Document ID: EPA-HQ-OW-2016-0178-0041
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2023-09-27T04:00Z

WIFIA Letter of Interest Instructions

A prospective borrower seeking Water Infrastructure Finance and Innovation Act (WIFIA) credit assistance must complete and submit this letter of interest form and provide requested attachments to the U.S. Environmental Protection Agency (EPA) following the instructions in the Notice of Funding Availability (NOFA). In its submittal, the prospective borrower:
 Describes itself and its proposed project(s);
 Provides key financial and engineering information and documents; and 
 Explains how the project meets the WIFIA selection criteria.

The prospective borrower should answer all questions in this form. Narrative answers can reference source documents by including the name of the document and relevant pages or sections and providing any referenced documents as attachments. The prospective borrower must sign Sections F and G in the appropriate spaces. 

Resources regarding WIFIA program eligibility; completing a letter of interest and application; how loans are selected and closed; as well as post-close expectations are available in the WIFIA program handbook. It is highly recommended to use this document as a companion when developing your letter of interest. For general information about WIFIA, consult the WIFIA website (www.epa.gov/wifia). 
Additional information specific to the current project selection round can be found in the NOFA, and questions may be submitted to the WIFIA program office at wifia@epa.gov. 

A prospective borrower may assert a Confidential Business Information (CBI) claim covering part or all of the information submitted to EPA as part of its letter of interest, in a manner consistent with 40 C.F.R. 2.203, 41 Fed. Reg. 36902 (Sept. 1, 1976), by placing on (or attaching to) the information a cover sheet, stamped or typed legend, or other suitable form of notice employing language such as trade secret, proprietary, or company confidential. The prospective borrower should also state whether it desires confidential treatment until a certain date or until the occurrence of a certain event.  Information covered by a business confidentiality claim will be disclosed by EPA only to the extent and only by means of the procedures set forth under 40 C.F.R. Part 2, Subpart B.  Information that is not accompanied by a business confidentiality claim when it is received by EPA may be made available to the public by EPA without further notice to the prospective borrower. More information about CBI is available in the WIFIA program handbook.

The total length of the letter of interest form should not exceed 50 pages, excluding any attachments. Font size should not be smaller than 11-point Calibri. There is no limit to the number or length of attachments provided. Attachments should be the most recent versions of the documents available at the time of submission and may be draft or preliminary. Attachments must be referenced in the letter of interest form to be considered.

The final letter of interest submission must include:
 A completed, signed version of this letter of interest form 
 All attachments requested and referenced in the letter of interest form

When finished, the letter of interest form and attachments may be submitted by uploading the documents to EPA's SharePoint site.  To be granted access to the SharePoint site, the prospective borrower can request access to SharePoint by emailing wifia@epa.gov. After uploading the completed letter of interest form and all attachments, emailing the WIFIA program office at wifia@epa.gov, with the subject line: "[NAME OF PROSPECTIVE BORROWER]  -  [NAME OF PROJECT]  -  Letter of Interest Submitted".

After EPA's intake process is complete, it will provide a confirmation email to the contacts listed in Section E. 

___________________________________________________________________________________
Burden
The public reporting and recordkeeping burden for this collection of information is estimated to average 60 hours per response. Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, included through the use of automated collection techniques to the Director, Regulatory Support Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address. ___________________________________________________________________________________
Warning
Falsification or misrepresentation of information or failure to file or report information required to be reported may be the basis for denial of financial assistance by EPA. Knowing and willful falsification of information required to be submitted and false statements to a Federal Agency may also subject you to criminal prosecution.  See, for example, 18 U.S.C. §1001.
_________________________________________________________________________________

Additional information about the WIFIA program and the letter of interest form is available at https://epa.gov/wifia and by contacting wifia@epa.gov.

LETTER OF INTEREST
Provide the following information in this form or as narrative answers. Narrative answers can reference source documents (include the name of the document and relevant pages or sections). Provide any referenced documents as attachments.

Section A: Key Loan Information

 
 Legal name of prospective borrower 
 If a different entity is proposed to enter into the WIFIA loan documents on behalf of the borrower, provide the legal name of such: 

      _______________________________________________________________

 Borrower department and division name:

___________________________________________________________________________

 Business street address: 
      Street Address:  ______________________________________________________
      City/State/Zip: 	______________________________   ____   _________________
      
 Mailing street address (if different from above): 
      Street Address:  ______________________________________________________
      City/State/Zip: 	______________________________   ____   _________________

 Employer/taxpayer identification number (EIN/TIN):
_____________________________________________________________
	

 National Pollutant Discharge Elimination System (NPDES) and/ or Public Water System (PWS) number (if applicable):
_____________________________________________________________

 Project name (assign a short name to the project for purposes of identification):

      _______________________________________________________________
 Provide a brief description of the project(s) seeking financing. Limit the description to the elements included in the estimated total projects costs in Question A-11. 

______________________________________________________________________________

 Describe the project's or projects' purpose(s) (including quantitative or qualitative details on public benefits the project will achieve). If the loan contains more than one project, the projects must serve a common purpose. Describe the common purpose that the projects share (e.g. addressing sanitary sewer overflows or improving drinking water quality). 
   
______________________________________________________________________________

 Requested amount of the WIFIA loan (in dollars). This amount may be no more than 49% of the estimated eligible project costs provided in question A-11 (except for systems that serve a population of 25,000 or less and may request up to 80% of the estimated eligible costs):

_________________________________

 Estimated total eligible project costs (in dollars): 

_________________________________

 Identify the date the prospective borrower will submit an application. (Assume invitations to apply will be issued approximately 8 weeks from letter interest submission).

_________________________________

 Identify the prospective borrower's organizational type (pick one): 

 Private or semi private (i.e. corporation, partnership, joint venture, or trust))
 Public (Federal, State, Tribal or Local Government, including State infrastructure finance authorities) (if selected, skip to question A-15)
 If A was selected in question A-13, 
 Describe the organizational structure of the project(s) and attach a chart illustrating this structure. Explain the relationship between the prospective borrower, the project, parent corporation and other relevant parties. Include individual members or titles of the project team(s) and their past experiences with projects of similar size and scope. 

 Is the project(s) publicly sponsored (see definitions)? Please explain.

 Complete the following table to provide information about the jurisdiction and population served by the system. 

Jurisdiction served 
(municipality, county, etc)
Total population of the jurisdiction
% of jurisdiction population served by project 

      If you serve more jurisdictions than fit on the table, please attach a similar table with the complete list. Provide the filename in the textbox.

File Name: _________________________________________________________________

Total Population Served by Project:  ________________________________

Section B: Engineering & Credit 
      
 Provide no more than two (2) of the latest applicable technical reports for each project. Depending on project development status, this could be a preliminary design/engineering report, basis of design report, master plan, CIP project summary, alternative selection document or facility plan. Plans and specification documents are not requested. If more than two reports are necessary to describe the projects (for example, if the LOI is for a program of projects), please attach a separate document listing the reports and file names.

Document 1: _______________________________   File Name 1: _______________________________
Document 2: _______________________________   File Name 2: _______________________________

 Provide available environmental review documents prepared in accordance with the National Environmental Policy Act (NEPA) by another federal agency or prepared through state environmental authorities for each aspect of the project(s). These may include:
 Federal Environmental Impact Statements (EIS) or Environmental Assessments (EA)
 State environmental information report or document (EIR or EID)

If no such reports are available, mark N/A in the document field. 

Document 1: _______________________________   File Name 1: _______________________________
Document 2: _______________________________   File Name 2: _______________________________

 Present the overall project schedule start and end dates for key milestones and costs in the provided tables. For WIFIA loans with one project, fill out Row 1. For WIFIA loans with multiple projects, fill out and create as many rows as needed. For project(s) that may only be seeking planning and design costs, please only complete the planning and design columns. If your projects do not fit on the table, please include a separate table as an attachment. 
    
 Please check if you are interested in pursuing a Master Agreement for the list of projects below (see WIFIA Program Handbook for more information) 
                                       
                                 Project Name
                                Planning Dates
                                 Design Dates
                              Construction Dates

                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       

    Provide the file name(s) in the textbox.
    
    File Name: _________________________________________________________________

 Describe the proposed security (e.g., water utility revenue or general obligation) and lien priority of payment (senior or subordinate to existing debt) for the WIFIA loan. 
    
 Provide an existing credit rating that is less than a year old or is actively maintained.  The rating should be on the same security and lien as the proposed WIFIA loan. 
    
Credit rating is:
            Attached              Not Available 

___________________________________________________________________________

 If credit rating "Not Available" in Question B-5, describe how the WIFIA loan will achieve an investment-grade rating and provide a financial pro forma along with two years of audited financial statements. For newly established entities, please provide audited financial statements of the primary project sponsor. 
    The pro forma should include key long-term (at least 10 years, but no greater than the proposed life of the WIFIA loan) revenues, expenses, and debt repayment assumptions for the revenue pledged to repay the WIFIA loan.
    
    The file should be provided in an editable Microsoft Excel format, not in PDF or "values" format. A sample pro forma can be found on our website along with additional guidance in the WIFIA Handbook.

    
 Provide a sources and uses of funds table for the construction period(s), including the proposed WIFIA loan. For prospective borrowers other than Public Entities, add rows as needed to identify the amount and source(s) of project equity, letters of credit, and other sources of debt as applicable. Information about eligible costs is available in the WIFIA program handbook.  

Sources Category
Estimated Dollar Value 
1. WIFIA Loan (cannot exceed 49% of eligible costs)

2. Bonds

3. SRF Loan

4. Borrower Cash

5. Other (please specify)

6. Other (please specify)

TOTAL SOURCES

Uses Category
Estimated Cost
1.  Planning

2.  Design 

3.  Construction [a]

4.  Project Management [b] 

5. Land Acquisition 

6.  Additional Contingency [c]

7.  Total Capital Costs

8.  Financing Costs

9. Other (please specify)  

10. Other (please specify)  

TOTAL USES

[a] Construction costs including construction contingency
[b] Costs related to the management and oversight of the project, not factored elsewhere
[c] Additional cost factors (separate from the construction contingency included in the estimated cost for Construction) that contribute to your total capital costs. This may include adjustments to market conditions or additional project contingency considerations.  
       
Section C: Selection Criteria
For each question answered yes, provide a response to explain how the project seeking the WIFIA loan achieves the stated result. When applicable, reference attachments. Responses to these questions will allow the WIFIA program to evaluate the project in relation to the selection criteria outlined in the NOFA.  If the Letter of Interest contains multiple projects, include information about any of the projects that would fit the selection criteria. 

    Explain how this project will support economic growth, including construction and post-construction jobs.

 What, if any, voluntary procedures do you have in place to promote domestic preference for products being used to construct the project?
   
    Will the project support international commerce? 

   		Yes		No
   
   If yes, explain how.

 Explain how the project will protect human health and/or the environment, including drinking water protection, source water protection, water quality, and water quantity.

    Does the project protect the system, project specific asset, or community from extreme weather events such temperature, storms, floods, or sea level rise? Discuss the extent to which planning addressed changes in future frequency of such events.
      
         Yes		No
      
      If yes, explain how.

 Does the project reduce greenhouse gas emissions?
      
         Yes		No
      
      If yes, explain how.

 Does the project serve a population in a region impacted by significant energy exploration, development, or production areas? 

         Yes		No

      If yes, explain how.

 Does the project protect water resources with exceptional recreational value or ecological importance? 
      
         Yes		No
      
If yes, identify the water resources, why it has exceptional recreational value or ecological importance, and describe how the project protects it.

 Is the project identified as a municipal, regional, state, or multistate priority? 

         Yes		No

If yes, attach the relevant document and write in the textbox the filename and relevant section(s) or page(s).

    Is the project designed to address an existing compliance issue or maintain compliance?

         Yes		No

      If yes, identify the compliance issues(s). Explain how and to what extent the project addresses it.

 Does the project reduce exposure to lead or emerging contaminants within a drinking water or wastewater system? 

         Yes		No

      If yes, explain how.

 Does this project or projects include costs for implementing cybersecurity measures?
      
         Yes		No

    If yes, please describe these measures and associated costs.

 Will the project implement new or innovative technology(ies), such as using renewable or alternate sources of energy, water recycling, or desalination? 
         
         Yes		No
         
   If yes, explain how.

    Will the project use new or innovative approaches to plan, design, manage, and/or implement the project?

         Yes		No

If yes, explain how.

 WIFIA funding would 

            Delay the project development schedule
            Have no impact on the project development schedule
            Accelerate the project development schedule
            Allow you to implement other high priority projects sooner than anticipated
            Be the only funding option that would all the project to be implemented

 Will WIFIA financing reduce the contribution of Federal assistance to the project?
      
         Yes		No
         

Section D: Federal Assets 
EPA in coordination with OMB is required to ensure that projects are not considered federal assets for purposes of the Federal Credit Reform Act. Please see https://www.regulations.gov/document/EPA_FRDOC_0001-25613 for further details. To help the WIFIA program complete this review, please answer the following questions.

 Is the project authorized by Congress for construction by, or a local cost share requirement of, the Army Corps of Engineers or the Bureau of Reclamation?

      Yes		No
If yes, please explain.

 Was the facility at which construction will take place originally constructed by the Federal Government?

Yes		No
If yes, please explain.

 Describe any other relationship the project has to the Federal Government (e.g. use by the Federal Government, loan repayment funding stream, in kind donations, Federal obligations resulting from the project, Federal operation of the project or adjoining facilities)

Section E: Contact Information 

 Primary point of contact 
      
   Name:  		____   _______________________   ________________________
   Title:  		______________________________________________________
   Organization:  	______________________________________________________
   Street Address:  	______________________________________________________
   City/State/Zip:  	______________________________   ____   _________________
   Phone:  		_________________________
   E-mail:  		______________________________________________________
      

 Secondary point of contact

   Name:  		____   _______________________   ________________________
   Title:  		______________________________________________________
   Organization:  	______________________________________________________
   Street Address:  	______________________________________________________
   City/State/Zip:  	______________________________   ____   _________________
   Phone:  		_________________________
   E-mail:  		______________________________________________________
 
Section F: Certifications
Please sign at the end of Section E before submitting. 

 National Environmental Policy Act:  The prospective borrower acknowledges that any project receiving credit assistance under this program must comply with all provisions of the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and that EPA will not approve a loan for a project until a final agency determination, such as a Categorical Exclusion (CATEX), Finding of No Significant Impact (FONSI), or a Record of Decision (ROD), has been issued.
 American Iron and Steel:  The prospective borrower acknowledges that any project receiving credit assistance under this program for the construction, alteration, maintenance, or repair of a project may only use iron and steel products produced in the United States and must comply with all applicable guidance.
 Buy America Preference: The prospective borrower acknowledges that any project receiving credit assistance under this program for the construction, alteration, maintenance, or repair of a project may only use domestic iron/steel, manufactured produces and construction materials produced or manufactured in the United States and must comply with all applicable guidance.
 National Historic Preservation Act: The applicant acknowledges that any project receiving credit assistance under this program must comply with all provisions of the National Historic Preservation Act as amended (54 U.S.C. § 300101 et seq.: Historic Preservation).
 Endangered Species Act:  The applicant acknowledges that any project receiving credit assistance under this program must comply with all provisions of the Endangered Species Act (16 U.S.C. §§ 1531, et seq.).
 Prevailing Wages:  The prospective borrower acknowledges that all laborers and mechanics employed by contractors or subcontractors on projects receiving credit assistance under this program shall be paid wages at rates not less than those prevailing for the same type of work on similar construction in the immediate locality, as determined by the Secretary of Labor, in accordance with sections 3141-3144, 3146, and 3147 of Title 40 (Davis-Bacon wage rules).
 Lobbying:  Section 1352 of Title 31, United States Code provides that none of the funds appropriated by any Act of Congress may be expended by a recipient of a contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, or an employee of a Member of Congress in connection with the award or making of a Federal contract, grant, loan, or cooperative agreement or the modification thereof. The EPA interprets this provision to include the use of appropriated funds to influence or attempt to influence the selection for assistance under the WIFIA program.
WIFIA prospective borrowers must file a declaration: (a) with the submission of an application for WIFIA credit assistance; (b) upon receipt of WIFIA credit assistance (unless the information contained in the declaration accompanying the WIFIA application has not materially changed); and (c) at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the information contained in any declaration previously filed in connection with the WIFIA credit assistance.
The undersigned certifies, to the best of his or her knowledge and belief, that:
 No Federal appropriated funds have been paid or will be paid, by or on behalf of the applicant, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
 If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
 The applicant shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
         This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
 Debarment:  The undersigned further certifies that the applicant has fully complied with its verification obligations under 2 C.F.R. Part 180 and confirms that, to its knowledge, neither applicant nor any of its principals (as defined in 2 C.F.R. Part 180.995 and Part 1532.995) 
 is debarred, suspended or voluntarily excluded from participating in any Federal programs, Government contracts, procurement or non-procurement matters; 
 is present indicted for or otherwise criminally or civilly charged by a governmental authority with commission of any of the offenses listed in the Regulations Governing Debarment and Suspension (Governmentwide Nonprocurement Debarment and Suspension Regulations: 2 C.F.R. Part 180 and Part 1532); or 
 has, within the three (3) year period preceding the date of the application, 
 has been convicted for or had a civil judgment rendered against the applicant for any of the above-mentioned offenses within such period or 
 had any public transactions (Federal, state, or local) terminated for cause or default.
 Default/Delinquency:  The undersigned further certifies that neither the applicant nor any of its subsidiaries or affiliates are currently in default or delinquent on any debt or loans provided or guaranteed by the Federal Government.
 Other Federal Requirements:  The prospective borrower acknowledges that it must comply with all other federal statutes and regulations, as applicable.  A non-exhaustive list of federal cross-cutting statutes and regulations can be found at https://www.epa.gov/wifia/wifia-federal-compliance-requirements.
 Signature:  By submitting this letter of interest, the undersigned certifies on behalf of the applicant that the facts stated and the certifications and representations made in this letter of interest are true, to the best of the prospective borrower's knowledge and belief after due inquiry, and that the prospective borrower has not omitted any material facts. The undersigned is an authorized representative of the prospective borrower.
Signature: __________________________________
Date Signed: ____________________

   Name:  		____   _______________________   ________________________
   Title:  		______________________________________________________
   Organization:  	______________________________________________________
   Street Address:  	______________________________________________________
   City/State/Zip:  	______________________________   ____   _________________
   Phone:  		_________________________
   E-mail:  		______________________________________________________
Section G: Notification of State Infrastructure Financing Authority
Please sign at the end of Section G before submitting. 

By submitting this letter of interest, the undersigned acknowledges that EPA will (1) notify the appropriate State infrastructure financing authority in the State in which the project is located that the prospective borrower submitted this letter of interest; and (2) provide the submitted letter of interest and all source documents to that State infrastructure financing authority.

Prospective borrowers that do not want their letter of interest and source documents shared with the State infrastructure financing authority in the state in which the project is located may opt out by initialing here _____________. 

If a prospective borrower opts out of sharing a letter of interest, EPA will still notify the State infrastructure financing authority within 30 days of receiving a letter of interest.

Signature: ____________________________________________________________________________

Name: ___________________________   _______________________________

Date Signed: ______________________