In order to be considered for DWSRF financing, applicants will need to complete two major steps and submit the following:

1. A Pre-Application Form to DOH, including a description of the project and other essential information. The pre-application is used to rank and list the project in the Intended Use Plan (IUP); and
2. A complete DWSRF Financing Application to EFC if your project is listed on the Project Readiness List of the IUP. This application requests details regarding project costs, applicant credit information, and other information to size the financing and prepare documentation.

DWSRF Application Materials:

Publicly-Owned Municipal Systems
Privately-Owned Systems

The DWSRF Pre-Application Form for listing projects in the DWSRF IUP requires project and applicant information sufficient to score projects based on the following criteria:

• MCL/Treatment Technique Violations
• Non-Treatment Sanitary Code Violations
• System Reliability/Dependability Issues
• Governmental Needs
• Financial Needs

All projects are scored, ranked and listed on the Project Readiness List or Multi-Year List.

Applicants are encouraged to submit the pre-application listing forms for all potential projects. Each year, a subsidy line is identified on the IUP Readiness List. All projects that are above the subsidy line on the Final IUP Readiness List are eligible for subsidized financing. Projects below the subsidy line may become “reachable” for subsidized financing later in the IUP financing period. Unsubsidized financing is also available for projects below the subsidy line on the Final IUP Readiness List, and for projects above the subsidy line that require short-term financing in excess of the amount available under the Short-Term Interest-Free Financing Program.

IUP Listing, Scoring and Ranking Process

Information provided by the applicant on the DWSRF Pre-Application Form is used to score and rank projects (described in detail in the IUP). It is important for applicants to provide adequate information for DOH project engineers to properly score projects. Once DOH project engineers score each individual project, projects that are expected to be ready for the next financing period will be added to the Readiness List. Projects on the Readiness List are ranked based on the Project Priority Score. Projects that may be ready for a future financing period are added to the Multi-Year list.

Drinking water systems that are eligible for DWSRF project funding are community water systems, both municipally and privately-owned, and non-profit, non-community water systems.

For Publicly-Owned (Municipal) Systems

Municipal applicants may apply for financing for any DWSRF-eligible project.  A municipality means any county, city, town, village, district corporation, county or town improvement district, school district, Indian nation or tribe recognized by the State or the United States with a reservation wholly or partly within the boundaries of New York State, any water authority now existing in a city, or any agency of New York State which is empowered to construct and operate an eligible project, or any two or more of the foregoing which are acting jointly in connection with an eligible project.

For Privately-Owned Systems

Privately-owned community water systems and non-profit, non-community water systems may apply for financing for DWSRF-eligible projects.

The DWSRF application for Publicly-Owned Systems was revised in November 2010 as part of EFC's continuing efforts to improve the application process. The forms and guidance documents in the revised and updated application package should be used going forward so that applicants will not be completing forms that are no longer required as part of the application. Previous forms that have already been completed may still be accepted by EFC,  but may need to be followed-up with additional information. Some significant changes in the revised package include: a revised application form, a revised application checklist, a revised MWBE guidance document, and a new guidance document titled "Typical Requirements for Financing Through the New York Clean Water State Revolving Fund." If you should have any questions regarding the application forms and guidance, please call EFC's toll-free number at (800) 882-9721.