WIIA / IMG Application - WWTP Upgrades Phase II

WIIA / IMG Application

Not Submitted to EFC

A. APPLICANT

Name of Applicant: Village of Red Hook Applying For: Grant and SRF Financing SRF Project Number: 5387-03-00 Project County: Dutchess Unique Entity Id: ZLKMHFBD8SN9

B. GRANT CATEGORY

Water Infrastructure Improvement Act (WIIA) Grant

Intermunicipal Water Infrastructure (IMG) Grant

C. GENERAL INFORMATION

Project Name: WWTP Upgrades- Phase II Location: Village of Red Hook Latitude: 41.99184 Longitude: -73.88375 Legislative Districts: NY Assembly 103 (Primary) Sarahana Shrestha, NY Senate 41 (Primary) Michelle Hinchey, US Congress 19 (Primary) Josh Riley

District Name / Service Area: Village of Red Hook Population of Project Service Area: 1,921

Municipalities / Users Served:

D. PROJECT INFORMATION

1. Project Description:

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Located in northern Dutchess County, the Village of Red Hook owns and operates a public wastewater treatment plant. Building on the initial phase that was successfully completed in 2023, the proposed project expands the capacity of the WWTP to 300,000 gpd and extends sewer service to 170 more Village properties via an expanded collection system.

The majority of Village properties are still served by individual septic systems. Being in a densely settled community, there are many septic tanks in close proximity. The primary area served by Phase II is clustered along the lowest geological point in the Village. Together with the rise in stormwater runoff due to climate change, these factors make expansion of the Village’s sewer service key for sustainable protection of the community’s water supply. In addition to increasing the local water supply’s environmental resilience and maintaining its quality, the sewer expansion also facilitates in-fill development, thereby creating potential new housing.

The Village recently received an Order on Consent for various violations related to exceeding effluent limits set in the SPDES permit and other operational issues at the WWTP that were documented from a DEC inspection on March 21, 2025. The specific improvements to the current WWTP outlined in the project are necessary to meet the schedule of compliance.

5. Is the project required to be undertaken by an executed enforcement instrument or a SPDES permit (e.g. notice of violation, consent order, judicial order, compliance schedule, DEC approved Long Term Control Plan)?

Yes Instrument Type: Order on Consent Action Date: 8/8/2025 Action Reason: See attached Order on Consent.

6. Project Scope Includes:

Increase in flow or expansion of treatment facility

Change to the treatment process

Change in outfall location or design

Increase or alter the content of the wastes discharged (physical, chemical, or biological)

None

8. Describe the project’s community impacts, including but not limited to public support for the project, critical community resources served by this project, and economic development impacts.

As far back as the 1969 Joint Town and Village Comprehensive Plan, local leaders were talking about the serious environmental impact of reliance on private septic systems in the densely developed areas of the community. The 2009 Intermunicipal Task Force Centers and Greenspaces report echoed the Comprehensive Plan’s recommendation to establish a sewer district. The report also noted that a central sewer system would be more cost effective in the long-term and would promote economic development. The proposed project is also in keeping with the NYS Nonpoint Source Management Plan's recommended water quality policies, and with both the County's and State's Open Space Conservation Plans.

The Village includes NYSDEC Freshwater Wetlands, Check Zones and NWI Classified Wetlands, including a roughly 6.7-acre area of the WWTP parcel. It is not anticipated that the wetland area adjacent to the WWTP will be negatively impacted by the expansion project. The Village will work closely with NYSDEC, US Army Corps of Engineers (ACOE) and other applicable agencies to ensure that wetlands remain protected throughout the life of the project.

The Village of Red Hook includes open farmland as well as densely developed residential neighborhoods and commercial areas. With appropriate zoning, this second phase of the sewer system will allow for development to continue in the sewer service area without the increased pressure on farmland that can come with residential development, consistent with the Centers and Greenspaces Plan. Also, the Village of Red Hook includes both the high school and middle school of the Red Hook Central School District. Adding these two institutions to the sewer district further enhances the benefits of the proposed sewer expansion.

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9. Will the impacts of the proposed water quality improvement project demonstrate a benefit to a Potential Environmental Justice Area (PEJA) or Disadvantaged Community (DAC), community, or street location as indicated on maps available at DEC's website and DECInfo Locator mapper?

Yes If yes, please describe. If no, include a statement that no PEJAs or DACs are served by your project. The Village of Red Hook is a large Potential Environmental Justice Area. There are no Disadvantaged Communities (DAC) in the immediate vicinity. The proposed project will not have adverse impacts on any EJAs or DACs. Replacing private septic systems will have many environmental, health and safety benefits in the long-term, especially for the low-income and minority populations that reside within PEJAs.

10. Is the project identified in any regional planning initiatives (e.g. a Comprehensive Plan, Regional Planning document, Waterfront Revitalization Plan, Watershed Plan or Estuary Plan, or DEC Nine Element Watershed Plan)?

No

11. Does the project require easements or land acquisition?

Yes Status: Property owners will be required to sign easements to allow access for the force main and septic tank installations.

12. Describe the current status of the project and your ability to demonstrate readiness to proceed including, but not limited to, an executed engineering agreement for design services, executed professional service agreements, detailed project schedule, and plans and specifications.

The Village of Red Hook is eager to move forward with the second phase of the proposed WWTP Upgrade and sewer expansion project. An Engineering Report has been finalized, A/E procurement has been completed for Design and Bidding services. A bond resolution has been adopted, SEQR completed, and SHPO issued a Letter of No Effect for the project. The design phase is scheduled from January 2025 to November 2026 and is currently at 15% completion.

13. Will the project require the formation of a new Water/Sewer district or will it extend the district? No

14. What was the last year you filed an Annual Financial Report (AFR)?

15. Is this project identified in an Approved Asset Management Plan or Capital Improvement Plan?

No

E. CONTACT LIST

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F. TOTAL PROJECT BUDGET

Contracts

Budget

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G. PLAN OF FINANCE

If awarded a grant, please identify all applicable sources of funding available that will be used to pay project costs not covered by the grant being applied for. Please provide as much detail as possible for the source of funds in the plan of finance. as this may impact the grant amount.

Note: Projects that are not using State Revolving Fund SRF financial assistance for the balance of their project:

• will not be added to the SRF Intended Use Plan,

• will not be eligible for Bipartisan Infrastructure Law BIL funding, and

• must demonstrate that you will fund the balance of the project with funding similarly low cost to SRF financial assistance

Municipal Contributions Not Applicable Amount: $19,502,800 Source: NYS CWSRF Loan eee Municipal Interfund Borrowing Not Applicable Amount: $0 Source: Non-EFC Debt (BAN, Bonds, other) - Debt instruments not provided by EFC. Not Applicable If a BAN is callable, provide a call date. Amount: $0 Type: Issue Date: Call Date: Non-EFC Grants - Indicate grant program and status of application/award. Not Applicable Submit grant award letter if received. Amount: $10,000,000 Status: Applied Program: The Village has applied for a WQIP Grant in July of 2025 and is awaiting award announcements. Other Funding Not Applicable Amount: $2,000,000 Description: The Village has been awarded and accepted a $2,000,000 NYS ESD Grant for Phase II of a their WWTP Upgrades Project.

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H. UPLOADED DOCUMENTS

|Document Type|File Name|Description|Uploaded Date|Uploaded By Email| |---|---|---|---|---| |Bond Resolution|Red Hook (V) 5387-03-00 BOND Resolution.pdf||8/12/2025|knunamann@delawareengi neering.com| |District Formation Documentation|District Formation NA.docx||8/12/2025|knunamann@delawareengi neering.com| |Environmental Review Documentation|Red Hook (V) 5387-03-00 SERQ Type I Reolution.pdf||8/12/2025|knunamann@delawareengi neering.com| |SHPO Project Review Determination|Red Hook (V) 5387-03-00 SHPO Letter of No Effect.pdf||8/12/2025|knunamann@delawareengi neering.com| |Other|Red Hook (V) Order on Consent.pdf|Order on Consent|8/14/2025|knunamann@delawareengi neering.com| |Annual Financial Report|Redhook AFR.pdf||8/14/2025|knunamann@delawareengi neering.com| |Other|Red Hook (V) 5387-03-00

• PEJA & DAC Map.pdf|PEJA Map|9/3/2025|knunamann@delawareengi neering.com| ||Red Hook (V) 5387-03-00|||| |Engineering Report|WWTP Capacity Upgrades PHASE 2 Engineering Report Rev 9||9/8/2025|knunamann@delawareengi neering.com| ||-2025.pdf|||| |Grant Award Letter|138752 - Red Hook Sewer Expansion IP FINAL LM.pdf||9/8/2025|knunamann@delawareengi neering.com|

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I. ACKNOWLEDGEMENTS

MWBE/EEO/SDVOB Agreement

Upon submission of this application, you acknowledge your responsibility to comply with New York State Executive Law, Article 15 A with respect to Minority and Women-owned Business Enterprise MWBE participation and Equal Employment Opportunity EEO requirements, and Article 17 B with respect to Service-Disabled Veteran-Owned Business SDVOB. By clicking this button, you acknowledge that you are aware of these obligations and that you are authorized to make this acknowledgement on behalf of the applicant.

• MWBE goals for WIIA or IMG with SRF financial assistance 20%

• MWBE goals for WIIA or IMG without SRF financial assistance 30%

• EEO goals for all applicants % varies by County (http://www.efc.ny.gov/mwbe)

• SDVOB goals without SRF financial assistance 6%

• SDVOB goals are not required, but encouraged, with SRF financial assistance

Acknowledged?

Federal Requirement Acknowledgement

Upon submission of this application, you acknowledge that to receive financial assistance through the SRF, you will need to meet federal requirements and appropriate language must be included in the recipient’s contracts. These requirements include, but are not limited to, Davis-Bacon and related acts, and American Iron and Steel. Recipients of financial assistance will be required to perform certain actions to verify compliance and ensure certain provisions are contained in all contracts and subcontracts. By checking this box, you acknowledge that you are aware of these requirements and that you are authorized to make this acknowledgement on behalf of the Applicant.

Please refer to the current IUP for additional detail regarding your responsibilities under these programs.

Acknowledged?

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J. MWBE/SDVOB/EEO WORKPLAN

The Applicant will comply with the provisions of New York State Executive Law Article 15-A, 5 NYCRR Parts 140 145, Executive Law Article 17-B, 9 NYCRR Part 252, 40 CFR Part 33, Titles VI and VII of the Civil Rights Act of 1964, 40 CFR Part 7, 41 CFR Part 60-1 Subpart A, and 41 CFR Part 60 4, and other requirements prescribed by the New York State Environmental Facilities Corporation (“EFC”) relating to the participation of minority- and women-owned business enterprises (“MWBEs”), the participation of service-disabled veteran-owned business enterprises (“SDVOBEs”), equal employment opportunities (“EEO”), and affirmative action, throughout the life of the project.

Designated Minority- & Women-Owned Business Enterprise Officer (“MBO”):

The MBO is the individual responsible for administering the Applicant’s MWBE, SDVOBE, and EEO programs. A document containing guidance for the MBO can be obtained from your Program Compliance Specialist at EFC.

MBO Name: Karen Smythe MBO Title: Mayor MBO Phone Number: 845-758-4715 MBO Email Address: mayor@redhookvillage.gov MBO Mailing Address: 7467 S Broadway City: Red Hook State: NY Postal / Zip Code: 12571 Authorized Alternate Name: Karla Nunamann Authorized Alternate Title: Project Coordinator Authorized Alternate Phone Number: (518) 452-1290 Authorized Alternate Email Address: knunamann@delawareengineering.com

K. SMART GROWTH

1. Does the project advance or otherwise involve the use of, maintenance, or improvement of existing infrastructure?

Yes

2. Is the project located wholly or partially in a municipal center, characterized by any of the following? Check all that apply:

• A city or a village

• Area of concentrated and mixed land use that serves as a center for various activities including, but not limited to:

Central business districts (such as the commercial and often geographic heart of a municipality, “downtown”, “city center”) Main streets (such as the primary retail street of a village, town, or small city. It is usually a focal point for shops and retailers in the central business district, and is most often used in reference to retailing and socializing) Downtown areas (such as a city’s core (or center) or central business district, usually in a geographical, commercial, and community sense) Brownfield Opportunity Areas Downtown areas of Local Waterfront Revitalization Program areas Locations of transit-oriented development (such as projects serving areas that have access to mass or public transit for residents) Environmental Justice Areas Hardship Areas

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3. Is the project located adjacent to municipal centers (please see characteristics in question 2 above) with clearly defined borders, in an area designated for concentrated development in the future by a municipal or regional comprehensive plan that exhibits strong land use, transportation, infrastructure, and economic connections to an existing municipal center? Yes

4. Is the project located in an area designated by a municipal or comprehensive plan, and appropriately zoned, as a future municipal center? Yes

5. Is the project located wholly or partially in a developed area or an area designated for concentrated infill development in accordance with a municipally approved comprehensive land use plan, a local waterfront revitalization plan, Brownfield Opportunity Area plan, or other development plan? Yes

6. Does the project preserve and enhance the state’s resources, including agricultural lands, forests, surface and groundwater, air quality, recreation and open space, scenic areas, and/or significant historic and archaeological resources? Yes

7. Does the project foster mixed land uses and compact development, downtown revitalization, brownfield redevelopment, the enhancement of beauty in public spaces, the diversity and affordability of housing in proximity to places of employment, recreation, and commercial development and/or the integration of all income and age groups? Yes

8. Does the project provide mobility through transportation choices, including improved public transportation and reduced automobile dependency? Not Applicable

9. Does the project demonstrate coordination among state, regional, and local planning and governmental officials? (Demonstration may include State Environmental Quality Review [“SEQR”] coordination with involved and interested agencies, district formation, agreements between involved parties such as intermunicipal agreements, letters of support, State Pollutant Discharge Elimination System [“SPDES”] permit issuance/revision notices, consent orders or other compliance or enforcement related agreements or settlements, etc.). Yes

10. Does the project involve community-based planning and collaboration? Yes

11. Is the project consistent with local building and land use codes? Yes

12. Does the project promote sustainability by strengthening existing and creating new communities which reduce greenhouse gas emissions and do not compromise the needs of future generations? Yes

13. During the development of the project, was there broad-based public involvement? (May include SEQR coordination with involved and interested agencies, SPDES permit issuance/revision notice, approval of Bond Resolution, district formation, evidence of public hearings, Environmental Notice Bulletin [“ENB”] or other published notices, letters of support, etc.). Yes

14. Does the Applicant have an ongoing governance structure to sustain the implementation of community planning? Yes

15. Does the project mitigate future physical climate risk due to sea level rise, and/or storm surges and/or flooding, based on available date predicting the likelihood of future extreme weather events, including hazard risk analysis data if applicable?

Yes

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