Introduction: Prospective borrowers seeking Water Infrastructure Finance and Innovation Act (WIFIA) credit assistance must complete and submit a letter of interest to the U.S. Environmental Protection Agency (EPA). Based on the information provided in the letter of interest, EPA will invite selected prospective borrowers to submit an application for WIFIA credit assistance. EPA will only select those eligible projects that it expects to proceed to closing.
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Purpose: Prospective borrowers submit the letter of interest materials to provide EPA with the necessary information to: 1) validate the eligibility of the prospective borrower and the prospective project; 2) perform a preliminary creditworthiness assessment; 3) perform a preliminary engineering feasibility assessment; and 4) evaluate the project against the selection criteria. Based on its review, EPA identifies the projects that it will invite to submit applications. ___________________________________________________________________________________
Format: To be considered for WIFIA credit assistance, prospective borrowers must submit a letter of interest that: 1) describes the prospective borrower and the proposed project(s); 2) provides key financial and engineering documents; and 3) explains how the project meets the selection criteria of the WIFIA credit program. Please reference the latest Notice of Funding Availability (NOFA), the WIFIA program handbook, and frequently asked questions (FAQ) available at http://www.epa.gov/wifia for additional instructions and information.

Responses to the questions should be included in this form. Upon completion, 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.
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Selection: Due to the wide variety of projects eligible for WIFIA assistance, in some cases EPA may request additional information to supplement the letter of interest so it may complete its analysis. EPA will invite some eligible prospective borrowers to submit applications based on its selection process. 
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Submission: Letters of interests must be submitted to EPA by the deadline stated in the Notice of Funding Availability (NOFA). Attachments may be draft or preliminary. Please provide the most recent version available at the time of submission. 

The documents may be submitted in two ways: 
 Email the documents as attachments to wifia@epa.gov. 
 Upload the documents to EPA's SharePoint site.  To be granted access to the SharePoint site, prospective borrowers can request access to SharePoint by emailing wifia@epa.gov.  Requests to upload documents must be made in advance of the deadline as outlined in the NOFA.

Upon receipt, EPA will provide a confirmation email. If you have questions on completing this letter of interest, please consult the WIFIA website (www.epa.gov/wifia) or contact the WIFIA program office at wifia@epa.gov. 

Confidential Business Information (CBI): A prospective borrower may assert a business confidentiality 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 and frequently asked questions (FAQ) available at http://www.epa.gov/wifia.
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Burden: The public reporting and recordkeeping burden for this collection of information is estimated to average 45 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.
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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:

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 Other names under which the prospective borrower does business: 

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

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 Provide a brief description of the project(s) for which you seek financing (major project scope items such as capacity, diameter and length, treatment components, and other design features) Limit the description to the elements included in the estimated total projects costs in Question A7. (Word Limit: 500).

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 Describe the project's purpose (including quantitative or qualitative details on public benefits the project will achieve). If the loan contains more than one project, describe the common purpose that the projects share (i.e. addressing sanitary sewer overflows or improving drinking water quality). (Word limit: 500).

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 Requested amount of the WIFIA loan (in dollars):

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 Estimated total eligible project costs (in dollars): 

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 Identify the month and year the prospective borrower will submit an application. (Assume invitations to apply will be issued approximately 90 days from letter interest submission deadline and the application will generally require a draft Request for Proposals or 30% design documents and preliminary rating letter on the proposed credit structure.)
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 Identify the month and year the prospective borrower wants to close its WIFIA loan.

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 County Served by Project

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 Population Served by project(s)

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 Total population served by system

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 Borrower department and division name:

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 Business street address: 

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 Mailing street address (if different from above): 

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 Employer/taxpayer identification number (EIN/TIN):

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 Dun and Bradstreet Data Universal Number System (DUNS) number:

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 National Pollutant Discharge Elimination System (NPDES) and/ or Public Water System (PWS) number (if applicable):
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 Type of entity (pick one): 
      
      
      
      
      
      
      

 If you marked option E, F, or G in Question 19 above, do you have legal authority to carry out the proposed project activities described in this Letter of Interest?
      
      
	If yes, cite the legal authority.

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 If the prospective borrower is not a public entity or in the case of the prospective borrower being a state infrastructure finance authority, the sub-recipient(s) is not a public entity, is the project(s) publicly sponsored?  Please explain.

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Section B: Engineering & Credit 
      
 Provide a technical report such as a preliminary design/engineering report or planning document for each aspect of your project(s). Provide the filename(s) in the textbox.

If you cannot provide any technical reports, provide a detailed description of all major project components. Indicate whether the project involves the construction of new facilities or the renovation or replacement of existing ones. Describe each of the project components in terms of dimensions, quantities, capacities, and square footage, etc.

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 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. 

                                   Schedule
Project Name
Planning
Design
Permitting
Construction
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 Choose your proposed lien priority for the WIFIA credit assistance.
Credit Term
Proposed
Lien Priority





 Have you been rated in the past three years?

      

If yes, attach a rating letter. Provide the rating letter filename in the textbox.

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If you do not have a rating letter, provide a description of the plan of finance for WIFIA's security structure.

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If you do not have a rating letter, attach:

 A pro-forma (instructions provided below) or year-end audited financial statement for the past three years
 A budget describing the forecasted financial performance of WIFIA's pledged security

      Provide the pro-forma or financial statement and budget filenames in the textbox.
            
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The financial pro forma should include key long-term (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 pro forma should be provided in an editable Microsoft Excel format, not in PDF or "values" format. The pro forma should include at a minimum the following:
 Sources of revenue 
 Operations and maintenance expenses
 Dedicated source(s) of repayment 
 Capital expenditures
 Debt service payments 
 Projected debt service coverage ratios for total existing debt and the WIFIA debt
 The project's or system's debt balances broken down by funding sources
 Equity distributions, if applicable
      
      If available, include sensitivity projections for pessimistic, base and optimistic cases.  A sample financial pro forma is available at https://www.epa.gov/wifia/wifia-application-materials-and-resources. Provide the financial pro forma filename in the textbox.



Section C: Selection Criteria
For each question where you answer yes, provide a response to explain how the project for which you are 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.  


    Will your project create construction jobs? 

      
   
   If yes, approximately how many?
   
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    Will your project create post-construction jobs?

      
      
      If yes, provide approximately how many and explain how this number was calculated.
      
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    Will your project support industry? 

      

   If yes, explain how.
   
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    Will your project protect drinking water, including source water protection? 

      

   If yes, explain how.
   
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    Will your project support international commerce? 
   
      
   
   If yes, explain how.
   
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 Will your project implement new or innovative technology(ies), such as using renewable or alternate sources of energy, water recycling, or desalination? 


   
   If yes, explain how.
   
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    Will your project use new or innovative approaches to plan, design, manage, and/or implement the project?



If yes, explain how.

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    Does your project protect the system, project specific asset, or community from extreme weather events such temperature, storms, floods, or sea level rise expected based on current conditions?

      
      
      If yes, explain how.
      
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    Does your project protect the system, project specific asset, or community from extreme weather events such temperature, storms, floods, or sea level rise predicted to occur?

      
      
      If yes, explain how.
   
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 Does your project serve a population in a region impacted by significant energy exploration, development or production areas? 

      

If yes, explain how.

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 Does the project address water quality concerns?

      
      
If yes, explain how.

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 Does the project address water quantity concerns?

      
      
If yes, explain how.

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 Is the project identified in an existing regional, state, or multistate agreement? 

      
      
If yes, attach the relevant document and write in the textbox the filename.
      
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 Is the project identified as a municipal, state, or regional priority? 

      

If yes, attach the relevant document and write in the textbox the filename.

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 Does the project protect water resources with exceptional recreational value or ecological importance? 

      
      
If yes, identify the water resources, why it has exception recreational value or ecological importance, and describe how your project protects it.

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    Is your project designed to address an existing compliance issue?
   


      If yes, identify the compliance issues(s). Explain how and to what extent your project addresses it.
      
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 Is your project designed to maintain compliance?
   
      
   
   If yes, identify the potential compliance issue(s). Describe how your project maintains compliance.
   
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 Does your project serve economically stressed communities or pockets of economically stressed rate payers within otherwise non-economically stressed communities?

      

        What is the median household income (MHI) within the project's service area? Include the MHI for any economically stressed communities or pockets of economically stressed rate payers within otherwise non-economically stressed communities that have a lower MHI than the entire service area.

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        What is the poverty level within the project's service area? Include the poverty level for any economically stressed communities or pockets of economically stressed rate payers within otherwise non-economically stressed communities that have a lower MHI than the entire service area.

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        If applicable, provide another value or metric that demonstrates that the project serves economically stressed communities or pockets of economically stressed rate payers within otherwise non-economically stressed communities.

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

      

If yes, explain how.

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 WIFIA funding would 







 Fill out the table below.

Sources Category
Estimated Dollar Value 
Funding Certainty
1. WIFIA Loan
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2. Revenue Bonds
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3. SRF Loan
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Choose an item.
4. Borrower Cash
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Choose an item.
5. Other (please specify) Click or tap here to enter text.
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Choose an item.
6. Other (please specify) Click or tap here to enter text.
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TOTAL SOURCES
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For funding sources that are uncertain (excluding the WIFIA Loan), explain how you would finance the project if the funding source is not available.

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 Will WIFIA financing reduce the contribution of Federal assistance to the project?

      

Section D: Contact Information 
 Primary point of contact 
      
   Name:  Click or tap here to enter text.
   Title:  Click or tap here to enter text.
   Organization:  Click or tap here to enter text.
   Street Address:  Click or tap here to enter text.
   City/State/Zip:  Click or tap here to enter text.
   Phone:  Click or tap here to enter text.
   E-mail:  Click or tap here to enter text.
      

 Secondary point of contact

   Name:  Click or tap here to enter text.
   Title:  Click or tap here to enter text.
   Organization:  Click or tap here to enter text.
   Street Address:  Click or tap here to enter text.
   City/State/Zip:  Click or tap here to enter text.
   Phone:  Click or tap here to enter text.
   E-mail:  Click or tap here to enter text.
 
Section E: Certifications
Please sign in the appropriate space and submit a scanned version of the signature page to EPA with your electronic Letter of Interest submission.

 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.
 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 undersigned, 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 undersigned 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 it is not currently: 1) debarred or suspended ineligible from participating in any Federal program; 2) formally proposed for debarment, with a final determination still pending; or 3) indicted, convicted, or had a civil judgment rendered against it for 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).
 Default/Delinquency:  The undersigned further certifies that neither it 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-resources#complianceanchor. 
 Signature:  By submitting this letter of interest, the undersigned certifies 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: Click or tap to enter a date.

Name:  Click or tap here to enter text.
Title:  Click or tap here to enter text.
Organization:  Click or tap here to enter text.
Street Address:  Click or tap here to enter text.
City/State/Zip:  Click or tap here to enter text.
Phone:  Click or tap here to enter text.
E-mail:  Click or tap here to enter text.


Section F: Notification of State Infrastructure Financing Authority
Please sign in the appropriate space and submit a scanned version of the signature page to EPA with your electronic Letter of Interest submission.

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: Click or tap here to enter text.

Date Signed: Click or tap to enter a date.

KEY DEFINITIONS

 Administrator means the Administrator of EPA.
   
 Credit assistance means a secured loan or loan guarantee under WIFIA.

 Eligible project costs mean amounts, substantially all of which are paid by, or for the account of, an prospective borrower in connection with a project, including the cost of:
 Development-phase activities, including planning, feasibility analysis (including any related analysis necessary to carry out an eligible project), revenue forecasting, environmental review, permitting, preliminary engineering and design work, and other preconstruction activities;
 Construction, reconstruction, rehabilitation, and replacement activities;
 The acquisition of real property or an interest in real property (including water rights, land relating to the project, and improvements to land), environmental mitigation (including acquisitions pursuant to section 33 U.S.C. §3905(7)), construction contingencies, and acquisition of equipment; and
 Capitalized interest necessary to meet market requirements, reasonably required reserve funds, capital issuance expenses, and other carrying costs during construction.
         
 Iron and steel products means the following products made primarily of iron or steel: lined or unlined pipes and fittings, manhole covers and other municipal castings, hydrants, tanks, flanges, pipe clamps and restraints, valves, structural steel, reinforced precast concrete, and construction materials.

 Project means:
 1 or more activities that are eligible for assistance under section 603(c) of the Federal Water Pollution Control Act (33 U.S.C. 1383(c)), notwithstanding the public ownership requirement under paragraph (1) of that subsection.
 1 or more activities described in section 1452(a)(2) of the Safe Drinking Water Act (42 U.S.C. 300j - 12(a)(2)).
 A project for enhanced energy efficiency in the operation of a public water system or a publicly owned treatment works.
 A project for repair, rehabilitation, or replacement of a treatment works, community water system, or aging water distribution or waste collection facility (including a facility that serves a population or community of an Indian reservation).
 A brackish or sea water desalination project including chloride control.
 A managed aquifer recharge project, a water recycling project, or projects to provide alternative water supplies to reduce aquifer depletion.
 Acquisition of real property or an interest in real property -- 
 If the acquisition is integral to a project described in paragraphs (1) through (5); or
 Pursuant to an existing plan that, in the judgment of the Administrator or the Secretary, as applicable, would mitigate the environmental impacts of water resources infrastructure projects otherwise eligible for assistance under this section.
 A project to prevent, reduce, or mitigate the effects of drought, including projects that enhance the resilience of drought-stricken watersheds.
 A combination of projects, each of which is eligible under paragraph (1) or (2), for which a State infrastructure financing authority submits to the Administrator a single application.
 A combination of projects secured by a common security pledge, each of which is eligible under paragraph (1), (2), (3), (4), (5), (6), or (7), for which an eligible entity, or a combination of eligible entities, submits a single application.
         
 Prospective borrower means an entity that is contemplating or is in the process of undertaking the WIFIA application process, or an entity that has undertaken these activities on behalf of another entity. The following entities are eligible to receive credit assistance: a corporation, a partnership, a joint venture, a trust, a Federal, State, or local government, a tribal government or consortium of tribal governments, and a State infrastructure financing authority. Prospective borrowers become applicants when they are invited to apply for WIFIA credit assistance.
         
 Public entity means:
 a Federal, State, or local Governmental entity, agency, or instrumentality; or
 a Tribal Government or consortium of Tribal Governments.
         
 Publicly sponsored means the prospective borrower can demonstrate, to the satisfaction of the Administrator that it has consulted with the affected State, local or Tribal Government in which the project is located, or is otherwise affected by the project, and that such government supports the proposed project. Support can be shown by a certified letter signed by the approving municipal department or similar agency, mayor or other similar designated authority, local ordinance, or any other means by which local government approval can be evidenced.

 State infrastructure financing authority means the State entity established or designated by the Governor of a State to receive a capitalization grant provided by, or otherwise carry out the requirements of, title VI of the Federal Water Pollution Control Act (33 U.S.C. 1381 et. seq.) or section 1452 of the Safe Drinking Water Act (42 U.S.C. 300j - 12).

 Treatment works has the meaning given the term in section 212 of the Federal Water Pollution Control Act (33 U.S.C. 1292).
   
 WIFIA means the Water Infrastructure Finance and Innovation Act of 2014, Pub. L. 113-121, 128 Stat, 1332, codified at 33 U.S.C. §§ 3901-3914.

