eligible activities under this grant.

REQUIREMENTS FOR SMART GROWTH PRINCIPLES

Comprehensive plans, area plans, and zoning regulations (i.e., local law, ordinance) funded under this grant program should contain strategies/projects that are consistent with the following general Smart Growth Principles:

1. Mixed Land Uses: A mix of land uses can convey substantial fiscal and economic benefits by placing commercial uses near residential areas as critical component of achieving viable places to live for those who use and depend upon the area’s commerce.

2. Range of Housing Opportunities and Choices: Provide quality housing with efficient access to jobs, resources and amenities for people of all income levels, ages and races.

3. Development and Redevelopment in Existing Communities: Smart Growth directs development towards existing communities already served by infrastructure, seeking to utilize the resources that existing neighborhoods offer, and to conserve open space and irreplaceable natural resources on the urban and metropolitan fringe.

4. Distinctive, Attractive Communities with a Strong Sense of Place: Smart Growth encourages communities to set standards for development and construction that respond to community values of architectural aesthetics, neighborhood-friendly design and human-scale planning, as well as expanded choices in housing and transportation.

5. Density: Compact communities are more land- and energy-efficient; provide the critical mass for neighborhood retail, commercial development and mass transit; protect natural resources; and promote walkability. Concentrating and directing growth in designated centers reduces the demand for sprawling development of greenfields on the metropolitan fringe, thus saving open space and farmland and protecting natural resources. Growth in centers maximizes the use of existing infrastructure, avoiding costly municipal expenditures on the extension and maintenance of new infrastructure.

6. Clean Energy: The inclusion of clean energy siting and development into planning, zoning, building and infrastructure, including, but not limited to, solar, wind, geo-thermal and micro-grids.

7. Climate Change: Concentrating residential, commercial, office and recreational land uses provides the density and critical mass necessary to sustain mass transit, reducing automobile dependency, vehicle miles travelled and transport-based greenhouse gas emissions. Denser communities are also more energy-efficient.

8. Resiliency: Land use, development and infrastructure that is adaptive to climate change impacts and is resilient and resistant to extreme storm events.

9. Green Infrastructure: Smart Growth incorporates green buildings – energy conservation measures, renewable energy, sustainable site location and maintenance, locally produced materials and food – well- maintained and well-placed parks, trails, linked open spaces, child accessible, environmental and ecological education areas, sustainable storm-water management and urban forestry.

10. Social Diversity and Integration: Communities designed on Smart Growth principles allow people of diverse ages, incomes, races and physical abilities to interact more regularly, easily and safely by encouraging walkable communities, accessible public spaces and a variety of age-, income- and race/ethnic-integrated housing opportunities.

11. Regional Planning and Coordination: We conduct our daily lives on a regional, multi-jurisdictional basis—in many cases living in one local government, working in another and recreating in yet another. And economic, ecological and transportation systems also operate regionally. It is therefore imperative that municipal planning also align and coordinate with regional objectives, systems and plans, as represented, for example, in NYSERDA Regional Sustainability Plans, REDC Strategic Plans, countywide plans and plans developed by Regional Planning Councils. Regional planning and coordination allow stakeholders to more effectively collaborate across jurisdictional lines to leverage resources and achieve mutual goals and objectives—environmental, social and economic.

12. Walkable/Bikeable Neighborhood Design: Walkable/bikeable communities make pedestrian activity possible by mixing land uses, building densely and connecting streets in a gridded pattern, thus expanding transportation options and creating streetscapes that better serve a range of users, including pedestrians, bicyclists, transit riders, and automobiles.

13. Variety of Mobility Choices: Providing people with efficient and varied mobility choices - walking, biking, public transit - fosters greater community opportunities for housing, shopping, and jobs compliant with Smart Growth principles.

14. Well-Planned and Well-Placed Public Spaces: The public realm plays a prominent role in the Smart Growth paradigm. Smart public spaces increase walkability, social interaction, livability, a sense of place and neighborhood aesthetics.

15. Community and Stakeholder Collaboration in Planning: Collaborative efforts can lead to creative resolutions of development issues and greater community understanding of the importance of good planning and investment which results in great places to live, work, shop and play.

FUNDING AND BUDGET GUIDANCE

State assistance awarded and paid to a grant recipient shall not exceed 90% of the total eligible project cost as described below. Applicants are encouraged to obtain initial project quotes from consultants with relevant professional experience and background to inform the budget. Funding will be for 90% of all eligible costs. The maximum State assistance request is as follows:

• For a Comprehensive Plan Grant: $100,000

• For a Comprehensive Zoning Grant: $100,000

• For an Area Plan Grant ONLY: $100,000

• For an Area Zoning Grant ONLY: $100,000

• For a combined Area Plan and Area Zoning Grant: $200,000

Eligible Costs

Costs must be adequately justified and directly support the project. Proposed costs, including match components, must be essential to project completion. All costs will be paid on a reimbursement basis and must be documented. Eligible costs include the following:

(a) Personal Services – Personal services include direct salaries, wages, and fringe benefits of grantee employees for activities in direct relation to or in support of to project work, including project management and grant administration. Fringe benefits must be outlined in the application and include the organization’s documented rate.

(b) Non-Personal Services – Non-personal services include consultant/contractual services for direct project related costs, project management, and limited grant administration; project-related supplies and materials; necessary travel; and other goods and services required to complete the project.

Notes:

Project management activities may include, but are not limited to, oversight and coordination of tasks and activities needed to produce contractual deliverables, consultant procurement and oversight, public outreach, and technical assistance.

Grant administration may include, but is not limited to, activities undertaken to comply with grant budgeting, record keeping and reporting requirements, such as preparation and submission of payment vouchers and other documents required under the grant. Grant administration may not exceed 15% of the award amount.

Sub-contracts for consultant/contractual services should be competitively procured based on the applicable provisions of New York State General Municipal Law and additional requirements as described in this RFA.

Ineligible Costs

Ineligible costs include the following:

(a) Indirect or overhead costs, such as rent, telephone service, general administrative support, computers, office equipment, general office supplies, general operations costs, membership fees, subscription costs.

(b) Salaries and other expenses of elected officials.

(c) Costs incurred outside of the contract term.

(d) Costs that are not adequately justified or that do not directly support the project.

Notes:

Ineligible costs will be eliminated from the total project costs in the grant application.

Failure to adequately justify direct project costs will render costs ineligible. Ineligible costs will be eliminated from the total project costs in the grant application.

Applications will be accepted through the Consolidated Funding Application at http://regionalcouncils.ny.gov until July 29, 2022 at 4:00 p.m.