N.Y. Comp. Codes R. & Regs. Tit. 6 §§ 369-2.3

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

Section 369-2.3 - Application requirements

The following must be included in an application for a capital project for which an eligible applicant seeks state assistance under this Subpart:

(a) An application cover page signed by a duly authorized representative of the applicant. The application cover page must also designate a project contact person who is available to answer technical or administrative questions regarding the project application.

(b) A project description of the proposed project, including, but not limited to, the following:

(1) Overall objectives or goals of the applicant in seeking to complete the project, such as:

(i) new solid waste management program components to be initiated;

(ii) quantitative improvements in existing solid waste management program components, such as:

(a) increases in tonnages collected;

(b) increases in sectors covered by recyclables recovery programs; or

(c) increases in participation rates.

(iii) qualitative improvements in existing waste reduction, recycling and household hazardous waste program components, such as:

(a) greater collection or processing efficiency; or

(b) improved services.

(iv) other program goals or objectives.

(2) Categories or types of recyclables or household hazardous waste or containers to be managed by the project, including tonnages of materials anticipated to be recovered during the life of the project.

(i) Service area of the project, including:

(ii) a complete description and a map including, if applicable, locations of central aggregation or processing facilities and any satellite locations or equipment; and

(iii) location, population and demographic descriptions, including data on the number and types of households, as well as any commercial, industrial and institutional facilities to be served by the project.

(3) Major components of the project, detailing methods, schedules, equipment, and services required for each subsystem, including but not limited to:

(i) separation methods, including but not limited to, source separation before curbside pickup or at a drop-off location and separation of recyclables at a recyclables or other materials handling and recovery facility;

(ii) collection routes, schedules, equipment and personnel required for recyclable materials collection and aggregation;

(iii) processing design, including:

(a) design and operational capacities of the project equipment;

(b) number and design of structures;

(c) overview of all existing and planned equipment;

(d) floor plans and equipment layout; and

(e) description of basic operation of all equipment;

(iv) methods of preparing collected materials for market such as crushing, baling, chipping, granulating, composting, anaerobic digestion, or methods for handling, processing and storing household hazardous waste collected; and

(v) methods to be employed for protecting recyclables or other materials from contamination and deterioration such as protecting paper from sun, precipitation and contamination from other recyclable or non-recyclable materials, or methods to be employed to ensure proper management of collected household hazardous waste.

(4) A description of the marketing procedures to be used for sale or distribution of recyclables containers or digestate compost.

(5) A description of processes and procedures to be used for minimizing the generation of non-marketable residues, and a description of processes to be used for the handling and management of residues.

(6) A description of the public education and promotion program to be used to facilitate maximum public participation in the project.

(7) An implementation schedule, including:

(i) a timetable for the completion of all phases of the project; and

(ii) the estimated useful life of the project and its components.

(c) A description of the consistency of the proposed project with the department-approved Comprehensive Recycling Analysis (CRA) or Local Solid Waste Management Plan (LSWMP) in effect for the municipality in which the project is located.

(1) If the project is not consistent with a department-approved CRA or LSWMP, the project will be considered ineligible for state assistance funding under this Part, with the following exceptions:

(i) a project for state assistance located completely within the boundaries of a planning unit that has submitted a draft CRA or LSWMP to the department for review, where that planning unit is determined by the department to be making substantial progress towards completing the CRA or LSWMP;

(ii) an applicant that has, in the department's judgment, been prevented by unique circumstances from completing a CRA or LSWMP in a timely fashion; or

(iii) an applicant for a beverage container assistance project.

(d) A project budget, including the following information:

(1) An itemized list of all equipment, materials, and services for which state funding is requested, including, for each item on the list:

(i) estimated costs;

(ii) summaries of use/projected use;

(iii) actual/projected purchase dates; and

(iv) vendor specifications and equipment brochures, or bid specifications issued by the applicant.

(2) For projects that involve structures and facilities, an estimate of other related eligible project costs necessary for completion of the project, including:

(i) engineering and architectural services (up to a maximum of ten percent of total facility costs) including surveys, plans and specifications, and construction oversight and supervision.

(ii) legal and consultant services;

(iii) land acquisition;

(iv) other direct capital costs; and

(v) force account work necessary for the project limited to site preparation, facility construction, and engineering, architectural, legal, or other professional services.

(3) For any force account work, a cost comparison between the alternatives of using a municipal work force and equipment and non-municipal alternatives.

(4) For any leased or rented items used during site preparation and construction activities, an explanation of the necessity for leasing or renting the equipment.

(5) Identification of all eligible costs for the project.

(6) A description of any state, federal, or other financial assistance for this project, received directly or indirectly or pending and any rebates or refunds or cost recovery associated with the project.

(e) A copy of the municipality's local source separation laws or ordinances adopted pursuant to General Municipal Law (GML) section 120-aa and a description of efforts undertaken to date to implement the law or ordinance.

(1) If the applicant is a public authority, a public benefit corporation, a school district or a supervisory district, the applicant must provide a copy of the local laws or ordinances adopted pursuant to GML Section 120-aa within the applicant's service area.

(2) If the applicant is a Native American tribe or nation, the applicant must describe waste reduction and recycling efforts undertaken within the applicant's service area.

(f) Certification as to title of the property on which the project is to be located, including a legal description in a format prescribed by the department attesting to the applicant's ownership of all properties to be used in the project.

(1) This requirement applies if the project, or project component, includes buildings or structures, or if a fixed location will be used as a waste dropoff, collection, or processing location.

(2) This requirement does not apply to projects consisting only of curbside containers, collection vehicles or mobile equipment.

(3) If the applicant does not own the property where the project is to be undertaken and does not intend to acquire title to the property, documentation must be provided as evidence that the applicant has authorization to use and maintain the property for the useful life of the project (e.g., a lease agreement or similar document).

(4) If the project involves land acquisition, a valid purchase agreement may be substituted for certification required by this subdivision. However, no payment will be allowed for any project under this subpart until all land acquisition necessary for the project is completed and proof of recording is provided to the department.

(g) Certification that all equipment and construction materials/services are purchased in accordance with the GML and other applicable laws and regulations, signed by a duly authorized representative of the applicant.

(h) Appropriate Minority/Women's Business Enterprise and Equal Employment Opportunity (M/WBE-EEO) documentation as required by state law.

(i) A description of all local, state, or federal permits or authorizations required for the project.

N.Y. Comp. Codes R. & Regs. Tit. 6 §§ 369-2.3

Adopted New York State Register September 20, 2017/Volume XXXIX, Issue 38, eff. 11/4/2017

Amended New York State Register June 7, 2023/Volume XLV, Issue 23, eff. 7/22/2023

Amended New York State Register June 21, 2023/Volume XLV, Issue 25, eff. 7/23/2023