Applying for and Administering
CWA Section 319 Grants:
A Guide for State Nonpoint
Source Agencies
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Applying for and Administering
CWA Section 319 Grants:
A Guide for State Nonpoint Source
Agencies
March 2003
United States Environmental Protection Agency
State-EPA NFS Partnership
Grants Management Work Group
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Contents
Purpose and Use of This Manual Iv
Chapter 1. Overview of Section 31 9 Program 1
Purpose of Grants 1
Eligibility 2
Grant Requirements and Guidelines 3
Overview of the 319(h) Grant Process 5
Chapter 2. Federal Requirements for Pre-award and Application Phase 7
Time Line for Applications 7
Preparing an Application, Work Plan, and Budget 8
Pre-award and Application Frequently Asked Questions 10
Chapters. Post-award Federal Requirements for State Grants:
The Implementation Phase 12
Competition 12
Conflict of Interest 12
Copyrights 12
Financial Specifications 12
Operation and Maintenance 13
Post-award Changes 13
Procurement Methods 14
Property Management 14
Quality Assurance 14
Record-keeping Specifications 14
Reporting Specifications 15
Responsibilities to Subawardees 16
Post-award Frequently Asked Questions 16
Chapter 4. Federal Requirements for Project Closeout Phase 18
Project Closeout Frequently Asked Questions 18
References 20
Appendices
A. Summary of Federal Statutes, Regulations, and OMB Circulars Applicable To States
B. State Nonpoint Source Program Web Sites
C. Federal Requirements for Section 319(h) Grants to Subawardees
D. Federal Forms
Tables
Table 1. Primary Requirements Applicable to319(h) Grants 4
Table 2. Mandated FY 2003 CRTS Elements 16
Figure
Figure 1. Overview of EPA Grant Award, Implementation, and Review Process 6
Contents
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Purpose and Use of This Manual
The purpose of this manual is to provide an overview of federal requirements that will help guide state
and territory1 nonpoint source agency staff when they apply for and administer grants awarded under
section 319 of the Clean Water Act. Incorporating the legal, administrative, financial, and programmatic
requirements into a single document will help to ensure consistency among the grant distribution processes of
the states. In addition, this manual can be used to train new staff who are unfamiliar with section 319 and to
help existing staff when applying for and using section 319(h) grant funds. This manual focuses on procedural
requirements and does not address all of the substantive requirements codified in the law and in EPA's published
guidelines. The reader should refer to the specific requirements when needed and contact the appropriate U.S.
Environmental Protection Agency (EPA) regional project officer to ask specific questions and to request up-to-
date information on section 319 guidance and forms. Appropriate Internet citations are provided and hyper-
linked throughout the document and summarized in Appendix A. This guide applies only to state programs.
American Indian tribes should refer to EPA's Web site (http://www.epa.gov/owow/nps/tribal.html) for the annual
Tribal Guidance and the Tribal Nonpoint Source Planning Handbook (USEPA, 1997).
The document is divided into four chapters. The first chapter gives a brief overview of section 319 and pro-
vides basic information about section 319 grants. Chapter 2 describes what should be expected during the pre-
award phase. It describes the section 319(h) grant application process in more detail, focusing on specifications
for the state agency application and work plan that must be submitted to EPA. Chapter 3 presents information
on the financial, reporting, and record-keeping requirements associated with the post-award phase of a section
319(h) grant. Chapter 4 explains the steps required to close out a section 319 grant. Appendices with pertinent
forms, subawardee requirements, and additional information are included at the end of this document.
This manual is accurate and up-to-date as of February 2003. It will be updated periodically to reflect any
new requirements and guidelines.
:A11 future references to "states" indicate both states and territories.
Purpose and Use of This Manual
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Chapter
Overview of Section 319 Program
Purpose of Grants
Section 319 was added to the Clean Water Act (CWA) in 1987 to establish a national program to address
nonpoint sources of water pollution. The leading cause of water quality degradation in the United States, non-
point source pollution originates from diffuse or scattered sources rather than a defined point like a pipe outlet.
Agriculture, forestry, construction, and urban activities are some of the leading nonpoint sources of pollution.
As rainfall and snowmelt move over the land, they pick up pollutants, carry them, and deposit them into ground
water and waterbodies such as lakes, rivers, streams, wetlands, and coastal waters. Section 319(h) specifically
authorizes EPA to award grants to states with approved Nonpoint Source Assessment Reports and Nonpoint
Source Management Programs. The funds are to be used to implement programs and projects designed to reduce
nonpoint source pollution. As required by section 319(h), the state's Nonpoint Source Management Program
describes the state program for nonpoint source management and serves as the basis for how funds are spent. In
addition, a variety of other funding sources are available under the CWA (e.g., sections 106, 320, and 604(b)
and the State Revolving Fund) or through other federal agencies (e.g., Environmental Quality Incentive Pro-
gram [EQIP] funds from U.S. Department of Agriculture). When applicable, these other funding sources should
be used to fund nonpoint source projects.
Every year section 319 funds are allocated to each state according to a national allocation formula based
on the total annual appropriation for the section 319 grant program. The allocation formula is contained in Ap-
pendix G of EPAs 1997 Nonpoint Source Guidance (USEPA, 1996).
Since 1999 section 319(h) funds have been awarded to state nonpoint source agencies in two catego-
riesincremental funds and base funds. Incremental funds, a $100 million portion that EPA has designated for
the development and implementation of watershed-based plans and Total Maximum Daily Loads (TMDLs) for
impaired waters, should be used to restore impaired waters. Base funds, funds other than incremental funds, are
used to provide staffing and support to manage and implement the state Nonpoint Source Management Pro-
gram. Base funds help in implementing projects to identify and address nonpoint source problems and threats,
as well as funding activities that involve specific waterbodies in that state or statewide or regional projects. A
portion of these funds (up to 20 percent) may be used for planning and assessment activities such as conduct-
ing assessments, developing TMDLs, and creating programs to solve nonpoint source problems. EPA has issued
supplemental grant guidelines, in addition to the 1997 Nonpoint Source Guidance, that identify priority activities
to be funded with section 319 incremental and base funds.
Chapter 1. Overview of Section 319 Program
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Eligibility
The CWA requires EPA to award section 319(h) grants to the state nonpoint source agency, designated by
the governor, to implement its approved Nonpoint Source Management Program to help achieve and main-
tain beneficial uses of water, such as swimming or fishing. EPA-approved state Nonpoint Source Management
Programs provide the framework for determining which activities are eligible for funding under section 319(h).
In general, these activities include nonregulatory or regulatory programs for compliance and enforcement,
technical assistance, financial assistance, education, training, technology transfer, demonstration projects, and
monitoring to assess the success of specific nonpoint source projects, to the extent these activities are related to
controlling nonpoint source pollution. Specific requirements regarding allowable costs are provided in applicable
grant regulations and Office of Management and Budget (OMB) circulars.
A state becomes eligible to receive EPA funding for 319(h) grants upon the Agency's approval of the state's
Nonpoint Source Assessment Report and Nonpoint Source Management Program. States may make funds
available through subawards (e.g., contracts, subgrants) to both public and private entities, including local
governments, tribal authorities, cities, counties, regional development centers, local school systems, colleges and
universities, local nonprofit organizations, state agencies, federal agencies, watershed groups, for-profit groups,
and individuals. Subawards to individuals are limited to demonstration projects. The state selects recipients of
subawards based on its program priorities. States must award contracts consistent with the procurement require-
ments and with state requirements under grants at Title 40 of the Code of Federal Regulations (CFR), section
31.36 (Procurement). A summary of federal statutes, regulations, and OMB circulars applicable to states, along
with their related Web sites, is provided in Appendix A.
A state may use section 319 (h) funds for the following activities if the activities are a part of its approved
Nonpoint Source Management Program:
Updating and refocusing the state Nonpoint Source Management Program and Nonpoint Source As-
sessments to improve program effectiveness. States may use up to 20 percent of their base section 319
allocation for this purpose. States should refine their programs to reflect their most pressing needs and
highest-priority water quality problems. Activities and analyses that may be funded include establishing
indicators and milestones, developing TMDLs and watershed plans, and improving assessment efforts
(USEPA, 1996, ZOOla).
Implementing ground water protection activities. Ground water activities are eligible for section
319 grants if they are identified in the state's Nonpoint Source Management Program, Ground Wa-
ter Protection Strategy, or Comprehensive State Ground Water Protection Program (CWA section
319 (h) (5) (D); USEPA, 1996).
Funding urban storm water runoff activities if those activities meet all of the following conditions:
(1) the activities are not specifically required by a draft or final National Pollutant Discharge Elimina-
tion System (NPDES) permit, and (2) the activities do not directly implement a draft or final NPDES
permit. Activities that might meet the above requirements include technical assistance; monitoring to
address implementation strategies; best management practices (BMPs); information and education pro-
grams; technology transfer and training; and development and implementation of regulations, policies,
and local ordinances to address storm water runoff (USEPA, 1996).
Funding abandoned mine land reclamation projects designed to protect water quality if those activities
meet both of the following conditions: (1) the activities are not specifically required by a draft or final
NPDES permit, and (2) the activities do not directly implement a draft or final NPDES permit. Activi-
ties that might meet the above requirements include remediation of water pollution from abandoned
mines or portions of abandoned mines, mapping and planning of remediation, monitoring, technical
assistance, information and education programs, technology transfer and training, and development
and implementation of policies addressing abandoned mine lands (USEPA, 1996).
Implementing lake protection and restoration activities except for in-lake work such as aquatic macro-
phyte harvesting or dredging unless the sources of pollution have been addressed sufficiently to ensure
Chapter 1. Overview of Section 319 Program
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
that the pollution being remediated will not reoccur. States are encouraged to use section 319 funding
for eligible activities that might have been funded in previous years under CWA section 314 (Clean
Lakes Program) (USEPA, 1996, 1999).
Section 319(h) grant funds are eligible for inclusion in Performance Partnership Grants (PPGs). PPGs
enable states and interstate agencies to combine funds from more than one environmental program grant into
a single grant with a single budget (40 CFR 35.130). Recipients need to account for total PPG expenditures
subject to the requirements of section 35.130; they do not need to account for PPG funds in accordance with
the requirements of the funds' original sources. The PPG is designed to
Strengthen partnerships between EPA and state and interstate agencies through joint planning, prior-
ity-setting, and better deployment of resources.
Provide state and interstate agencies with the flexibility to direct resources where they are most needed
to address environmental and public health priorities.
Link program activities more effectively with environmental and public health goals and program out-
comes.
Foster development and implementation of innovative approaches such as pollution prevention, eco-
system management, and community-based environmental protection strategies.
Provide savings by streamlining administrative requirements.
Grant Requirements and Guidelines
Section 319 grant recipients must meet all applicable statutory, regulatory, and other requirements, as well
as rules established in grant guidelines documents. Statutory laws are codified in the United States Code and are
created and approved by the United States Congress and the President. Federal agencies write regulations to set
specific rules that pertain to a particular statutory law. The regulations are published yearly in the Code of Fed-
eral Regulations. Circulars published by OMB contain administrative requirements and set forth allowable costs
under grants. Table 1 lists some of the particular requirements in each of the three categories described above
that pertain to section 319 (h) grants. Although all the requirements apply to recipients of section 319 funds,
nonprofit organizations should focus on 40 CFR part 30 and OMB Circulars A-110, A-122, and A-133 whereas
states should focus on part 31 and OMB Circulars A-87, A-102, and A-133 (see Appendix A for a summary and
related Web pages). Statutes in addition to the CWA may also be applicable, and they are described on the "As-
surances" form (Standard Form 424B). The sources of requirements are cited throughout this document, allow-
ing the reader to seek additional information as necessary. When applying for 319 (h) grants, the state must be
familiar with these requirements as well as EPAs Nonpoint Source Program guidance or guidelines. In addition,
state-specific requirements and priorities (e.g., procurement requirements, environmental review requirements)
must be considered.
Both the state agencies and subawardees receiving section 319(h) funds must comply with applicable federal
laws, regulations, OMB circulars, and grant rules. It is the responsibility of the state agency to ensure that the
grant subawardees are aware of these regulations and that their projects are designed in compliance with them.
All section 319 (h) grants to states must be consistent with applicable provisions of EPAs general grant regula-
tions, including 40 CFR part 31 and part 35, subpart A.
Chapter 1. Overview of Section 319 Program
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Table 1. Primary Requirements Applicable to Section 319(h) Grants
Categories of Requirements Requirements applicable to 319(h) grants
Statutory Laws Clean Water Act sections 101, 205, 208, 303, 319
Regulations 40 CFR parts 7, 29, 30, 31, 32, 34, 35A
OMB Circulars A-21, A-87, A-l 02, A-l 22, A-l 33
EPA Grant Guidelines Nonpoint Source Program and Grants Guidance for Fiscal Year
1997 and Future Years, annual supplemental guidance documents
Funded activities and projects also must meet specific EPA requirements for section 319(h) grants, as
described in the Nonpoint Source Guidance for the Award of Section 319 Grants in FY 1997 (USEPA, 1996) and
supplemental EPA guidelines for FY 2000 through FY 2003 (USEPA 1999, 2000, 2001a, 2002). These guidelines
highlight requirements from the CWA, 40 CFR part 31 and part 35, subpart A, and EPA policy. The EPA grant
guidelines, issued annually, describe priorities for funding, especially those for incremental funds. In FY 2004
EPA plans to issue consolidated grant guidelines, which will replace the FY 1997 through FY 2003 guidance
and guidelines. Please refer to EPA's Web site (http://www.epa.gov/owow/nps/cwact.html) for the latest version.
Highlights of specific requirements in the EPA guidelines include the following:
Approved Nonpoint Source Management Program. Funded activities or projects must lead to accomplish-
ing the objectives stated in the approved Nonpoint Source Management Program (40 CFR 35.260).
Grant work plans should link the funded activities or projects to the relevant element(s) of the state's
Nonpoint Source Management Program. Work plans should indicate which federal, state, and local
agencies are responsible for implementing each project or activity.
Environmental grant. All grants must be awarded as Environmental Program Grants under 40 CFR
35.101.
Maintenance of effort. States must maintain their aggregate expenditures from all other sources for pro-
grams to control pollution added to the navigable waters in the state and to improve the quality of such
waters at or above the average level of expenditures in FY 1985 and FY 1986 (CWA 319(h) (9)).
Match. The federal share may not exceed 60 percent of the Nonpoint Source Management Program
implementation cost, and the nonfederal share must be provided by nonfederal sources. The nonfederal
share for the entire grant must be at least 40 percent (CWA section 319(h) (3); 40 CFR 35.265).
Administrative cost. If the state is awarded its section 319 funds in a section 319 grant, the administra-
tive costs may not exceed 10 percent of the funding (CWA section 319(h)( 12); 40 CFR 35.268). Ad-
ministrative costs include salaries, overhead, or indirect costs for services provided and charged against
general activities and programs carried out with the grant. The costs of enforcement and regulatory
activities, education, training, technical assistance, demonstration projects, and technology transfer are
not subject to the 10 percent limitation. This requirement does not apply to a PPG that includes sec-
tion 319 funds (40 CFR 35.134(c)).
Availability for obligation. Funds awarded to states will remain available for the entire fiscal year for
which the funds were awarded. Any funds not obligated by the end of the fiscal year will become avail-
able to EPA to administer to other states in the next fiscal year (CWA section 319(h) (6)).
The term obligate does not mean "to expend"; it means that the state must commit the section 319(h)
funds to be expended. EPA defines an obligation (by a recipient) as "the amount of funds which a recipi-
ent legally earmarks for expenditure through orders placed, payrolls, subagreements awarded, travel
authorizations and other transactions" (USEPA, 1996).
Evaluation and reporting. States are required to meet annual reporting requirements and Grants Re-
porting and Tracking System (CRTS) requirements. Refer to Chapter 3 for more detail on reporting
requirements and CRTS.
Satisfactory progress. The Regional Administrator may not award section 319 grant funds to a state
Chapter 1. Overview of Section 319 Program
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
unless the Regional Administrator determines that the state has made satisfactory progress during the
previous fiscal year in meeting the schedule of milestones specified in the state's Nonpoint Source Man-
agement Program (CWA 319 (h) (8)). The EPA regional office issues a written determination that the
state has made satisfactory progress during the previous fiscal year and includes it in each section 319
grant, or in a separate document prior to award of the grant.
Cost-sharing and demonstration projects. States may use section 319(h) grant funds for cost-sharing to
persons only if the costs are related to implementing demonstration projects (CWA section 319(h) (7);
40 CFR 35.268).
Demonstration projects are a tool often used to show the overall effectiveness of an adopted approach
in solving a particular water quality problem. Demonstration projects may be funded in a variety of
locations because doing so can demonstrate the projects' utility in a watershed's various hydrogeologi-
cal and sociological settings.
In high-priority watersheds, states may supplement section 319 cost-share to individuals with additional
cost-share from state funds. When such an approach is followed, the total cost share to an individual
from section 319, state, and other federal (e.g., USDA) funds must not exceed 100 percent of the total
cost of the practice and be in compliance with all other applicable funding requirements (USEPA,
1996).
Overview of the 319(h) Grant Process
Although this document is written for state nonpoint source agencies, it is important to understand the
major roles that EPA and subawardees also play in the grant process. Figure 1 illustrates the "big picture" of the
319 (h) grant process by showing the interrelationship of the roles of EPA, the state nonpoint source agency, and
the subawardees. The specific timing of the steps in the grant process varies by state and by region and depends
on when the annual budget becomes available.
Chapter 1. Overview of Section 319 Program
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Section 319 Grants: A Guide for State Nonpoint Source Agencies
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Chapter 1. Overview of Section 319 Program
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Chapter 2
Federal Requirements for
Pre-award and Application Phase
Each year Congress appropriates funds to EPA for the section 319 grant program. A portion of this amount
is allocated for tribal grants; the remainder is allocated to the state nonpoint source agencies according
to a national allocation formula. Once EPA has a final budget, EPA notifies the states of their base and
incremental section 319 grant allocations. EPA headquarters provides funds to the EPA regions, which are then
awarded to the states based on approved work plans. A state may award funds through subawards (contracts or
subgrants) to other entities in accordance with the state's Nonpoint Source Management Program and procure-
ment requirements.
Time Line for Applications
The general schedule for coordinating the section 319(h) grant application with EPA is as follows:
EPA provides funding targets for the following fiscal year Spring
and may issue nonpoint source guidance.
States submit draft work plans to EPA regions. April-May
EPA regions conduct their reviews of state Within 6 weeks of
applications and provide written comments receipt from state
to state agencies.
States submit their final work plans and At least 60 days prior
grant applications to EPA regions. to proposed funding period
Final work plans are reviewed; if all requirements Within 60 days of
are met, EPA region awards grant as quickly as possible receipt from state
States obligate funds. States are expected to obligate section As quickly as possible,
31 9(h) grant funds as quickly as possible and begin to implement within first year
the activities described in the approved work plan. The state should
obligate the funds within 1 year of grant award.
The exact dates for the application schedule vary from state to state. The EPA regional office and the state
should agree to a more detailed schedule. State nonpoint source agencies establish a similar schedule for solicit-
ing project proposals from subawardees. Appendix B provides a list of all of the state nonpoint source office Web
sites (as of February 2003).
Before receiving a section 319 (h) grant, a state must meet the requirements described in this chapter.
Federal requirements are included in the CWA, Title 40 of the CFR, OMB circulars, and EPA guidelines, as
Chapter 2. Federal Requirements for Pre-award and Application Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
highlighted previously in Table 1. Because EPA must award 319 funds to state nonpoint source agencies, states
should focus onCFRpart 31 and part 35, subpart A, and OMB Circulars A-87, A-102, and A-133. In turn, states
then provide funding to the other entities. Depending on the kind of organization receiving funds (e.g., state
or local agency, nonprofit, university), different regulations and OMB circulars apply. If funds are awarded to a
state, local, or Indian tribal government, 40 CFR part 31 regulations apply. In addition, 40 CFR 31.22 clearly
outlines the OMB circulars with cost principles applicable to subawardees (contract or grant). If funds are
awarded to institutions of higher education, hospitals, and other nonprofit organizations, 40 CFR part 30 regula-
tions and OMB Circulars A-110, A-122, andA-133 apply. States are responsible for informing subawardees of
the federal requirements that the subawardees must meet. These requirements are outlined in Appendix C.
Preparing an Application
Each state section 319(h) grant application package must include the appropriate application forms, work
plan, and project costs (40 CFR 35.104, 40 CFR part 31, subpart B). The application must be submitted at least
60 days before the beginning of the proposed funding period (40 CFR 35.105).
Application forms. Standard Forms 424 ("Application for Federal Assistance"), 424A ("Budget Informa-
tion"), and 424B ("Assurances") must be included in the grant application package submitted to EPA. Other
federal forms, including Form 4700-4 ("Preaward Compliance Review Report"), Form 5700-49 ("Certification
Regarding Debarment, Suspension, and Other Responsibility Matters"), Standard Form LLL ("Disclosure of
Lobbying Activities"), and "Certification Regarding Lobbying," also must be completed and submitted to EPA
in the application package. Copies of these federal forms are provided in Appendix D and can also be found at
. Following are highlights of specific federal requirements that
apply to state recipients of federal funds.
Nondiscrimination. 40 CFR 7.30 prohibits discrimination under any program or activity receiving EPA as-
sistance on the basis of race, color, national origin, gender, handicap, or age. It also requires that recipients of
federal funds provide public notification that they do not discriminate (40 CFR 7.95).
Lobbying. Federal restrictions regarding lobbying are provided in 40 CFR 34.100, OMB Circular A-87, and
OMB Circular A-122. Federal grant funds may not be used to influence (or attempt to influence) a federal em-
ployee or a member of the United States Congress. If nonfederal funds have been used to influence (or attempt
to influence) a federal employee or a member of Congress, the grantee must submit Standard Form LLL ("Dis-
closure of Lobbying Activities").
Drug-free Workplace. 40 CFR 32.600 requires recipients of section 319(h) grant funds to certify that they
maintain a drug-free workplace. By signing and submitting the section 319(h) grant application, the applicant
certifies that he or she will not engage in the unlawful manufacture, distribution, dispensing, possession, or use
of a controlled substance in conducting any grant-related activity.
Work plan. The work plan is a part of the application and is negotiated between the grant applicant and
the EPA project officer and managers. It reflects consideration of such factors as national program guidance;
goals, objectives, and priorities proposed by the applicant; other jointly identified needs or priorities; and the
planning target. It may identify priority activities from the Nonpoint Source Management Program for funding
in the next fiscal year and is the basis for management and evaluation of performance under the grant. The work
plan must specify the following, consistent with 40 CFR 35.107, 35.115, and 35.268:
Work plan components to be funded under the grant. A work plan component is a negotiated set of
work plan commitments established in the grant agreement. A work plan may have one or more work
plan components.
The estimated work years and estimated funding amounts for each work plan component.
The work plan commitments for each work plan component and a time frame for their accomplish-
ment. Work plan commitments are the outputs and outcomes associated with each work plan compo-
Chapter 2. Federal Requirements for Pre-award and Application Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
nent, as established in the grant agreement. The work plan must be consistent with applicable federal
statutes, regulations, circulars, and executive orders and with EPA delegations, approvals, or authoriza-
tions (40 CFR 35.107(b) (3)). It must also be consistent with EPA's grant guidelines.
A performance evaluation process and reporting schedule in accordance with 40 CFR 35.115. The
joint evaluation process must provide for:
- A discussion of accomplishments as measured against work plan commitments.
- A discussion of the cumulative effectiveness of the work performed under all work plan components.
- A discussion of existing and potential problem areas.
- Suggestions for improvement, including, where feasible, schedules for making improvements.
EPA will ensure that the required evaluations are performed according to a negotiated schedule and
that copies of evaluation reports are placed in official files and provided to the recipient (40 CFR
35.115(d)).
The roles and responsibilities of the state and EPA in carrying out the work plan commitments.
In work plans that include significant watershed projects (where costs exceed $50,000), a brief synopsis
(two to three pages) of the watershed implementation plan outlining the problem(s) to be addressed,
the project goals and objectives, and environmental indicators or performance measures to be used to
evaluate the success of the project (40 CFR 35.268).
Budget. The budget provides estimated costs to accomplish the activities included in the work plan. These
costs must be necessary, reasonable, and consistent with federal cost principles and policies. The following are
descriptions of different types of costs. OMB Circular A-87 identifies allowable costs, some of which are high-
lighted here.
Administrative costs. Administrative costs include salaries, overhead, and direct or indirect costs for services
provided and charged against activities and programs carried out with section 319 funds. Note that only 10 per-
cent of funding in a section 319 grant may be used for administrative costs. The cost of implementing enforce-
ment and regulatory activities, education, training, technical assistance, demonstration projects, and technol-
ogy transfer programs are not subject to the 10 percent limitation (CWA section 319(h) (12); 40 CFR 35.268;
USEPA, 1996). This limitation on administrative costs does not apply to PPGs that include section 319 funds.
Direct costs. Direct costs are costs directly related to accomplishing the project, and they may include adminis-
trative costs. These costs include the purchase of equipment, supplies, materials, outside services, and travel.
Equipment. Equipment costs greater than $5,000 must have prior EPA approval (40 CFR 31.32). States
should discuss equipment purchases with the EPA regional office as early in the application process as possible.
Indirect costs. The state must have a state-approved indirect cost rate proposal and provide a copy to EPA.
This document substantiates the basis for costs that are common or joint to more than one cost objective.
Personnel costs. The costs for labor, considered personnel costs, should be broken down by job classification
(e.g., laborer, scientist, volunteer). Multiplying cost per hour by number of hours worked yields the total person-
nel costs.
Matching funds. For section 319 grants to states, EPA may provide up to 60 percent of the approved work
plan costs in any fiscal year. For PPGs that include section 319 funds, the cost-share attributable to the 319
funds included in the PPG is either the amount of funding required to meet the section 319 match requirement
or the amount of funding required to meet the maintenance of effort requirement, whichever is greater (40 CFR
31.136). The nonfederal share of costs must be provided from nonfederal sources. With the qualifications and
exceptions listed in section 31.24(b), a matching or cost-sharing requirement may be satisfied by either or both
of the following:
1. Allowable costs incurred by the grantee, subawardee, or a cost-type contractor under the assistance
agreement. These include costs borne by nonfederal grants or by cash donations from nonfederal third parties.
Chapter 2. Federal Requirements for Pre-award and Application Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
2. The value of third party in-kind contributions (e.g., donated personnel time, supplies, equipment)
applicable to the period to which the cost-sharing or matching requirements apply.
The following items may not be used as matching funds:
Other federal funds, including in-kind services by staff, other than those which are available to match
other federal grants by law.
Unallowable costs for the project/program (e.g., lobbying). Refer to 40 CFR parts 30 and 31 and OMB
Circulars A-87 and A-122 for more detail.
The required nonfederal match can be calculated in two easy steps:
1. The federal share divided by the federal percentage equals the total project cost.
2. The total project cost minus the federal share equals the recipient's share.
EXAMPLE
1. $75,000 (federal share) 4- 60% (federal percentage) = $ 1 25,000 (total project cost)
2. $ 125,000 (total project cost) - $75,000 (federal share) = $50,000 (recipient share)
During the application phase, the applicant is encouraged to fulfill the following roles and responsibilities:
Seek informal or formal assistance to answer questions concerning the technical or administrative
requirements of the grant.
Respond to inquiries from the EPA project officer and EPA grants management office concerning the
application.
Revise the application based on comments received from the EPA project officer and EPA grants man-
agement office.
Sign the award offer within 3 weeks of receipt from EPA. (If the applicant does not sign the award
within 3 weeks, the EPA award official may withdraw the offer per EPA policy.)
Pre-Award and Application Phase Frequently Asked Questions
Q. What is the Assurances form and is it required for section 319(h) grants?
A. The Assurances form is Standard Form 424B (Appendix D). Applicants for section 319(h) grant funds must
sign this form to certify that they will be able to meet the federal laws and other requirements applicable to all
federally assisted projects (e.g., Davis-Bacon Act, Hatch Act, National Environmental Policy Act, National
Historic Preservation Act). These requirements are listed and explained on Standard Form 424B.
Q. When do the wage rules set forth in the Davis-Bacon Act apply to section 319 funds?
A. The Davis-Bacon Act is applicable only to 319 grants that fund construction of treatment works. CWA sec-
tion 212 defines construction and treatment works for grants under Title II. Although the section 212 definition
can be used as a guide for determining whether a project is a treatment works for purposes of section 319(h)
grants, the section 212 definition includes items that may not be "treatment works" in common understanding
(e.g., storage facilities that do not provide treatment). For such projects, the Davis-Bacon Act (40 U.S.C
§§ 176a-276a-7) requires that wages for laborers and mechanics working on specific, federally funded projects
be set at the current wage rate for that region. Specifically, the act requires that each contract over $2,000 for
the construction, alteration, or repair of public buildings or public works follow the minimum wages to be paid to
various classes of laborers and mechanics employed under the contract.
Chapter 2. Federal Requirements for Pre-award and Application Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Q. Are the requirements in the National Environmental Policy Act applicable to section 319
funds?
A. No. CWA section 511 (c)(l) states that the only EPA actions under the CWA subject to the NEPA require-
ments for "major federal action significantly affecting the quality of the human environment" are new source
permits and grants for the construction of publicly owned treatment works. Section 319 grants do not fit within
either category and are therefore not subject to NEPA requirements.
Q. I have misplaced my copy of Standard Form LLL. Where can I get another copy?
A. Copies of all required federal forms can be found at .
Q. Is there a required format for a state work plan?
A. The state may use any format it chooses, as long as the required information is included and meets the needs
of EPAs regional office. The state is encouraged to consider the following:
Include a narrative description or introduction of the approach taken for each of the major work plan
categories.
Clearly identify the output or product, including the due date, that will result from each activity.
Keep the master work plan and budget up-to-date, and report any changes in accordance with 40 CFR
35.114- Discuss work plan and budget revisions with EPA before making changes. Assign numbers to
work plan revisions for easy tracking.
Appropriate monitoring and assessment of work plan activities, including watershed project imple-
mentation, is an essential component of evaluating the effectiveness of a nonpoint source program.
The work plan should include specific assessment activities and sharing of success stories and lessons
learned.
Q. What elements must a state include in developing and implementing a successful watershed-
based plan using 319 funds?
A. The state should always remember to incorporate the following nine elements listed in the nonpoint source
guidance for fiscal year 2003 (USEPA, ZOOlb):
An identification of the sources that will need to be controlled to achieve load reductions established
in the state's nonpoint source TMDL or any other goals identified in the watershed-based plan.
An estimate of the load reductions expected from the management measures described.
A description of the nonpoint source management measures needed to achieve load reduction and
identification of the critical areas in which the measures will need to be implemented to achieve the
nonpoint source TMDL.
An estimate of the assistance (financial and technical) and authorities the state anticipates having to
rely on to implement the plan.
An information/education component, which the state will use to enhance public understanding of the
project and encourage public involvement in the nonpoint source management measures.
A schedule for implementing the nonpoint source management measures identified in the plan.
A schedule of interim, measurable milestones that can be used to determine whether nonpoint source
management measures or other control actions are being implemented.
A set of criteria that can be used to determine whether substantial progress is being made toward the
water quality standards and, if not, criteria that will help to determine whether the nonpoint source
TMDL should be revised.
A monitoring component to evaluate how effective the implementation efforts are as measured against
the set of criteria developed as described previously.
Chapter 2. Federal Requirements for Pre-award and Application Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Chapter 3
Post-award Federal Requirements for
State Grants: Implementation Phase
A
fter receiving a section 319(h) award, states must meet several federal requirements in Title 40 of the
CFR, OMB circulars, and EPA guidelines. Following are highlights of specific financial, reporting, and
other requirements that apply to state recipients of federal funds.
Competition
40 CFR 31.36 requires that all procurement transactions be conducted in a way that provides open and
free competition. Purchases for projects must be made on a competitive basis to ensure that fair and reasonable
prices are obtained for goods and services. Federal regulations require documentation of cost or price analysis in
connection with every procurement action regardless of amount. Additional details are provided under "Pro-
curement Methods" following this section.
Conflict of Interest
40 CFR 31.36 (a) (3) requires standards of conduct to avoid conflict of interest. Recipients of federal funds
may not participate in the selection, award, or administration of a contract if real or apparent conflict of inter-
est would result. Conflict of interest would arise if an employee, organization officer, agent, immediate family
member, partner, or organization that employs any of the above-mentioned persons (1) has a financial (or other
interest) in a firm selected for award or (2) solicits or accepts gratuities, favors, or items of monetary value from
contractors or subawardees. Disciplinary actions are required for violations of standards of conduct.
Copyrights
40 CFR 31.34 grants EPA a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, or
otherwise use, and to authorize others to use for federal government purposes, (1) the copyright in any work de-
veloped under a grant, subgrant, or contract under a grant or subgrant and (2) any rights of copyright to which a
grantee, subawardee, or contractor purchases ownership with grant support.
Financial Specifications
Financial requirements for states and subawardees of section 319(h) grant funds are categorized by the fol-
lowing topics: allowable costs, matching funds, and state-specific requirements regarding the payment process.
Allowable costs. All costs charged to EPA grants must be eligible, necessary, and reasonable for perform-
ing the tasks outlined in the approved project work plan. The costs, including match, must be incurred during
the period of performance of the project. The costs also must be allowable, meaning that they must conform to
specific federal requirements (40 CFR parts 30 and 31; OMB Circulars A-87 and A-122). In addition, costs must
be well documented.
Chapter 3. Post-award Federal Requirements for State Grants: Implementation Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
When the total amount of all federal grant funds exceeds $300,000, an independent audit is required in ac-
cordance with the specifications of OMB Circular A-133. In addition, projects are subject to independent audits
by EPA's Office of the Inspector General at any time. They may also be reviewed periodically by EPAs account-
ing and grants management staff to ensure proper management of grant funds.
Matching funds. Matching funds are the portion of the allowable project costs that the grant recipient
(or third party) contributes to a grant or cooperative agreement. State recipients of section 319(h) grant funds
must provide a nonfederal match as described in Chapter 2. All matching funds must be included in the project
work plan and budget and be part of the grant's "total project costs." All matching funds must conform to the
same laws, regulations, and grant conditions as the federal funds in the grant (CWA section 319(h) (3), 40 CFR
35.265).
Payment processes. Payment to state nonpoint source agencies for section 319(h) grant-sponsored activi-
ties is usually made through an electronic fund transfer on a reimbursement or an advance payment basis. The
state must maintain the expense details and make them available on request.
EPAs payments for designated individual contractors (excluding overhead) retained by the state or for
subawardees' contractors (or subcontractors) are limited to the maximum daily rate for a GS-18. Maximum daily
rates may change annually or more often. The current 2003 rate is set at $513.60. This amount does not include
transportation and subsistence costs, in accordance with normal travel reimbursement practices. States or sub-
awardees may pay consultants more than this amount, but the excess amount may not be paid with federal grant
funds. State-determined payment processes are used to pay subawardees. The length of time for subawardees to
receive payment from states varies by state (Public Law 99-591, 40 CFR 31.36(j)).
Roles and responsibilities of states within the payment process include the following (40 CFR 31.20):
Maintaining records that adequately identify the source and use of funds for the federally sponsored
activities.
Maintaining effective control over and accountability for all federal funds, property, and other assets.
Routinely comparing actual expenditures with budget amounts for each federally sponsored project or
program.
Setting procedures for determining the reasonableness, eligibility, and allowability of costs.
Maintaining financial records that are supported by original source documentation (e.g., invoices, can-
celed checks, receipts, timesheets, contracts).
Providing accurate, current, and complete disclosure of financial records of the federally sponsored
project or program, as requested by EPA.
Minimizing the elapse of time between a transfer of funds from the U.S. Treasury and disbursement
whenever advance payment procedures are used.
Operation and Maintenance
Grant recipients are obligated to continue operating and maintaining measures and practices that have
been funded with section 319 funds. Grantees must also include in subawards a provision that the subawardee
will also properly operate and maintain practices implemented through a 319 project (USEPA, 1996, 2002).
Post-Award Changes
Amendments and other changes to the grant are governed by 40 CFR 35.114. For significant changes to the
work plan commitments, the state must obtain the prior approval of EPA in writing. EPA, in consultation with
the state, will document these revisions, including budgeted amounts associated with the revisions.
Chapter 3. Post-award Federal Requirements for State Grants: Implementation Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Procurement Methods
Grant recipients may use their own procurement procedures provided that the procedures conform to ap-
plicable federal laws and standards as described in 40 CFR 31.36 (e.g., contract administrative system, written
code of conduct). Grants and subawards may not be made to any party that has been debarred or suspended or is
considered ineligible for participation in federal assistance programs.
The grantee may contract or subcontract funds to an eligible recipient based on purpose and state procure-
ment systems. See 40 CFR 31.3 and 31.37 and OMB Circular A-87 for federal definitions and requirements of
contracts and subgrants. Examples of methods that may be used in conjunction with section 319 (h) grants are
small purchase procedures, sealed bids, competitive proposals, and noncompetitive proposals. Refer to 40 CFR
31.36 for more detail on federal requirements.
Contracting with Small and Minority Businesses. Recipients of section 319(h) grants that employ sub-
contractors must take steps to ensure that minority and women-owned firms are used when possible. Steps are
identified in 40 CFR 31.36.
Subgrants. A state must follow 40 CFR 31.37 when awarding and administering subgrants to tribal and
local governments. The state must also follow its own laws and procedures and must (1) include a provision in
a subgrant to ensure that subgrantees are aware that they must comply with applicable requirements mentioned
in (2) and (3) that follow, (2) ensure that every subgrant includes any clauses required by federal statute, and
(3) ensure that subgrantees are aware of federal requirements imposed on them by accepting the agreement (see
Appendix C).
Property Management
Property management and procedures are detailed in 40 CFR part 31 and OMB Circulars A-21, A-87, and
A-122. Property (e.g., equipment) purchased in whole or in part with federal funds should be properly managed
(e.g., inventory, control system, maintenance, disposition). Depending on acquisition costs, different require-
ments might apply.
Quality Assurance
Section 319 (h) grant projects often include monitoring components to measure the effectiveness of the
project. When environmental data are being collected during the course of a section 319 project, a Quality
Assurance Project Plan (QAPP) must be developed in accordance with specific EPA guidelines (40 CFR 31.45
and 30.54). QAPPs outline the procedures that a monitoring project will use to make sure that samples are col-
lected, data are stored, and reports are written to ensure quality high enough to meet the needs of the project.
QAPPs must be approved by EPA or the state agency before sampling and monitoring begin. Specific QAPPs
should be discussed with the regional EPA project officer. Specific guidelines on writing a QAPP are provided
on EPAs Web site at and .
Record-Keeping Specifications
Section 319 grant recipients are required to retain all records pertaining to federally sponsored activities or
projects for 3 years (unless involved in legal activity or separate arrangements have been made with awardees
and subawardees) after the date of submission of the final financial status report or final date of reconciliation of
outstanding issues (40 CFR 31.42). The records must be available and accessible to EPA (or to the state in the
case of subawards), as requested, for review or audit. The state should ensure that agreements with subaward-
ees specify outputs, milestones, and reporting and record-keeping requirements in memoranda of agreement,
contracts, or other appropriate documents. Where a subawardee will provide a portion of the state's match, the
Chapter 3. Post-award Federal Requirements for State Grants: Implementation Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
state should ensure that adequate records are kept with respect to that portion. 40 CFR 31.41 specifies that
grantees may not impose more burdensome requirements on subawardees than they are subject to themselves.
Reporting Specifications
All section 319(h) grants are subject to EPA's general grant regulations at 40 CFR parts 31 (Uniform Ad-
ministrative Requirements for Grants and Cooperative Agreements to State and Local Governments) and 35, subpart
A (Environmental Program Grants), which specify various basic grant reporting requirements for awarding grants
to states and localities. Section 319(h) contains additional provisions related to reporting, such as (1) authoriza-
tion for EPA to request information, data, and reports as necessary to determine a state's continuing eligibility
to receive section 319 grants and (2) a requirement for states to report annually on their progress in meeting
milestones, including available information on reductions of nonpoint source pollutant loadings and on improve-
ment to water quality achieved by implementing nonpoint source pollution control practices.
The basic reporting requirements specified by CWA section 319(h) are grantee performance reports, non-
point source progress reports, and financial status reports. EPA also requires reporting through the section 319
Grants Reporting and Tracking System (CRTS).
Grantee performance reports. Grantee performance reports must be submitted annually unless the report-
ing agency requires quarterly or semiannual reports (40 CFR 31.40). EPA guidelines state that these reports
should be submitted twice a year. The guidelines also specify that the performance reports be two to three pages
in length and include a performance/milestone summary, slippage reports (providing reasons for delays in meet-
ing scheduled milestones and actions taken to correct any current or anticipated problems), and any additional
pertinent information. In addition, final reports are due 90 days after the expiration or termination of grant
support (USEPA, 1996).
Financial status reports. Grant recipients are required to submit Standard Form 269 or 269a (Appendix
D) to report on the financial status of funds under each grant. States are usually required to submit these forms
once per year. Final financial status reports are due within 90 days of termination or expiration of a grant agree-
ment (40 CFR 31.41; USEPA, 1996).
Nonpoint source progress reports (annual reports). The CWA requires states to submit annual nonpoint
source progress reports, which address milestone progress, resulting decreases in pollutant loadings, and other
water quality improvements contained in not only the grant work plan but also the state's Nonpoint Source
Management Program (CWA section 319(h)(ll)). EPA suggests the following components: (1) brief summary
of progress meeting milestones and objectives; (2) milestone matrix with the applicable project, completion date,
and percent completed; (3) discussion of federal agency activities to support the state in reaching its milestones;
and (4) summary of loading reductions, water quality improvement, and measures of environmental progress
(USEPA, 1996). EPA may periodically provide updated guidance for the annual report.
Grants Reporting and Tracking System. CRTS is a Web-enabled data system that allows states and EPA
to manage and report data on section 319 grants (USEPA, 200 Ib). CRTS allows for efficient data entry and
includes password protection. States are encouraged to attach final project reports completed under their grants
to the Project Evaluation field in CRTS. If states so choose, they may let subawardees enter their project data
into the system, easing the burden on state staff. Table 2 presents the FY 2003 data elements that must be en-
tered into CRTS, based on EPA's 2001 Memorandum Regarding Reporting Requirements (200Ib). The Agency may
update this information as appropriate. Check EPA's Web site at
for the most current information.
Chapter 3. Post-award Federal Requirements for State Grants: Implementation Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Table 2. Mandated FY 2003 CRTS Elements
GRANT DOCUMENT:
Number of State Employees
Amount of 319(h) Funds Allocated to Sub-State
Recipients
PROJECT DOCUMENT:
Nonpoint Source Program or Project Title
Nonpoint Source Primary Category of Pollution
Nonpoint Source Primary Functional Category
of Activity
Nonpoint Source Secondary Category of Pol-
lution
Nonpoint Source Secondary Functional Cat-
egory of Activity
Nonpoint Source Pollutant Type
Nonpoint Source Waterbody Type
- Waterbody on 303(d) list (Yes/No)
- UWA category
- Priority for TMDL development
Stream Reach Code
HUC code
1 Nonpoint Source Budget 319(h) Funds
1 Type of Lake/Pond/Reservoir Activity (if applicable)
1 Expenditure breakdown for main source catego-
ries in Primary Category of Pollution field
1 Project Description
' Link to TMDLs checkoff
1 Load Reductions (Nutrients and/or Sediments)
1 Modeling or Monitoring checkoff
1 Name of Model
1 Wetlands/Streambanks/Shorelines
1 Best Management Practices
1 BMP Implementation Project (Yes/No)
1 Nonpoint Source Program or Project Completion
Code/Date
Nonpoint Source Program or Project Start Code/
Date
Note: Although only the above fields are required nationally, some regions and states use optional GRTS fields to
fulfill some of the other reporting requirements discussed in this section.
Responsibilities to Subawardees
States are expected to work closely with subawardees throughout the project's life, review all reporting and
financial paperwork submitted by subawardees, conduct site visits, and act as a liaison to other state programs
if needed. States are also expected to inform subawardees of the federal requirements that must be met. See
Appendix C for highlights of these requirements. States are required to include information from subawardees'
progress reports in the states' performance reports and annual reports. Finally, states are expected to properly
close out projects with grant subawardees and enter nonpoint source information into GRTS.
Post-Award Frequently Asked Questions
Q. Is the state allowed to spend 319 funds on any of the following items: food; award programs;
giveaways like t-shirts, pencils, and Frisbees; graduate school tuition; land purchase; vehicle
purchase; teacher training; meeting with other federal programs (e.g., Underground Injection
Control); other agency staff time (e.g., NRCS, USFS)?
A. States and regions should refer to OMB Circular A-87 (C). It provides basic guidelines on factors affecting
allowability and the list of selected items of cost. These guidelines will help determine allowable costs. Regions
and states should discuss questions on specific items as soon as possible. Some items are clearly prohibited (e.g.,
promotional items and entertainment). The allowability of other items (food, capital expenditures) is not as
clear and should be discussed and explained consistent with OMB Circular A-87.
Q. Can time spent in training count toward the match?
A. According to OMB Circular A-87, the cost of training provided for employee development is allowable.
Chapter 3. Post-award Federal Requirements for State Grants: Implementation Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Q. Can the project match be less than 40 percent?
A. CWA section 319(h) requires that the state match be at least 40 percent of the total program costs of the
EPA grant. However, the state may decide what match percentage is required for specific projects funded under
that grant. The project match for subawardees can vary from zero to 100 percent, depending on the state.
Q. Which federal agency funds, if any, can be counted toward the nonfederal match?
A. None.
Q. What documents must be maintained in grant files and in project files?
A. States are required to maintain all financial and programmatic records, supporting documents, statistical
records, and other pertinent information. For example, typical documents for grant files might include finan-
cial status reports, contracts, memoranda of agreement, and agreements with subawardees. Project files should
include nonpoint source progress reports.
Q. If I need to make a change to the budget or work plan, what should I do?
A. The state must seek EPAs approval for significant changes in work plan commitments or to the budget. The
state should discuss such changes in the work plan or budget with the EPA Project Officer as soon as possible.
Other changes do not require EPAs approval unless the grant agreement imposes such requirements on a spe-
cific requirement for a specific period of time. More detailed information is provided at 40 CFR 35.114-
Q. What documentation is needed for indirect cost rules?
A. Copies of the current state-negotiated rates should be included with the grant application.
Q. When the state (or subawardee) produces a report with section 319(h) funds, does it become
federal government property?
A. 40 CFR 31.34 states that EPA has the authority to reproduce, publish, or otherwise use, and to authorize oth-
ers to use for federal government purposes, the materials produced with section 319(h) funds.
Chapter 3. Post-award Federal Requirements for State Grants: Implementation Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Chapter 4
Federal Requirements for
Project Closeout Phase
Several steps must be completed for the state to close out a nonpoint source project or program grant (40
CFR 31.50). After subawardees close out their projects with the state, the state closes out its grant to EPA.
First, the state should make sure that all tasks and projects identified in the grant work plan have been
completed. If all such tasks and projects have been completed, the state should submit a final performance report
to EPA within 90 days of the grant's expiration.
In addition, within 90 days of the grant's expiration, the state should request final payment from EPA and
must submit a final financial status report. Prior to grant closeout, EPA conducts a grant evaluation. During this
phase, the grant recipient is responsible for responding to any inquiries from the EPA project officer or EPA grants
management specialist. Many grants include additional grant conditions, and the state should ensure that all such
conditions have been met. All remaining grant funds or outstanding grant funds must be reconciled. Property
purchased under the grant should be returned to EPA or disposed of per agreement. Any disposition of property
can be negotiated with EPA. Any final grant amendments should be prepared and submitted to EPA for approval
if necessary. Once the grant obligations have been met, the EPA project officer issues closeout certification. States
must retain all records for 3 years after submission of the final financial status report (40 CFR 31.42).
Project Closeout Frequently Asked Questions
Q. What documentation is needed to close out a project?
A. States should submit a final performance report, final financial status report, and any other reports required as
a condition of the grant. Contact the EPA project officer for clarification of report contents.
Q. Once the grant expires, what should be done with equipment and other items purchased with
section 319(h) grant funds?
A. 40 CFR 31.31 and 31.32 and OMB Circular A-87, Attachment B.19, discuss the requirements for disposition
of equipment and real property. Equipment and other items must be returned to EPA or disposed of per agree-
ment with the awarding agency (EPA or the state). Factors affecting disposition include cost and whether the item
is federal property. In addition, the EPA guidelines (FY 2002, FY 2003) require that states include provisions in
subcontracts and subgrants that any management practices implemented will be properly maintained for an ap-
propriate number of years.
Chapter 4. Federal Requirements for Project Closeout Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Project Closeout Checklist
Verify that work plan tasks have been completed.
Reconcile any remaining or outstanding grant funds.
Negotiate with EPA regarding disposition of property purchased with grant funds.
Submit final progress report.
Submit final project report.
Request final payment from EPA.
Submit final financial status report.
Respond to inquiries during EPA Grant Evaluation.
Retain all grant records for 3 years after submission of final financial status report.
Chapter 4. Federal Requirements for Project Closeout Phase
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
References
USEPA. 1996. Nonpoint Source Program and Grants Guidance for Fiscal Year 1997 and Future Years. U.S. Environmen-
tal Protection Agency, Office of Water, Washington, DC. .
USEPA. 1999. Memorandum from Robert H. Wayland III, Director, Office of Wetlands, Oceans, and Watersheds,
regarding Supplemental Guidance for the Award of Section 319 Nonpoint Source Grants in FY 2000. Decem-
ber 21, 1999. .
USEPA. 2000. Memorandum from Robert H. Wayland III, Director, Office of Wetlands, Oceans, and Watersheds,
regarding Supplemental Guidance for the Award of Section 319 Nonpoint Source Grants in FY 2001. No-
vember 21, 2000. .
USEPA. 200la. Memorandum from Robert H. Wayland III, Director, Office of Wetlands, Oceans, and Water-
sheds, regarding Supplemental Guidelines for the Award of Section 319 Nonpoint Source Grants to States
and Territories in FY 2002 and Subsequent Years. September 5, 2001. .
USEPA. 200 Ib. Memorandum from Robert H. Wayland III, Director, Office of Wetlands, Oceans, and Water-
sheds, regarding Modifications to Nonpoint Source Reporting Requirements for Section 319 Grants. Septem-
ber 27, 2001. .
USEPA. 2002. Memorandum from Robert H. Wayland III, Director, Office of Wetlands, Oceans, and Watersheds,
regarding Supplemental Guidelines for the Award of Section 319 Nonpoint Source Grants to States and Ter-
ritories in FY 2003. August 26, 2002. .
References
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Section 319 Grants: A Guide for State IMonpoint Source Agencies
Appendix A
Summary of Federal Statutes, Regulations,
and OMB Circulars Applicable to States
Clean Water Act Section 319
The Federal Water Pollution Control Act, as amended in 1972 and 1987, is collectively known as the Clean
Water Act (CWA). The objective of the CWA is to restore and maintain the chemical, physical, and biologi-
cal integrity of the Nation's waters and, where attainable, to achieve a level of water quality that provides for
the protection and propagation offish, shellfish, and wildlife, and for recreation in and on the water. In 1987
Congress amended the act and added section 319 for the purpose of addressing nonpoint source pollution. CWA
section 319 established baseline requirements for state and territorial nonpoint source management programs
and authorized national funding to support implementation of approved management programs. CWA section
319(h) is the principal authority for EPA funding dedicated to nonpoint source pollution control.
Title 40 (Protection of the Environment) of the Code of Federal
Regulations
Title 40 of the CFR, including parts 1 through 790, is published in October or November of each year. Only
parts 1 through 51 apply to grants. The CFR codifies changes to EPA grant regulations that have been published
in the Federal Register in the previous year (July 1 to June 30). 40 CFR parts 7, 29, 30, 31, 32, 34, and 35A per-
tain to section 319(h) grant recipients and subawardees.
Part 7 (Nondiscrimination in Program Receiving Federal Assistance from the Environmental Protec-
tion Agency). 40 CFR part 7 prohibits discrimination under any program or activity receiving EPA assistance on
the basis of race, color, national origin, gender, or handicap. Part 7 outlines the following requirements:
Submission of an assurance with a grant application that the grant applicant will comply with the
requirements of part 7.
Maintenance of compliance information during the life of the grant and for 3 years after completing the
project.
Public notification that the grantee does not discriminate on the basis of race, color, national origin,
gender, or handicap.
Part 7 also describes EPA's compliance procedures. The full text of part 7 is provided at .
Part 29 (Intergovernmental Review of Environmental Protection Agency Programs and Activities). 40
CFR part 29 requires EPA to provide an opportunity for consultation between federal representatives and state
and local elected officials. This intergovernmental review is intended to determine the views of state and local
elected officials, provide notice of proposed federal financial assistance from EPA to the state government, and
communicate specific state plans and actions as early in a program planning cycle as is reasonably feasible. The
full text of part 29 is provided at .
Appendix A. Summary of Federal Statutes, Regulations, and OMB Circulars Applicable to States
-------
Section 319 Grants: A Guide for State IMonpoint Source Agencies
Part 30 (Uniform Administrative Requirements for Grants and Agreements with Institutions of High-
er Education, Hospitals, and Other Non-Profit Organizations). 40 CFR part 30 establishes uniform admin-
istrative requirements for federal grants and agreements awarded to institutions of higher education, hospitals,
and other nonprofit organizations. Part 30 outlines pre-award policies, post-award requirements, and after-the-
award requirements, which are very similar to those covered under 40 CFR part 31 (Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments), described below. Nonprofit
organizations that implement federal programs for the states are also subject to state requirements. The full text
of part 30 is provided at < http://www.access.gpo.gov/nara/cfr/cfrhtml_00/Title_40/40cfr30_OO.html>.
Part 31 (Uniform Administrative Requirements for Grants and Cooperative Agreements to State and
Local Governments). 40 CFR part 31 establishes uniform administrative requirements for federal grants to and
agreements with state and local governments. Table A-l outlines the requirements of part 31. The full text of
part 31 is provided at .
Table A-1. Overview of 40 CFR Part 31
Specifications
Examples
Pre-award
Applicants must use Standard Form 424 to apply for federal funding
Conditions for high-risk grantees
Statutory provisions applicable to EPA assistance awards
State plan requirements
Post-award
Financial and program management
Payment processes
Cost sharing or matching specifications
Program income standards
Process for revision of budget and program plans
Audit provisions
Allowable costs
Funding period
Property standards
Equipment
Supplies
Copyrights
Procurement standards
Monitoring and reporting program performance criteria
Financial reporting on Standard Form 269
3-year retention and access specifications for project records
Quality Assurance Project Plan criteria
Termination and enforcement procedures
Subawards to debarred/suspended parties
Subgrants
After-the-award Recipient must submit all financial, performance, and other reports within
90 calendar days after the date of completion of the award
Recipient must account for any real and personal property acquired with
federal funds
Final payment or repayment specifications
Disputes
Part 32 (Governmental Debarment and Suspension [Non-Procurement]). 40 CFR part 32 states that
anyone who has been debarred or suspended by a government agency must be excluded from all federal financial
and nonfinancial assistance. By signing and submitting a section 319(h) proposal, grant applicants certify that
they have not been debarred or suspended by a government agency. Part 32 also requires that as a condition of
their grant, grantees must certify to EPA that they maintain a drug-free workplace. By signing and submitting
Appendix A. Summary of Federal Statutes, Regulations, and OMB Circulars Applicable to States
-------
Section 319 Grants: A Guide for State IMonpoint Source Agencies
the section 319 (h) proposal, the grant applicant certifies that he or she will not engage in the unlawful manu-
facture, distribution, dispensing, possession, or use of a controlled substance in conducting any activity with the
grant. The full text of Part 32 is provided at .
Part 34 (New Restrictions on Lobbying: Interim Final Rule). 40 CFR part 34 prohibits the use of federal
grant funds to influence (or attempt to influence) a federal employee. It also requires the submission of Standard
Form LLL ("Disclosure of Lobbying Activities") if nonfederal funds have been used to influence (or attempt
to influence) a federal employee. The full text of part 34 is provided at .
Part 35A (Environmental Program Grants). 40 CFR part 35, subpart A, applies to all environmental
program grants including section 319(h). It establishes administrative grant requirements that supplement the
requirements described under parts 30 and 31. Table A-2 outlines the requirements of part 35, subpart A. The
full text of part 35, subpart A, is provided at .
Table A-2. Overview of 40 CFR Part 35, Subpart A
Specifications
Post-award
Examples
Pre-award A complete application must include a proposed work plan and specify
the environmental program and amount of funds requested
An application should be submitted at least 60 days before the funding
period
Work plan requirements and guidance
Length of funding period is negotiable between the applicant and
Regional Administrator
Consolidated grant information
EPA will review a complete application and approve, conditionally
approve, or disapprove it within 60 days
Reimbursement procedures for pre-award costs
Performance evaluation criteria
Amendments and other changes
Unspent fund procedures
Performance
Partnership Grant
Eligibility
Cost share requirements
Application requirements
Additional funding through competitive grants
Nonpoint Source
Management Grant
May provide up to 60 percent of the work plan costs
Administrative costs may not exceed 1 0 percent of the grant funds
State must agree to maintenance of effort requirements
EPA must have approved the states Nonpoint Source Assessment
Report before grant approval
EPA must have approved the states Nonpoint Source Management
Program before grant approval
The states work plan must describe activities and outputs for each
nonpoint source category
The state must have made significant progress in meeting its manage-
ment program goals in the preceding year
Work plan requirements for significant watershed projects (more than
$50,000)
Appendix A. Summary of Federal Statutes, Regulations, and OMB Circulars Applicable to States
-------
Section 319 Grants: A Guide for State IMonpoint Source Agencies
Office of Management and Budget Circulars
The Office of Management and Budget (OMB) issues government-wide circulars for managing grants that
apply to all federal executive agencies. When these agencies are required to apply the directives, the effect on
grantees is often the same as regulation. OMB circulars are expected to have a continuing effect for 2 years or
more. Among the circulars relevant to grant administration are those related to administrative requirements,
cost principles, and audits. Several such circulars directly apply to section 319(h) grantsCirculars A-21, A-87,
A-102, A-122, andA-133.
A-21 (Cost Principles for Educational Institutions). Circular A-21 establishes the principles for determin-
ing costs applicable to grants with educational institutions. The full text of Circular A-21 is provided at .
A-87 (Cost Principles for State, Local, and Indian Tribal Governments). Circular A-87 establishes the
principles and standards for determining the allowable costs incurred by state, local, and federally recognized
American Indian tribal governments under grants with the federal government. All subawards are also subject
to these cost principles unless the subaward is to a college, university, hospital, or other nonprofit organiza-
tion. (Such entities are covered under different OMB circulars.) Circular A-87 provides the basic guidelines for
allowable costs (e.g., must be necessary, reasonable, authorized, and documented), as well as an explanation of
direct and indirect costs. Selected cost items are defined specifically as allowable (e.g., accounting, materials, and
supplies) or unallowable (e.g., alcoholic beverages, entertainment). The full text of Circular A-87 is provided at
.
A-102 (Grants and Cooperative Agreements with State and Local Governments). Circular A-102
establishes guidelines for consistency and uniformity in federal agencies' management of grants with state, lo-
cal, and federally recognized Indian tribal governments. The full text of Circular A-102 is provided at .
A-122 (Cost Principles for Non-Profit Organizations). Circular A-122 establishes principles for deter-
mining costs of grants with nonprofit organizations. All subawards are subject to those federal cost principles
applicable to the particular type of organization; that is, if a subaward is issued to a nonprofit organization,
this circular applies, and if a subaward is issued to a local government, Circular A-87 applies. Circular A-122
provides the basic guidelines for allowable costs (e.g., must be reasonable, allocable, and documented), as well as
an explanation of direct and indirect costs. Allocation of indirect costs, determination of indirect cost rates, and
negotiation and approval of indirect cost rates are described. Selected cost items are defined specifically as allow-
able (e.g., communication costs, professional services) or unallowable (e.g., alcoholic beverages, lobbying). The
full text of Circular A-122 is provided at .
A-133 (Audits of States, Local Governments, and Non-Profit Organizations). Circular A-133 estab-
lishes standards for obtaining consistent and uniform audits of states, local governments, and nonprofit organiza-
tions expending federal awards regardless of whether they are recipients or subawardees. Audits must be con-
ducted according to generally accepted government auditing standards. Entities that expend at least $300,000
of total federal funds in a year must have an audit conducted for that year. EPA may request program-specific
audits. The grant recipient has the following audit responsibilities:
Identify all federal awards received and expended.
Maintain awards in compliance with laws, regulations, and grant provisions.
Prepare appropriate financial statements, including the schedule of expenditures.
Ensure that audits are properly performed and submitted on time.
Follow up and take corrective action on audit findings.
Circular A-133 describes the required contents of an audit reporting package, which must be submitted to a
federal clearinghouse. Subawardees also must submit a copy of a reporting package to each pass-through entity
(e.g., state nonpoint source agency). Additional subawardee responsibilities are outlined in Circular A-133; the
full text of the circular is provided at .
Appendix A. Summary of Federal Statutes, Regulations, and OMB Circulars Applicable to States
-------
Section 319 Grants: A Guide for State IMonpoint Source Agencies
EPA Guidelines on CWA Section 319(h) Grants
EPA developed specific guidelines in May 1996 for the award of section 319(h) grants beginning in fiscal
year 1997. The guidelines describe criteria and processes for states and territories to upgrade their Nonpoint
Source Management Programs, summarize statutory and regulatory provisions that apply to the award of non-
point source grants, and provide guidance designed to assist states and territories in implementing effective pro-
grams and projects. These guidelines have been supplemented annually to reflect changes in the grant process
and criteria. The 1997 Nonpoint Source Guidance and each supplemental guidance are listed in Table A-3, along
with other section 319-related requirements. The Web site for future guidance updates also is provided.
Table A-3. EPA Guidelines
Title
Web Address
Nonpoint Source Program and Grants Guidance for
Fiscal Year 1 997 and Future Years
Process and Criteria for Funding State and Territorial
Nonpoint Source Management Programs in
FY 1 999
Supplemental Guidance for the Award of Section
319 Nonpoint Source Grants in FY 2000
Supplemental Guidelines for the Award of Section
31 9 Nonpoint Source Grants in FY 2001
Supplemental Guidelines for the Award of Section
31 9 Nonpoint Source Grants to States and Territo-
ries in FY 2002 and Subsequent Years
Supplemental Guidelines for the Award of Section
31 9 Nonpoint Source Grants to States and Territo-
ries in FY 2003
Modifications to Nonpoint Source Reporting Re-
quirements for Section 319 Grants
Further guidance updates
Appendix A. Summary of Federal Statutes, Regulations, and OMB Circulars Applicable to States
-------
Section 319 Grants: A Guide for State IMonpoint Source Agencies
Appendix
State Nonpoint Source Program
Web Sites
Table B-1. State Nonpoint Source Program Web Sites
State
Alabama
Alaska
American Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Web Site
http://www.adem.state.al.us/Education%20Div/Nonpoint%20Program/
WSNPSProgram.htm
http
Not
http
http
http
http
http
http
http
http
http
http
http
http
http
://www.state.ak.us/local/akpages/ENVCONSERV/home.htm
available
://www.adeq.state.az.us/environ/water/non/index.html
'.//www. state, ar. us/aswcc
'.//www. swrcb.ca.gov/nps/
://www.cdphe. state, co. us/op/wqcc/cnpsmpu. html
://www.dep. state, ct.us/wtr/nps/npsplsum. htm
V/www.dnrec. state. de.us/dnrec2000/Library/NPS/NPSPIan.pdf
'.//www. dep. state, fl. us/water/stormwater/grants. htm
'.//www. state, ga. us/dnr/environ
://wwwguamepa. govguam.net/programs/water/wpc. html
'.//www. state, hi . us/doh/eh/cwb/index. htm
://www2 . state, id. us/deq/water/nps/nps. htm
'.//www. epa. state, il. us/water/watershed/nonpoint-source. html
'.//www. state, in. us/idem/owm/planbr/wsm/index. html
http://www. state, ia. us/government/dnr/organiza/epd/wtresrce/
wtrres.htm
http
http
http
http
http
http
http
http
http
http
'.//www. kdhe. state, ks. us/nps/index. html
://water. nr state, ky us/dow/grants. htm
://nonpoint.deq.state.la.us/
'.//www. state, me. us/dep/blwq/watersh . htm
'.//www. dnr. state, md. us/bay/czm/nps/
://www.state.ma.us/dep/brp/wm/wmpubs.htm#nps
://www.michigan.gov/deq/0, 1 607,7-1 35-33 1 3_3682_37 1 4 00. html
'.//www. pea. state, mn. us/water/nonpoint/
://www.deq. state. ms.us/newweb/homepages.nsf
'.//www. dnr. state, mo. us/wpscd/wpcp/homewpcp. htm
Appendix B. State IMonpoint Source Program Web Sites
-------
Section 319 Grants: A Guide for State IMonpoint Source Agencies
Table B-1. State Nonpoint Source Program Web Sites (cont.)
State
Web Site
Montana
http://www.deq.state.mt.us/ppa/rpp/watershed/index.asp
Nebraska
http://www. deq. state, ne. us/
Nevada
http://ndep.state.nv.us/bwqp/npsgwp.htm
New Hampshire
http://www. des. state, nh. us/wmb/was/
New Jersey
http://www.state.nj.us/dep/watershedmgt/nps_program.htm
New Mexico
http://www. nmenv. state, nm. us/
New York
http://www. dec. state, ny. us/website/dow/bwm. htm
North Carolina
http://h2o.enr.state.nc.us/nps/
North Dakota
http://www. health.state. nd.us/wq/sw/Z 1 _NPS/A_Main. htm
Northern Marianas
Islands
http://www. deq. gov. mp/NPS/
Ohio
http://www.epa.state.oh.us/dsw/nps/index.html
Oklahoma
http://www.okcc.state.ok.us/NPSMP_fi nal_draft.pdf
Oregon
http://www.deq.state.or.us/wq/nonpoint/nonpoint.htm
Pennsylvania
http://www. dep. state, pa. us/dep/deputate/watermgt/WC/Subjects/
NonPoint.htm
Puerto Rico
South Carolina
Not available
Rhode Island http://www.state.ri.us/dem/programs/benviron/water/quality/nonpoint/
index.htm
http://www.scdhec.net/water/html/npspage.html
South Dakota
http://www. state, sd. us/denr/DFTA/WatershedProtection/wpprg. htm
Tennessee
http://www.state.tn.us/agriculture/nps/
Texas
http://www.tnrcc.state.tx.us/water/quality/nps/index.html,
http://www.tsswcb.state.tx. us/programs/319.html
U.S. Virgin Islands
Not available
Utah
http://www.deq.state.ut.us/EQWQ/documents/NPSplan.html
Vermont
http://www.anr.state.vt.us/dec/waterq/wqdhome.htm
Virginia
http://www.dcr.state.va.us/sw/npsupdt.htm
Washington
http://www.ecy.wa.gov/programs/wq/nonpoint/index.html
Washington, DC
West Virginia
http://dchealth.dc.gov/services/administration_offices/environmental/
watershed/watershed_division.shtm
http://www.dep.state.wv.us/item.cfm?ssid=l 1 &ssl id=l 68
Wisconsin
http://www.dnr.state.wi.us/org/water/wm/nps/index.htm
Wyoming
http://deq.state.wy.us/wqd/nps/npspg.htm
Appendix B. State IMonpoint Source Program Web Sites
-------
Section 319 Grants: A Guide for State IMonpoint Source Agencies
Appendix C
Federal Requirements for Section
319(h) Grants to Subawardees
Introduction
State nonpoint source agencies frequently use 319(h) grants to fund local implementation projects as
subawards. Recipients of these subawards ("subawardees") are required to meet certain federal requirements
because these are federal funds initially awarded by EPA. To facilitate compliance, a list of federal requirements
that apply to subawardees of section 319(h) grants is provided here.
Federal requirements are included in Title 40 of the CFR, OMB circulars, and EPA guidelines. Depending
on the kind of organization receiving funds (state or local agency, nonprofit, university, etc.), different regula-
tions and OMB circulars apply. For a local government, 40 CFR part 31 and OMB Circulars A-87, A-102, and
A-133 apply. 40 CFR 31.22 clearly outlines the OMB circulars for cost principles applicable to subawardees
(contract or subgrant). For an institution of higher education, hospital, or nonprofit organization, 40 CFR part
30 regulations and OMB Circulars A-110, A-122, A-133 apply.
In addition to federal requirements, states often require that subawardees meet certain state-specific
requirements, that either comply with state requirements or are needed for the state to comply with the federal
requirements.
Following are highlights of specific financial, reporting, and other federal requirements that apply to sub-
awardees of 319 funds.
Federal Grant Requirements for the Pre-award and Application Phase
Drug-free Workplace, 40 CFR 32.600 requires subawardees of section 319(h) grant funds to certify that
they maintain a drug-free workplace. By signing and submitting the section 319(h) grant application,
the applicant certifies that he or she will not engage in the unlawful manufacture, distribution, dispens-
ing, possession, or use of a controlled substance in conducting any grant-related activity.
Application or proposal, including work plan (scope of work) and budget. Subawardees of section 319 (h)
grants must develop a work plan and budget as part of their application. The work plan is negotiated
between the applicant and the state nonpoint source agency. It reflects consideration of such factors as
the requirements and criteria identified in a request for proposal, and/or state program guidance; goals,
objectives, and priorities. In general, work plans often include the following:
Work plan goals, outcomes and outputs.
- The estimated time and funding required to complete each work plan outcome and output.
Evaluation process and reporting schedule.
- Roles and responsibilities of the state and applicant.
Other state specific requirements, as appropriate.
Appendix C. Federal Requirements for Section 319(h) Grants to Subawardees
-------
Section 319 Grants: A Guide for State IMonpoint Source Agencies
Lobbying, Federal restrictions regarding lobbying are provided in 40 CFR 34.100 and OMB Circulars
A-87 and A-122. Federal grant funds may not be used to influence (or attempt to influence) a federal
employee. If nonfederal funds have been used to influence (or attempt to influence) a federal employee,
the subawardee must submit Standard Form LLL ("Disclosure of Lobbying Activities").
N(indiscrimination. 40 CFR 7.30 prohibits discrimination under any program or activity receiving EPA
assistance on the basis of race, color, national origin, gender, handicap, or age. It also requires that
recipients of federal funds provide public notification that they do not discriminate (40 CFR 7.95).
Grant Requirements for the Post-award Phase
As in the pre-award and application phase, the subawardee must meet several requirements after receiving
the award.
Competition. 40 CFR 31.36 requires that all procurement transactions be conducted in a way that pro-
vides open and free competition. Purchases for projects must be made on a competitive basis to ensure
that fair and reasonable prices are obtained for goods and services. Federal regulations require docu-
mentation of cost or price analysis in connection with every procurement action regardless of amount.
Conflict of Interest. 40 CFR 31.36 requires standards of conduct to avoid conflict of interest. Recipients
of federal funds may not participate in the selection, award, or administration of a contract if real or
apparent conflict of interest would result.
Copyrights. 40 CFR 31.34 grants EPA a royalty-free, nonexclusive, and irrevocable license to repro-
duce, publish, or otherwise use, and to authorize others to use for federal government purposes, (1) the
copyright in any work developed under a subgrant, or contract under a grant or subgrant, and (2) any
rights of copyright to which a subawardee or a contractor purchases ownership with grant support.
Financial Specifications. Financial requirements for subawardees of section 319 (h) grant funds are
categorized by the following topics: allowable costs, matching funds, and state-specific requirements
regarding the payment process.
- Allowable costs. All costs charged to EPA grants must be eligible, necessary, and reasonable for
performing the tasks outlined in the approved project work plan. The costs, including match, must
be incurred during the period of performance of the project. The costs also must be allowable,
meaning that the costs must conform to specific federal requirements (40 CFR parts 30 and 31;
OMB Circulars A-87 and A-122). In addition, costs must be well documented.
Financial management. 40 CFR 31.20 requires that subawardees meet specific standards regarding
financial reporting, accounting records, internal control, budget control, allowable cost, source
documentation, and cash management.
Matching funds. Matching funds are the portion of the allowable project costs that the subawardee
(or third party) contributes to a grant or cooperative agreement. Subawardees may be required
to provide matching funds, although the percent amount varies from state to state. All matching
funds must conform to the same laws, regulations, and grant conditions as the federal funds in
the grant (CWA section 319(h)(3), 40 CFR 35.265). Subawardees should check with their state
project officer for state-specific matching fund requirements.
Payment processes. EPAs payments for subawardees' contractors (excluding overhead) is limited to
the maximum daily rate for a GS-18. Maximum daily rates may change annually or more often.
The current 2003 rate is set at $513.60. This amount does not include transportation and sub-
sistence costs, in accordance with normal travel reimbursement practices. Subawardees may pay
consultants more than this amount, but the excess amount may not be paid with federal grant
funds. State-determined payment processes are used to pay subawardees. The length of time for
subawardees to receive payment from states varies by state (Public Law 99-591, 40 CFR 31.36(j)).
Appendix C. Federal Requirements for Section 319(h) Grants to Subawardees
-------
Section 319 Grants: A Guide for State IMonpoint Source Agencies
Operation and Maintenance. Subawardees are required to properly operate and maintain any manage-
ment practices implemented with 319 funds (USEPA, 1996).
Procurement Methods. Subawardees may use their own procurement procedures provided that the pro-
cedures conform to applicable federal laws and standards as described in 40 CFR 31.36. Subawards may
not be made to any party that has been debarred or suspended or is considered ineligible for participa-
tion in federal assistance programs.
- Contracting with small and minority businesses. Recipients of section 319(h) grants that employ
subcontractors must comply with the six affirmative steps described in 40 CFR 31.36 to ensure that
minority- and women-owned firms are used when possible.
Property Management. Property management and procedures are detailed in 40 CFR part 31 and
OMB Circulars A-21, A-87, and A-122. Property (e.g., equipment, supplies) purchased in whole or in
part with federal funds should be itemized. Property purchased with these funds must be returned to
the state nonpoint source agency or EPA or disposed of per agreement with the awarding agency upon
completion of the project (or termination of the contract).
Quality Assurance. When environmental data are being collected during the course of a section 319
project, a Quality Assurance Project Plan (QAPP) must be followed in accordance with specific EPA
guidelines (40 CFR 31.45 and 30.54). QAPPs outline the procedures that a monitoring project will
use to make sure that samples are collected, data are stored, and reports are written to ensure qual-
ity high enough to meet the needs of the project. Subawardees should discuss QAPP requirements
with the state as early in the grant process as possible. Specific guidelines on writing a QAPP are
provided at and .
Record-Keeping Specifications. Section 319 grant recipients are required to retain all records pertaining
to federally sponsored activities or projects for 3 years after the date of submission of the final financial
status report or final date of reconciliation of outstanding issues (40 CFR 31.42). The records must be
available and accessible to the state or EPA, as requested, for review or audit.
Reporting Specifications. All section 319 (h) grants are subject to EPA's general grant regulations at
40 CFR parts 31 and 35, subpart A, which specify various basic grant reporting requirements. Section
319(h) contains additional provisions.
The basic reporting requirements specified include subaward performance reports, nonpoint source
progress reports, and financial status reports, although states might refer to them by different names,
such as project report or NPS project progress report (CWA section 319(h)). States may also require
subawardees to report project information through the section 319 Grants Reporting and Tracking
System (CRTS). See Table 2 in Chapter 4 for examples of CRTS information that might be requested.
Reporting requirements for the subawardees are identified in their agreement with the state nonpoint
source agency. Although there are no specific federal reporting requirements for subawardees, the sub-
award agreement is often tailored to enable the states to comply with state requirements and to acquire
the information needed to comply with the federal requirements. States often require subawardees to
submit expenditure reports, progress reports, draft and final reports, and other information necessary for
project tracking and closeout.
Grant Requirements for the Project Closeout Phase
The subawardee must close out its nonpoint source project grant with the state by completing several steps
(40 CFR 31.50). Requirements are state-specific and should be discussed with the awarding agency. The follow-
ing are examples of what could be required by the state.
Complete All Project Tasks, The subawardee should make sure that all tasks identified in the project
work plan have been completed.
Appendix C. Federal Requirements for Section 319(h) Grants to Subawardees
-------
Section 319 Grants: A Guide for State IMonpoint Source Agencies
Submit Final Project Report, The subawardee should also prepare a final project report, in which the
subawardee presents a summary of the project. Format and content requirements are state-specific, and
therefore the subawardee should check with the awarding entity on their reporting requirements.
Request Final Payment. Within a specified time after the grant's expiration, per agreement with the state,
the subawardee should request final payment.
Submit a Final Financial Status Report, Within a specified time after the grant's expiration, per agreement
with the state, the subawardee should submit a final financial status report.
Additional Responsibilities. The subawardee is responsible for responding to any inquiries from the state
project officer or grants management specialist. All remaining grant funds or outstanding grant funds
must be reconciled. Property purchased under the grant should be returned to the state or disposed of
per agreement. Any dispositions concerning property can be negotiated with the state. All records must
be retained for 3 years (40 CFR 31.50).
Appendix C. Federal Requirements for Section 319(h) Grants to Subawardees
-------
Section 319 Grants: A Guide for State IMonpoint Source Agencies
Appendix D
Federal Forms
Pre-Award
Standard Form 424 ("Application for Federal Assistance")
Standard Form 424A ("Budget Information")
Standard Form 424B ("Assurances")
EPA Form 4700-4 ("Preaward Compliance Review Report")
EPA Form 5700-49 ("Certification Regarding Debarment, Suspension, and Other
Responsibility Matters")
Certification Regarding Lobbying
Standard Form LLL ("Disclosure of Lobbying Activities")
Post-Award
Standard Form 270 ("Request for Advance or Reimbursement")
EPA Form 5 700-5 2A ("MBE/WBE Utilization Report")
Standard Form 269 ("Financial Status Report")
Appendix D. Federal Forms
-------
APPLICATION FOR
OMB Approval No. 0348-0043
FEDERAL ASSISTANCE 2 DATE SUBMITTED
1. TYPE OF SUBMISSION:
Application
I I Construction
I I Non-Construction
3. DATE RECEIVED BY STATE
Preapplication
G Construction 4. DATE RECEIVED BY FEDERAL AGENCY
I I Non-Construction
5. APPLICANT INFORMATION
Legal Name:
Address (give city, county, State, and zip code):
6. EMPLOYER IDENTIFICATION NUMBER (EIN):
n- nnr
8. TYPE OF APPLICATION:
DNew
nnn
n Continuation d Revision
If Revision, enter appropriate letter(s) in box(es)
A. Increase Award B. Decrease Award C. Increase Duration
D. Decrease Duration Olher(specify):
10. CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER:
TITLE:
JU-UUL
12. AREAS AFFECTED BY PROJECT (Cities, Counties, States, etc.):
13. PROPOSED PROJECT
Start Date Ending Date
Applicant Identifier
State Application Identifier
Federal Identifier
Organizational Unit:
Name and telephone number of person to be contacted on matters involving
this application (give area code)
7. TYPE OF APPLICANT: (enter appropriate letter in box)
A. State
B. County
C. Municipal
D. Township
E. Interstate
F. Intermunicipal
G. Special District
H. Independent School Uist.
I. State Controlled Institution of Higher Learning
J. Private University
K. Indian Tribe
L. Individual
M. Profit Organization
N. Other (Specify)
9. NAME OF FEDERAL AGENCY:
11. DESCRIPTIVE TITLE OF APPLICANT'S PROJECT:
14. CONGRESSIONAL DISTRICTS OF:
a. Applicant
15. ESTIMATED FUNDING:
a. Federal
b. Applicant
c. State
d. Local
e. Other
f. Program Income
g. TOTAL
$00
.
$00
.
$00
.
$00
.
$00
.
-------
INSTRUCTIONS FOR THE SF-424
Public reporting burden for this collection of information is estimated to average 45 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0043), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
This is a standard form used by applicants as a required facesheetfor preapplications and applications submitted for Federal assistance. It
will be used by Federal agencies to obtain applicant certification that States which have established a review and comment procedure in
response to Executive Order 12372 and have selected the program to be included in their process, have been given an opportunity to review
the applicant's submission.
Item:
1.
2.
3.
4.
Entry:
Self-explanatory.
Date application submitted to Federal agency (or State if
applicable) and applicant's control number (if applicable).
State use only (if applicable).
If this application is to continue or revise an existing award,
enter present Federal identifier number. If for a new project,
leave blank.
Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
Item: Entry:
12. List only the largest political entities affected (e.g., State,
counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-
kind contributions should be included on appropriate
lines as applicable. If the action will result in a dollar
change to an existing award, indicate only the amount
of the change. For decreases, enclose the amounts in
parentheses. If both basic and supplemental amounts
are included, show breakdown on an attached sheet.
For multiple program funding, use totals and show
breakdown using same categories as item 15.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
16. Applicants should contact the State Single Point of
Contact (SPOC) for Federal Executive Order 12372 to
determine whether the application is subject to the
State intergovernmental review process.
9.
"New" means a new assistance award.
"Continuation" means an extension for an additional
funding/budget period for a project with a projected
completion date.
- "Revision" means any change in the Federal
Government's financial obligation or contingent
liability from an existing obligation.
Name of Federal agency from which assistance is being
requested with this application.
17. This question applies to the applicant organization, not
the person who signs as the authorized representative.
Categories of debt include delinquent audit
disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's
authorization for you to sign this application as official
representative must be on file in the applicant's office.
(Certain Federal agencies may require that this
authorization be submitted as part of the application.)
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than one
program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real
property projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
SF-424 (Rev. 7-97) Back
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-------
INSTRUCTIONS FOR THE SF-424A
Public reporting burden for this collection of information is estimated to average 180 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0044), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget,
adhere to any existing Federal grantor agency guidelines which
prescribe how and whether budgeted amounts should be
separately shown for different functions or activities within the
program. For some programs, grantor agencies may require
budgets to be separately shown by function or activity. For other
programs, grantor agencies may require a breakdown by function
or activity. Sections A, B, C, and D should include budget
estimates for the whole project except when applying for
assistance which requires Federal authorization in annual or
other funding period increments. In the latter case, Sections A, B,
C, and D should provide the budget for the first budget period
(usually a year) and Section E should present the need for
Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary Lines 1-4 Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring
a functional or activity breakdown, enter on Line 1 under Column
(a) the Catalog program title and the Catalog number in Column
(b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of
each activity or function on each line in Column (a), and enter the
Catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a
breakdown by function or activity, enter the Catalog program title
on each line in Column (a) and the respective Catalog number on
each line in Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity,
prepare a separate sheet for each program requiring the
breakdown. Additional sheets should be used when one form
does not provide adequate space for all breakdown of data
required. However, when more than one sheet is used, the first
page should provide the summary totals by programs.
Lines 1-4, Columns (c) through (g)
For new applications, leave Column (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the
project for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of
funds which will remain unobligated at the end of the grant
funding period only if the Federal grantor agency instructions
provide for this. Otherwise, leave these columns blank. Enter in
columns (e) and (f) the amounts of funds needed for the
upcoming period. The amount(s) in Column (g) should be the
sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In
Column (g) enter the new total budgeted amount (Federal and
non-Federal) which includes the total previous authorized
budgeted amounts plus or minus, as appropriate, the amounts
shown in Columns (e) and (f). The amount(s) in Column (g)
should not equal the sum of amounts in Columns (e) and (f).
Line 5 - Show the totals for all columns used.
Section B Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4,
Column (a), Section A. When additional sheets are prepared for
Section A, provide similar column headings on each sheet. For
each program, function or activity, fill in the total requirements for
funds (both Federal and non-Federal) by object class categories.
Line 6a-i - Show the totals of Lines 6a to 6h in each column.
Line 6j - Show the amount of indirect cost.
Line 6k - Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total
amount in column (5), Line 6k, should be the same as the total
amount shown in Section A, Column (g), Line 5. For
supplemental grants and changes to grants, the total amount of
the increase or decrease as shown in Columns (1)-(4), Line 6k
should be the same as the sum of the amounts in Section A,
Columns (e) and (f) on Line 5.
Line 7 - Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount, Show under the program
SF-424A (Rev. 7-97) Page 3
-------
INSTRUCTIONS FOR THE SF-424A (continued)
narrative statement the nature and source of income. The
estimated amount of program income may be considered by the
Federal grantor agency in determining the total amount of the
grant.
Section C. Non-Federal Resources
Lines 8-11 Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a) - Enter the program titles identical to
Column (a), Section A. A breakdown by function or
activity is not necessary.
Column (b) - Enter the contribution to be made by the
applicant.
Column (c) - Enter the amount of the State's cash and
in-kind contribution if the applicant is not a State or
State agency. Applicants which are a State or State
agencies should leave this column blank.
Column (d) - Enter the amount of cash and in-kind
contributions to be made from all other sources.
Column (e) - Enter totals of Columns (b), (c), and (d).
Line 12 - Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column
(f), Section A.
Section D. Forecasted Cash Needs
Line 13 - Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14 - Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15 - Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for
Balance of the Project
Lines 16-19 - Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or
activity is not necessary. For new applications and continuation
grant applications, enter in the proper columns amounts of Federal
funds which will be needed to complete the program or project over
the succeeding funding periods (usually in years). This section
need not be completed for revisions (amendments, changes, or
supplements) to funds for the current year of existing grants.
If more than four lines are needed to list the program titles, submit
additional schedules as necessary.
Line 20 - Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21 - Use this space to explain amounts for individual direct
object class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal grantor
agency.
Line 22 - Enter the type of indirect rate (provisional, predetermined,
final or fixed) that will be in effect during the funding period, the
estimated amount of the base to which the rate is applied, and the
total indirect expense.
Line 23 - Provide any other explanations or comments deemed
necessary.
SF-424A (Rev. 7-97) Page 4
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OMB Approval No. 0348-0040
ASSURANCES - NON-CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0040), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
NOTE: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such
is the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1. Has the legal authority to apply for Federal assistance
and the institutional, managerial and financial capability
(including funds sufficient to pay the non-Federal share
of project cost) to ensure proper planning, management
and completion of the project described in this
application.
2. Will give the awarding agency, the Comptroller General
of the United States and, if appropriate, the State,
through any authorized representative, access to and
the right to examine all records, books, papers, or
documents related to the award; and will establish a
proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.
5. Will comply with the Intergovernmental Personnel Act of 7.
1970 (42 U.S.C. §§4728^763) relating to prescribed
standards for merit systems for programs funded under
one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to:
(a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352)
which prohibits discrimination on the basis of race, color
or national origin; (b) Title IX of the Education 8.
Amendments of 1972, as amended (20 U.S.C. §§1681-
1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation
Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of handicaps; (d)
the Age Discrimination Act of 1975, as amended (42
U.S.C. §§6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) §§523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee
3), as amended, relating to confidentiality of alcohol
and drug abuse patient records; (h) Title VIII of the
Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as
amended, relating to nondiscrimination in the sale,
rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being
made; and, (j) the requirements of any other
nondiscrimination statute(s) which may apply to the
application.
Will comply, or has already complied, with the
requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L. 91-646) which provide for
fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or
federally-assisted programs. These requirements apply
to all interests in real property acquired for project
purposes regardless of Federal participation in
purchases.
Will comply, as applicable, with provisions of the
Hatch Act (5 U.S.C. §§1501-1508 and 7324-7328)
which limit the political activities of employees whose
principal employment activities are funded in whole or
in part with Federal funds.
Previous Edition Usable
Authorized for Local Reproduction
Standard Form 424B (Rev. 7-97)
Prescribed by OMB Circular A-102
-------
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act
(40 U.S.C. §276c and 18 U.S.C. §874), and the Contract
Work Hours and Safety Standards Act (40 U.S.C. §§327-
333), regarding labor standards for federally-assisted
construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires
recipients in a special flood hazard area to participate in the
program and to purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and
Executive Order (EO) 11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in
floodplains in accordance with EO 11988; (e) assurance of
project consistency with the approved State management
program developed under the Coastal Zone Management
Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of
Federal actions to State (Clean Air) Implementation Plans
under Section 176(c) of the Clean Air Act of 1955, as
amended (42 U.S.C. §§7401 et seq.); (g) protection of
underground sources of drinking water under the Safe
Drinking Water Act of 1974, as amended (P.L. 93-523);
and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-
205).
12. Will comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. §§1271 et seq.) related to protecting
components or potential components of the national
wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance
with Section 106 of the National Historic Preservation
Act of 1966, as amended (16 U.S.C. §470), EO 11593
(identification and protection of historic properties), and
the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a-1 etseq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and
related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of
1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 et
seq.) pertaining to the care, handling, and treatment of
warm blooded animals held for research, teaching, or
other activities supported by this award of assistance.
16. Will comply with the Lead-Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 et seq.) which
prohibits the use of lead-based paint in construction or
rehabilitation of residence structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit
Act Amendments of 1996 and OMB Circular No. A-133,
"Audits of States, Local Governments, and Non-Profit
Organizations."
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies
governing this program.
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL
TITLE
APPLICANT ORGANIZATION
DATE SUBMITTED
Standard Form 424B (Rev. 7-97) Back
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&EPA
Washington, DC 20460
Preaward Compliance Review Report for
All Applicants Requesting Federal Financial Assistance
FORM Approved
OMB No. 2030-0020
Expires 12-31-05
Note: Read instructions before completing form.
I. A. Applicant (Name, City, State) B. Recipient (Name, City, State)
C. EPA Project No.
II. Brief description of proposed proj ect, program or activity.
III. Are any civil rights lawsuits or complaints pending against applicant and/or recipient? If
yes, list those complaints and the disposition of each complaint.
IV. Have any civil rights compliance reviews of the applicant and/or recipient been conducted
by any Federal agency during the two years prior to this application for activities which would
receive EPA assistance? If yes, list those compliance reviews and status of each review.
V. Is any other Federal financial assistance being applied for or is any other Federal financial
assistance being applied to any portion of this project, program or activity? If yes, list the other
Federal Agency(s), describe the associated work and the dollar amount of assistance.
| | Yes LJ No
| | Yes LJ No
| | Yes LJ No
VI. If entire community under the applicant' s jurisdiction is not served under the existing facilities/services, or will not be
served under the proposed plan, give reasons why.
VII. Population Characteristics
1 . A. Population of Entire Service Area
B. Minority Population of Entire Service Area
2. A. Population Currently Being Served
B. Minority Population Currently Being Served
3. A. Population to be Served by Project, Program or Activity
B. Minority Population to be Served by Project, Program or Activity
4. A. Population to Remain Without Service
B. Minority Population to Remain Without Service
VII. Will all new facilities or alterations to existing facilities financed by these funds be
designed and constructed to be readily accessible to and usable by handicapped persons? If no,
explain how a regulatory exception (40 CFR 7.70) applies.
Number of People
| | Yes LJ No
IX. Give the schedule for future projects, programs or activities (or of future plans), by which services will be provided to all
beneficiaries within applicant's jurisdiction. If there is no schedule, explain why.
X. I certify that the statements I have made on this form and all attachments thereto are true, accurate and complete. I
acknowledge that any knowingly false or misleading statement may be punishable by fine or imprisonment or both under
applicable law.
A. Signature of Authorized Official B. Title of Authorized Official C. Date
For the U.S. Environmental Protection Agency
1 1 Approved 1 1 Disapproved Authorized EPA Official Date
EPA Form 4700-4 (Rev. 1/90) Previous editions are obsolete.
-------
Instructions for EPA FORM 4700-4 (Rev. 1/90)
General
Recipients of Federal financial assistance
from the U.S. Environmental Protection Agency
must comply with the following statutes.
Title VI of the Civil Rights Acts of 1964
provides that no person in the United States
shall, on the grounds of race, color, or
national origin, be excluded from
participation in, be denied the benefits of,
or be subjected to discrimination under any
program or activity receiving Federal
financial assistance.
The Act goes on to explain that the title
shall not be construed to authorize action
with respect to any employment practice of any
employer, employment agency, or labor
organization (except where the primary
objective of the Federal financial assistance
is to provide employment).
Section 13 of the 1972 Amendments to the
Federal Water Pollution Control Act provides
that no person in the United States shall on
the ground of sex, be excluded from
participation in, be denied the benefits of,
or be subjected to discrimination under the
Federal Water Pollution Control Act, as
amended. Employment discrimination on the
basis of sex is prohibited in all such
programs or activities.
Section 504 of The Rehabilitation Act of 1973
provides that no otherwise qualified
handicapped individual shall solely by reason
of handicap be excluded from participation in,
be denied the benefit of, or be subjected to
discrimination under any program or activity
receiving Federal financial assistance.
Employment discrimination on the basis of
handicap is prohibited in all such programs or
activities.
The Age Discrimination Act of 1975 provides
that no person on the basis of age shall be
excluded from participation under any program
or activity receiving Federal financial
assistance. Employment discrimination is not
covered. Age discrimination in employment is
prohibited by the Age Discrimination in
Employment Act administered by the
Equal Employment Opportunity Commission.
Title IX of the Education Amendments of 1972
provides that no person on the basis of sex
shall be excluded from participation in, be
denied the benefit of, or be subjected to
discrimination under any education program or
activity receiving Federal financial
assistance. Employment discrimination on the
basis of sex is prohibited in all such
education programs or activities. Note: an
education program or activity is not limited
to only those conducted by a formal
institution.
The information on this form is required to
enable the U.S. Environmental Protection
Agency to determine whether applicants and
prospective recipients are developing
projects, programs and activities on a
nondiscriminatory basis as required by the
above statutes.
Submit this form with the original and
ITEMS
IA. "Applicant" means any entity that files
an application or unsolicited proposal or
otherwise requests EPA assistance.
IB. "Recipient" means any entity, other
than applicant, which will actually
receive EPA assistance.
1C. Self-explanatory.
II. Self-explanatory.
III. "Civil rights lawsuits" means any
lawsuit or complaint alleging
discrimination on the basis of race,
color, national origin, sex, age, or
handicap pending against the applicant
and/or entity, which actually benefits
from the grant. For example, if a city is
the named applicant but the grant will
actually benefit the Department of
Sewage, civil rights lawsuits involving
both the city and the Department of
Sewage should be listed.
IV. "Civil rights compliance review" means
any review assessing the applicant and/or
recipient's compliance with laws
prohibiting discrimination on the basis
of race, color, national origin, sex,
age, or handicap. If any part of the
review covered the entity, which will
actually benefit from the grant, it
should be listed.
V. Self-explanatory.
VI. The word "community" refers to the area
under the applicant and/or recipient's
jurisdiction. The "community" might be
a university or laboratory campus, or a
community within a large city. If there
is significant disparity between minority
and nonminority populations to receive
service, not otherwise satisfactorily
explained, the Regional office may
require a map, which indicates the
minority and nonminority population
served by this project, program or
activity.
VII. This information is required so that
reviewers may determine if a disparity in
the proposed provision of services will
exist in the event the application is
approved for funding. Give population of
recipient's jurisdiction, broken out by
categories as specified.
In the event the applicant cannot provide
the requested information because the funds
will be distributed over a wide demographic
area, which is yet to be determined, an
explanation may be provided on a separate
sheet. For example, a State applying for a
capitalization grant under the State
Revolving Fund program may not know which
cities and counties will apply for, and
receive, SRF loans.
'III. Self-explanatory.
IX. "Jurisdiction" means the geographical
area over which applicant has the
authority to provide service.
-------
required copies of applications, requests for
extensions, requests for increase of funds,
etc. Updates of information are all that are
required after the initial application
submission.
If any item is not relevant to the project for
which assistance is requested, write "NA"
for "Not Applicable."
In the event applicant is uncertain about how
to answer certain questions, EPA program
officials should be contacted for
clarification.
X. Self-explanatory.
"Burden Disclosure Statement"
EPA estimates public reporting burden for the
preparation of this form to average 30 minutes
per response. This estimate includes the time
for reviewing instructions, gathering and
maintaining the data needed and completing and
reviewing the form. Send comments regarding the
burden estimate, including suggestions for
reducing this burden, to Chief, Information
Policy Branch, PM-223, U.S. Environmental
Protection Agency, 401 M Street, S.W.,
Washington, D.C. 20460; and to the Office of
Information and Regulatory Affairs, Office of
Management and Budget, Washington, D.C. 20503.
-------
Environmental Protection Agency
EPA Project Control Number
United States Envronmental Protection Agency
Washington, DC 20460
Certification Regarding
Debarment, Suspension, and Other Responsibility Matters
The prospective participant certifies to the best of its knowledge and belief that it and the principals:
(a) Are not presently debarred , suspended, proposed for debarment, declared ineligible, or volu ntarily
excluded from covered transactions by any Federal department or agency;
(b) Have not within a three year period preceding th is proposal been convicted oforhada civil
judg men t rendered against them for com mission of fraud or a criminal offense in connection with
obtaining , attempting to obtain,or performing a pu blic (Federal, State, or local) transaction or
contract under a public transaction : violation of F ed era I or S tate antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of records, making false
statements, or receiving stolen property;
(c) Are not presently indicted for otherwise criminally or civilly charged by a government entity
(Federal, State, or local) with comm ission of any of the offenses enumerated in paragraph (1) (b) of
this certification; and
(d) Have not within a th ree-yea r pe riod preceding th is application/proposal had one or more public
transactions (Federal, State, or local) terminated or cause or default.
I understand tha t a fa Ise s tate me nt o n th is ce rtific atio n m ay b e g rou nd for rejection of this proposal or
termination of the award. In addition, under 18 USC Sec. 1001, a false statement may result in a fine of up
to $10,000 or imprisonmentforup to 5 years, orboth.
Typed Name & Title of Authorized Representative
Signature of Authorized Representative Date
I am unable to certify to the above statements. My explanation is attached.
EPA Form 5700-49 (11-88)
-------
United States
Environmental Protection Agency
EPA Project Control Number
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTRACTS, GRANTS,
LOANS. AND COOPERATIVE AGREEMENTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Memb er of Congress in connection with the awarding of any
Federal contract, the making of any Federal grant, the making of any Federal loan, the
entering into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress in connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and submit Standard Form-
LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the
award documents for all sub-awards at all tiers (including sub-contracts, sub-grants,
and contracts under grants, loans, and cooperative agreements) and that all sub-
recipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for
making or entering into this transaction imposed by section 1352, title 31 U.S. Code. Any
person who fails to file the required certification shall be subject to a civil penalty of not less
than $10,000 and not more than $100,000 for each such failure.
Typed Name & Titleof Authorized Representative
Signature o f Authorized Representative Date
-------
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(See reverse for public burden disclosure.)
Approved by OMB
0348-0046
1. Type of Federal Action:
a. contract
b. grant
c. cooperative agreement
d. loan
e. loan guarantee
f. loan insurance
2. Status of Federal Action:
a. bid/offer/application
b. initial award
c. post-award
3. Report Type:
a. initial filing
b. material change
For Material Change Only:
year quarter
date of last report
4. Name and Address of Reporting Entity:
Q Prime D Subawardee
Tier , if known:
Congressional District, if known:
5. If Reporting Entity in No. 4 is a Subawardee, Enter Name
and Address of Prime:
Congressional District, if known:
6. Federal Department/Agency:
7. Federal Program Name/Description:
CFDA Number, if applicable:
8. Federal Action Number, if known:
9. Award Amount, if known:
$
10. a. Name and Address of Lobbying Registrant
(if individual, last name, first name, Ml):
b. Individuals Performing Services (including address if
different from No. 10a)
(last name, first name, Ml):
A A Information requested through this form is authorized by title 31 U.S.C. section
1352. This disclosure of lobbying activities is a material representation of fact
upon which reliance was placed by the tier above when this transaction was made
or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This
information will be reported to the Congress semi-annually and will be available for
public inspection. Any person who fails to file the required disclosure shall be
subject to a civil penalty of not less that $10,000 and not more than $100,000 for
each such failure.
Signature: _
Print Name:
Title:
Telephone No.
Date:
Federal Use Only:
Authorized for Local Reproduction
Standard Form LLL (Rev. 7-97)
-------
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal
action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make
payment to any lobbying entity for influencing or attempting to influence an officer or employeeof any agency, a Member of Congress, an officer or employee of
Congress, or an employeeof a Member of Congress in connection with a covered Federal action. Complete all items that apply for both the initial filing and material
change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a followup report caused by a material change to the information previously reported, enter
the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal
action.
4. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional District, if known. Check the appropriateclassification
of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee
of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks "Subawardee,"then enter the full name, address, city, State and zip code of the prime Federal
recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizationallevel below agency name, if known. For
example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance
(CFDA) number for grants, cooperative agreements, loans, and loan commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number;
Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number
assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan
commitment for the prime entity identified in item 4 or 5.
10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting
entity identified in item 4 to influence the covered Federal action.
(b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and
Middle Initial (Ml).
11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.
According to the Paperwork Reduction Act, as amended.no persons are required to respond to a collection of information unless it displays a valid OMB Control
Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is
estimated to average 10 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden, to the Office of Managementand Budget, Paperwork Reduction Project (0348-0046), Washington,
DC 20503.
-------
REQUEST FOR ADVANCE
OR REIMBURSEMENT
(See instructions on back)
3. FEDERAL SPONSORING AGENCY AND ORGANIZATIONAL ELEMENT TO
WHICH THIS REPORT IS SUBMITTED
6. EMPLOYER IDENTIFICATION
NUMBER
7. RECIPIENT'S ACCOUNT NUMBER
OR IDENTIFYING NUMBER
OMB APPROVAL NO.
0348-0004
a. "X" one or both boxes
1 D ADVANCE n REIMBURSE-
TYPEOF MENT
PAYMENT b. "X" the applicable box
REQUESTED Q RNAL Q pART|AL
4. FEDERAL GRANT OR OTHER
IDENTIFYING NUMBER ASSIGNED
BY FEDERAL AGENCY
PAGE OF
| PAGES
2. BASIS OF REQUEST
DCASH
D ACCRUAL
5. PARTIAL PAYMENT REQUEST
NUMBER FOR THIS REQUEST
8. PERIOD COVERED BY THIS REQUEST
FROM (month, day, year)
TO (month, day, year)
9. RECIPIENT ORGANIZATION
Name:
Number
and Street:
City, State
and ZIP Code:
10. PAYEE (Where check is to be sent if different than item 9)
Name:
Number
and Street:
City, State
and ZIP Code:
11.
COMPUTATION OF AMOUNT OF REIMBURSEMENTS/ADVANCES REQUESTED
PROGRAMS/FUNCTIONS/ACTIVITIES ^>
a. Total program
outlays to date
(As of date)
b. Less: Cumulative program income
c. Net program outlays (Line a minus
line b)
d. Estimated net cash outlays for advance
period
e. Total (Sum of lines c & d)
f. Non-Federal share of amount on line e
g. Federal share of amount on line e
h. Federal payments previously requested
i. Federal share now requested (Line g
minus line h)
j- Advances required by
month, when requested
by Federal grantor
agency for use in making
prescheduled advances
1 st month
2nd month
3rd month
(a)
$
0.00
0.00
0.00
(b)
$
0.00
0.00
0.00
(c)
$
0.00
0.00
0.00
TOTAL
$ 0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
12.
ALTERNATE COMPUTATION FOR ADVANCES ONLY
a. Estimated Federal cash outlays that will be made during period covered by the advance
b. Less: Estimated balance of Federal cash on hand as of beginning of advance period
c. Amount requested (Line a minus line b)
$
$ 0.00
AUTHORIZED FOR LOCAL REPRODUCTION (Continued on Reverse) STANDARD FORM 270 (Rev. 7-97)
Prescribed by OMB Circulars A-1 02 and A-1 1 0
-------
13 CERTIFICATION
I certify that to the best of my
knowledge and belief the data on the
reverse are correct and that all outlays
were made in accordance with the
grant conditions or other agreement
and that payment is due and has not
been previously requested.
SIGNATURE OR AUTHORIZED CERTIFYING OFFICIAL
TYPED OR PRINTED NAME AND TITLE
DATE REQUEST
SUBMITTED
TELEPHONE (AREA
CODE, NUMBER,
EXTENSION)
This space for agency use
Public reporting burden for this collection of information is estimated to average 60 minutes per
response, including time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Send
comments regarding the burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork
Reduction Project (0348-0004), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT
AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
Item
INSTRUCTIONS
Please type or print legibly. Items 1, 3, 5, 9, 10, 11e, 11f, 11g, 11i, 12 and 13 are self-explanatory; specific
instructions for other items are as follows:
Entry Item Entry
2 Indicate whether request is prepared on cash or accrued
expenditure basis. All requests for advances shall be
prepared on a cash basis.
4 Enter the Federal grant number, or other identifying
number assigned by the Federal sponsoring agency. If
the advance or reimbursement is for more than one grant
or other agreement, insert N/A; then, show the aggregate
amounts. On a separate sheet, list each grant or
agreement number and the Federal share of outlays
made against the grant or agreement.
6 Enter the employer identification number assigned by the
U.S. Internal Revenue Service, or the FICE (institution)
code if requested by the Federal agency.
7 This space is reserved for an account number or other
identifying number that may be assigned by the recipient.
8 Enter the month, day, and year for the beginning and
ending of the period covered in this request. If the request
is for an advance or for both an advance and
reimbursement, show the period that the advance will
cover. If the request is for reimbursement, show the
period for which the reimbursement is requested.
Note: The Federal sponsoring agencies have the option of
requiring recipients to complete items 11 or 12, but not
both. Item 12 should be used when only a minimum
amount of information is needed to make an advance and
outlay information contained in item 11 can be obtained in
a timely manner from other reports.
11 The purpose of the vertical columns (a), (b), and (c) is to
provide space for separate cost breakdowns when a
project has been planned and budgeted by program,
function, or
activity. If additional columns are needed, use as many
additional forms as needed and indicate page number in
space provided in upper right; however, the summary
totals of all programs, functions, or activities should be
shown in the "total" column on the first page.
11a Enter in "as of date," the month, day, and year of the
ending of the accounting period to which this amount
applies. Enter program outlays to date (net of refunds,
rebates, and discounts), in the appropriate columns. For
requests prepared on a cash basis, outlays are the sum
of actual cash disbursements for goods and services,
the amount of indirect expenses charged, the value of in-
kind contributions applied, and the amount of cash
advances and payments made to subcontractors and
subrecipients. For requests prepared on an accrued
expenditure basis, outlays are the sum of the actual
cash disbursements, the amount of indirect expenses
incurred, and the net increase (or decrease) in the
amounts owed by the recipient for goods and other
property received and for services performed by
employees, contracts, subgrantees and other payees.
11b Enter the cumulative cash income received to date, if
requests are prepared on a cash basis. For requests
prepared on an accrued expenditure basis, enter the
cumulative income earned to date. Under either basis,
enter only the amount applicable to program income that
was required to be used for the project or program by
the terms of the grant or other agreement.
11d Only when making requests for advance payments,
enter the total estimated amount of cash outlays that will
be made during the period covered by the advance.
13 Complete the certification before submitting this request.
STANDARD FORM 270 (Rev. 7-97) Back
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OMB CONTROL NO.2030-0020
APPROVED: 9/12/96
APPROVAL EXPIRES: 9/30/02
U.S. ENVIRONMENTAL PROTECTION AGENCY
MBE/WBE UTILIZATION UNDER FEDERAL GRANTS, COOPERATIVE
AGREEMENTS, AND INTERAGENCY AGREEMENTS
PART 1. (NEGATIVE REPORTS ARE REQUIRED)
1A. FEDERAL FISCAL YEAR
200
1B. REPORTING QUARTER (Check appropriate box)
1st(Oct-Dec) 2nd (Jan-Mar) 3rd (Apr-Jun) 4th (Jul-Sep)
Annual
2. FEDERAL FINANCIAL ASSISTANCE AGENCY
(EPA Office Address)
3. REPORTING RECIPIENT (Name and Address)
2A. REPORTING CONTACT
PHONE:
3A. REPORTING CONTACT
PHONE:
4A. FINANCIAL ASSISTANCE AGREEMENT ID NUMBER
4B. FEDERAL FINANCIAL ASSISTANCE PROGRAM
5A. TOTAL GRANT AMOUNT
5B. TOTAL CONTRACT/PROCUREMENT AMOUNT THIS QUARTER
5C. RECIPIENT'S MBE/WBE GOALS
MBE %
MBE
5D. ACTUAL MBE/WBE PROCUREMENT ACCOMPLISHED THIS REPORTING PERIOD
MBE $ WBE $
5E. NEGATIVE REPORT (Check)
SEE INSTRUCTIONS
6. COMMENTS:
7. NAME OF AUTHORIZED REPRESENTATIVE
TITLE
8. SIGNATURE OF AUTHORIZED REPRESENTATIVE
DATE
EPA FORM 5700-52A - (5/96)
-------
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-------
INSTRUCTIONS
MBE/WBE UTILIZATION UNDER FEDERAL GRANTS, COOPERATIVE AGREEMENTS,
AND INTERAGENCY AGREEMENTS
EPA FORM 5700-52A
A. General Instructions:
MBE/WBE utilization is based on Executive Orders 11625,
12432, P.L., 102-389 and EPA Regulation Part 30 and 31.
EPA Form 5700-52A must be completed by recipients of
federal grants, cooperative agreements, or other Federal
financial assistance which involve procurement of
supplies, equipment, construction or services to
accomplish Federal assistance programs.
Recipients are required to report to EPA within one month
following the end of each federal fiscal year quarter or
annually as in the agreement.
B. Definitions:
Procurement is the acquisition through order, purchase,
lease or barter of supplies, equipment, construction or
services needed to accomplish Federal assistance
programs.
A contract is a written agreement between an EPA
recipient and another party (other than another public
agency) and any lower tier agreement for equipment,
services, supplies, or construction necessary to complete
the project. Includes personal and professional services,
agreements with consultants, and purchase orders.
A minority business enterprise (MBE) is a business
concern that is (1) at least 51 percent owned by one or
more minority individuals, or, in the case of a publicly
owned business, at least 51 percent of the stock is owned
by one or more minority individuals; and (2) whose daily
business operations are managed and directed by one or
more of the minority owners.
U.S. citizenship is required. Recipients shall presume that
minority individuals include Black Americans, Hispanic
Americans, Native Americans, Asian Pacific Americans,
or other groups whose members are found to be
disadvantaged by the Small Business Act or by the
Secretary of Commerce under section 5 or Executive
Order 11625. The reporting contact at EPA can provide
additional information.
A woman business enterprise (WBE) is a business
concern that is, (1) at least percent owned by one or more
women, or, in the case of a publicly owned business, at
least 51 percent of the stock is owned by one or more
women and (2) whose daily business operations are
managed and directed by one or more of the women
owners.
Business firms which are 51 percent owned by minorities
or women, but are in fact managed and operated by non-
minority individuals do not qualify for meeting MBE/WBE
procurement goals.
The following affirmative steps for utilizing MBEs and
WBEs are required to be documented:
1. Inclusion of MBEs/WBEs on solicitation lists.
2. Assure MBEs/WBEs are solicited once they are
identified.
3. Where feasible, divide total requirements into
smaller tasks to permit maximum MBE/WBE
participation.
4. Where feasible, establish delivery schedules
which will encourage MBE/WBE participation.
5. Encourage use of the services of the U.S.
Department of Commerce's Minority Business
Development Agency (MBDA) and the U.S. Small
Business Administration to identify MBEs/WBEs.
6. Require that each party to subgrant,
subagreement, or contract award take the
affirmative steps outlined here.
C. Instructions for Part I:
1. Complete Federal fiscal year and check
applicable reporting box quarterly or annually.
(Federal fiscal year runs from October 1 through
September 30).
2. "Will be provided by EPA".
3. Identify the agency, state authority, university or
other organization which is the recipient of the
Federal financial assistance and the person to
contact concerning this report.
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4a. Grant/cooperative agreement or Interagency
Agreement number assigned by EPA. Refer back
to grant document for this information.
4b. Refer back to grant document for this information.
5a. Total grant amount which includes Federal funds
plus recipient matching funds and funds from
other sources.
5b. Total contracts/procurements awarded this
quarter. For example: Actual dollars for
procurement from the procuring office; actual
contracts let from the contracts office; actual
goods, services, supplies, etc., from othersources
including the central purchasing/procurement
centers).
5c. Portion of the total procurement dollars recipient
plans to spend with MBEs and WBEs this fiscal
year. With the concurrence of EPA, a fair share
goal shall be determined by each recipient.
5d. Dollar amounts awarded under this reporting
period. (These amounts include the Federal,
State and local shares in the procurement
awards).
5e. Check only if no procurements were made this
reporting period. (If dollar amounts are shown in
5d. Indicate reason in 6. Comments Section).
6. Additional comments or explanations. Please
refer to specific item number(s), if appropriate.
7. Name and title of official administrator or
designated reporting official.
8. Signature and month, day, year report submitted.
D. Instructions for Part II:
For each MBE/WBE procurement made under this
assistance agreement during the reporting period, provide
the following information:
1. Check whether this is a first tier procurement
made directly by Federal financial assistance
recipient or other second tier procurement made
by recipient's subagrantee or prime contractor.
Include all qualifying second tier purchases
executed this quarter regardless of when the first
tier procurement occurred.
2. Check MBE or WBE.
3. Dollar value of procurement.
4. Date of award, shown as month, day, year.
5. Using codes at the bottom of the form, identify
type of product or service acquired through this
procurement (e.g., enter 1 if agriculture, 2 if
mining, etc.).
6. Name and address of MBE/WBE firm. This data
is requested to comply with provisions mandated
by: statue or regulations (40 CFR Part 30 and 31);
OMB Circulars; or added by EPA to ensure sound
and effective assistance management. Accurate,
complete data are required to obtain funding,
while not pledge of confidentiality is provided.
The public reporting and recording burden for this
collection of information is estimated to average 1 hour
effort, or financial resources expended by persons to
generate, maintain, retain, or disclosure or provide
information to or for a federal agency. This includes the
time needed to review instructions, develop, acquire,
install, and utilize technology and systems for the
purposes of collecting, validating, and verifying
information, processing and maintaining information, and
disclosing and providing information; adjust the existing
ways to comply with any previously applicable instructions
and requirements; train personnel to be able to respond to
a collection of information; search data resources;
complete and review the collection of information; and
transmit or otherwise disclose the information. An agency
may not conduct or sponsor, and a person is not required
to respond to, collection of information unless it displays
a currently valid OMB control number.
Send comments on the Agency's need for this
information, the accuracy of the provided burden
estimates, and any suggested methods for minimizing
respondent burden, including through the use of
automated collection techniques to the Director, OPPE
Regulatory information Division, U.S. Environmental
Protection Agency (2136), 401 M Street, S.W.,
Washington, D.C. 20460. Include the OMB Control
number in any correspondence. Do not send the
completed form to this address.
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FINANCIAL STATUS REPORT
(Long Form)
(Follow instructions on the back)
1 . Federal Agency and Organizational Element
to Which Report s Submitted
2. Federal Grant or Other Identifying Number Assigned
By Federal Agency
OMB Approval Page of
No.
0348-0039
pages
3. Recipient Organization (Name and complete address, including ZIP code)
4. Employer Identification Number
8. Funding/Grant Period (See instructions)
From: (Month, Day, Year)
5. Recipient Account Number or Identifying Number
To: (Month, Day, Year)
10. Transactions:
a. Total outlays
b. Refunds, rebates, etc.
c. Program income used in accordance with the deduction alternative
d. Net outlays (Line a, less the sum of lines b and c)
Recipient's share of net outlays, consisting of:
e. Third party (in-kind) contributions
f. Other Federal awards authorized to be used to match this award
g. Program income used in accordance with the matching or cost
sharing alternative
h. All other recipient outlays not shown on lines e, f or g
i. Total recipient share of net outlays (Sum of lines e, f, g and h)
j. Federal share of net outlays (line d less line i)
k. Total unliquidated obligations
I. Recipient's share of unliquidated obligations
m. Federal share of unliquidated obligations
n. Total Federal share (sum of lines j and m)
o. Total Federal funds authorized for this funding period
p. Unobligated balance of Federal funds (Line o minus line n)
Program income, consisting of:
q. Disbursed program income shown on lines c and/or g above
r. Disbursed program income using the addition alternative
s. Undisbursed program income
t. Total program income realized (Sum of lines q, r and s)
11. Indirect
Expense
6. Final Report
D Yes D No
9. Period Covered by this Report
From: (Month, Day, Year)
I
Previously Reported
0.00
0.00
0.00
This Period
0.00
0.00
0.00
7. Basis
D Cash D Accrual
To: (Month, Day, Year)
III
Cumulative
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
a. Type of Rate (Place "X" in appropriate box)
O Provisional D Predetermined D Final D Fixed
b. Rate
c. Base
d. Total Amount e. Federal Share
12. Remarks: Attach any explanations deemed necessary or information required by Federal sponsoring agency in compliance with
governing legislation.
13. Certification:
I certify to the best of my knowledge and belief that this report is correct and complete and that all outlays and
unliquidated obligations are for the purposes set forth in the award documents.
Typed or Printed Name and Title
Signature of Authorized Certifying Official
Telephone (Area code, number and extension)
Date Report Submitted
August 27, 2009
Previous Edition Usable
NSN 7540-01-012-4285
269-104
200-498 P.O. 139 (Face)
Standard Form 269 (Rev. 7-97)
Prescribed by OMB Circulars A-102 and A-110
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FINANCIAL STATUS REPORT
(Long Form)
Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments
regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0039), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND
BUDGET.
Please type or print legibly. The following general instructions explain how to use the form itself. You may need additional
information to complete certain items correctly, or to decide whether a specific item is applicable to this award. Usually,
such information will be found in the Federal agency's grant regulations or in the terms and conditions of the award (e.g.,
how to calculate the Federal share, the permissible uses of program income, the value of in-kind contributions, etc.). You
may also contact the Federal agency directly.
Item
Entry
Item
Entry
1, 2 and 3. Self-explanatory.
4. Enter the Employer Identification Number (EIN)
assigned by the U.S. Internal Revenue Service.
5. Space reserved for an account number or other
identifying number assigned by the recipient.
6. Check yes only if this is the last report for the
period shown in item 8.
7. Self-explanatory.
8. Unless you have received other instructions from
the awarding agency, enter the beginning and
ending dates of the current funding period. If this is
a multi-year program, the Federal agency might
require cumulative reporting through consecutive
funding periods. In that case, enter the beginning
and ending dates of the grant period, and in the rest
of these instructions, substitute the term "grant
period" for "funding period."
9. Self-explanatory.
10. The purpose of columns, I, II, and III is to show the
effect of this reporting period's transactions on
cumulative financial status. The amounts entered in
column I will normally be the same as those in
column III of the previous report in the same
funding period. If this is the first or only report of
the funding period, leave columns I and II blank. If
you need to adjust amounts entered on previous
reports, footnote the column I entry on this report
and attach an explanation.
10a. Enter total gross program outlays. Include
disbursements of cash realized as program income
if that income will also be shown on lines 10c or
10g. Do not include program income that will be
shown on lines 10r or 10s.
For reports prepared on a cash basis, outlays are
the sum of actual cash disbursements for direct
costs for goods and services, the amount of indirect
expense charged, the value of in-kind contributions
applied, and the amount of cash advances and
payments made to subrecipients. For reports
prepared on an accrual basis, outlays are the sum
of actual cash disbursements for direct charges for
goods and services, the amount of indirect expense
incurred, the value of in-kind contributions applied,
and the net increase or decrease in the amounts
owed by the recipient for goods and other property
received, for services performed by employees,
contractors, subgrantees and other payees, and
other amounts becoming owed under programs for
which no current services or performances are
required, such as annuities, insurance claims, and
other benefit payments.
10b. Enter any receipts related to outlays reported on the
form that are being treated as a reduction of expenditure
rather than income, and were not already netted out of
the amount shown as outlays on line 10a.
10c. Enter the amount of program income that was used in
accordance with the deduction alternative.
Note: Program income used in accordance with other
alternatives is entered on lines q, r, and s. Recipients
reporting on a cash basis should enter the amount of
cash income received; on an accrual basis, enter the
program income earned. Program income may or may
not have been included in an application budget and/or
a budget on the award document. If actual income is
from a different source or is significantly different in
amount, attach an explanation or use the remarks
section.
10d, e, f, g, h, i and j. Self-explanatory.
10k. Enter the total amount of unliquidated obligations,
including unliquidated obligations to subgrantees and
contractors.
Unliquidated obligations on a cash basis are obligations
incurred, but not yet paid. On an accrual basis, they are
obligations incurred, but for which an outlay has not yet
been recorded.
Do not include any amounts on line 10k that have been
included on lines 10a and 10j.
On the final report, line 10k must be zero.
101. Self-explanatory.
10m. On the final report, line 10m must also be zero.
10n, o, p, q, r, s and t. Self-explanatory.
11a. Self-explanatory.
11b. Enter the indirect cost rate in effect during the reporting
period.
11c. Enter the amount of the base against which the rate
was applied.
11d. Enter the total amount of indirect costs charged during
the report period.
11e. Enter the Federal share of the amount in 11d.
Note: If more than one rate was in effect during the period
shown in item 8, attach a schedule showing the bases
against which the different rates were applied, the
respective rates, the calendar periods they were in
effect, amounts of indirect expense charged to the
project, and the Federal share of indirect expense
charged to the project to date.
SF-269 Back (Rev. 7-97)
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