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
                                           10

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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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