v>EPA
United States
Environmental Protection
Agency
Office of Water
(4204)
EPA 832-K-97-002
January 1998
Answers To Frequently
Asked Questions About The
U.S. EPA Clean Water Indian
Set-Aside Grant Program
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Table of Contents:
• Introduction
• General Questions
• Funding Eligibility
• Administration of the ISA Program
• Contacts:
• EPA Regional CWA ISA Coordinators
• Headquarters, EPA CWA ISA Programs
• Indian Health Service Program Directors
• Technical or Funding Assistance Contacts
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Answers To Frequently Asked Questions About The U.S. EPA Clean Water Indian Set-Aside Grant Program
Introduction
Below are answers to some of the most frequently asked questions about the Environmental Protection
Agency's (EPA's) Clean Water Act (CWA) Indian Set-Aside (ISA) Grant Program. The CWA ISA Grant
Program was created to provide grants to Indian tribes and Alaskan Native Villages (ANVs) to assist in
the planning, design, and construction of wastewater treatment facilities. All federally recognized tribes,
ANVs, and tribes on former reservations in Oklahoma are eligible for ISA grant funds.
General Questions
1. How does one obtain
funding from the ISA
Program?
Tribes must first submit their needs to the Indian Health Service's
(IHS's) Sanitation Deficiency System (SDS). EPA uses this system
to identify priority wastewater projects for funding. EPA Regional
ISA Coordinators, in cooperation with the IHS Area Program
Directors, select eligible projects for funding from the SDS priority
lists. EPA regions will, notify selected tribes that they have been
identified to receive an ISA grant. Tribes must then submit a formal
grant application to their EPA Regional offices. Guidance on
submitting grant applications is found in EPA's Guidelines and
Requirements for Applying for Grants from the Indian Set-Aside Program
document (April, 1989.) EPA and IHS field contacts are listed on
pages 9 and 10.
2. How does a tribe gets its IHS has 12 Area offices which collect data for the SDS annually.
wastewater needs into
the IHS Sanitation
Deficiency System and
what is the SDS data
collection cycle?
Local IHS Area office representatives can help tribes identify their
wastewater needs for this purpose. During the data collection
process, IHS personnel may meet with or contact tribal
representatives to discuss or obtain specific project proposals. Please
contact your local IHS Area office to determine its SDS data
collection process and schedule. However, some key dates are:
Date
Milestone
April - May
June
September-November
December
Identify sanitation needs to IHS Area offices
Deadline for submission of needs (Check with your
Area office to determine the exact date)
IHS HQ review of SDS project submissions
Final SDS priority lists available
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Answers To Frequently Asked Questions About The U.S. EPA Clean Water Indian Set-Aside Grant Program
What is the relationship
between EPA and IHS
in the administration of
the ISA Program?
Section 518(c) of the 1987 Amendments to the Clean Water Act
(CWA) established the ISA program and authorized EPA to make
wastewater treatment grants available to tribes and Alaska Native
Villages. The Amendments directed EPA to work with IHS to
identify and address the sanitation needs of tribes. To accomplish
this, EPA entered into an interagency agreement with IHS in 1988
to provide help with the administration of the ISA Program.
Because EPA does not have the resources necessary at the field level
to administer project level grants by itself, this partnership has
allowed EPA and IHS to work together to leverage the technical
resources available through bodi agencies to address tribal sanitation
needs.
Funding Eligibility
4. What types of projects All projects funded by the ISA Program must be wastewater-related.
are funded by the ISA
Program? Do they have
to be wastewater-
related?
Project components that are eligible for funding include:
Interceptor sewers;
Wastewater treatment facilities (conventional or alternative);
Infiltration/inflow correction;
Collector sewers;
Major sewer rehabilitation; and
On-site treatment systems (e.g., septic systems.)
5. Are matching funds
required for an ISA
grant?
No. The purpose of the ISA Program is to provide an opportunity for
tribes to obtain wastewater treatment grant money through a
simplified priority process not requiring any matching funds. Up to
100 percent of eligible project costs can be funded.
6. Can ISA funds be used No. ISA funds can only be used to pay for the planning, design, and
to pay for the
operations and
maintenance of a
wastewater treatment
facility?
construction of wastewater projects. They cannot be used to pay for
the cost of operating and maintaining the wastewater facility. Nor
can they be used to pay for repairs to the treatment system in
emergency situations.
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Answers To Frequently Asked Questions About The U.S. EPA Clean Water Indian Set-Aside Grant Program
7. Are sanitation system
costs for homes built
with the Department
of Housing and Urban
Development (HUD)
funds eligible under
the ISA Program? If
so, what costs are
eligible?
Yes. Wastewater systems for HUD-funded homes are eligible for
funding under the ISA Program. However, funding cannot be used
for indoor plumbing or lateral connections to individual homes.
8. Does EPA specifically
address water quality
problems through the
ISA Program? Are
water quality needs
identified in the SDS?
Yes. Water quality needs can be addressed though the ISA program.
As stated in Section 216 of the Federal Water Pollution Control Act
(Clean Water Act) as amended by the Water Quality Act of 1987,
EPA's water quality goals in the ISA Program are first to rectify
deficiencies that are causing, or may potentially cause, human health
problems. Once public health goals are attained, EPA will then
concentrate on projects that address water quality goals, such as
meeting effluent permit limits or loading criteria. This is also
reflected in EPA's use of the SDS to prioritize projects. The SDS
scoring criteria gives more weight to public health needs than to water
quality needs. Projects necessary to solve public health problems
would have higher SDS scores than projects designed to rectify water
quality problems. EPA would most likely give higher priority to a
wastewater treatment project which addressed environmental and
human health needs over a project which addressed only
environmental needs.
9. Can future needs be
addressed through
SDS?
Generally, no. The SDS system is primarily for identifying current
sanitation deficiencies for existing Indian homes. Therefore, a project
that was submitted primarily to meet future needs (such as projects
necessary to meet projected population growth) will not be
considered. IHS SDS guidelines (Draft Guide to Reporting
Sanitation Deficiencies for Indian Homes and Communities, IHS,
February 1993, p. 14) indicate that "IHS can only address the
sanitation deficiencies of existing Native American homes within the
scope of the definitions described in [the] guidelines." However,
facilities constructed to meet existing needs are usually designed with
flexibility to accommodate some future expansions.
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Answers To Frequently Asked Questions About The U.S. EPA Clean Water Indian Set-Aside Grant Program
10. Can ISA funds be used No. These projects are not eligible for ISA grant funds. EPA
for wastewater projects currently uses the SDS to prioritize wastewater needs. The SDS
that are linked to
economic development
projects?
considers only immediate needs for sanitation facilities and not those
needs that will spur economic development or growth. However,
federal programs such as the Department of Housing and Urban
Development's (HUD) Indian Community Development Block Grant
(CDBG) Program; the Rural Utilities Service Water and Waste
Disposal Program of the Department of Agriculture; and the
Department of Commerce's Economic Development Grants for
Public Works and Development Facilities Program do fund economic
development projects. (See page 11 for more information.)
Administration of the ISA Program
11. What program The requirements for a tribe to receive an ISA grant from EPA are
requirements or discussed in the EPA's Guidelines and Requirements for Applying for
regulations must tribes Grants from the Indian Set-Aside Program document (April, 1989.)
While the requirements are designed specifically for the ISA
Program, they are based on the regulations contained in 40 CFR
Part 31 (Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments) and
40 CFR Part 35 Subpart I (Grants for Construction of Treatment
Works.) Tribes should work closely with their Regional ISA
Coordinator to determine which regulations apply to their project,
as well as to ensure that all of the regulations are followed properly.
eligible to receive an
ISA grant directly from
EPA?
12. Are pre-award costs
(prior to the award of
the grant) eligible for
ISA funding?
Generally, no. Pre-award costs for projects selected for funding are
eligible only with prior approval from the EPA Regional Office and
only for emergency or other exceptional circumstance (see 40 CFR
35.2118.) For example, in emergencies or instances where delay
could result in significant cost increases, the Regional Administrator
may approve preliminary building work, such as procurement of
major equipment requiring long lead times.
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Answers To Frequently Asked Questions About The U.S. EPA Clean Water Indian Set-Aside Grant Program
13. Where can tribes
obtain technical
assistance or
information to help
them comply with
requirements for an
ISA grant?
EPA or IHS can provide technical assistance on a variety of topics,
from complying with regulations to choosing low-cost alternative
wastewater treatment technologies to administering an ISA grant.
In addition, EPA can provide contacts for a variety of additional
technical assistance providers, including the National Small Flows
Clearinghouse and the Rural Community Assistance Program
(RCAP), the Native American Water Association (NAWA), and
other government agencies, such as the Bureau of Indian Affairs, the
Bureau of Reclamation, and the Department of Agriculture's
Extension Service, all of which may be able to assist tribes in specific
areas. More information on these and other resources can be
obtained by contacting the agencies listed on page 11. Information
is also available from the ISA Coordinator in your region.
14. Are tribes required to No. The tribe may choose to have EPA administer the grant directly
use the services of IHS with no IHS involvement, or it may choose to have the IHS Area
to help with the office administer the grant. For more information on EPA-
administration of administered grants, see EPA's Guidelines and Requirements for Applying
wastewater projects if for Grants from the Indian Set-Aside Program document (April, 1989.)
they receive an ISA
grant?
15. Are tribes required to
use the services of IHS
for the design and/or
the construction of
their wastewater
projects if they receive
an ISA grant?
No. A tribe has three options for designing and/or building its
wastewater project:
a. The tribe can receive a grant directly from EPA. The tribe then
chooses an architectural/engineering (A/E) firm to design the
project and, through competitive procurement, chooses a
construction contractor to build the facility. EPA then
administers the project and works with the tribe and the A/E to
ensure that all applicable regulations and requirements
regarding the grant are followed. These requirements are
outlined in CFR 40 Parts 31 and 35. This document can be
obtained by writing to the following address (please reference
Ordering Number 869-032-00134-1 when requesting this document):
Superintendent of Documents
PO Box 371954
Pittsburgh, PA 15250-7954
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Answers To Frequently Asked Questions About The U.S. EPA Clean Water Indian Set-Aside Grant Program
(Answer to Question 15, continued from previous page)
b. The tribe can have IHS administer the grant, and design and/or
build the facility. In this case, EPA would enter into an Inter-
Agency Agreement (LAG) with IHS and would sign a
Memorandum of Agreement (MOA) with the tribe and IHS.
This MOA would designate the specific responsibilities of each
of the parties involved in the agreement. IHS would then
design and build the project according to its administrative and
construction policies and procedures (i.e., procurement,
environmental review, audit procedures, and accounting
principles).
c. Finally, the tribe can have IHS administer the grant but request
an outside A/E firm to design the project and/or an outside
construction contractor to build the facility. IHS would work
with the tribe and the A/E to ensure (to the greatest extent
possible) that all applicable EPA and/or IHS guidelines
regarding the project are followed.
16. Does the IHS/SDS
project cost estimate
recognize the
additional costs of
using a non-
governmental engineer
to design/manage the
project? If not, how
are these costs covered
Generally, no. IHS, with tribal consultation, provides the project
cost estimate that is included in the SDS. Any grant award will be
based on this project cost estimate. Because of the method by which
IHS structures its project cost estimate, the estimate could be low
relative to what it would cost a non-governmental engineering firm
to design/manage the same project. The tribe needs to let the IHS
know during the SDS cycle if they desire an outside engineering
organization, so that, if possible, an additional cost can be
incorporated. Thus, if the tribe chooses to hire an outside
engineering firm to do the work after the grant is approved, the
project cost might be higher than the cost estimate contained in the
SDS. In some cases when this has occurred, EPA regions and the
tribes have worked together to offset the increased project costs by
scaling back the scope of the project.
17. Does the ISA Program
cover cost overruns on
projects?
No. There are no additional ISA funds for projects that exceed their
budget. Projects which have cost overruns must be addressed by
reducing the scope or restructuring the project, applying for
additional funding under any subsequent set-aside priority list, or
seeking additional funds from other sources.
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Answers To Frequently Asked Questions About The U.S. EPA Clean Water Indian Set-Aside Grant Program
18. Can tribes who have No. EPA does not have the authority within the CWA to enter into
assumed the IHS SFC P.L. 93-638 contracts or compacts with tribes directly nor through
Program responsibility interagency agreements with IHS for tribes. All of EPA's grant
under Title I or
Title III of P.L. 93-638
(Indian Self-
Determination Act)
have EPA ISA funds
transferred into their
IHS compacts or
contracts?
conditions and regulations must be fulfilled if a tribe is to receive an
ISA grant.
19. How are multi-phase
wastewater treatment
project costs covered
by the ISA Program?
Multi-phase projects are considered as separate projects. Tribes
must apply for ISA funds for each project. Of course, the project
must be ranked within the SDS to be eligible to receive funding. All
phases must be independently operational and beneficial.
20. How will disputes
between EPA and IHS,
or EPA and the tribes,
be settled?
Some disputes arise as a result of a misunderstanding of the project
scope or program requirements. Problems may occur if the tribe is
not involved in the project's development from the beginning.
Disputes can often be avoided by emphasizing communications and
developing a joint understanding of the technical, administrative and
programmatic aspects of the project.
An agreement on the resolution of disputes should be part of the
Project Scope and/or the Memorandum of Agreement (MOA)
signed by the parties for each project. In many MOAs, the disputing
parties are required to try to work out their differences among
themselves. If no resolution can be achieved using this method, then
the dispute is often turned over to a review board appointed by the
lead agency (EPA or IHS) for resolution. Many of these MOAs also
give IHS and EPA the right to cancel projects if they feel that their
requirements are not being met.
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Answers To Frequently Asked Questions About The U.S. EPA Clean Water Indian Set-Aside Grant Program
21. What other sources of
federal financial
assistance are available
for Tribal wastewater
treatment systems?
Other federal agencies providing loan or grant program assistance
for tribal wastewater systems include: 1) HUD's Indian Community
Development Block Grant (CDBG) Program, 2) USDA's Rural
Utilities Service Water and Waste Disposal Program, 3) IHS's
Sanitation Facilities Construction Program, 4) Department of
Commerce's Economic Development Grants for Public Works and
Development Facilities, and 5) EPA's Clean Water State Revolving
Fund (CWSRF) loan program (see page 11.) Contact your Regional
ISA Coordinator for more information on these programs.
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Answers To Frequently Asked Questions About The U.S. EPA Clean Water Indian Set-Aside Grant Program
EPA REGIONAL CWA ISA COORDINATORS:
EPA Region 1
(CT, ME, MA,
NH, RI, VT)
EPA Region 2
(NJ, NY)
EPA Region 3
(DC, DE, MD,
PA, VA, WV)
EPA Region 4
(AL, GA FL, MS,
NC, SC, TN, ICY)
EPA Region 5
(IL, IN, OH, MI,
MN, WI)
Debbie Kerr
EPA Region 1
JFK Federal Bldg.
One Congress St.
Boston, MA 02203
Tel: 617565-4886
Muhammad Hatim
EPA Region 2
290 Broadway
New York, NY 10007-1866
Tel: 212637-3855
There are no federally
recognized tribes in Region 3
Walter Hunter
EPA Region 4
61 Forsyth Street
Atlanta, GA 30303-3104
Tel.: 404562-9477
Charles Pycha
EPA Region 5
77 W. Jackson Blvd.
Chicago, IL 60604
Tel: 312886-0259
EPA Region 6
(AR, LA, OK, TX,
NM)
EPA Region 7
(IA, KS, MO, NE)
EPA Region 8
(CO, UT, WY,
MT, ND, SD)
EPA Region 9
(AZ, CA NV)
EPA Region 10
(AK, ID, OR,
WA)
Gene Wossum
EPA Region 6
1445 Ross Ave.
Suite 1200
Dallas, TX 75202-2733
Tel: 214665-7173
Gerald Gutekunst
EPA Region 7
726 Minnesota Ave.
Kansas City, KS 66101
Tel: 913551-7484
Terry Griffith
EPA Region 8
999 18th St., Suite 500
Denver, CO 80202-2466
Tel.: 303312-6153
Loretta Vanegas
EPA Region 9
75 Hawthorne Street
San Francisco, CA 94105
Tel: 415 744-1946
Judy Fey
EPA Region 10
1200 Sixth Ave.
Seattle, WA 98101
Tel: 206553-1302
HEADQUARTERS, EPA CWA ISA PROGRAM:
Sylvia Bell
EPA Headquarters (4204)
401 M Street, SW
Washington, D.C. 20460
Tel..- 202260-7255
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Answers To Frequently Asked Questions About The U.S. EPA Clean Water Indian Set-Aside Grant Program
INDIAN HEALTH SERVICE PROGRAM DIRECTORS:
Aberdeen Area Office
(NE, IA, ND, SD)
Anchorage Area Office
(AK)
Albuquerque Area
Office
(CO, NM, except
Navajo)
Bemidji Area Office
(MN, MI, WI)
Billings Area Office
(MT, WY)
California Area Office
(CA)
Curt Bossert
Aberdeen Area Office
115 4th Street, SE
Aberdeen, SD 57401
Tel.: 605226-7451
Ken Evans
Anchorage Area Office
3925 Tudor Centre Dr.
Anchorage, AK 99508
Tel.: 907729-3500
Sam Bradshaw
Albuquerque Area Office
5338 Montgomery Blvd.
NE., Room 123
Albuquerque, NM
87109-1311
Tel: 505 248-4596
Mike Yavarow
Bemidji Area Office
305 Federal Building
Bemidji, MN 56601
Tel.: 218759-3372
Richard Oksness
Billings Area Office
P.O. Box 2143
Billings, MT 59103
Tel: 406247-7096
Ernie Leporini
California Area Office
1825 Bell Street, Suite
200
Sacramento, CA 95825
Tel: 916566-7001
Nashville Area Office
(NY, ME, NC, MS, FL,
AL, CT, LA)
Navajo Area Office
(Navajo)
Oklahoma City Area
Office
(OK, TX, KS)
Phoenix Area Office
(UT, NV, AZ - All tribes
except Navajo and
Tucson Area)
Portland Area Office
(WA, OR, ID)
Tucson Area, Tohono
O'odham, Pasqua-Yaqui
Craig Larson
Nashville Area Office
122 E. Seneca St.
Manlius, NY 13104
Tel: 315 682-3167
C. Lewis Fox
(Navajo)
Navajo Area Office
P.O. Box 9020
Window Rock, AZ
86515
Tel: 520871-5852
Greg Haase
Oklahoma City Area
Office
Five Corporate Plaza
3625 N.W. 56th St.
Oklahoma City, OK
73112
Tel.: 405951-3744
John Hamilton
Phoenix Area Office
Two Renaissance Square
40 N. Central Ave.,
Suite 600
Phoenix, AZ 85004
Tel.: 602 364-5068
Kelly Titensor
Portland Area Office
Federal Bldg., Room 476
1220 SW 3rd Avenue
Portland, OR 97204
Tel.: 503326-2001
Martin McCarthy
Tucson Area Office
7900 South J. Stock Rd.
Tucson, AZ 85746
Tel.: 520295-2580
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Answers To Frequently Asked Questions About The U.S. EPA Clean Water Indian Set-Aside Grant Program
TECHNICAL OR FUNDING ASSISTANCE CONTACTS
You may contact the agencies listed below to obtain the name and phone number of the representative
in your state or local area:
U.S. Department of Agriculture
Rural Utilities Service
Water and Environmental Program
1400 Independence Avenue, S.W.
Washington, DC 20250
Tel: 202 720-9583
U.S. Department of Interior
Bureau of Indian Affairs
1849 C Street, N.W.
Washington, DC 20240-0001
Tel: 202 219-4152
U.S. Department of Agriculture
Natural Resources and Environment
State Extension Offices
1400 Independence Avenue, S.W.
(AgBox 2210) room 828
Washington, DC 20250
Tel: 202 401-4555
U.S. Department of Interior
Bureau of Reclamation
Native American Affairs Office
1849 C Street, N.W.
Washington, DC 20240
Tel: 202 208-5000
U.S. Department of Commerce
Economic Development Administration
Public Works Division
Herbert C. Hoover Building
Room H7326
Washington, DC 20230
Tel: 202 482-5265
Native American Water Association
P.O. Box511
Minden, NV 89432
Tel: 702 782-6636
U.S. Environmental Protection Agency
Office of Wastewater Management
Clean Water State Revolving Fund
401 M Street, S.W.
Washington, DC 20460
Tel: 202 260-2268
National Small Flows Clearinghouse
Environmental Services &. Training Division
West Virginia University
P.O. Box 6064
Morgantown, WV 26506-6064
Tel: 1 (800) 624-8301
U.S. Department of Housing
and Urban Development
Community Planning and Development
Office of Block Grant Assistance
451 7th Street, SW
Washington, DC
Tel: 202 708-1322
Rural Community Assistance Program
602 South King Street
Leesburg, VA 22075
Tel: 703 771-8636
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