5974
United States
Environmental Protection
Agency
Office of Water
(WH-546)
April 1989
PA
430989501
Guidelines And Requirements
For Applying For Grants From
The Indian Set-Aside Program
-------
Guidelines and Requirements for
Applying for Grants
from the Indian Set-Aside Program
PREPARED BY THE
OFFICE OF MUNICIPAL POLLUTION CONTROL
OFFICE OF WATER
U.S. ENVIRONMENTAL PROTECTION AGENCY
-------
ACKNOWLEDGEMENTS
EPA acknowledges the review and assistance provided by the Indian Health
Service, members of the Indian Set-Aside Program Work Group, and the Indian
Tribes and Alaska Native Villages. These Guidelines were prepared by the U.S.
Environmental Protection Agency, Office of Municipal Pollution Control with the
assistance of Claire M. Gesalman and Gregory M. Mallon of Roy F. Weston, Inc.,
under EPA contract 68-03-3473. The EPA Work Assignment Manager was
Christine Powers.
-------
TABLE OF CONTENTS
PREFACE
HOW TO USE THESE GUIDELINES iii
BACKGROUND OF THE SET-ASIDE PROGRAM. iii
CHAPTER 1 - SHOULD I APPLY FOR A GRANT?
WHO IS ELIGIBLE FOR INDIAN SET-ASIDE GRANTS? 1-1
WHAT COSTS ARE INCLUDED? 1-1
HOW DOES THE GRANT PROCESS WORK? 1-2
WHERE DO WE GO FOR HELP? 1-4
CHAPTER 2 - REQUESTING PRIORITY AND APPLYING FOR A GRANT
HOW SHOULD WE BEGIN? 2-1
HOW DO I OBTAIN PRIORITY FOR MY PROJECT? 2-1
WHAT DO WE DO NEXT? 2-4
GRANT OFFER OR AWARD 2-6
HOW WILL OUR PROJECT BE REVIEWED? 2-6
CHAPTER 3 - TECHNICAL GUIDANCE
FACILITY PLANNING FOR SMALL COMMUNITIES 3-1
ALTERNATIVE TREATMENT TECHNOLOGIES 3-1
ENVIRONMENTAL REVIEW 3-2
SELECTING AND PROCURING AN ENGINEERING FIRM 3-2
CHAPTER 4 - PROJECT MANAGEMENT GUIDANCE 4-1
CHAPTER 5 - OPERATION AND MAINTENANCE
RESOURCES AND TRAINING 5-1
WHAT'S INVOLVED IN OPERATING A WASTEWATER SYSTEM 5-2
-------
APPENDICES
APPENDIX A - GLOSSARY
APPENDIX B - LIST OF EPA CONTACTS
APPENDIX C - RURAL COMMUNITY ASSISTANCE PROGRAM CONTACTS
APPENDIX D - PRIORITY SYSTEM SCORING SHEETS
APPENDIX E - ADDITIONAL FEDERAL REQUIREMENTS
LIST OF TABLES AND FIGURES
Figure 1.1 - Construction Grants Process 1-3
Figure 3.1 - Request for Proposal Outline 3-4
Figure 3.2 - Checklist for Proposal Evaluation 3-5
u
-------
PREFACE
HOW TO USE THESE GUIDELINES
These Guidelines have been prepared to
help Indian Tribes apply for and manage
the grants for the construction of waste-
water facilities that are available from
the U.S. Environmental Protection Agency
(EPA) under Section 518 (c) of the Clean
Water Act (CWA).
Some aspects of this special program for
Indian Tribes are somewhat different and
more flexible than the Construction
Grants Program, which has funded grants
to municipalities under State priority
systems since 1972. The Indian Set-Aside
Program simplifies administrative
requirements. However, existing
Construction Grants program materials
will be used to the extent they are
compatible with these Guidelines.
The Guidelines cover all aspects of
project management—from planning, to
grant application, to the operation and
maintenance of the completed facility.
• Chapter 1 describes who is eligible
to apply for grants under the
program and outlines the grant
process and the main sources of
help with your project.
• Chapter 2 shows how to request
priority ranking for your project and
lists the requirements you will have
to meet to receive funding from this
program.
• Chapter 3 includes information on
facility planning and environmental
review.
• Chapter 4 provides advice on the
staff you will need for managing a
project.
• Chapter 5 discusses the operation of
the facility once it is built and lists
sources of information on training
and assistance with plant operation
and maintenance.
• Five appendices provide additional
information you may find helpful:
Appendix A is a glossary of terms
used in the Guidelines; Appendix B
lists EPA Indian Program
Coordinators and other EPA Regional
Office contact points; Appendix C
contains contacts for the Rural
Community Assistance Program;
Appendix D consists of the scoring
sheets EPA will use in evaluating
requests for project priority; and
Appendix E lists other Federal laws
with which you will have to comply.
Reading these Guidelines will give you a
basic understanding of the whole process.
Words shown in bold type are defined in
the Glossary. After reading the
Guidelines, decide if you are a good
candidate for a grant, taking into account
eligibility and other program
requirements. If you decide to pursue a
grant, return to Chapter 2 to begin the
process.
EPA and the Indian Health Service (IHS)
are available to answer your questions.
When you decide to apply for a grant,
EPA will provide you with the additional
details you need to complete a grant
request.
BACKGROUND
PROGRAM
OF THE SET-ASIDE
The Clean .Water Act (CWA) Amendments
of 1987 required EPA, in cooperation with
IHS, to prepare a report on needs for
sewage treatment to serve Indian Tribes.
This estimate of the wastewater treatment
needs for Indian Tribes with jurisdiction
over federally recognized reservations,
Indian Tribes on former reservations in
111
-------
Oklahoma, and Alaska Native Villages (as
defined in the Alaska Native Claims Act--
PL 92-203), is about $270 million (in 1987
dollars). Approximately 55% of these
needs are for the construction of
wastewater treatment facilities, while the
remainder are for the construction of
collection systems and house connections.
The 1,510 projects covered by the needs
assessment are to serve a Tribal
population of 402,000. They are not
distributed evenly throughout the United
States (i.e., the needs are concentrated in
three areas of the country, Alaska,
Oklahoma and the Southwest; these three
areas each account for one-quarter of the
total identified needs).
Due to the small size and rural nature of
most Indian reservations, the most
common wastewater systems are individual
septic systems and low-maintenance
community systems such as lagoons. Of
the reservation projects for which the
necessary data are available,
approximately 55% are to correct
subsurface discharges (such as from septic
drainfields and unlined lagoons), while
about 15% are to address no-discharge or
land-application facilities and 25% are for
surface water discharges. Only
approximately 25% of the Indian
population with needs identified will be
served by surface-water discharge
facilities. These findings suggest that
ground water may be more at risk than
surface water from existing problems.
This might pose some concern for Indian
families that rely on drinking water wells
located near failing on-site systems.
If the authorized Indian Set-Aside Grant
Program established by the CWA is fully
funded through future appropriations,
the set-aside translates into a total of
$28 million over a four-year period--$5.8
million for Fiscal Year (FY) 1987, $11.5
million for FY 1988, $4.7 million for FY
1989, and $6 million for FY 1990. The
funds set-aside by the CWA represent
about 10% of the amount that will be
required to satisfy all $270 million in
identified Indian needs. This special
grant program is limited, with funding,
authorized only through 1990. These
funds, however, are available until
expended. A Tribe does not need to be
listed in this special needs assessment to
be eligible for grant funding.
In addition to the set-aside program,
Tribes will continue to be eligible to
compete for construction grant funds
through each State's priority process.
(Tribes are, and have always been,
eligible for funding of wastewater systems
under the existing Construction Grants
Program.) A Tribe may also apply to a
State for a loan or other assistance under
the State Revolving Fund (SRF) Program.
Also, other agencies provide some
financial assistance to Tribes, including
the Indian Health Service, the Department
of Housing and Urban Development
(HUD), and the Farmers Home
Administration (FmHA). In FY 1987, IHS
and HUD were the primary sources of
financial assistance to Indians.
Section 518 of the Clean Water Act
provides that Indian Tribes can be
delegated the authority to administer the
Construction Grants Program if the Tribe
meets certain requirements. However, a
Tribe does not have to assume the "State"
role to participate in the Indian Set-Aside
Program.
EPA has been assisted by a workgroup
comprising EPA, Indian Tribes, and IHS in
developing a program for awarding grants
from the Indian set-aside. The approach
in developing this program has been to
blend the most appropriate portions of
EPA and IHS programs and to seek the
least cumbersome ways to meet Tribal
needs. The program described in these
Guidelines has undergone Tribal review.
Feedback on the document has been
solicited in a series of five national
meetings with Indian Tribes, and
comments received have been
incorporated.
IV
-------
Near the end of the process of
development of these Guidelines, Congress
amended the CWA to extend eligibility for
funds from this program to former
reservations in Oklahoma and Alaska
Native Villages as defined in the Alaska
Native Claims Act. Rather than delay
implementation of the program to identify
the unique goals of these entities and
redraft the guidelines to address them,
EPA will work with these areas on a
pilot basis and will reflect changes to the
program in any future revisions to these
Guidelines.
-------
CHAPTER 1
SHOULD I APPLY FOR A GRANT?
WHO IS ELIGIBLE FOR INDIAN SET-
ASIDE GRANTS?
This Program is administered by EPA for
the purpose of providing funds to:
• Federally recognized Tribes with
control over reservation land;
• Alaska Native Villages (as defined in
the Alaska Native Claims Act); or
• Tribes on former reservations in
Oklahoma
that have jurisdiction over disposal of
sewage or other wastes, to help meet the
enforceable requirements of the Clean
Water Act.
The definition of Indian Tribe provided in
Section 518 of the Act is "Any Indian
Tribe, band, group, or community
recognized by the Secretary of the
Interior and exercising governmental
authority over a federal Indian
reservation." A reservation includes "all
land within the limits of any Indian
reservation under the jurisdiction of the
United States Government, notwithstanding
the issuance of any patent, and including
rights-of-way running through the
reservation."
If you represent one of these groups,
continue reviewing these Guidelines to
learn if this program can help you.
WHAT COSTS ARE INCLUDED?
Grants can cover most costs for planning,
design, and building a wastewater
treatment facility. Although the Indian
Set-Aside Program will pay for 100% of
the cost of most parts of the project, you
need to find other ways to pay for some
related costs. Project components that are
eligible for funding include interceptor
sewers, wastewater treatment facilities
(conventional or alternative),
infiltration/inflow correction, collector
sewers, major sewer system rehabilitation,
and correction of combined sewer
overflow.
The costs that can be covered by a grant
from this program are identified by these
Set-Aside Guidelines, and, where consistent
with these Guidelines, by the government-
wide cost principles (OMB Circular A-87)
and EPA regulations in Appendix A of 40
CFR, Part 35, Subpart I. Some examples
that may be especially important to you in
considering whether to apply for a grant
from this program include:
• The costs of preliminary activities
such as assembling enough
information to request priority
ranking, preparing an application,
selecting an engineer, and developing
a plan of study cannot be charged to
the grant.
• Grant funds can pay for land only if
it will be an integral part of the
treatment process or used for the
ultimate disposal of treatment
residues. Nondischarging lagoons are
one type of treatment for which land
costs are eligible.
• Grant funds cannot pay for
acquisition of right-of-way, the site
where a treatment plant will be built,
or a landfill site.
• The ordinary operating expenses of a
local government are not allowable
(e.g., salaries and expenses of elected
or appointed officials, preparation of
routine financial reports and studies,
preparation of applications and
1-1
-------
permits, expenses related to bond
issuance).
• Grant funds may not be used to pay
for the cost of operating and
maintaining the wastewater facility.
The principal purpose of this program is to
meet existing needs (as of the date of the
grant application). Where environmentally
sound and cost-effective, limited reserve
capacity for future needs may be
considered on a project-by-project basis.
There is no formal limit on service to
non-Indians living in the project's service
area. Section 5l8(c) of the CWA states
that the grants shall serve Indian Tribes.
Generally, a treatment system that
improves water quality or public health on
a reservation serves the Tribe that has
governmental authority over the
reservation regardless of the number of
non-Indians living in the service area.
HOW DOES THE GRANT PROCESS WORK?
Indian Tribes have been allocated one-half
of one percent of the annual Construction
Grants Program appropriation from FY 87
through FY 90 for the special set-aside
program described in these Guidelines.
EPA will evaluate requests received from
eligible Indian Tribes for funding from the
Indian Set-Aside. A project priority
system developed by EPA in consultation
with the Tribes and Indian Health Service
results in a National Indian Project
Priority List. The highest priority
projects in the fundable range may apply
for a grant. Projects not funded may
request funding again the following year
by updating their previous request.
After EPA has notified you that your
project is sufficiently high on the National
Indian Project Priority List, you will need
to prepare and submit an application for
grant assistance to your EPA Regional
Office. This two-part process is used so
that the costs of application preparation,
which are not eligible for grant funding,
need not be borne until priority projects
are identified.
An Indian Tribe or Alaska Native Village
that does not have the capability to meet
EPA's program requirements may request
that the grant funds be transferred to the
IHS or an approved State program to be
administered for the benefit of the grant
recipient.
There are three steps in the Indian Set-
Aside Grants Program: planning, design,
and building, as shown in Figure 1.1. The
applicant must comply with all of the
requirements of each step before funds can
be made available for the next step of the
project:
t Planning—Preparation of facility plan
to determine the type and extent of
project you should build.
• Design—Preparation of detailed design
and specifications (includes
construction drawings, specifications,
and other contract documents).
• Building the project.
If EPA approves your grant application,
makes a grant offer, and you accept it,
you may begin the procurement procedures
necessary to plan, design, and build the
project. If you choose to receive funding
through the EPA Indian Set-Aside
Program, application procedures and the
requirements you will have to meet are
described in Chapter 2.
Two other aspects of the grant program
are designed to ensure that your facility is
properly constructed and can do the job
that it is designed to do.
* An engineering service agreement
must be maintained for one year
following completion of the facility.
1-2
-------
(0
CO
0)
o
o
5
o
0)
p
'55
c
OB
TO
£
•5
o>
il
i
o<
~
a
O)
w»
5
1-3
-------
This agreement may be with IHS or
the engineering firm that supervised
construction. This agreement will
provide for technical support
including overseeing the start-up and
operation of the treatment works,
training operating personnel, and
preparing technical information.
• After one year of operation of the
facility, the Tribe must certify
whether or not the facility is meeting
project performance standards and
effluent limitations in the grant
agreement. If the facility is not
meeting these requirements, EPA or
IHS will work with you to develop a
plan to correct the problem, but EPA
will not cover additional costs for
the design and building costs of any
necessary correction.
The grant program concludes with a
process called closeout, which may be
preceded by a project audit (not all
projects are audited).
WHERE DO WE GO FOR HELP?
EPA and IHS are working together to
implement this set-aside program. EPA
has responsibility for award of grants, as
well as administration of the project
priority system and overall program
oversight. IHS will provide technical
assistance and engineering services, at
Tribal request and as resources permit.
IHS can help with preparation of program
materials including applications, locating
sources of funding for project components
not eligible for EPA funding, project
planning, design, and building management.
IHS offices may also be involved in review
of grant applications, evaluations for EPA
for awarded grants, and oversight during
building and the first year of operation.
Some specific sources of help and
information you may need are discussed in
the following sections.
Help With The Priority System (Chapter 2)
EPA does not intend that the Tribe collect
new data to request priority for grant
funding. However, you may want advice
on gathering existing information needed
to request priority ranking. EPA and the
Indian Health Service both may have
information that you can use. EPA has
several data bases containing monitoring
data that may be applicable to your
project. IHS may have conducted a survey
of your reservation that you can use in
documenting needs. The State adjoining
your Tribal land may also have planning or
monitoring data that would apply to your
project.
If you have questions about requesting
priority ranking or about what kind of
project to propose, contact the Regional
Office of EPA. The restrictions on
eligibility for EPA funding purposes may
affect your decisions. EPA or IHS can
advise you about the various technologies
that might be appropriate for your
community.
Help with Applying for a Grant (after
receiving priority status)
Once you are notified that you have the
priority ranking necessary for applying for
a grant, the EPA Regional Office serving
the area where your Tribe is located can
help with the grant application. The EPA
Regional Offices have experienced
Construction Grants Program staff
designated to assist you. They can answer
questions about filling out the forms and
about the requirements the proposed
project will have to meet. See Appendix B
for a list of these contacts.
At a pre-application meeting, EPA can
identify sources of help and information.
The Indian Health Service is working with
EPA in the Indian Set-Aside Grants
Program and can advise you, especially
about technical and financial issues.
1-4
-------
Help with Other Funding Sources
A key problem you will have to solve is
the funding of related costs that are not
eligible for EPA grant funding. Some
possible sources of funds include IHS,
HUD, Farmers' Home Administration
(FmHA), bonds you issue to borrow money,
loans from a bank, or revolving loan funds
that some States are starting. EPA and
IHS can advise you on gaining access to
these and other sources of funds.
Other Sources of Advice or Assistance
Each EPA Regional Office employs an
Indian Program Coordinator. This staff
person is responsible for working with the
Tribes, States, and the EPA Region and
Headquarters on system operation,
management, and regulatory issues. The
Indian Program Coordinator is another EPA
resource person the Tribe can contact for
assistance. (See Appendix B.)
Under the current Construction Grants
Program for States and municipalities, each
State has designated an agency to act as
the primary agency for EPA construction
grants. These State agencies have a
wealth of experience in dealing with the
Construction Grants Program. They may be
able to provide valuable advice, for
example, on what you can do in the design
and building phases of your project to
make operation and maintenance easier and
less costly. The EPA construction grants
staff can provide you with the appropriate
contacts.
The U.S. Department of Health and Human
Services funds six regional technical
resource centers to help rural, low-income
communities solve their water and
wastewater problems at an affordable cost.
Six nonprofit organizations operate the
Rural Community Assistance Programs
(RCAP) across the country. They assist
communities in planning, financing, and
managing of water and wastewater systems.
Each RCAP works with a specified number
of communities each year. Even if your
project is not selected as one to be
directly assisted by an RCAP agency, they
can provide you with references and help
in finding other agencies or contacts that
can provide assistance. (See Appendix C
for a list of RCAP contacts.)
EPA operates a clearinghouse at the West
Virginia University (see below) for
information on wastewater treatment
technologies that are of particular interest
to small communities. The center
maintains a data base of information on
wastewater systems, answers questions,
publishes a newsletter, and organizes
seminars on financing, planning, and
managing small wastewater systems. The
Small-Flows Clearinghouse can provide
names of local experts, documents on
system design, videotapes, and other
services. Its toll-free number is (800-624-
8301).
The Bureau of Indian Affairs should be
consulted about right-of-way issues and
can assist with archaeological studies
required for your Environmental
Information Document (see Chapter 3).
Additional information may be found in
several EPA publications including:
1. It's Your Choice--A Guide Book for
Local Officials on Small Community
Wastewater Management Options (EPA
430/9-87-006, September 1987).
2. Financial Capability Guidebook (March
1984)--A tool for analyzing a community's
financial and management capability to
construct, operate and maintain a proposed
wastewater treatment facility.
3. Touching all the Bases—A Financial
Management Handbook for Your
Wastewater Project (EPA 430/9-86-001,
September 1986).
1-5
-------
Other sources of information include:
1. EPA Headquarters and Regional Offices
(See Appendix B.)
2. National Small Wastewater Flows
Clearinghouse, 258 Stewart Street, West
Virginia University, Morgantown, West
Virginia 26506
(800) 624-8301
1-6
-------
CHAPTER 2
REQUESTING PRIORITY AND APPLYING FOR A GRANT
HOW SHOULD WE BEGIN?
In the Indian Set-Aside Program, a certain
amount of work must be done by the
applicant before the grant process can be
initiated. You must assemble and submit a
request for priority ranking. The process
for requesting priority for your project is
discussed in the following sections. Once
EPA notifies you that your project has
received priority for funding, you may
prepare the grant application, select an
engineer to assist in its preparation (if
desired) and develop a plan of study,
which includes a cost estimate for the
project. The costs of these preliminary
activities cannot be charged to the grant,
so you need to gather the necessary
information while keeping expenditures to
a minimum. Concentrate on defining the
basic problem, identifying sources for the
data that you need (1) to be ranked under
the priority ranking system and (2) after
selection for priority, to prepare a grant
application, including developing a cost
estimate for completing the proposed
project. These pre-application tasks are
described in more detail below.
HOW DO I OBTAIN PRIORITY FOR MY
PROJECT?
After reading these Guidelines, call the
EPA Regional Office if you have any
questions on the following process. The
first steps in obtaining funds from the
Indian Set-Aside will be to submit your
project for ranking to the EPA Regional
Office serving the area where the Tribe is
located. If you want to propose more
than one project, a separate request for
priority will be needed for each.
You will have to provide your EPA
Regional Office with the information
needed to understand and score your
project under the National Indian Project
Priority List system. Your goal will be to
document the extent of the problem as
clearly as possible using the best available
information. However, EPA is not looking
for large amounts of data. Limit your
description of the problem to less than ten
pages, based on the information discussed
in the sections that follow and the scoring
sheets in Appendix D that the EPA
Regional Offices will use for scoring your
request. You may provide additional
supporting documentation as attachments.
You may use the information that was
provided to EPA or IHS for the Indian
Needs Assessment, but EPA recognizes you
may need to add to that information.
The Regional Offices will forward the
project descriptions to EPA Headquarters.
EPA Headquarters will review the scores
for national consistency and rank the
projects by score to form the National
Indian Project Priority List. The funding
requested by each project will be added in
order of priority until the amount available
for the year is reached—this sets the limit
called the "fundable range." A project
must be ranked within the fundable range
of the National Indian Project Priority List
to be eligible to submit a grant
application. Projects that are not in the
fundable range in the first priority list
(FY 1987 and 1988 funds) may apply again
for the second list (FY 1989 and 1990).
The same information may be used in the
second application, and additional data may
be supplied, as well. Of course, requests
for priority also may be submitted for
projects that were not ready to apply for
the first round of funding.
This priority system is not used to
establish need, but to determine the extent
or degree of the need of a project in
relation to other projects. Inclusion in the
Indian Needs Assessment is not required;
2-1
-------
however, the Clean Water Act does require
that the choice of projects to receive
federal funds be based on water quality
and public health considerations.
The priority ranking system is based on
three categories of criteria:
• Water quality,
• Public health, and
• Existing level of treatment.
The information discussed in the sections
that follow will assist the Tribe in
preparing information on each of these
categories. This information will be used
by the EPA Regional Office to determine
the extent and degree of an existing
pollution problem. The information
presented here is the minimum EPA
believes it needs for ranking the project.
The Tribe is encouraged to provide any
other information that will assist in
determining the project's priority. Refer
to the scoring sheet EPA will use in its
ranking process which is provided in
Appendix D.
Project Information
The request for priority should describe
the magnitude of the problem including the
population affected and to what extent the
project will address the problem. A
project cost estimate is also needed. EPA
or IHS may be able to provide an estimate
that will serve this purpose.
Water Quality
This category includes the information
required to document effects on surface
water and groundwater regardless of
whether the current wastewater treatment
system discharges to surface waters, is a
nondischarging system, or is a system that
has both discharging and nondischarging
components.
In the case of impacts on surface water:
• What is the use of the waterbody to
be supported by the project.
• Are any swimming areas or aqua-
culture areas (e.g., fish, shellfish,
wild rice) closed (or consumption
restricted) because of contamination
from municipal wastewater discharge?
Include a statement from the health
agency that required the closing. To
what extent has the waterbody been
affected?
• Has the facility had permit violations
during the twelve preceding months?
• Describe any measures undertaken to
protect the waterbody.
For those applicants whose pollution
problems are a result of nondischarging
systems, including on-site systems such as
septic tanks, other non-sewered systems,
or sewered systems with no discharge such
as evaporation lagoons:
• What is the failure rate of existing
treatment systems within the project
area? For the homes that have
failing septic systems, where do they
get their water (from an existing well
on the property or a public well?)
How far is that well from failing
systems?
• How often and to what extent does
effluent from these failing systems
pond on the surface?
• How near is the waste to residences
and/or public areas?
• Are wells unsafe for drinking, or
have elevated levels of pollutants
(such as coliform bacteria and/or
nitrates) been detected that can be
related to the failing systems?
2-2
-------
• Describe the measures undertaken to
prevent impacts on public health and
ground water.
Tribes may provide other water quality
information, beyond the data described
above. For example, you may describe
how the project will help protect priority
water quality areas, such as wild and
scenic rivers, fish spawning areas, a sole-
source aquifer, etc. Other possible data,
if available, include proportions of
pollution-tolerant and pollution-sensitive
species, diversity of aquatic life and
numbers of individuals, presence of
endangered species, length of stream
segments affected by the pollution, stream
characteristics, and background conditions.
Public Health
Water pollution effects on public health
mainly relate to the potential for disease
outbreaks and contamination of drinking
water supplies.
• Describe any disease outbreaks
believed to be related to inadequately
treated sewage. This description
should include the types of disease
outbreaks, number of cases, and the
frequency and duration of the
outbreaks. Include a statement from
a public health official explaining
how the outbreaks are linked to
inadequately treated sewage.
If surface water supplies are used for
drinking water:
• How far is the existing wastewater
discharge from any affected or
potentially affected water supply
intakes?
• What (if any) type of contamination
is occurring (e.g., fecal coliform,
nitrates, pesticides, other chemicals,
etc.)? How often and for how long?
For those areas with nondischarging
wastewater systems where ground water-is
used as a water supply:
• How deep is the water table in the
area where wastes are disposed?
• How readily will waste migrate
through the soil?
• What type of contamination (if any)
is occurring (e.g., fecal coliform,
nitrates, pesticides, other chemicals,
etc.)?
Provide any additional documentation that
is available, such as the soil type, geologic
structure, and hydraulic conductivity and
gradient in the area where subsurface
waste disposal is a problem.
The existing condition of the habitat for
aquatic life, habitat restoration potential,
and use of the harvest (commercial, sport,
subsistence, etc.) may be documented if it
assists in describing the significance of
the problem and in linking the pollution
problem to public health problems.
Segments of water bodies where water-
dependent recreation has been restricted
as a result of the pollution problem should
be identified along with the proximity of
the wastes to these areas.
Existing and potential use of affected
water (e.g., religious, cultural, fishing,
swimming, boating) and the intensity of
use are other types of information that
can help increase EPA's understanding of
the need for your proposed project.
In addition, if the existing wastewater
system is under a Tribal, State, or Federal
enforcement order, you may describe the
circumstances leading to the order. You
should include information on actions you
have taken to improve the situation or to
try to avoid being out of compliance with
your permit or other enforceable
requirement.
2-3
-------
Existing Level of Treatment
Describe the level of treatment that the
existing wastewater system now serving
the Tribe is designed to provide.
• The level of treatment of any central
treatment system (i.e, primary,
secondary, or advanced treatment);
• Existing on-site systems (e.g., septic
tanks);
• No existing treatment systems; or
• A combination of these situations.
If the system is not operating as designed,
describe why.
Generally, the Clean Water Act requires
systems that discharge to surface water to
provide secondary treatment. If you have
a wastewater treatment plant that provides
secondary treatment, your project will not
receive as many points in this category as
those with no treatment or only primary
treatment. If different areas of a project
are served by differing levels of treatment,
estimate the population served by each
level of treatment.
Areas served by septic systems or other
on-site systems should estimate the
population served by properly operating
on-site systems versus those served by
failing or likely-to-fail on-site systems
(e.g., systems located over areas with
nitrates and/or bacterial contamination in
the ground water, especially in the case of
sole source aquifers, or systems with
surfacing effluent, or systems expected to
cause these problems within three to five
years if not corrected).
WHAT DO WE DO NEXT?
Once EPA has informed you that your
project has received priority for funding
on the National Project Priority List, you
may prepare a grant application. The
information required depends on what type
of grant you are requesting. The type -of
grant assistance you need depends on how
far along you are in the wastewater
planning process:
• Apply for a Building grant if you
have completed facility planning and
have developed the plans and
specifications for the proposed
project;
• Apply for a Design and Building grant
if your facility plan is complete, but
you need grant assistance for
designing and building your project;
and
• Apply for a Planning, Design and
Building grant if you have not
prepared a facility plan.
The formal award any of these types of
grants obligates funds from the Indian set-
aside for the applicant's project. For each
step, you may request payments from EPA
as costs are incurred, except in the case
of an advance, which you may receive as
an up-front payment or under a negotiated
schedule. Grantees may receive an
advance at the beginning of each step
based on a percentage of the estimated
final cost of building the facility as
described in Tables 1 and 2 of Appendix B
of 40 CFR 35.
Grantees who have completed the planning
or design steps without grant assistance
may receive an allowance for costs
incurred based on the percentage of the
estimated final cost of building the facility
as shown in the Tables described above.
The paragraphs that follow describe
several actions that you need to take
when you decide to apply for a grant.
Pre-Application Conference—After EPA
notifies you that your project is in the
fundable range and you are selected to
apply for a grant, EPA will provide you
with other guidance that you will need
2-4
-------
during the grant application process during
a Pre-Application Conference. EPA will
want you to identify any Water Quality
Management Plan or enforceable
requirements (such as a National Pollutant
Discharge Elimination System (NPDES)
permit, ground water standards, or other
local requirements) that may apply to the
proposed project. You may choose to
work with EPA, IHS, or perhaps a State to
provide project review and technical
assistance, and fund administration. In all
cases, EPA will have the final project
review and approval authority. A listing
of EPA Regional Office contact points,
addresses, and telephone numbers is
provided in Appendix B.
Specification of Authorized Agency—The
Tribe must designate a governmental body
within the Tribal structure, such as a
Tribal utility authority, to be legally
responsible for the project. This body
must have the legal authority to execute
contracts and prepare grant documents on
behalf of the Tribe.
Selection of Consultant—The selection of
an architect/engineer (A/E) is one of your
most important decisions. Often, the A/E
will do most of the work in both the
facility planning and design steps of the
project and will provide additional services
during the construction and initial
operation of the facility. Additional
information on the selection of an A/E
can be found in Chapter 3 of these
Guidelines. It is important to remember
that the costs of preliminary activities
such as selecting an A/E cannot be
charged to the grant. The Indian Health
Service may be able to fill this role if you
wish and in any case is a possible source
of expertise related to facility planning
and design.
Retention of Legal Counsel—You are likely
to need legal counsel starting with the
earliest phases of the process.
Consultation with Interested Parties--
There may be members of the public to be
served by the system and private and
public bodies with either direct or indirect
interest in the outcome of the project.
Public meetings with these groups can
allow as many views as possible to be
incorporated into the planning process.
Involvement of the public is required;
begin establishing a dialogue as early in
the process as possible.
Development of the Plan of Study—A
simple Plan of Study may be required if
you have not completed a facility plan.
The Plan of Study should include:
• Identification of the proposed study
area;
• Identification of the parties to do the
planning;
• Outlining the scope of the planning
effort, including a schedule for
completion of tasks;
• Outline of the public participation
program; and
• Estimated costs of each step of the
project (planning, design and
construction).
Each of these items should be discussed at
a level of detail appropriate to the scale
of the proposed project.
Applicant Qualifications
A grant application must demonstrate the
applicant's capability to successfully
undertake a wastewater treatment project.
The recipient organization must be
authorized by the governing body of a
federally recognized Tribe or Alaska Native
Village to be eligible to receive Indian
Set-Aside grant funds. In addition, the
Tribal government must have the ability to
manage the funds. These requirements are
discussed in the following paragraphs.
2-5
-------
The Tribe must provide information to
document that it has the legal,
institutional, managerial, and financial
capability to ensure adequate construction,
operation, and maintenance of the
proposed facility to receive a grant
through the EPA process. Your EPA
contact can advise you of options that use
the ability of other agencies to augment
your own. This information should
include:
• Roles and responsibilities of the units
of government that will manage the
project;
• Description of the Tribe's experience
in managing projects of similar size
and the boards, committees, and
other governmental bodies that are
available to provide institutional
support for the project (including
before, during, and after
construction);
• Up-to-date cost estimates for the
project, including any future
segments and phases required to
complete the overall wastewater
treatment system (this estimate will
vary in detail depending on whether
the planning and design steps have
been completed);
• A plan for financing related costs of
the facilities that won't be funded by
EPA (the EPA Regional Administrator
or designee will make the final
determination on what constitutes an
allowable cost);
• A listing of other proposed funding
sources and status (application made,
funding approved, etc.);
* Indicators of the Tribe's financial
condition including historical trends
in the availability and sources of
revenue;
• Documentation that the revenues
provided by the initial users of the
system and the Tribe will be
sufficient to cover the cost of,
operation and maintenance.
• Cost per household and whether or
not these costs have been presented
to the community for comment; and
• A letter from an appropriate official
of the Tribe certifying that the Tribe
has the capability to finance and
manage the proposed facility.
Chapter 4 of these Guidelines describes
the staffing you may need to insure
adequate management of the project. If
your Tribe or village does not have the
capability to meet EPA's program
requirements, you may request that the
grant funds be transferred to the IHS or
an approved State program to be
administered for your (the grant
recipient's) benefit.
GRANT OFFER OR AWARD
At the time of the grant offer, EPA will
specify the amount of time the Tribe will
have to meet certain requirements. If
these requirements are not met within a
reasonable period of time (as determined
by EPA) the money allocated for that
project will be returned to the Indian Set-
Aside. The Tribe may enter into a
Memorandum of Understanding with IHS or
a cooperative agreement with a State to
meet EPA's requirements.
If your Tribe has received a grant from
EPA in the past (e.g., a grant for
construction of another wastewater
treatment project) the Agency will review
the status of that grant before making an
award under this program.
HOW WILL OUR PROJECT BE REVIEWED?
Some requirements only apply to certain
types of grants. Others only apply at
certain stages. The requirements have
2-6
-------
been grouped so you can focus on the
items that you need to consider first.
Requirements All Projects Must Meet
Before any grant can be awarded, there
are certain requirements that must be
fulfilled.
Water Quality Management Plans and
Standards: The goal of the CWA is to
protect water quality. The basic tools
used to implement this provision of the
Act are water quality management plans
and designated water quality standards.
The applicable water quality management
plan and standards are used in establishing
the need for the proposed facility and its
relation to other needs and facilities. If
no applicable water quality management
plan or standards have been developed for
the project area, EPA will help determine
what plan and standards are to be used.
Designation by the Water Quality
Management Plan: If an applicable water
quality management plan has been
developed for the area to be served by the
proposed project, the Tribe must be the
governmental body designated by the Plan
or identified by the EPA Regional
Administrator. During facility planning,
the Tribe should coordinate with adjacent
service areas, both Indian and non-Indian.
Cooperative arrangements between States
and Indian Tribes are encouraged.
Priority Ranking: The project must be
within the fundable range of the Indian
Set-Aside Program. EPA will notify
applicants in the fundable range that they
should begin to prepare an application.
Eligible Projects: Only certain types of
projects are eligible for funding through
the Indian Set-Aside Program. The project
must be for the planning, design and/or
building of interceptor sewers, wastewater
treatment facilities (conventional or
alternative), infiltration/inflow correction,
collector sewers, major sewer system
rehabilitation, and correction of combined
sewer overflow. Also see the definition
"Eligible for Funding" in the Glossary.
Planning costs may be covered by an
advance based on the estimated cost of
building the project. The applicant will
need to identify the sources of funding for
the portions of the project that are not
eligible for funding through the Indian
Set-Aside Program.
Federal Facility Service Restrictions:
Federally owned and operated facilities
served by the project must be identified.
Capital costs for providing service to these
facilities are generally eligible if they
mainly serve Native Americans (e.g., BIA
and IHS facilities). However, these
facilities will need to pay user charges
under the Tribe's User Charge System
(P. 2-9).
Industrial Service Restrictions: The
portion of the total wastewater treatment
works capacity built to handle industrial
flow must be identified. Portions of the
project constructed solely to serve
industrial facilities are not eligible for
EPA funding. The industrial portion of
the treatment plant influent must meet
applicable EPA pretreatment requirements.
Facility Plan: An acceptable facility plan
must be submitted before Design or
Building can begin. The facility plan
consists of the plans and studies that
directly relate to the proposed treatment
works that are necessary to comply with
the requirements of the Clean Water Act.
The facility plan substantiates the need
for the proposed facilities. It also is used
to document why the selected treatment
system best meets your needs. It includes
information on estimated project costs,
details of the proposed system, a summary
of public participation, and other topics.
Environmental Information Document: As
part of your facility plan, you will develop
an environmental information document.
This document must be approved before
2-7
-------
design or building can begin. The
environmental information document (EID)
evaluates the direct and indirect effects of
the proposed project on:
• Historical and archaeological
resources
• Environmentally sensitive areas and
species
• Air quality
• Drinking water
The EID will be used by EPA to determine
if an Environmental Impact Statement must
be developed for the proposed project.
Other agencies may be able to assist in
gathering or providing information for the
EID. For example, BIA often can supply
land use and archaeological data.
Additional information about the
environmental review process can be found
in Chapter 3 of these guidelines.
Intermunicipal Service Agreements: If two
or more political jurisdictions are to be
included in the project, the eventual grant
applicant may be a joint authority that
represents all of the jurisdictions or a
designated lead agency. In such cases the
facility plan will be developed consistent
with a written intermunicipal service
agreement.
Infiltration/Inflow: The applicant must
demonstrate that each sewer system
discharging into the treatment works is
not subject to excessive infiltration and
inflow (I/I).
Existing Need/Reserve Capacity: Those
portions of a project that address existing
need, as of the date of the grant
application, are allowable for funding.
Where environmentally sound and cost-
effective, limited reserve capacity for
future needs may be considered on a
project-by-project basis. Existing need
also includes nonsewered homes in the
service area.
Intergovernmental Review: Federal
regulations require that information about.
any project proposed for federal funding
must be provided to other governments
that might be interested in or affected by
the project. The review process is
conducted to minimize problems and to
give other jurisdictions the opportunity to
comment on the proposed facility. The
intergovernmental review process for an
Indian set-aside project will be coordinated
by the EPA Region. The Tribe will submit
the application to EPA, and EPA will
notify jurisdictions, including federal
agencies, that may have an interest in the
proposed facility. Additional information
regarding the intergovernmental review
process can be found in Executive Order
12329 and 40 CFR Part 29.
Procurement: A grantee must follow the
procurement process provided in Federal
regulations (40 CFR 31), including
applicable Indian Preference provisions and
the affirmative steps for utilizing small,
minority, and women's business enterprises.
EPA cannot recognize "Tribal" or local
preference ordinances, nor is EPA subject
to Federal Buy Indian provisions.
Use of Debarred and Suspended Firms:
The General Services Administration
maintains a list of individuals,
organizations, and units of government
that have been debarred, suspended, or
voluntarily excluded from the program.
The Tribe should contact the EPA Regional
Office to obtain an up-to-date list of
these firms.
Additional Federal Requirements: As with
any Federal grant program, grants from
this program are subject to other Federal
laws and regulations, in addition to
specific requirements of the Clean Water
Act. Guidance on how to comply with
these laws can be provided by EPA staff.
Some examples of these laws and the
requirements they place on a grant project
are listed in Appendix E.
2-8
-------
Requirements that Apply at the Desien
Phase of a Design and Building Grant or
Application Phase of a Building Grant
Before the project can move to the
building phase, the following requirements
must be met.
User Charge System: The source of funds
to be used to operate and maintain the
facility must be identified. This is usually
done by a community adopting a system to
assure that each recipient of waste
treatment services will be assessed a
proportional share of the costs of
operation and maintenance of the facility.
For this Set-aside program, operation and
maintenance expenses not paid for by
revenues from a user charge system may
be augmented by other Tribal funds.
Sewer Use Ordinance: The approval of a
sewer use ordinance or equivalent legally
binding document is a prerequisite to the
award of a building grant. A model sewer
use ordinance is available from EPA. A
sewer use ordinance must:
• Prohibit new inflow sources
(extraneous water generally associated
with storm events);
• Assure that new sewers and
connections are properly designed and
constructed;
• Prohibit the introduction of toxic or
hazardous wastes into the sewers in
an amount or concentration that:
Endangers public safety,
Endangers the physical integrity
of the system,
Causes violations of the NPDES
permit,
Precludes selection of the most
cost-effective alternative for
treatment, reuse, and sludge
disposal; and
• Ensure that all existing residences in
the sewered area will connect to the
sewer system within a reasonable
time after completion of the project.
Completion of All Plans and Specifications:
Before the facility can be built, all plans
and specifications for the project must be
reviewed and accepted by EPA.
Requirements for the Building Phase of a
Design and Building Grant or Application
Phase of a Building Grant
Non-Restrictive Specifications:
Specifications must be written to
encourage free and open competition.
Specifications cannot contain exclusionary
or discriminatory requirements for
structures, materials, equipment, or
processes other than those based on
performance. When it is not practical to
make a clear and accurate description of
the technical requirements, a "brand-name
or equal" description may be used to
describe the minimum requirements.
Buy American: The CWA requires that
preference be given to American-made
construction materials in EPA grant-
assisted projects. Materials made in the
U.S. can cost up to 6% more than foreign-
made materials and still be considered
cost-effective.
Plan of Operation: A draft plan of
operation must be completed and submitted
to EPA before the award of a contract to
build the facility. This draft plan
summarizes the actions necessary to
identify steps required to ensure cost-
effective, efficient, and reliable project
start-up and continued successful
operation. The final plan of operation
must be submitted to EPA before or at the
same time you request the 50%
construction payment. The final plan of
operation should address the following:
2-9
-------
• Budget
• Financial management system
• Staffing and training
• Emergency operations program
t Administrative functions
t Start-up services
• Operation and maintenance of specific
treatment processes
• Availability of laboratory
services
• Operation and Maintenance
Manual
One-Year Certification: One year after
initiation of operation, you must certify
that the facility is or is not meeting
project performance standards. To help
achieve an affirmative certification, you
must execute an engineering service
agreement for one year with IHS or the
A/E firm that supervised building. This
agreement is to provide training,
supervision of initial operations, and
technical assistance during the one year
project performance certification period.
2-10
-------
CHAPTER 3
TECHNICAL GUIDANCE
This chapter of the guidance reviews the
procedures the Tribe should follow when
starting the project. It provides the Tribe
with information on selecting and
procuring the services of an engineer and
identifying other agencies and
organizations that can help with project
planning and development.
FACILITY PLANNING FOR SMALL
COMMUNITIES
EPA's Indian Set-Aside Program requires a
facility plan to ensure that the most cost-
effective and appropriate environmental
solution is selected for your project. The
major step in this process is the facility
plan.
Most Tribes are in small communities.
Facility plans developed for small
communities must address issues that differ
from those faced in larger communities.
The per capita costs for conventional
wastewater treatment projects may be
higher in smaller communities, often due
to the size and population density of these
communities. Smaller communities have
fewer financial and management resources
to support the project. These
circumstances make it critical that such
communities use cost-effective treatment
systems.
Treatment systems with low costs for
operation, maintenance, and equipment
replacement are especially important, as
these costs will influence the annual
operating costs of the facility to your
community. Small sewered communities
must at least consider land treatment and
other low cost alternatives, such as
facultative ponds and sand filters.
Communities or portions of communities
that are unsewered should consider on-site
treatment systems.
Information has been developed by EPA to
assist communities in the selection of an
appropriate wastewater treatment
technology. Chapter 5 of the guidelines
identifies agencies and organizations that
can help Tribes with the operation and
maintenance of the selected treatment
system once building is complete.
Your contacts at EPA and IHS can help
you get the most benefit from these
materials. You may want to hire a
consulting engineer to provide expert
assistance as well.
ALTERNATIVE
TECHNOLOGIES
TREATMENT
Alternative treatment technologies
emphasize water conservation or the
elimination of the discharge of pollutants.
They place strong emphasis on reclaiming
and reusing wastewater, productive
recycling of wastewater and sludge
constituents, energy recovery or other
environmental benefits that may contribute
to reducing costs.
Alternative technologies are available for
effluent treatment, sludge handling and
disposal, and on-site treatment or
alternative conveyance systems that have
special applicability for use in small
communities. Some of the technologies
that have been defined as alternative
include the following:
• Effluent treatment--e.g., land
treatment, aquifer recharge,
aquaculture, horticulture, direct reuse
(nonpotable), and containment ponds
(total).
3-1
-------
• Sludge--e.g., land application,
composting before land application,
and drying before land application.
• Energy recovery--e.g.,
digestion.
anaerobic
• Small community systems—e.g., on-
site treatment (individual or cluster),
septage treatment, and alternative
collection and conveyance systems.
Alternative technologies are considered to
be fully proven but may be less well
known because of infrequent use. They
also may require special consideration
during facility planning. If you require
additional assistance, you should contact
your EPA Regional Office or EPA's
National Small Wastewater Flows
Clearinghouse located at West Virginia
University in Morgantown, WV [1-800-624-
8301]. The Clearinghouse can assist you in
obtaining information on small community
wastewater treatment systems.
ENVIRONMENTAL REVIEW
The statutes establishing EPA's grant
program have extensive environmental
requirements and processes. However,
EPA has designed the Indian Set-Aside
program to make the environmental review
process as easy as possible.
Your environmental information document
in the facility plan will help EPA to
determine whether EPA will issue a
Finding of No Significant Impact (FNSI) or
whether a full-scale Environmental Impact
Statement (EIS) will be necessary. Most
projects will only need a FNSI. Your EPA
and IMS contacts can help you decide how
to address environmental issues.
Some types of projects are excluded from
the requirement for an environmental
review. Your EPA contact can determine
if your project qualifies for a categorical
exclusion.
SELECTING AND PROCURING AN
ARCHITECTURAL/ENGINEERING FIRM
(A/E)
This section provides suggestions on
selecting an engineering firm to help
develop solutions to solve your wastewater
treatment problems. The engineering firm
selected will help you with the planning,
design, and building of the treatment
system. Indian Health Service staff may
be able to assist in the early problem
identification and planning stages and in
the selection of your consulting engineer.
Selecting and procuring and A/E firm is
one of the most important tasks of the
entire project. EPA procurement
regulations (40 CFR Part 31) must be
followed. If you do not follow EPA's rules
and procurement regulations, all the
engineering costs could be disallowed,
resulting in extra costs for the Tribe.
Make sure you understand EPA's
procurement rules and regulations before
you select your A/E firm.
The A/E firm that you hire will be
working on behalf of the Tribe. It is
crucial that you pick an engineer who
understands the Tribe's wastewater
treatment problem and can help you find
an environmentally acceptable solution at a
cost the Tribe can afford. Therefore, you
must have a clear understanding of the
scope of the problem before the engineer
is hired. Contact the EPA Regional Office
(see Appendix B) to review any Federal,
State, and local requirements the Tribe
will have to comply with in carrying out
the project. Also, the Tribe may want to
impose its own requirements.
The six steps described below for selecting
and procuring an engineering firm meet
EPA's rules and regulations:
Create a selection committee—The Tribe
should appoint a group to conduct this
task. A committee made up of three to
five individuals is adequate. The
committee should have a clear
3-2
-------
understanding about the limits of their
authority and responsibilities in selecting
the engineer.
Develop a list of candidate architectural/
engineering firms—The committee will
want to contact agencies or organizations
such as IMS, Rural Community Assistance
Programs, Cooperative Extension Service,
State agencies, other Tribes, and
neighboring communities for names of
firms to consider. Keep in mind that
different firms have different kinds of
experience. Try to identify firms that
have worked on projects like the one
you're considering. In addition, you must
advertise your intention to contract for
engineering services for at least 30 days
before proposals are due. Professional
journals and local and regional newspapers
are possible places to advertise.
Ask for a summary of qualifications-
Contact firms from the list the committee
develops, and ask for a statement of their
experience and qualifications. Once the
committee has reviewed this information,
firms that are not qualified or are not
interested in the work can be eliminated,
while qualified firms go on to submit
specific proposals (see next step).
Issue a Request for Proposals (RFP)--The
committee should prepare a request for
proposals, describing the wastewater
problem and asking the firms to explain
how they plan to solve it. The need for
services must be advertised in newspapers,
journals, or other publications at least 30
days before any proposal is due. The RFP
should be as specific as possible in order
to get the best responses. Figure 3.1
provides an outline for the RFP. It should
include the standards that will be used to
judge the proposal. The committee may
want to ask those who helped with the list
to help develop and review the RFP.
Make sure the statement of work covers
all aspects of the project, including the
design, building, and assistance during the
one-year project performance certification
period. Following EPA procurement
requirements will allow you to use the
same engineer for the planning, design,
and building phases with the assurance
that these costs are allowable for grant
participation. Figure 3.2 is a checklist to
help you evaluate proposals.
Interview the Architectural/Engineering
Firms—Based on the standards developed
by the committee and stated in the RFP,
the best firms should be interviewed. Two
to five firms is a reasonable number to
interview. The committee should consider
the following factors in the interviews:
• Experience with Tribes;
• Experience with similar projects;
• Design experience with wastewater
treatment facilities;
• Willingness to work with the Tribe;
• Staff experience and qualifications;
and
• Price.
After the interviews, check the references
of the firms that are being considered.
Select a Firm—After the committee has
evaluated all the relevant information and
selected the firm, the committee may need
to confer with the Tribe's decision making
body regarding their choice. Once a final
decision has been made, the committee
should negotiate a fair and reasonable
contract for services with the A/E firm.
The negotiation of the contract needs to
include provisions for assistance during the
one year project performance certification
period. The Tribe should obtain legal
assistance in preparing a contract with the
A/E firm. The contract must protect the
interest and the Tribe.
3-3
-------
Figure 3.1
REQUEST FOR PROPOSAL OUTLINE
A. Cover Letter
B. Background of Project
C. Statement or Scope of Work
D. May Also Include Request for Qualifications
E. General Instruction for the Preparation and Submission of Technical and Cost Proposals
1. Deadline for submitting the proposal
2. The person to contact for additional information
F. Criteria Used to Evaluate Proposals
1. Firm qualifications
2. Technical staff qualifications
3. Project management
4. Personnel committed to project
5. Rates
6. Expenses (phone, travel, direct vs. indirect expenses)
G. Time Frame for Performing the Work
H. Contingency Plans for Cost or Time Frame Changes
I. Legal Requirements
1. Liability
2. Other
J. Anticipated Contract Provisions
3-4
-------
Figure 3.2
CHECKLIST FOR PROPOSAL EVALUATION
EXPERIENCE AND
QUALIFICATIONS
OF FIRM:
PERSONNEL:
PROPOSAL:
REFERENCES:
Years in the field
Similar projects in scope and size
Experience in innovative/alternative design
Experience with grant-funded projects
Experience with water/wastewater rehabilitation
Experience with regulatory agencies
Licensed in your state?
Soil scientist on staff?
Number of qualified personnel offered
Experience of key personnel assigned to the project including:
• years of experience
• similar projects
• education
• experience with grant-funded projects
Location and availability of personnel
Construction services
Professional liability insurance
Operations and maintenance manual included?
User charge information included?
Itemized costs and summaries for different project phases
Total cost
How does the firm charge?
Does the proposal address all aspects of the request for proposal?
Is the reference satisfied with performance of the firm?
Did the firm meet project deadlines?
Was construction or design within the budget limits?
Is the firm willing to work for and with the community?
Was the firm successful with similar projects?
Are the utilities designed by the firm operating well?
Did the firm develop a working relationship with the town and the
construction contractor?
What was the extent of on-site inspection by tne firm?
3-5
-------
CHAPTER 4
PROJECT MANAGEMENT GUIDANCE
EPA's goal, as part of its mandate to
protect America's waters, is to ensure that
its grant funds are being used for properly
designed, well-constructed wastewater
treatment systems. In that regard, the
Agency has identified two concepts which
are generally associated with the
successful use of grant funds. These are:
(1) that good project management and
management planning will result in a
successful project, and (2) that a properly
designed well-constructed wastewater
treatment system is most likely to be
achieved when someone responsible for the
project is held strictly accountable for
expenditures and the ultimate performance
of the constructed facilities.
At this point, you should know that you
are eligible to apply for a grant under this
program and that the project you have in
mind is eligible for funding. You should
have received priority ranking so you can
seek funding. If you receive a grant, you
will have to manage it properly.
Some of the key members of the project
team are described briefly below. The
cost associated with these members of the
project team is generally grant eligible for
project-related work using generally
accepted government accounting standards.
These are not necessarily full-time jobs.
In fact, depending on the size and nature
of the project, one person may perform
more than one role. It must be
emphasized that the grantee must keep
detailed, well documented records of any
expenditures related to the project (e.g.,
time cards).
Authorized Representative
The authorized representative is the
official ultimately responsible for the
project and, therefore, the management of
the project from start to finish. If a
project manager is not designated, the
authorized representative should be
prepared to assume the project manager
role full-time.
Project Manager
The key to good project management is to
designate a project manager to take
charge of all grant and project-related
activities. This person should be readily
available full-time to deal with project
matters, given the necessary authority to
oversee and coordinate all project
activities, and may, depending on the size
and complexity of the project, be
supported by a team of professionals who
provide advice and assistance in specialized
areas. The person selected should
preferably have experience in dealing with
regulatory agencies, federal grants, and
construction projects, and should have the
ability to coordinate the project
management team effectively.
Architect/Engineer
For projects that do not yet have a
facility plan or design, an important role
to fill is that of the architect/engineer.
IHS may be able to provide this service in
some cases. In others, you will want to
hire an engineering firm to conduct the
planning and design phases of the project.
Some Tribes may have their own engineer
available to do this work. If an
engineering firm is hired for this work,
the same firm may be retained to
supervise building of the project if the
initial procurement is handled according to
EPA requirements. (See Chapter 3 for
advice on selecting and procuring an
engineer).
4-1
-------
Construction Manager
During building of the project, the project
manager may provide the basic
construction management direction.
However, the detailed cost estimating,
schedule monitoring, and quality control
systems on large or complex projects may
justify retaining a construction manager.
A construction manager helps the project
manager control project costs and keep
the work on schedule. Many engineering
and construction firms offer construction
management services.
Administrative Support
The project manager may delegate certain
administrative functions to a staff member,
if one is available. These include
maintaining project records, preparing
progress reports, etc.
Technical Advisor and Support
It is common practice for municipalities to
hire a consulting engineering firm to act
in the capacity of the technical advisor.
The Indian Health Service may provide this
function in some cases. The selection of a
competent and experienced technical
advisor is an important decision to ensure
that the project is well constructed,
completed on time, and satisfies applicable
requirements. The technical advisor may
be the engineer that designed the project
or another one hired through the
competitive negotiation process. The
technical advisor does not need to be
located at the project site, but must be
readily available to the project manager
and resident engineer or inspectors.
Resident Engineer
The resident engineer, who is the
technical advisor's on-site engineering
representative, oversees inspection and
work quality, handles field communications
with the construction contractor,
supervises and coordinates the work of the
inspectors and is responsible for periodic
reports to the project manager.
Inspectors
Inspection services are often provided by
employees of the technical advisor. The
project manager should ask the technical
advisor how many inspectors are needed
and require at least one, generally full-
time. The inspector is responsible for
preparing daily inspection reports, which
should provide enough detail that project
events can be reconstructed to adequately
resolve any construction contractor claims
or other issues.
Financial Advisor and Support
The financial advisor should make sure
that financial information is presented in a
way that supports decision making and
facilitates audits. The project manager of
a small project might personally assume
part of this function, while in a larger one
the chief financial officer will probably
provide this function.
Legal Advisor
The bulk of the legal advice that is
needed is in the area of contract law,
although a lawyer may also have to be
consulted on issues of legal authority,
acquiring property and easements,
procurement, and resolution of disputes.
The legal advisor should be familiar with
contracting procedures on federally
assisted projects and be accessible to the
project manager when unforeseen needs
arise.
4-2
-------
Construction Contractor and Subcontractor
The construction contractor and sub-
contractors are responsible for building the
facility and installation of equipment in
compliance with the contract documents,
which consist of the construction contract
and attachments, plans, and specifications.
4-3
-------
CHAPTER 5
OPERATION AND MAINTENANCE
This chapter of the Guidelines identifies
agencies and organizations that can help
Tribes with the operation and maintenance
(O&M) of the system once construction is
complete. This chapter also summarizes
operation and maintenance for land
treatment, stabilization ponds, trickling
filters, and on-site treatment systems.
Operation and maintenance requirements
are too often neglected in the selection
and design of treatment systems. EPA
grants will not pay for the replacement of
pumps and other parts of systems when
they wear out. You need to plan for O&M
to make sure your system lasts as long as
it should and to make sure you have the
resources to fix and replace parts when
they break, or better yet to replace them
before they break.
RESOURCES AND TRAINING
This section of Chapter 5 lists agencies
and organizations that can help with the
day-to-day operation and maintenance of
the system. The Tribe may also be aware
of local and other resources not identified
here. The types of assistance range from
on-site analysis and troubleshooting to
training and certification of the treatment
plant operator.
The Consulting Engineer
When the Tribe negotiates the contract
with the engineering firm, it should
include the preparation of an operation
and maintenance manual and a provision
for assistance with initial start-up and
one-year certification activities. This is
important because once the system is built,
the engineer should be available to help
the Tribe and the operator in the event
that problems arise. If your Tribe employs
a staff engineer, you may need to require
that the consultant meet with your
engineer on an "as needed" basis.
Indian Health Service
IHS provides Tribes with a variety of
training and technical assistance services
on the operation and maintenance of
wastewater treatment systems. However,
the amount of service varies due to
differing work loads and staffing in each
IHS office. You may want your design
engineer to consult with IHS engineers on
the best way to design your system for
minimal operation and maintenance
problems.
109fb) Environmental Training Centers
More than 23 States have environmental
training centers for wastewater treatment
operators. Many of these centers are
housed in community colleges. AH of
these centers offer training and
certification for wastewater treatment
plant operators. Some of these centers
offer correspondence courses and on-site
assistance to wastewater treatment systems
with flows under 1 million gallons per day.
EPA staff can provide more information on
these programs.
Community and State Colleges
In many States, local community colleges
and State colleges have extension programs
for training wastewater operators. Many
of these courses are offered through the
mail so they do not necessarily need to be
located in your area.
5-1
-------
Other Sources of O&M Assistance
The Rural Community Assistance Program,
EPA's Small-Flows Clearinghouse, EPA
Regional Offices, and State Construction
Grants Programs, described in Chapter 1,
may be sources of O&M advice.
WHAT'S INVOLVED IN OPERATING A
WASTEWATER SYSTEM?
The treatment systems outlined in these
Guidelines have all been selected because
they are simple to operate and use few
mechanical parts. Mechanical parts not
only provide maintenance problems, they
also require electricity to operate. The
costs of pumping wastewater from place to
place in a treatment facility can be
expensive, especially in many rural areas
where energy costs are high. Several low-
cost, easy-to-operate systems are described
in the following paragraphs.
Ponds and Lagoons
In their basic form, ponds (they are also
called oxidation or stabilization ponds and
lagoons) are very simple. Wastewater is
placed in ponds. Natural biological action
treats the sewage and the leftover water
(effluent) either evaporates or is moved
off into land treatment, sand filters, or
other suitable disposal methods. If the
ponds are down hill from the source of
the wastewater, pumps may not even be
required in this type of system.
Land Treatment Systems
There are a number of types of land
treatment systems ranging from a large
vegetated area, to a farm or forest.
Irrigation, overland flow, or
infiltration-percolation can be used as land
treatment depending on the amount of
effluent and the soil conditions. These
systems allow for the reclamation of the
wastewater. Some of these require more
operation and maintenance than others.
Also, the area where the effluent is
applied may need to be restricted from
public use, and if used for farming some
crops may not be grown. These systems
can use pumps and distribution systems to
evenly distribute the wastewater. Land
treatment systems usually use ponds,
trickling filters or on-site systems to
"pre-treat" the wastewater.
Sand Filters
A sand filter, as the name implies, is
simply a bed of sand that has effluent
(from a pond, trickling filter, or on-site
system) slowly run over and through it. A
sand filter can provide wastewater
treatment to a very high standard.
However, though the sand is a simple way
to do treatment, it must be turned over
and worked a good deal to keep operating
well. Small tractors or other mechanical
devices are needed. The sand and other
layers of gravel under it may also need
periodic replacement.
Trickling Filter Systems
This type of system requires more moving
parts and pumps. A trickling filter has
wastewater slowly pass over and through a
bed of rocks or similar media. Small
bacteria attach to the media and digest
the wastewater as it goes by. These
systems usually need a mechanical device
to evenly distribute the wastewater and
pumps to make sure the flow is even.
After the wastewater has passed through
the. tricking filter, the remaining "effluent"
is usually sent to a pond or land treatment
for additional treatment or "polishing." In
combination with a land or pond system, a
trickling filter can do an excellent job of
treatment with a minimal amount of
operation and maintenance problems.
5-2
-------
On-Site Systems
On-site systems can work very well in
many of the rural areas on Tribal lands.
The most common on-site system is a
septic tank and drainfield. This is a large
concrete or plastic box that is usually
located close to each house or building.
Wastewater flows into the tank and is
partially digested by biological action.
The remaining effluent passes to a drain
field to be dispersed in the ground. This
type of system usually has no mechanical
parts and if operating properly only
requires periodic pumping of the solids
from the tank. The pumped material must
be disposed of in an acceptable manner
such as in a local treatment plant. Septic
tanks can also be used with sand filters
and ponds if the soil conditions do not
allow for drain fields. Also, in drier
climates the effluent can be passed
through a mound with grass and plants
growing on it to evaporate and transpire
the water into the air.
5-3
-------
;Appencil.!lii
-------
APPENDIX A
GLOSSARY
Advanced Treatment—Any treatment of sewage that goes beyond the secondary or
biological water treatment stage and includes the removal of nutrients such as phosphorus
and nitrogen and a high percentage of suspended solids.
Allowable Costs—The construction costs for wastewater treatment works that can be paid
for by EPA grants.
Capital Costs—Total cost of planning, designing, and completing construction of a
wastewater treatment facility.
Categorical Exclusion—Exemption from the need to prepare an environmental impact
statement based on meeting certain criteria.
Certification/Certify—Documentation signed by the responsible party that specific
requirements or standards have been met.
Close-out—Signifies the end of the Indian Set-Aside Grant Process. It occurs after
audit, if needed, and after EPA has made a final determination that all grant
requirements have been satisfied.
Collection System—Pipes used to collect and carry wastewater from an individual source
to an interceptor sewer that will convey the wastewater to a treatment facility.
Collector Sewers--The system and pipes, force mains, lift stations, etc. that carry
wastewater to the interceptor sewer. In general, collectors are the smaller lines that
form the network in each sub-basin.
Combined Sewer Overflow—A combined sewer system is one that carries both sewage and
stormwater runoff. Normally, its entire flow goes to a waste treatment plant, but during
a heavy storm, the storm water volume may be so great as to cause overflows. When
this happens untreated mixtures of stormwater and sewage may flow into receiving water.
Community System—Wastewater treatment facility that collects and treats wastewater for
an entire community.
Construction Grants—Funding assistance available for construction of wastewater
treatment facilities/systems.
Delegation/Full Delegation-Transfer of authority or responsibility for program
management, including decision making regarding compliance with program requirements.
Emergency Operations Program—This component of the treatment plant's Plan of
Operation outlines operational procedures to be utilized during emergency conditions such
as power outage, high flow (storm) event, chlorine leakage, etc.
Enforceable requirements—Permitted effluent limits or other requirements that are subject
to penalties and other legal (enforcement) actions.
-------
Eligible For Funding-Project costs that an Indian Set-Aside grant can pay for, if they
are reasonable and necessary, are those costs that are eligible for funding. Project
components eligible for funding include intercepting sewers, wastewater treatment
facilities (conventional or alternative) and infiltration/inflow correction, collector sewers,
major sewer system rehabilitation, and correction of combined sewer overflow. A
detailed listing of what costs EPA considers eligible for various parts of a wastewater
project is available from EPA.
Existing Needs—For the Indian Set-Aside Program, existing needs includes the capacity to
serve current housing and housing for which public funding is committed.
Fundable Range—That portion of the National Indian Project Priority List that can be
funded based on the total dollars available to implement the program in a given year.
House Connections—Pipes that connect individual homes to the main sewer pipe called an
interceptor. These pipes or "collectors" transport sewage to a collector that in turn
transports the sewage to the facility where it is to be treated.
Indian Program Coordinator—A person in each EPA Region designated to coordinate all
Indian related activities for that Region. This person often has regulatory
responsibilities and acts as a liaison between federal workers and Indian Tribes.
Indian Reservation-All land within the limits of any Indian reservation under the
jurisdiction of the U.S. Government, notwithstanding the issuance of any patent, and
including rights-of-way running through the reservation.
Indian Tribe—Any Indian Tribe, band, group, or community recognized by the Secretary
of the Interior and exercising governmental authority over a Federal Indian Reservation.
Infiltration/Inflow—Infiltration is water that indirectly enters the sewer system through
means such as defective or cracked pipes. Inflow is water that directly enters the
sewer system from sources such as downspouts, field drains, foundation drains, or surface
runoff.
Influent—The wastewater entering a sewage treatment facility.
Interceptor Sewers—Sewer lines that, in a combined system, transmit the sewage to the
treatment plant. In a storm, they allow some of the sewage to flow directly into a
receiving stream, thus preventing an overload by a sudden surge of water into the
sewers. They are also used in separate systems to collect the flows from main and trunk
sewers (collector sewers) and carry them to treatment points.
Lagoon—A shallow pond where sunlight, bacterial action, and oxygen work to purify
wastewater.
Land Treatment-The use of land to reduce the amount of conventional pollutants in
wastewater by spreading it on the land under controlled conditions.
Mechanical Plants-A structure constructed to treat wastewater prior to discharge to the
environment. The treatment is accomplished by subjecting the wastewater to a
combination of physical, chemical, and/or biological processes which reduce the
concentration of contaminants in the wastewater.
-------
National Indian Project Priority List--A list of proposed projects, ranked based on public
health, water quality, and existing treatment needs. It is the basis for Indian set-aside
funding decisions.
National Pollutant Discharge Elimination System (NPDES)—A provision of the Clean Water
Act which prohibits discharge of pollutants into waters of the United States from point
sources unless a permit is issued by EPA, a State, or (where delegated) a Tribal
government on an Indian reservation.
Need—A cost estimate for constructing a community or individual wastewater treatment
facility to correct a public health or water quality problem.
Obligate—To commit funds to a project.
On-Site System—A self-contained system which provides both treatment and disposal of
wastewater on an individual lot.
Operation/Maintenance (O&M)—Actions taken after construction to assure that facilities
constructed to treat waste water will be properly operated, maintained, and managed to
achieve efficiency levels and prescribed effluent limitations in an optimum manner.
Primary Treatment-First steps in wastewater treatment; screens and sedimentation tanks
are used to remove most materials that floats or will settle. Primary treatment results
in the removal of about 30 percent of carbonaceous biochemical oxygen demand from
domestic sewage.
Project Performance Standards—The performance and operation requirements applicable to
a project including the enforceable requirements of the Act and the specification which
the project is planned and designed to meet.
Replacement—Expenditures for obtaining and installing equipment, accessories, or
appurtenances during the useful life of the treatment works necessary to maintain the
capacity and performance for which the treatment works are designed and constructed.
Costs associated with such activities are not grant fundable, except that if an innovative
or alternative wastewater treatment system fails, replacement costs are grant-fundable.
Reserve Capacity—The collection or treatment facility portion that is larger than needed
to serve existing needs.
Secondary Treatment—The second step in most publicly owned waste treatment systems in
which bacteria consume the organic parts of the water. It is accompanied by bringing
together waste, bacteria, and oxygen in, for example, lagoons, trickling filters, or in the
activated sludge process. This treatment removes floating and settleable solids and about
90% of the oxygen-demanding substances and suspended solids. Disinfection is the final
stage of secondary treatment.
Septic Tank—An underground storage tank for wastes from homes having no sewer line
to a treatment plant. The waste goes directly from the home to the tank, where the
organic waste is decomposed by bacteria and the sludge settles to the bottom. The
effluent flows out of the tank into the ground through drains; the sludge is pumped out
periodically.
-------
Septic System-Includes one or several septic tanks (see above) and their drainage of the
effluent from the tanks to a drain field or some other receiving body.
Set-Aside—Reservation of funds of one-half of one percent of the construction grant
appropriation in FY 87 through FY 90 to make grants for the development of wastewater
treatment management plans and the construction of sewage treatment works to serve
Indian Tribes (this set-aside occurs prior to allotment to the States).
Sewer System Rehabilitatiou--To repair existing sewer systems to reduce I/I and/or other
problems.
Sole-Source Aquifer—An aquifer that is so designated by the Administrator in accordance
with Section 1424 of the Safe Drinking Water Act.
Subsurface Discharge—Nonpoint discharge; aot discharged into an open body of water.
Surface Water Discharge—Direct discharge to a body of fresh water.
Wastewater Treatment Facilities (Conventional or Alternative)—A facility containing a
series of tanks, screens, filters and other processes by which pollutants are removed
from the water.
-------
Osof
-------
EPA CONSTRUCTION GRANTS PROGRAM MANAGERS
Mr. Edward McSweeney
C.G. Program Manager
USEPA, Region I
John F. Kennedy
Federal Building
Boston, MA 02203
(617) 565-3560
Mr. James DeLaura
(Caribbean)
C.G. Program Manager
USEPA, Region II
26 Federal Plaza
New York, NY 10278
(212)264-0217
Mr. Bruce Kiselica
(New Jersey)
C.G. Program Manager
USEPA, Region II
26 Federal Plaza
New York, NY 10278
(212)264-5692
Mr. Dan Forger
(New York)
C.G. Program Manager
USEPA, Region II
26 Federal Plaza
New York, NY 10278
(212) 264-0959
Mr. William Bulman
C.G. Program Manager
USEPA, Region III
841 Chestnut Street
Philadelphia, PA 19107
(215) 597-9460
Mr. Russell Wright
C.G. Program Manager
USEPA, Region IV
345 Courtland Street, N.E.
Atlanta, GA 30365
(404) 257-2207
Mr. Todd Gayer
C.G. Program Manager
USEPA, Region V
230 Dearborn Street
Chicago, DL 60604
(312)353-2121
Mr. Richard Hoppers
C.G. Program Manager
USEPA, Region VI
1445 Ross Avenue
Suite 1200
Dallas, TX 75202
(214)655-7110
Mr. Thomas Carter
C.G. Program Manager
USEPA, Region VII
726 Minnesota Avenue
Kansas City, KS 66101
(913)236-2813
Mr. Richard Long
C.G. Program Manager
USEPA, Region VIII
1 Denver Place
999 18th St., #1300
Denver, CO 80202
(303)293-1563
Mr. John Ong
C.G. Program Manager
USEPA, Region IX
215 Fremont Street
San Francisco, CA 94105
(415) 974-8095
Ms. Chris Noah-Nichols
C.G. Program Manager
USEPA, Region X, M/S 429
1200 Sixth Avenue
Seattle, WA 98101
(206)442-1983
-------
EPA INDIAN COORDINATORS
Barbara McAllister (acting)
Indian Coordinator
EPA Region I (PPG-2300)
J.F.K. Federal Bldg.
Boston, MA 02203
617-565-3395
FTS-8-835-3395
Arthur Linton
Indian Coordinator
EPA Region IV (EAB-4)
345 Courtland St. N.E.
Atlanta, GA 30365
404-881-3776
FTS-8-257-3776
Ernest Woods
Indian Coordinator
EPA Region VI (6E-FF)
1445 Ross Avenue
Dallas, TX 75202
214-655-2260
FTS-8-255-2260
Sadie Hoskie
Indian Coordinator
EPA Region VIH (80EA)
999 18th St.
Denver, CO 80202
303-294-7596
FTS-8-564-7596
Gretchen Hayslip
Indian Coordinator
EPA Region X
1200 Sixth Ave.
Seattle, WA 98101
206-442-8512
FTS-8-399-8512
Robert Hargrove
Indian Coordinator
EPA Region II (2PM-E1)
26 Federal Plaza
New York, NY 10278
212-264-1892
FTS-8-264-1892
Casey Ambutas
Indian Coordinator
EPA Region V (5ME14)
230 South Dearborn St.
Chicago, IL 60604
312-353-1394
FTS-8-353-1394
Michael Bronowski
Indian Coordinator
EPA Region VII
726 Minnesota Avenue
Kansas City, KS 66101
913-236-2823
FTS-8-757-2823
Roccena Lawatch
Indian Coordinator
EPA Region IX (E-4)
215 Fremont Street
San Francisco, CA 94105
415-974-8323
FTS-8-454-8323
Martin D. Topper, Ph.D.
National Indian Program Coordinator
U.S. EPA
401 M St. SW
Washington, DC 20460
202-382-7063
FTS-8-382-7063
-------
Contacts
-------
RURAL COMMUNITY ASSISTANCE PROGRAMS (RCAP)
LIST OF CONTACTS
Rural Community Assistance Corporation (Western RCAP)
2125 19th Street
Suite 203
Sacramento, CA 95818
Contact: Beth Ytell (916) 447-2854
Community Resources Group (Southern RCAP)
2705 Chapman Road
Springdale, AR 72764
Contact: John Squires (501)756-2900
Great Lakes Rural Network c/o WSOS Community
Action Agency
P.O. Box 568
Freemont, OH 43420
Contact: OrvilleBurch (419)334-8911
Midwest Assistance Program
P.O. Box 81
New Prague, MN 56071
Contact: KenBrazelius (612) 758-4334
Rural Housing Improvement (New England RCAP)
P.O. Box 370
Winchendon, MA 01475
Contact: Laura Paradise (617) 297-1376
Southeast Rural Community Assistance Program
Virginia Water Project
P.O. Box 2868
Roanoke, VA 24001
Contact: Jackson Hall (703)345-6781
-------
-------
Subject To Revision Appendix D
National Indian Project
Priority System
Scoring Sheets
(For EPA Use Only)
Name of Tribe:
Date Received:
Fiscal Year:
Existing Population Adequately Served:
Existing Population Needing to be
Served by the Project:
Project Cost Estimate:
Score:
Water Quality
Public Health
Preventive Measures
Existing Level of Treatment
Total
-------
NATIONAL INDIAN PROJECT PRIORITY SYSTEM
SCORING SHEETS
DIRECTIONS FOR SCORING EACH PROJECT
This Scoring Sheet is a guide for the EPA Regions to use in assigning scores to requests
for priority received from eligible Indian Tribes and Alaska Native Villages, The scoring
sheets provide examples to score responses to the information requested in the Indian
Set-Aside Program Guidelines and Requirements. EPA understands that the
circumstances for Indian projects vary greatly from one Tribal area to the next; therefore,
this system was designed to allow some flexibility within each section based on the
professional judgment and experience of EPA Regional staff in consultation with the
Indian Health Service (IMS).
Review each request and the supporting documentation provided to define the extent of
the problem. If a Tribe has more than one project, each project requires a separate
request submitted for priority and must be scored separately.
In applying the following measures to each request, consult with your IMS contact. IMS
may be able to provide additional data on the Tribe's wastewater problem or answer
specific questions about the project.
If in any of the sections the measures do not apply to the specific project, data are not
available or do not adequately represent the problem, circle the appropriate score for that
section, based on the best professional judgment of EPA or IMS. In all cases, explain in
the COMMENT block following each section the circumstances and the rationale for the
score that was assigned.
The scoring sheets, when forwarded to EPA Headquarters, should be accompanied by
the Tribe's summary description of the water quality and public health need. EPA
Headquarters will review the scoring for National consistency and create the project
priority list.
The scoring sheets have four sections with the following maximum score per section:
Points
• WATER QUALITY 36
- Surface Water 36
- Ground Water 36
• PUBLIC HEALTH 54
• PREVENTIVE MEASURES 6
• EXISTING TREATMENT 10
TOTAL: 106
-------
The water quality and public health sections use a variety of measures, including:
• Use of receiving water
• Degree of degradation or public health hazard
• Duration of degradation or public health hazard
• Extent (area or volume) of degradation or public health hazard
• Physical limitations
In addition, both sections include a weighting factor based on strength of the information
or best professional judgment provided in the application for priority.
A separately scored population factor is not included in the scoring sheets. Population
information should be supplied on the cover sheet along with the project cost estimate.
When used in scoring, population is expressed in terms of ratios so that no bias is
introduced toward any size community. Requests for population information should be
limited to:
A. Existing population, adequately served
B. Existing population, needing to be served by the project.
-------
WATER QUALITY SECTION
(Select scoring option 1 or 2 depending on the scope of the information available. Use
option 1 if possible. If information needed for option 1 is not available, use option 2)
Surface Water (Option 1)
Formula: [Use x (degradation + duration + extent + improvement) x lnformation]/3 = Total
Surface Water Score (round to nearest whole number)
Where:
Use =
Most important current or recent historical use of the receiving waters to be addressed by
the project:
Fish and wildlife
Agriculture/ aquaculture
Recreation (for body contact-see Public Health)
3
2
1
COMMENTS:
Degradation =
Current degree of degradation (e.g., change in pounds of fish or wild rice harvested,
dollar value of harvest, person-days of recreational water use):
• Use is very limited (< 1/3 remaining) 3
• Use is substantially affected (1/3 - 2/3 remaining) 2
• Use is predominantly still supported (> 2/3 remaining) 1
COMMENTS:
-------
Duration =
Duration of degradation (e.g., periods of wet-weather flows, low water levels, seasonal
population increases):
• greater than 2/3 of the year 3
• 2/3 to 1/3 of the year 2
• less than 1/3 of the year 1
COMMENTS:
Extent =
Extent of area/volume degraded (e.g., stream miles, surface acres, gallons per day):
• greater than 2/3 3
• 2/3 to 1/3 2
• less than 1/3 1
COMMENTS:
Information =
Strength of information or best professional judgment (BPJ) by EPA or IMS staff:
• Data from site-specific studies/reports, permit violations, 3
disease outbreaks, or strong BPJ including on-site visits.
• Extrapolated/derived from general information, moderate 2
BPJ based on photos, logs, samples, experience with
other similar situations.
• Anecdotes, impressions, lay description, limited BPJ 1
based on interviews with laypersons.
-------
COMMENTS:
Improvements =
EPA's assessment of amount of improvement to water quality as a result of this project:
• Significant 3
• Moderate 2
• Minimal 1
COMMENTS:
TOTAL SURFACE WATER SCORE (Option 1)
(Not to exceed 36 points; enter on page 10)
-------
Surface Water (Option 2)
(FOR USE WHERE THE AVAILABLE INFORMATION DOES NOT ALLOW THE USE OF
OPTION 1)
Formula: [Use x (level of treatment + receiving water -r auration + improvement) x
lnformation]/3 = Total Surface Water Score (rouna to nearest whole number)
Where:
Uses =
Most important current or recent historical use of receiving waters to be addressed by the
project:
Fish and wildlife
Agriculture/ aquaculture
Recreation ifor body contact-see Public Health)
3
2
1
COMMENTS:
Level of Treatment =
Existing level of treatment discharge (Note: If several levels of treatment exist, weight the
score for each according to the proportion of the population served by each system; i.e.,
divide the population served by septic tanks by the total population and multiply by 3, the
score for primary treatment; repeat for each level of treatment and add the results.):
Raw
Primary (including septic tanks/drainfields)
Secondary
3
2
1
COMMENTS:
-------
Receiving Waters =
Freshwater, estuaries, wetlands 3
Ditches, farmland 2
Ocean 1
COMMENTS:
Duration =
Number of the last 12 months during which the use was affected:
• More than 6 months 3
• 3-6 months 2
• Fewer than 3 months 1
COMMENTS:
Information =
Strength of information or best professional judgment (BPJ) by EPA or IMS staff:
• Data from site-specific studies/reports, permit violations, 3
disease outbreaks, or strong BPJ including on-site visits.
• Extrapolated/derived from general information, moderate 2
BPJ based on photos, logs, samples experience with
other similar situations.
• Anecdotes, impressions, lay description limited 1
BPJ based on interviews with laypersons.
-------
COMMENTS:
Improvements =
EPA's assessment of amount of improvement to water quality as a result of this project:
• Significant 3
• Moderate 2
• Minimal 1
COMMENTS:
TOTAL SURFACE WATER SCORE (Option 2)
(not to exceed 36 points; enter on pagelO)
-------
Ground Water (Includes well water)
Formula: [(physical limitations + extent) x Information] x 2 = Ground Water Score
Where:
Physical limitations =
Physical limitations causing degradation due to current subsurface disposal:
• High water table most of the year or impermeable ground 3
(e.g., rock, clay, permafrost) or excessively drained (e.g.,
large cobbles, fractured limestone).
• Seasonally high water or moderately poor (slow or fast) 2
drainage.
• Occasional flooding or patchy problem areas. 1
COMMENTS:
Extent =
Extent of condition (e.g., % of population affected by poor drainage or well problems)
• greater than 30% 3
• 5 - 30% 2
• less than 5% 1
COMMENTS:
-------
Information =
For strength of information or best professional judgment (BPJ) by EPA or IMS staff:
• Data from site-specific studies/reports, permit violations, 3
disease outbreaks, or strong BPJ including on-site visits.
• Extrapolated/derived from general information, moderate 2
BPJ based on photos, logs, samples experience with
other, similar situations.
• Anecdotes, impressions, lay description limited 1
BPJ based on interviews with laypersons.
COMMENTS:
TOTAL GROUNDWATER SCORE
(Not to exceed 36 points)
TOTAL SURFACE WATER SCORE
(Option 1 or 2, from page 5 or 8, not to
exceed 36 points)
TOTAL WATER QUALITY SCORE
(Not to exceed 36 points; enter on
cover page)
1 0
-------
PUBLIC HEALTH SECTION
Formula: [Hazard x (extent + duration) x Information] = Public Health Score
Where:
Hazard =
Most important current or recent public health hazard to be addressed by the project:
• Domestic drinking water or food production 3
• High risk of body contact/consumption, (e.g., swimming, 2
hunting/fishing )
• Low risk of body contact/consumption due to areas of 1
ponding or surfacing of waste
COMMENTS:
Duration =
Number of months a public health hazard has existed during the past 12 months:
• Greater than 3 months 3
• 1 - 3 months 2
• Less than 1 month 1
COMMENTS:
1 1
-------
Extent =
Extent of area/volume or percentage of population affected:
• Greater than 10% 3
• 1 to 10% 2
• Less than 1 % 1
COMMENTS:
Information =
For strength of information or best professional judgment (BPJ) by EPA or IMS staff:
• Data from site-specific studies/reports, permit violations, 3
disease outbreaks, or strong BPJ including on-site visits.
• Extrapolated/derived from general information, moderate 2
BPJ based on photos, logs, samples experience with other
similar situations.
• Anecdotes, impressions, lay description limited 1
BPJ based on interviews with laypersons.
COMMENTS:
TOTAL PUBLIC HEALTH SCORE
(Not to exceed 54 points; enter on
cover page)
1 2
-------
WATERBODY PROTECTION & PUBLIC HEALTH MEASURES
TAKEN BY THE TRIBE:
Score up to 6 points considering the strength and effectiveness of the measures.
Examples of such measures include:
• Construction/operation of interim facilities
• Building moratorium
• Stop-gap changes in operation and maintenance
• Water conservation
• Waterbody use restrictions
COMMENTS:
SCORE FOR PREVENTIVE MEASURES
(Not to exceed 6 points; enter on cover page)
1 3
-------
EXISTING LEVEL OF TREATMENT
Score up to 10 points depending on the current level of treatment. If poor operation and
maintenance of primary or secondary facilities contribute to the problem, subtract up to 3
points. If several treatment systems are in use, weight the score for each according to the
proportion of the population served by each system (i.e., divide population served by
septic tanku»by the total population and multiply by the score for primary treatment minus
any penalty imposed for poor O&M (e.g., 5 minus 3); repeat for each level of treatment
and add the results.)
No treatment 10
Primary only (including septic tanks/drain fields) 5
Secondary 3
COMMENTS:
SCORE FOR EXISTING TREATMENT
(Not to exceed 10 points, enter on
cover page)
1 4
-------
-------
APPENDIX E
OTHER FEDERAL REQUIREMENTS
The Clean Water Act specifies that all Federally funded projects must comply with
certain Federal laws. These are described in the list that follows. Your EPA Regional
office can explain further how these may affect your project.
Civil Rights Act—Applicant cannot discriminate on the grounds of race, color, or national
origin.
Clean Air Act—All federally funded projects must conform to approved State Air Quality
Implementation Plans.
Coastal Zone Management Act—Requires that all federal activities be consistent with
approved State coastal zone management programs to the maximum extent possible.
Endangered Species Act—Projects must avoid disrupting threatened or endangered species
or their habitats, unless an exception is granted under the Act.
Farmland Protection Policy Act—Requires that facilities be located on agricultural land
only when necessary to serve existing residential users.
Fish and Wildlife Coordination Act—Actions that will control or modify any natural
streams or other body of water must be undertaken so as to protect fish and wildlife
resources and their habitats.
Flood Disaster Protection Act—Restricts development in floodplains.
Hatch Act—Places some restrictions on political activity of government employees.
National Environmental Policy Act—Requires the preparation and review of an
environmental impact statement before any major federal action is undertaken which will
significantly affect environmental quality.
National Historic Preservation Act—Requires procedures for consultation and commentary
by the Advisory Council on Historic Preservation on EPA grant actions that will affect a
property listed or eligible for listing on the National Register of Historic Places.
Resource Conservation and Recovery Act—Requires the control of solid wastes, including
toxic and hazardous materials.
Rivers and Harbors Act—Permits from the U.S. Army Corps of Engineers are required for
any dredging, filling, or obstruction of navigable waters.
Safe Drinking Water Act—Requires that the project adequately protect sources of
drinking water from contamination.
-------
Uniform Relocation Assistance and Real Property Acquisition Act—Requires that owners
of real property and/or individuals to be displaced by federal or federally-assisted
projects be treated fairly, consistently, and equitably so that such persons will not suffer
disportionate injuries as a result of projects designed for the benefit of the public as a
whole.
Wild and Scenic Rivers Act—Project may not directly and adversely affect any wild,
scenic, or recreational river.
------- |