Guidelines and Requirements for Applying for Grants
from the Clean Water Indian Set-Aside (CWISA) Program
Revised Guidelines
July 2013
Effective Date:
FINAL DRAFT
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1 EPA-800-B-13-001
2 July 2013
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i TABLE OF CONTENTS
2 I. Introduction 1
3 A. Background 1
4 B. Program Goals and Performance Measures 2
5 C. Program Overview 3
6 II. Program Funding 5
7 A. Allocation of Funds to EPA Regions 5
8 B. Transfer Authority between the Tribal Set Aside Programs 7
9 III. Project Eligibility 8
10 A. Recipient Eligibility 8
11 B. Project Eligibility 8
12 IV. Project Selection 11
13 A. IMS Sanitary Deficiency System 11
14 B. Selection Procedures 12
15 C. Coordination with Partners on Project Selection 13
16 D. Reprogramming Funds from Headquarters to Regions 13
17 V. Project Initiation 14
18 A. Project Award 14
19 B. Direct Grants and Interagency Agreements 14
20 1. Direct Grant 15
21 2. Interagency Agreement 16
22 C. Indian Self-Determination Act 18
23 VI. Ongoing Project Management 18
24 A. Construction and Purchasing Requirements 18
25 B. Tribal Direct Implementation Nexus (TDI Nex) 18
26 C. Unobligated Funds 19
27 D. Unliquidated Obligations 19
28 E. Quality Assurance Project Plan 19
29 F. Onsite Septic Systems 20
30 G. Project Close-Out Procedures 20
31 VII. OWM and Regional Program Responsibilities 20
32 A. OWM Responsibilities 20
33 B. Regional Responsibilities 21
34 C. CWISA Contacts 22
35
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1 Appendices 23
2 Appendix A. Section 518(c) of the Clean Water Act A-l
3 Appendix B. Delegations of Authority for CWISA Grant Funds B-l
4 Appendix C. Federal Cross-Cutting Authorities C-l
5 Appendix D. Guidelines on the Inter-Program Transfer Authority D-l
6 Appendix E. Preliminary Engineering Report Template E-l
7 Appendix F. EPA Tribal Clean Water Program TDI Nex Data Entry Guidelines F-l
8 Appendix G. Project Types/Infrastructure Categories G-l
9 Appendix H. Grant Management and Oversight Requirements H-l
10 Appendix I. NEPA Exemption Memo for CWISA Direct Grants 1-1
11 Appendix J. Interagency Agreement (IA) Standard Terms and Conditions J-l
12
is List of Figures
14 Figure 1: CWISA Program Roles and Responsibilities 4
15 Figure 2: IMS Areas and EPA Regions 6
16 Figure 3: Overview of Transfer Authority Process 7
17
is List of Tables
19 Table 1: IMS Sanitation Deficiency Level Descriptions 3
20 Table 2: FY 2012 Clean Water Indian Set-Aside Funding Allocations by IMS Area 6
21
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i I. INTRODUCTION
2 The U.S. Environmental Protection Agency (EPA) Office of Wastewater Management (OWM) developed
3 these guidelines to document the current policies and procedures for the Clean Water Indian Set-Aside
4 (CWISA) Program. The program mission is to protect public health and the environment and increase
5 access to wastewater sanitation facilities for tribes. The CWISA Program was established by the 1987
6 amendments to the Clean Water Act (CWA). It is governed by Section 518(c) of the CWA (Appendix A),
7 which allows EPA to provide funding for the planning, design, and construction of wastewater treatment
8 plant facilities that serve federally recognized Indian Tribes, Alaska Native Villages (ANV), and certain
9 tribes in Oklahoma (referred to herein as "tribes"). The EPA Administrator has delegated the authority
10 to award grants to tribes for wastewater infrastructure to the EPA Regions (Appendix B), which are
11 responsible for the administration of the regional CWISA programs.
12
13 These guidelines are designed to support consistency and transparency in program management to
14 further EPA's mission and to meet CWISA Program goals and objectives. They apply to the overall CWISA
15 Program, including how funds are allocated to regions, responsibilities of regions in administering the
16 CWISA Program, and overall administrative policies. These guidelines also define approaches for project
17 eligibility, priority, and selection.
18 A. Background
19 From its inception in 1987 through federal fiscal year (FFY) 1990, Congress funded the CWISA Program
20 by setting aside a percentage of funds appropriated for the Construction Grant Program (Title II of the
21 CWA). In 1987, the Clean Water State Revolving Fund (CWSRF) Program was established (Title VI of the
22 CWA). The CWSRF Program provides capitalization grant funding primarily to states, which in turn
23 provide assistance to municipalities in the form of low interest rate loans for wastewater treatment
24 projects.1
25
26 Beginning in FFY 1992, Congress provided EPA the authority to take a 0.5% set-aside from CWSRF
27 appropriation. The CWISA Program allocates its portion of CWSRF funds as grants. Tribes may apply for
28 CWSRF loan funds from the state in which the project is located in addition to requesting grant funding
29 through the CWISA Program.
30
31 In 1989, EPA drafted Guidelines and Requirements for Applying for Grants from the Clean Water Indian
32 Set-Aside Program, which was then revised in 1995. This 2013 guidelines document replaces and
33 supersedes the 1989 and 1995 documents. In 2007, EPA published the Clean Water Indian Set-Aside
34 Grant Program Frequently Asked Questions (referred to as the FAQ), which offered more succinct
35 information about the CWISA Program to potential applicants. The FAQ is scheduled to be revised and
36 republished in 2013/2014. Tribes interested in applying for CWISA Program funds should consult the
37 FAQ available from the CWISA Program or online at http://www.epa.gov/cwisa.
38
39 Although guidelines and requirements for the CWISA Program are based on the requirements of the
40 Construction Grants Program found in 40 CFR Part 35, Subpart I, as well as the general grant
41 requirements found in 40 CFR Part 31, CWISA Program requirements are more flexible and
42 administratively simpler. As per the 1989 guidelines:
43
1 Clean Water Act authority to fund CWISA ended in 1990 with the end of the construction grants program. EPA
did not have Congressional authority to fund CWISA in 1991.
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1 Some aspects of this special set-aside program are somewhat different and more flexible than
2 the Construction Grants Program ... The Indian Set-Aside Program simplifies administrative
3 requirements. However, existing Construction Grant Program materials will be used to the
4 extent they are compatible.
5
6 This 2013 guideline update followed the recent Evaluation of the Drinking Water and Clean Water
7 Infrastructure Tribal Set-Aside Grant Programs final report (March 2011). Recommendations from this
8 report on improving coordination between EPA Headquarters and the regions to reach the program's
9 goals and to protect public health and the environment, are incorporated into the revised policies and
10 procedures discussed herein.
11
12 There are a number of federal laws, executive orders, and government-wide policies that apply
13 additional terms to projects and activities receiving federal financial assistance, regardless of the
14 requirements of the CWA. These "cross-cutting federal authorities" include environmental laws such as
15 the National Historic Preservation Act, the Wild and Scenic Rivers Act, social and economic policy
16 authorities such as Executive Orders on Equal Employment Opportunity, and government-wide
17 debarment and suspension rules. These cross-cutting authorities apply to all EPA assistance agreements
18 (both grants and interagency agreements [lAs] with Indian Health Service). A list of these cross-cutting
19 laws is contained in Appendix C. A more detailed description of the Federal laws, Executive Orders,
20 Office of Management and Budget (OMB) Circulars, and their implementing regulations is available
21 through the Office of Grants and Debarment (OGD) Grants Intranet website at
22 http://intranet.epa.gov/ogd/ or through the Regional Grants Management Office.
23 B. Program Goals and Performance Measures
24 The CWISA Program's primary goal is to protect public health and the environment in Indian country by
25 increased access to basic sanitation facilities for tribal residents. By working towards this goal, the
26 program is also supporting EPA's FY2011-2015 Strategic Plan as well as the Government Performance
27 and Results Act (GPRA) structure, which is used to measure EPA's progress in meeting its strategic goals.
28 Currently, Goal 2 of EPA's Strategic Plan, Protecting America's Waters, Objective 2.1: Protect and
29 Restore Watersheds and Aquatic Ecosystems, contains one measure by which the CWISA Program is
30 evaluated:
31
32 Number of American Indian and Alaska Native homes provided access to basic sanitation in
33 coordination with other federal agencies (cumulative). (By 2015: 77,600 homes) (Measure #
34 WQ-24)
35
36 At the CWISA Program level, OWM tracks the percent of American Indian and Alaska Native homes
37 lacking access to basic sanitation in accordance with EPA's Strategic Plan and evaluates the
38 improvements to this performance measure over time. The definition of access to basic sanitation is
39 related to the deficiency level (DL) of the tribal homes within an Indian Health Service (IHS) Area
40 community as assigned by the IHS, which ranges between 1 and 5, with DL 5 being the greatest
41 deficiency to access (Table 1).
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1 Table 1: IMS Sanitation Deficiency Level Descriptions
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
Sanitation
Deficiency Level
DL5
DL4
DL3
DL2
DL1
that lacks a safe water supply and a sewage disposal
Description
An Indian tribe or communit
system.
An Indian tribe or community with a sanitation system which lacks either a safe water
supply system or a sewage disposal system.
An Indian tribe or community with a sanitation system which has an inadequate or
partial water supply and a sewage disposal facility that does not comply with applicable
water supply and pollution control laws, or has no solid waste disposal facility.
An Indian tribe or community with a sanitation system which complies with all
applicable water supply and pollution control laws, and in which the deficiencies relate
to capital improvements that are necessary to improve the facilities in order to meet the
needs of such tribe or community for domestic sanitation facilities.
An Indian tribe or community with a sanitation system which complies with all
applicable water supply and pollution control laws, and in which the deficiencies relate
to routine replacement, repair, or maintenance needs. A minimum level of technical
assistance is required from the IHS. Note: Level 1 deficiencies are the responsibility of
the respective tribe or others. Level 1 deficiencies will have lower priority ranking and
will not be on the list requesting funding but will be reported to Congress as a
| deficiency.
Source: Guide for Reporting Sanitation Deficiencies for Indian Homes and Communities: Working Draft (May 2003). IHS, Office
of Environmental Health and Engineering, Division of Sanitation Construction, available online at: http://www.ihs.gov/dsfc/
Progress is made towards this measure when funded projects decrease the initial deficiency level of
homes from either 5 or 4, which represent homes that lack access to basic sanitation, to a final DL of 3,
2, or I.
In 2000 the United States made commitments at the World Summit on Sustainable Development and
agreed to support a United Nations Millennium Development Goal to improve access to safe drinking
water and basic sanitation around the world. As one way to meet this commitment, the CWISA Program
coordinates nationally with other federal partners through the Tribal Infrastructure Task Force (ITF) to
measure and improve the performance of tribal programs to meet the goal of increased access. The ITF
is an inter-agency group initiated under a 2007 memorandum of understanding (MOU) among EPA, IHS,
U.S. Department of Agriculture (USDA), Department of the Interior (DOI), and Department of Housing
and Urban Development (HUD). In November 2011, the task force refocused its commitment to support
increased access to basic sanitation (and safe drinking water) in Indian country by encouraging increased
sustainability of tribal infrastructure. In March 2013 the ITF federal partners confirmed their
commitment to coordinate and share resources by signing an MOU renewal to provide sustainable,
long-term access to safe drinking water and basic sanitation in Indian Country. The CWISA Program will
work with the ITF2 and its partners to the greatest extent practicable in meeting CWISA and ITF goals
and objectives.
C. Program Overview
There are many active partners that participate in the CWISA Program. Each has responsibilities
throughout the different stages of the program, from developing these Guidelines, project selection,
dispersing funds, and managing project construction progress. Figure 1 provides an overview of the
CWISA Program activities and the overarching roles and responsibilities of agencies and offices that
2 More ITF information including the MOU are at: http://www.epa.gov/tp/trprograms/infra-water.htm
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1 participate in the program. The primary partners are EPA Headquarters, Interagency Agreement Shared
2 Service Center (IASSC) West, EPA's Grants Management Office (GMO), EPA Regions, IMS, and
3 tribes/ANVs.
4 Figure 1: CWISA Program Roles and Responsibilities
Headquarters
IASSC or GMO
Region
IHS
Tribe/ANV
r
Select
projects*
^
.
Report
projects to
HQ*
Consult with Regions on project
selection
Reprogram
funds*
EPA and IHS enter into IA
1
EPA and Tribe/ANV enter into
direct grant
r"
^-\
Report on
measures*
Report
project
progress
Closeout project
* Actions associated with the transfer authority may also apply to these activities (see Section H.B.).
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i II. PROGRAM FUNDING
2 The award funding process for the CWISA Program begins with Congressional appropriation of funds to
3 the EPA Clean Water SRF Program. OWM then issues an annual memo to regions about the availability
4 of tribal set aside funds and the amount by IMS area. Regions identify eligible projects and submit these
5 projects to OWM. OWM in turn reprograms funds to regions for these projects, and regions begin the
6 award process by consulting with IMS and tribes about administering program funds to specific projects.
7 A. Allocation of Funds to EPA Regions
8 Funding for the CWISA Program is provided as a percentage of appropriations to the SRF Program. The
9 CWA declares that the CWISA Program will receive 0.5% of the overall SRF appropriation; however, over
10 time the annual Congressional appropriations have increased the percentage to 2%. The percentage is
11 defined annually in the appropriation from Congress and can change in future appropriations.
12
13 The amount of funding available to an EPA Region is based on its tribal wastewater needs, as identified
14 in the IMS Sanitary Deficiency System (SDS) database. The SDS database maintains an inventory of
15 sanitation deficiencies for new and existing Indian homes and communities. The database is updated
16 annually to account for inflation and changing state and federal standards; to add new deficiencies; and
17 to delete deficiencies that have been addressed by projects funded by IMS and other entities such as
18 EPA. Annually in November, a "snapshot" of the database is taken and projects listed in the system at
19 that time are the only ones considered when projects are identified for the FFY appropriations. As noted
20 later in these guidelines, only projects listed in the SDS database are eligible for CWISA Program funds.
21
22 Under ordinary circumstances, the President submits a budget request to Congress in early February of
23 each year to fund the following FFY. Once funds are appropriated by Congress and OWM receives
24 notification of the final CWISA Program budget for that FFY, OWM will distribute a memo describing the
25 CWISA funding for that fiscal year and how it is allocated. The distribution of funds is based on an IMS
26 Area's percentage of total wastewater need in the SDS database. For example, if an IMS Area has 15% of
27 the total need listed in the SDS database, than that Area Office is allocated 15% of the annual CWISA
28 Congressional allotment. The needs calculations are based on IMS identified feasible3 wastewater need,
29 not total wastewater need. As an example, Table 2 describes the FFY 2012 wastewater (sewer) need and
30 CWISA regional funding allocations.
31
32 As demonstrated in Table 2, EPA Regions and IMS Area boundaries differ (Figure 2). In some instances,
33 an EPA Region may overlap more than one IMS Area, and more than one EPA Region can be in a single
34 IMS Area. Given that funding is allocated based on identified need by IMS Area, regions within the same
35 IMS Area are to work together to prioritize projects in that Area. Regions and IMS Area Offices should
36 plan to coordinate on project selection and prioritization to achieve maximum impact, reduce
37 duplication of effort, and leverage resources to support program goals.
3 Feasible is defined by IMS as economically feasible based primarily on the threshold unit costs set for each state.
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1 Table 2: FY 2012 Clean Water Indian Set-Aside Funding Allocations by IMS Area
IMS Area
Aberdeen
Albuquerque
Anchorage
Bemidji
Billings
California
Navajo
Nashville
Oklahoma City
Phoenix
Portland
Tucson
TOTAL:
FY12 Wastewater Pe
M««,l *
u,.,-^-
$33,616,368
$42,756,756
$167,099,242
$29,067,490
$17,909,012
$48,501,139
$90,649,197
$15,944,900
$82,947,890
$32,826,410
$32,710,426
$1,800,000
$595,828,830
rcent of Total
Sewer Need
5.6%
7.2%
28.0%
4.9%
3.0%
8.1%
15.2%
2.7%
13.9%
5.5%
5.5%
0.3%
100%
FY12 EPA CWISA
Funding Level
$1,643,737
$2,090,674
$8,170,640
$1,421,311
$875,696
$2,371,557
$4,432,467
$779,657
$4,055,897
$1,605,111
$1,599,439
$88,014
$29,134,200
EPA Region
Applicability
7&8
6&8
10
5
8
9
6, 8&9
1, 2, 4 & 6
6&7
8&9
10
9
2
3
4
*Sewer (wastewater) need calculated from the November 1, 2011 SDS database snapshot.
Figure 2: IMS Areas and EPA Regions
Indian Health Service (IHS) Areas &
Environmental Protection Agency (EPA) Regions
Aberdeen
Alaska
Albuquerque
Bemidji
Billings
California
Nashville
Navajo
Oklahoma City
Phoenix
Portland
Tucson
"Source: IHS GIS
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1 For planning purposes, the CWISA regional funding levels can be estimated from the President's budget.
2 This may be useful to a region if it is evaluating the potential to transfer funds between the CWISA
3 Program and the Drinking Water Infrastructure Grant Tribal Set-Aside (DWIG-TSA) Program as discussed
4 below in Section II. B.
5
6 Once OWM notifies regions of the allotments by IMS Area, regions have 60 days to select projects and
7 notify OWM of their allocation of funds to the tribes. OWM will reprogram funds to the regions after
8 their projects have been identified and approved by OWM. It should be noted that all funds that support
9 projects for the Navajo Nation are administered through EPA Region 9.4 The Catalog of Federal
10 Domestic Assistance (CFDA) code for the CWISA program is the same as for the CWSRF, which is 66.458,
11 Capitalization Grants for Clean Water State Revolving Funds.
12 B. Transfer Authority between the Tribal Set Aside Programs
13 In FFY 2012, Congress provided EPA with the authority to transfer funds between the DWIG-TSA and
14 CWISA Programs up to an amount that is equivalent to 33% of a region's DWIG-TSA allotment. EPA
15 began implementing this authority in FFY 2013. The transferred funds may be used to fund projects that
16 are related to either drinking water or clean water infrastructure and will provide the greatest public
17 health benefit to tribes. To determine the amount of funds that could be transferred in each region,
18 OWM and the Office of Ground Water and Drinking Water (OGWDW) provide funding levels based on
19 EPA Regions. For the first transfer within each region the Regional Administrator must obtain EPA
20 Headquarters' concurrence. For transfers subsequent to the first transfer, the regions are to consult
21 with EPA Headquarters through notification of the intent to transfer and a transfer justification. Figure 3
22 provides an overview of the transfer process for both the CWISA and DWIG-TSA Programs. Appendix D
23 contains the guidelines that outline the process for an inter-program funds transfer.
24
25 Figure 3: Overview of Transfer Authority Process
Regional Allotment Calculations
OWM/OGWDW includes allotments and maximum amount available for transfer.
Notification of Transfer
Regi o n s n o t ify 0 WM / 0 G WD W of i n teres 11 o t r a n sf er f u n d s.
Transfer Justification
Regions submit justification to OWM/OGWDW (See Requirements in Appendix D).
Transfer Justification Review
Justification reviewed by OWM/OGWDW.
26
Funds deprogramming
Upon consultation (concurrence for first regional transfer^OWM/OGWDWreprograms
September 9, 1991. Memorandum of Agreement between the Navajo Nation and EPA Regions 6, 8 and 9
Regarding the Implementation of Environmental Standards and Regulations on the Navajo Nation.
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i III. PROJECT ELIGIBILITY
2 Project eligibility is based on both the funding recipient and the type of project activity. Applicants
3 themselves must be eligible recipients of funds. CWISA Program funds can only be used for projects that
4 will increase a tribe's or ANV's access to wastewater sanitation, and these projects must be listed in the
5 IMS SDS database. The following sections provide details on who can receive CWISA Program funds and
6 how regions can determine which project activities are eligible for funding.
7 A. Recipient Eligibility
8 Any Indian tribe, band, group, or community recognized by the Bureau of Indian Affairs is eligible for
9 funding through the CWISA Program, unless they have been deemed ineligible to receive federal funds
10 by another agency or department of the federal government. Former Indian reservations in Oklahoma,
11 as determined by the Secretary of the Interior, as well as ANVs are also eligible. Tribes and ANVs are
12 defined by Congress and lists are updated as needed in the Federal Register (the most recent list is in
13 Federal Register, Volume 78, Number 87 dated May 6, 2013 [78 FR 26384]).
14
15 There is no formal limit on service to non-native people living in a CWISA project service area. The CWA
16 states that grants shall serve federally recognized tribes. Generally, a sanitation project that improves
17 access for members of a federally recognized tribe can receive funding regardless of the number of non-
18 tribal residents living in the service area.
19
20 B. Project Eligibility
21 CWISA Program funds are used to develop wastewater treatment management plans, prepare design
22 documents, and construct wastewater treatment works for federally recognized tribes. Funds should be
23 used to support the program goal to increase access to wastewater sanitation for Indian tribes and
24 ANVs. Projects must be listed on the IMS SDS database in order to receive CWISA funds. To the
25 greatest extent practical projects should include sustainability concepts to ensure the wastewater
26 infrastructure meets or exceeds its design life.
27
28 Eligible projects that can be funded through the CWISA are identified by these Guidelines, and, where
29 consistent with these Guidelines, by the government-wide cost principles (e.g. OMB Circular A-87) and
30 EPA regulations in Appendix A of 40 CFR, Part 35, Subpart I. Projects eligible for CWISA Program funds
31 must be related to wastewater system infrastructure, and can include consideration of advancements in
32 new technology to treat wastewater. Examples of CWISA eligible activities include:
33
34 Project Planning and Design
35 • Preparation of a preliminary engineering report (PER);
36 • Acquisition of land parcels that are an integral part of the wastewater treatment process or used
37 for the ultimate disposal of treatment residues;5 and
38 • Travel costs associated with planning and design, site inspections, and construction
39 administration.
40
41
5 Non-discharging lagoons are one type of treatment for which land costs are eligible. Grant funds cannot pay for
acquisition for right-of-way access, unless the land will be an integral part of the treatment process.
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1 Infrastructure Construction
2 • Construction of centralized wastewater treatment facilities (conventional or alternative);
3 • Major sewer rehabilitation;
4 • Decentralized, onsite wastewater treatment systems;
5 • Collector sewer pipelines;
6 • Correction of combined sewer overflow systems;
7 • Construction of modular bathrooms provided that wastewater is treated (e.g., composted or
8 incinerated) within the bathroom system;6 IMS has recommended modular bathrooms can be
9 the best interim solution in certain cases where buildings lack indoor plumbing;7
10 • The construction of ancillary plumbing facilities such as a bathroom or laboratory sink within a
11 new or upgraded treatment works plant;
12 • Infrastructure associated with biosolids management, such as equipment to support sludge
13 drying, transportation, pelletization and/or land application;
14 • Wastewater collection and treatment for homes built with HUD funds;8
15 • Purchase of wastewater pumping & hauling vehicles; and
16 • Lateral/service lines to existing homes that will increase access to basic sanitation. A "lateral
17 connection" is a conveyance pipe from the property line that connects to an offsite sewage
18 collection system via a lateral or main pipe. The term "lateral connection" does not include the
19 pipe from an individual house to the property line. In communities that do not have defined
20 property lines, lateral connections can be provided up to five feet from an individual house.9
21
22 Project Follow-Up
23 • Drafting as-built drawings of the funded wastewater treatment systems;
24 • Developing site specific operation and maintenance (O&M) manuals for equipment directly
25 associated with the project;
26 • Creating and posting a certificate to operate;
27 • Replacement parts (e.g., pumps, motors) for equipment directly associated with the project and
28 necessary to assure uninterrupted operation of the facility, provided they are critical parts or
29 major systems components which are: (1) not immediately available and/or whose procurement
30 involves an extended 'lead-time;'(2) identified as critical by the equipment supplier(s); or (3)
31 critical but not included in the inventory provided by the equipment supplier(s);
32 • Chemicals for one year following construction completion (unless contractually described
33 otherwise) for equipment directly associated with the project;
34 • Sampling and monitoring for one year following construction completion;
35 • Costs associated with the training of operators on new equipment or infrastructure as long as
36 training occurs within one year of construction completion. This can include travel costs needed
37 for operators to be trained on new infrastructure specifically associated with the project;
Modular bathrooms are often pre-fabricated, portable facilities with basic bathroom amenities. In 2009, basic
units cost between $7,500 and $8,500 including handicap fixtures; installation is more cost-effective when facilities
are constructed as a bundled group of 15-20 (at a minimum) units. Information collected from IMS Tucson Modular
Bathroom Project 2009 Briefing Paper (October 22, 2009).
7 IMS Tucson Modular Bathroom Project 2009 Briefing Paper (October 22, 2009).
8 IMS does not permit the use of IMS funds for HUD homes; however, CWISA funds may be used for HUD homes.
9 Appendix A of 40 CFR, Part 35, Subpart I (Construction Grants regulations) state that funding for lateral
connections is an allowable cost for small wastewater systems (Determination of Allowable Costs, Section C). IHS
has used CWISA funding to provide lateral connections up to five feet from an individual home.
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1 • The ordinary operating expenses of a local government related to the infrastructure
2 construction (e.g., preparation of routine financial reports and studies, preparation of
3 applications and permits, etc.) only during construction and within one year following
4 construction completion; and
5 • Costs for mobile equipment necessary for the operation of the overall wastewater treatment
6 facility, transmission of wastewater or sludge, or for the maintenance of equipment, these items
7 include: (1) portable stand-by generators; (2) portable emergency pumps to provide "pump-
8 around" capability in the event of pump station failure or pipeline breaks.
9
10 Consistent with the goals of the ITF, Tribes and regional Staff are encouraged to consider projects that
11 increase the sustainability and longevity of existing and proposed sanitation facilities. Projects may
12 include the following, provided they are directly related to the current or future improvement or
13 upgrade of infrastructure and meet CWISA Program access goals. Should a region choose to fund these
14 types of projects, it is the region's responsibility to document how the project meets the program's goal
15 and direction under the CWA and how the selected project is prioritized above other potential projects.
16 Eligible projects or facets of projects that support the long term operation of sanitation facilities may
17 include:
18
19 • Development of an asset management plan. Asset management is an important component of
20 a utility's long term management plan and provides needed information on the need for, and
21 timing of, future infrastructure improvements that will help support the sustainability of a utility
22 and allow the tribe to better plan for improvements.
23 • Inflow/infiltration planning studies that identify and prioritize critical infrastructure upgrades to
24 improve the efficiency of operations can use CWISA funds, including conducting camera
25 assessments of pipes to determine their condition - as long as there is a reasonable expectation
26 that the planning study will result in a capital project.
27
28 Projects that are not related to wastewater system infrastructure are ineligible for CWISA Program
29 funds. Examples of ineligible activities include:
30
31 • Travel for activities not specifically associated with the project such as general staff training;
32 • Indoor residential plumbing facilities such as sinks, commodes, tubs, and drains that do not
33 provide treatment on their own, and are not associated with the construction of treatment
34 works facility;
35 • Operator training beyond task-specific operations for new equipment or technology;
36 • Operator wages;
37 • Construction of wastewater treatment works that don't provide service to residential homes
38 (e.g. casinos, truck stop, etc.);
39 • Routine sampling and monitoring more than one year after system start up;
40 • Utility bills associated with utility operations;
41 • Ongoing O&M costs. The CWA does not define the term "construction" to include operation and
42 maintenance. CWISA Program funds cannot be used to pay for the cost of O&M of the
43 wastewater facility, nor can they be used to pay for repairs to the treatment system in
44 emergency situations;
45 • A project specifically designed to meet projected population growth is not eligible for CWISA
46 funds; however, a facility constructed to meet existing needs is typically designed with flexibility
47 to accommodate some future expansion. A project that was submitted primarily to meet future
CWISA Guidelines July 2013
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1 needs (such as projects necessary to meet projected population growth) is ineligible for CWISA
2 funding; and
3 • Greater than one year following construction completion and issuance of final report, the
4 ordinary operating expenses of a local government, even as it relates to the infrastructure
5 construction project (e.g., salaries and expenses of elected or appointed officials, preparation of
6 routine financial reports and studies, preparation of applications and permits, expenses related
7 to bond issuance, electricity, etc.).
8
9 IV. PROJECT SELECTION
10 Projects are selected by regions from the IMS SDS database priority list. Regions may coordinate with
11 other EPA Regions and IMS Areas to select projects with the highest priority that meet the greatest need.
12 These projects are then submitted to OWM as discussed under the Ongoing Project Management
13 section.
14
15 A. IHS Sanitary Deficiency System
16 Since 1995, regions have been directed to identify projects for CWISA Program funds from the IHS SDS
17 database.10 The SDS database is one of six components of the Sanitation Tracking and Reporting System
18 (STARS), a web-based database that is used by IHS to calculate metrics and track its program's progress.
19 The SDS database maintains a list of sanitation infrastructure deficiencies and prioritizes projects to
20 address Indian homes that lack access and have the greatest need.
21
22 Each IHS Area Office is responsible for tracking potential projects to remedy tribal needs or deficiencies
23 as well as for conducting deficiency evaluations of each project in order to prioritize projects. For
24 projects with multiple phases, each phase usually is evaluated separately. Each Area uses the same SDS
25 project evaluation methodology, which considers eight factors with unique point ranges.11 The major
26 objective is for IHS Areas to use these factors and point ranges to uniformly evaluate proposed
27 sanitation facility projects within the Area. The eight factors are briefly described below:
28
29 • Health impact: The reporting of a disease or other adverse human health effect that is directly
30 attributable to water, sewer, or solid waste, or a water, sewer, or solid waste condition that
31 could adversely impact human health, but has not affected it at that time.
32
33 • Existing deficiency level: Each deficiency level is assigned points.
34
35 • Adequate previous service: Piped water and sewer were brought into the home (except for
36 some remote arctic and desert locations) by IHS or with other federal funds and the sanitation
37 facilities provided met the existing standards at the time.
38
39 • Capital cost: The unit cost of the proposed facilities is compared to the average unit cost (not
40 the allowable unit cost) of all water, sewer, and solid waste services in the IHS Area.
41
10 Stephen P. Allbee, March 211995, Memorandum: Notice of Change - Indian Set-Aside Program National Project
Priority List.
11 IHS 2003 SDS Working Draft, online at: http://www.ihs.gov/dsfc/
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1 • Local tribal priority: IMS Area Offices consult with tribes. Tribal priority setting should be based
2 on established tribal procedures which give consideration to health conditions.
3
4 • O&M capability: Based on past performance and current tribal intent and capability. The "ability
5 to afford" the proposed facilities should be factored into the score.
6
7 • Tribal contributions: This is an optional factor per collective tribal consultation and should be
8 applied uniformly for all tribes and all projects across the IMS Area. Area Offices are instructed
9 to prorate points based on the amount of contributions received from other sources. The
10 contributed funds must be available to be spent during the next fiscal year.
11
12 • Local conditions: This factor should only used as a negative value and only with specific tribal
13 concurrence. Points for this factor should only be assigned in unusual situations and only by the
14 Director, Division of Sanitation Facilities Construction, for the IMS Area. Some reasons for
15 assigning points under this factor might be the need to phase projects, a backlog of current
16 projects, or project impediments such as legal or jurisdictional disputes.
17 B. Selection Procedures
18 The CWA requires that the projects selected to receive funds are to address water quality and public
19 health needs. Annually, in early November, OWM CWISA staff are scheduled to provide the IMS SDS
20 priority lists to regions based on the annual IMS SDS database snapshot. The entire SDS priority list for
21 each IMS Area is composed of two separate files. One file is a list of "included" projects in each Area
22 which is IHS's list of projects that they reported to Congress. The second file is of "excluded" projects in
23 each Area, which are projects contained in the SDS, but not reported to Congress by IMS as eligible IMS
24 projects. These include projects that can be funded by other agencies but not by IMS, such as sanitary
25 facilities for HUD funded homes. Together, the two files make up the entire SDS priority list for each IMS
26 Area. CWISA may fund projects that are on either list.
27
28 Using the SDS lists the CWISA Program project selection process is as follows:
29
30 1. Regions select projects from the SDS list, which is generated from the most recent SDS database
31 snapshot (typically done during the second week of November of each year).
32 2. Regions, working together and with IMS, start from the highest priority at the top of the list and
33 work down the list to identify projects, regardless of EPA Region, until all CWISA funds are
34 associated with defined projects.
35 3. Regions select projects that are within the range of CWISA funding or the combined funding
36 from CWISA and other federal agencies for the respective IMS Area.
37 4. Regions may not skip over projects that are within the range unless there is a compelling reason
38 to do so. In such cases, the EPA Region is to provide an explanation to OWM for discussion and
39 approval.
40 The CWISA program often funds projects that require the development of a Preliminary Engineering
41 Report (PER) that documents the existing facilities, the deficiency, alternatives and costs. The existence
42 of a PER is a ranking criteria within the eight IMS evaluation factors. As part of the ITF efforts, federal
43 agencies have collaborated to develop consistent requirements and a standardized template for PERs
44 submitted to all federal agencies that build tribal wastewater infrastructure, which is provided in
45 Appendix E. The standardized PER makes it easier for tribes to receive funding from more than one
46 federal source and simplifies coordination between federal agencies. No CWISA funds will be awarded
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1 without the submission of a PER in accordance with the standardized template, unless it is determined
2 that a PER is not required. If a proposed project is limited in scope, EPA regional staff and/or IMS can
3 decide that a PER is not required. Examples of a limited scope project that may not need a PER may
4 include onsite septic system installation, or a lift station pump replacement.
5
6 If the development of a PER is chosen for CWISA funding, regional staff are encouraged to use
7 professional judgment in evaluating the cost of PER preparation based on local conditions within their
8 region. The project associated with the report may be funded in a future fiscal year when the report is
9 complete (even if the paperwork closing out the PER completion project is not complete). The project
10 may remain on the SDS list while the PER is developed, and will likely be ranked higher on the SDS list
11 upon completion of the PER.
12
13 The availability of a certified operator is part of the IMS ranking criteria as well and therefore will
14 increase the prioritization of a project on the SDS list. Under the CWA, applicants to the CWISA Program
15 are not required to have a certified wastewater operator;12 however, it is encouraged by EPA. When
16 regions select projects for the CWISA Program, a region should consider that a certified operator will
17 greatly increase the sustainability of a system, improve public health and environmental protections,
18 and ensure that funds are applied to projects with long-term O&M capacity.
19 C. Coordination with Partners on Project Selection
20 Using the SDS, IMS and EPA work together to prioritize projects with the greatest need. If a region
21 overlaps with more than one IMS Area, all Area Offices must be consulted. Likewise, if more than one
22 EPA Region is within a single IMS Area, regions must work together in identifying projects. These
23 processes require EPA to have access to STARS. EPA regional staff are to contact their local IMS Area
24 Office to gain access to STARS for that Area. Access to STARS is unique for each IMS Area; therefore,
25 some regions will need access for multiple Areas. Regions and IMS Area Offices should plan to
26 coordinate on project selection and prioritization to achieve maximum impact, reduce duplication of
27 effort, and leverage resources to support program goals.
28 D. Reprogramming Funds from Headquarters to Regions
29 After EPA Regions have consulted with the appropriate parties and identified projects, they will submit
30 information for each project to OWM. Once project information is received, reviewed, and approved by
31 OWM, the funds will be reprogrammed from OWM to the region. Following project identification, the
32 region will need to provide to OWM and IASSC the EPA grant or IA number and the IMS Project Data
33 System (PDS) number, as appropriate. Headquarters will use this information to track project progress.
34
35 Regional staff are to submit this information to OWM through the EPA Tribal Clean Water Program
36 Direct Implementation Nexus (TDI Nex). The purpose of TDI Nex is to provide a comprehensive picture
37 of the CWISA Program and to demonstrate the realized public health benefits of CWISA projects.
38 Gathering information through TDI Nex allows OWM to respond to EPA management, Congress, tribes,
39 and other stakeholders that request information on the accomplishments achieved through the
40 program. This system also allows the regions access to aggregate CWISA program data. TDI Nex is
41 discussed further in Section VI. B. and its guidelines are in Appendix F.
42
12 The CWA does not provide EPA with the authority to require a certified wastewater treatment plant operator;
the SDWA does provide the authority for the DWIG-TSA program.
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1 Information about each funded project must include (to the practical extent possible) the following:
2
3 1. Project name;
4 2. Project description;
5 3. Tribe/ANV name;
6 4. IMS Area name;
7 5. IMS SDS number;
8 6. SDS priority number;
9 7. Amount of CWISA funds requested;
10 8. Total project cost;
11 9. Number of homes served by the project;
12 10. IMS SDS initial deficiency level for the project;
13 11. IMS SDS final deficiency level for the project;
14 12. Funds to be distributed through a direct grant with a tribe or an IA with IMS; and
15 13. Project type13 (piping, treatment, onsite, planning, etc.).
16
17 V. PROJECT INITIATION
18 The CWISA Program is managed locally by nine of the ten EPA Regions which oversee tribal programs.
19 EPA Region 3 is not included as there are currently no federally recognized tribes within this region.
20 Regions are responsible for identifying and prioritizing projects that meet program goals, ensuring that
21 the funds are obligated in a timely fashion, and monitoring and tracking projects through completion.
22 A. Project Award
23 Once regions are notified of their allotment for the FFY, they work with the local IMS Area Office to
24 identify projects for funding from the SDS list. Since the IMS Area and EPA Regional boundaries differ,
25 coordination between the regions and IMS Areas will be necessary to identify projects and regional
26 allocation.
27
28 Following project identification, regions notify the selected tribes of their project selections. Should a
29 tribe decline to participate in a project, EPA and IMS will revisit the SDS lists from the previous November
30 snapshot to identify additional eligible project(s) until all funding for the FFY has been obligated.
31 B. Direct Grants and Interagency Agreements
32 Once a tribe is notified of its award, they have two methods they can use to implement the project.
33 They may request to administer the project funds themselves through a direct grant, or they may
34 request that IMS administer the project funds for them.14 To qualify for a grant, the tribe must meet the
35 grant requirements listed in Appendix H and the region must determine that the tribe has the necessary
36 capacity to successfully complete the project, following an approved grant work plan. EPA regions work
37 with the tribe to determine how to best administer the project. In either situation, EPA Regions are
38 responsible for managing the award and for administering and tracking project progress after award.
39 There are a number of federal laws, executive orders, and government-wide policies that apply
13 Project types or infrastructure categories are further described in Appendix G.
14 Between 2003 and 2009, approximately 95% of CWISA funds were distributed through lAs with IMS (Evaluation
of the Drinking Water and Clean Water Infrastructure Tribal Set-Aside Grant Programs final report, March 2011).
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1 additional terms to projects and activities that receive federal financial assistance. A list of these cross-
2 cutting laws is contained in Appendix C.
3 1. Direct Grant
4 The CWA gives EPA the authority to award grants directly to tribes. All tribes recognized by the Bureau
5 of Indian Affairs are eligible to receive grants from the CWISA Program unless they have been deemed
6 ineligible to receive federal funds by another agency or department of the federal government.
7
8 Direct grants to tribes through the CWISA Program are subject to EPA assistance agreement regulations,
9 OMB cost principles, the Cash Management Improvement Act, and additional EPA policies. To qualify for
10 a grant, the tribe must meet the grant requirements listed in Appendix H and the region must determine
11 that the tribe has the necessary capacity to successfully complete the project, following an approved
12 grant work plan. If EPA approves a tribe's request to administer the grant itself, a grant agreement is
13 signed between EPA and the tribe and grant regulations must be followed.
14
15 The grants must be awarded and managed as any other assistance agreement. The Office of Grants and
16 Debarment (OGD) has developed Orders, Grants Policy Issuances (GPIs) and directives to assist project
17 officers and program offices in fulfilling and understanding their responsibilities.15 Several grant
18 requirements are discussed further in Appendix H, which describes the requirements to be met for a
19 direct grant through EPA.
20
21 CWISA projects that are administered through direct grants with EPA are exempt from National
22 Environmental Policy Act (NEPA) requirements;16 however, there is a voluntary NEPA process available
23 to tribes (further details in Appendix I). Projects administered through lAs must follow the
24 environmental review requirements of IMS.
25
26 Currently EPA Order 5700.7, Environmental Results under EPA Assistance Agreements," applies to all
27 funding packages submitted to the Grants Management Offices and is implemented through existing
28 regulatory requirements for work plan development and performance evaluation in 40 CFR Part 35. The
29 Order requires EPA project officers to, among other things:
30
31 1. Link proposed assistance agreements to EPA's Strategic Plan/GPRA architecture;
32 2. Ensure that outputs and outcomes are appropriately addressed in assistance agreement work
33 plans and funding recommendations; and
34 3. Ensure that progress in achieving agreed-upon outputs and outcomes is adequately addressed
35 in recipient progress reports and advanced monitoring activities.
36
37 EPA Order 5700.7 also establishes requirements for project officer review of construction and non-
38 construction, as well as interim and final recipient performance reports for progress in achieving outputs
39 and outcomes contained in assistance agreement work plans. Under 40 CFR Part 31, EPA may require
40 recipients to submit performance/progress reports as frequently as quarterly but no less frequently than
15 Office of Grants and Debarments, Orders, Grants Policy Issuances, and Directives, available at:
http://intranet.epa.gov/ogd/policv/policy.htm
16 Section 511(c) of the Clean Water Act and Susan E. Bromm, EPA Office of Federal Activities, June 12, 2012.
Memorandum: Clean Water Indian Set-Aside Program and the National Environmental Policy Act (NEPA).
17 EPA Order 5700.7, Environmental Results under EPA Assistance Agreements, effective date 1/1/2005, available
at: www.epa.gov/ogd/grants/award/5700.7.pdf.
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1 annually. These regulations also require recipients to provide the EPA with an acceptable final
2 performance report at the end of a project.
3
4 The review of recipient performance reports is the responsibility of the EPA project officer. The project
5 officer must review interim18 and final19 performance reports to determine whether they adequately
6 address the achievement of agreed-upon outputs/outcomes, including providing a satisfactory
7 explanation for insufficient progress or a failure to meet planned accomplishments (when compared
8 with the most recently approved project schedule and completion dates for project milestones). This
9 review must be documented in the official project file. If a report does not adequately address the
10 achievement of outputs/outcomes, the project officer should seek further explanation from the
11 recipient and require appropriate corrective action. OGD provides directives to project officers that
12 outline roles and responsibilities20 and regions should be familiar with these documents.
13
14 Grant applications should be processed in a timely manner. They should be carefully reviewed and the
15 grant awarded only when it is prudent to do so. Additionally, regions may impose reasonable
16 requirements through grant conditions in those situations where it is considered necessary. A select list
17 of topics project officers must review and ensure in the grant application includes, but is not limited to:
18
19 • The scope of work of the grant is clearly defined;
20 • The scope of work is in conformance with the project description;
21 • The project schedule and milestones are clearly described;
22 • The environmental or public health objectives are clearly stated;
23 • A narrative description of well-defined anticipated outputs, and to the maximum extent
24 practicable, well-defined anticipated outcomes is provided;
25 • The applicant has demonstrated it has programmatic capability to successfully manage the
26 project based on past performance or through the current grant application;
27 • Project objectives are consistent with the scope of work and project needs;
28 • Land availability and permitting requirements are addressed; and
29 • Costs are reasonable, necessary and allocable to the project.
30 • Timely use of funds (refer to Section VI. D. Unliquidated Obligations).
31 2. Interagency Agreement
32 Section 518(c) of the CWA (Appendix A), provides EPA the authority to provide funding for the planning
33 and construction of wastewater treatment plant facilities that serve tribes. In the case where an IA is
34 used, this agreement will be signed between IMS and EPA, and funds are administered by IMS. The
35 required standard terms and conditions for these lAs are provided in Appendix J. A PER21 and/or Project
36 Summary (PS) will be used as the basis for lAs with IMS and serves as the scope of work. After the IMS
37 Area Office approves the PER and/or PS, the tribe and IMS enter into a Memorandum of Agreement
38 (MOA), which is similar to a cooperative agreement as defined by the Federal Grant and Cooperative
18 For construction projects, on-site technical inspections and certified percentage of construction data to meet the
interim reporting requirements, see 40 CFR 31.40(c).
For construction projects, the final inspection report or other final performance report should include a
comparison of the actual outcomes/outputs with those incorporated into the assistance agreement.
20
Office of Grants and Debarments, Roles and Responsibilities of Project Officers, available at:
http://intranet.epa.gov/OGD/policv/policy.htm.
21 IMS also refers to this document as an Engineering Project Report (EPR)
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1 Agreement Act (FGCAA). Using the Integrated Grants Management System (IGMS), regions will submit
2 an IA funding package (Decision Memorandum, Commitment Notice and Scope of Work) to IASSC.
3
4 The IA standard terms and conditions (Appendix J) are to be used between regions and IMS Area offices.
5 These terms and conditions may be updated periodically by IASSC West to incorporate changes to
6 interagency agreement policies and procedures, add new statutory requirements, or in response to
7 requests from OWM to incorporate additional programmatic requirements that have been mutually
8 agreed upon between OWM and the IMS Headquarters. No changes shall be made to the standard
9 terms and conditions by the regions or IMS Area offices.
10
11 If the proposed project is solely to fund the preparation of a PER, then the IA is developed following IMS
12 procedures for a planning or engineering only project that does not involve construction. A signed
13 MOA between IMS and tribal recipient is not required as part of the initial funding package; however,
14 they should be provided to IASSC West for inclusion in the official IA file once available.
15
16 The Office of General Counsel (OGC) has opined that, "EPA should not be an additional party to these
17 MOAs between IMS and the tribe."22 EPA should sign an agreement with IMS, and IMS should enter into a
18 separate agreement with the tribe. Given that EPA does not enter into a direct agreement with a tribe,
19 IMS should be involved with any formal communication between EPA and the tribe as it relates to the
20 project.
21
22 Under an IA, the tribe must meet the IHS's requirements for the project (e.g., environmental review,
23 historic preservation, archeology, etc.). The IA describes the scope of work for the project, milestones,
24 target dates, project period, budget, and payment terms. The total project period, including extensions,
25 may not exceed seven years without specific regulatory or statutory authorization, or a signed
26 waiver.23'24 As such, project funds must be liquidated (spent or drawn from the U.S. Treasury) within
27 that seven-year period. After the IA is executed, the funds are transferred to the IMS Area Office and
28 they are considered obligated for the FFY.
29
30 The tribe generally has three options for designing and building its project under the IA:
31
32 • Funds are provided to IMS and IMS designs and builds the project according to IMS administrative
33 and construction policies and procedures, including those for procurement, environmental
34 review, audit procedures, and accounting principles.25
35
36 • Funds are provided to the tribe, and the tribe designs and builds the project through tribal
37 and/or outside architectural/engineering/ construction contractors. IMS may work with the
38 tribe to help select the firm(s), ensure all applicable EPA and/or IMS guidelines are followed,
39 conduct plan and specification reviews, etc.
22 Lucille Liem, OGC, email dated March 26, 2009
As per Interagency Agreement Policy Issuance (IPI-08-02), Guidance on Project Period Duration, and Interagency
Agreement Policy Issuance (IPI-11-02), Clarification of Senior Resource Official Review Requirements for Time
Extensions under Interagency Agreements.
Class Waiver for the Clean Water Act Indian Set-Aside and the Safe Drinking Water Act Tribal Set-Aside
Infrastructure Programs dated July 21, 2008 was approved for lAs and grants awarded prior to February 29, 2008.
25 This is not an option for tribes that have assumed the responsibility to implement the IMS Sanitary Facilities
Construction Program under the Indian Self-Determination Act (Public Law 93-638).
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1
2 • The funds are provided to the tribe, and the tribe hires IMS to design and build the project
3 according to IMS administrative and construction policies and procedures, including those for
4 procurement, environmental review, audit procedures, and accounting principles.
5
6 In all situations, IMS will report project progress in the IMS PDS within STARS. In addition, if the design,
7 management, and administration costs are more than 15% of the construction cost, the region should
8 request written documentation explaining the expenditures to include in its project file. As discussed
9 previously, EPA Regions have access to STARS to track progress.
10
11 If multiple projects are to be combined into a single IA, this should be done strategically based on
12 project scale and schedule. Short-term, small-scale projects are better grouped together. Similarly, an
13 IA with multiple projects should be limited to one FFY. Additional projects should not be added to an IA
14 of a previous FFY unless the project is phased over several years and benefits the same tribe. One IA for
15 each project is preferred and allows the IMS and EPA finance systems to more easily track project
16 progress.
17 C. Indian Self-Determination Act
18 Some tribes may elect to have IMS administer and manage a project on their behalf. This requires an IA
19 between EPA and IMS. Funds provided by EPA through an IA to IMS may only be used in agreements
20 authorized by the Indian Sanitation Facilities Act, 42 U.S.C. 2004a (Public Law 86-121).2S Tribes that have
21 assumed the responsibility to implement the IMS Sanitary Facilities Construction Program under the
22 Indian Self-Determination Act (Public Law 93-638) can only receive CWISA funds through a direct grant
23 with EPA. This act allows tribes an increased level of self-governance and decision making and is one of
24 the means by which tribes implement their sovereign powers.27
25
26 VI. ONGOING PROJECT MANAGEMENT
27 A. Construction and Purchasing Requirements
28 Construction projects funded through an IA or direct grant may need to comply with the provisions of
29 the Davis Bacon Act or the Buy American Act. For projects managed through an IA with IMS, the
30 requirements of IMS to comply with these laws, if any, need to be followed. Projects funded through a
31 direct grant must follow the requirements of the grant as determined by OGD.
32 B. Tribal Direct Implementation Nexus (TDI Nex)
33 The TDI Nex tool unites existing data systems to assist in the oversight of CWISA funds and to describe
34 CWISA progress. Information from IHS's Project Data System (PDS) and EPA's IGMS form the backbone
35 of the TDI Nex. Once projects are started, regions are to track projects using the TDI Nex system (see
36 Appendix F). Gathering information through TDI Nex allows OWM to respond to EPA management,
37 Congress, tribes and other stakeholders that request information on the accomplishments achieved
26 Catalog of Federal Domestic Assistance, Indian Sanitation Facilities Act, 42 U.S.C. 2004a (Public Law 86-121)
available at:
https://www.cfda.gov/?s=program&mode=form&tab=stepl&id=3d5a5f378f057d4abe70074085e02501
27 Bureau of Indian Affairs, Indian Self-Determination Act (Public Law 93-638) available at:
http://www.bia.gov/cs/groups/mywcsp/documents/collection/idc017334.pdf
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1 through the program. Regions should update the entry for each project, following the award of funding,
2 with the assigned IA number and IMS PDS Project Number. The TDI Next tool is designed to require
3 regional input once, at the start of each project.
4 C. Unobligated Funds
5 It is highly recommended that regions obligate funds the same year as the funds are appropriated from
6 Congress. At a minimum, regions should obligate all their funds by the end of the next FFY from that in
7 which they are allotted. Although CWISA funds are "no year" funds, if not obligated in a timely manner,
8 they could be subject to rescission. Sometimes a region will have funds remaining at the end of a
9 project that is completed under budget. In this case the region has some flexibility in how it utilizes the
10 remaining funds, such as adding scope to the initial project, funding a separate project with the same
11 tribe, funding a project with another tribe, or returning the funds to OWM for reallocation.
12 Communication with IMS is encouraged to find the most appropriate use of the funds. Regardless if the
13 project is funded through an IA or a grant, the agreement must be amended, with the addition of the
14 new scope, to track the use of the funds. The use of unobligated funds associated with a direct grant
15 project must follow the terms and conditions of the grant.
16 D. Unliquidated Obligations
17 Interagency Agreement Policy Issuance (IPI) 11-01, Managing Unliquidated Obligations and Ensuring
18 Progress under EPA Interagency Agreements, sets forth procedures for managing unliquidated
19 obligations under lAs. IA agreements with IMS should specify a reasonable payment cycle to encourage
20 regular expenditure of funds. The annual performance evaluation of grants must include a discussion of
21 how effectively a recipient managed and utilized EPA grant funds. IASSC West staff will track this
22 information and will request updates from the CWISA regional coordinators as needed. A parallel policy
23 applies to direct grants, as per Amended Grants Policy Issuance (GPI) 11-01: Managing Unliquidated
24 Obligations and Ensuring Progress under EPA Assistance Agreements.
25
26 In accordance with IPI 08-02, Guidance on Project Period Duration and the Use of New for Interagency
27 Agreements, the total project period, including extensions, cannot exceed seven years for lAs. It is the
28 responsibility of the IA Project Officer identified by the region to regularly and routinely notify IMS when
29 the end of this period is approaching to ensure the project is completed before the agreement end date.
30 IMS is responsible for coordinating with the tribe, as appropriate. The appropriate Senior Resource
31 Official, the OGD Director, or designee, may approve waivers to the seven-year limitation on an
32 individual or class basis because of national security concerns, circumstances of unusual or compelling
33 urgency, unique programmatic considerations, or because the waiver would be in the public interest.
34 The seven year maximum project period also applies to direct grants, as per Grants Policy Issuance 08-
35 02: Guidance on Project Period Duration and the Use of New Awards to Fund Additional Work.
36 E. Quality Assurance Project Plan
37 The lAs with IMS specify that an umbrella Quality Assurance Project Plan (QAPP) applies to CWISA
38 funded projects. The umbrella QAPP28 describes applicable water sample collection and analysis
39 activities conducted at the completion of sanitation facility construction to ensure proper project
40 performance and operation. If the scope of the CWISA funded project includes a pilot wastewater
28 See "Water Sample Collection and Analysis QAPP for Tribal Water and Wastewater Infrastructure Projects"
signed by EPA's QA Manager, OWM, Office of Ground Water and Drinking Water, and IMS (March 2012).
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1 treatment study or hydraulic network modeling, IMS is responsible for preparing an individual project
2 specific QAPP in accordance with EPA's Office of Environmental Information.
3 F. Onsite Septic Systems
4 Onsite decentralized septic systems are often the most common type of infrastructure funded by the
5 CWISA Program. Roughly one quarter of the U.S. population uses onsite systems to treat their
6 wastewater. Onsite systems are commonly designed for a 30 year life cycle and can achieve that lifespan
7 if maintained properly.
8
9 EPA has developed a variety of tools for the appropriate management of onsite systems to ensure their
10 longevity. It is recommended that all CWISA funded onsite wastewater systems utilize tools, such as the
11 Responsible Management Entities (RME) framework29 and SepticSmart30 homeowner outreach materials
12 (available in both English and Spanish). Using these tools will help to protect public health and the
13 environment, maximize federal investments, and ensure that onsite infrastructure meets its design life.
14 G. Project Close-Out Procedures
15 Once construction is completed, the tribe and/or IMS must coordinate the initial operations of the new
16 facility. Following final inspection, a report is prepared that summarizes the project. For IA funded
17 projects the final report is prepared by IMS.31 For projects funded through a direct grant, the final
18 reporting requirements are contained in the terms and conditions of the grant. The report should be
19 signed and succinctly cover the project's history and shall be provided no later than 365 days after
20 construction phase completion to the respective EPA regional program coordinator.32
21
22 VII. OWM AND REGIONAL PROGRAM RESPONSIBILITIES
23 The responsibilities of OWM staff and their regional counterparts for implementing the CWISA Program
24 are described below.
25 A. OWM Responsibilities
26 Twice a year, OWM aims to hold a teleconference with the regional programs to discuss funding
27 allocation and project selection. The first meeting will be scheduled approximately 90 days following the
28 annual announcement of the funding allocations to the regions. The second meeting will be scheduled
29 following the close of the FFY to discuss funded project milestones and implementation challenges
30 encountered with the tribes and/or IMS. In addition, OWM program staff shall:
31
32 1. Designate a CWISA National Program Coordinator with the responsibility for regional
33 coordination;
29 Described by the Water Environment Research Foundation at:
http://www.werf.Org/i/c/KnowledgeAreas/DecentralizedSvstems/RMEsite/RMEs 2.aspx, and in EPA's Voluntary
National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems,
2003 online at http://water.epa.gov/infrastructure/septic/manuals.cfm.
30 More information at: www.epa.gov/septicsmart/.
31 IMS requirements for final reports are described on page 11, Chapter 8 of the 2003 Criteria for the SFC Program
at: www.ihs.gov/dsfc/documents/Criteria March 2003.pdf, however as of spring 2013 IMS was considering
modifying final report requirements.
32 For lAs, this requirement is in the EPA/IHS IA terms and conditions template.
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1 2. Develop an annual allocation memo identifying the funding amount for that FFY and providing
2 IMS Area priority lists;
3 3. Monitor and report on the overall progress made by the CWISA Program in meeting national
4 goals and measures;
5 4. Schedule and lead meetings with regions to track projects and identify and resolve problems
6 encountered by regions during implementation;
7 5. Identify and coordinate responses to CWISA Program implementation issues with IMS
8 Headquarters;
9 6. Designate a Project Officer to manage the suite of projects funded by national agreements (such
10 as those funded by the American Recovery and Reinvestment Act of 2009);
11 7. Maintain the website (currently www.epa.gov/cwisa); and
12 8. As appropriate, elevate issues to IASSC, Cincinnati Finance Center, OGC, OGD, upper
13 management within OWM, etc.
14 B. Regional Responsibilities
15 Once OWM allots the annual CWISA funds to the regions, the EPA regions are responsible for
16 management and oversight of the direct grants and lAs associated with their projects through a
17 designated project officer and other necessary staff. As appropriate, regions should inform tribes and
18 other potentially interested parties about their identified projects each year. They should also inform
19 tribes and other parties about the estimated amount of CWISA funds to be awarded for each project. In
20 some instances, such as for the tribes in Alaska, it may also be appropriate to inform the states of the
21 region's plans.
22
23 Regions also should work closely with the local IMS Area Office. It is imperative that the regions consult
24 and coordinate with the local IMS Area Office during project selection.
25
26 EPA regional program staff will participate in routine meetings with OWM program staff as discussed in
27 the OWM Responsibilities section above. In addition, regional staff have the responsibility to:
28
29 1. Designate a CWISA Regional Program Coordinator to participate in routine meetings, conference
30 calls, ad-hoc communications, etc.;
31 2. Present a summary of annual regional project selection decisions;
32 3. Document awarded project status oversight activities, including CWISA funds transferred to the
33 DWIG-TSA;
34 4. Coordinate and consult with the IMS Area Offices on the development of the project documents
35 (e.g., lAs and project summaries);
36 5. Perform oversight of the project(s) to ensure that reported project milestones are meeting the
37 project schedule and monitor project progress reports to ensure the level of expended funds is
38 reasonable given the amount of work completed. Regular communication with IMS and/or
39 tribes is needed to ensure projects remain on schedule and any problems are identified and
40 addressed in a timely manner;
41 6. Identify the expected impact of CWISA projects on national goals and measures;
42 7. Routinely submit data into the TDI Nex system;
43 8. Act as the regional liaison to OWM for communicating progress of each project and
44 implementation problems;
CWISA Guidelines July 2013
DRAFT 21
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1 9. Identify and report issues associated with EPA Region and IMS Area Office coordination or EPA
2 Region and grant recipient coordination that may affect the award of CWISA funds or
3 completion of CWISA funded projects;
4 10. Support OWM in the active management of nationally funded projects (such as American
5 Recovery and Reinvestment Act of 2009 suite) until a final report is issued for each project;
6 11. Timely notification to OWM of staff changes; and
7 12. As deemed necessary, participate in on-site project oversight activities (e.g., design meetings,
8 final plans and specifications reviews, and final project inspections) when notified and invited by
9 IMS.
10 C. CWISA Contacts
11 The CWISA Program includes staff from OWM and all EPA Regions except Region 3. A list of CWISA
12 contacts is provided online at: www.epa.gov/cwisa.
13
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APPENDICES
CWISA Guidelines May 2013
DRAFT 23
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Appendix A. Section 518(c) of the Clean
Water Act
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i SEC. 518. [33 U.S.C. 1377] INDIAN TRIBES
2
3 (a) POLICY—Nothing in this section shall be construed to affect the application of section 125 l(g) of this title, and
4 all of the provisions of this section shall be carried out in accordance with the provisions of such section 1251(g) of
5 this title. Indian tribes shall be treated as States for purposes of such section 125 l(g) of this title.
6
7 (b) ASSESSMENT OF SEWAGE TREATMENT NEEDS; REPORT— The Administrator, in cooperation with the Director of
8 the Indian Health Service, shall assess the need for sewage treatment works to serve Indian tribes, the degree to
9 which such needs will be met through funds allotted to States under section 1285 of this title and priority lists under
10 section 1296 of this title, and any obstacles which prevent such needs from being met. Not later than one year after
11 February 4, 1987, the Administrator shall submit a report to Congress on the assessment under this subsection, along
12 with recommendations specifying (1) how the Administrator intends to provide assistance to Indian tribes to develop
13 waste treatment management plans and to construct treatment works under this chapter, and (2) methods by which
14 the participation in and administration of programs under this chapter by Indian tribes can be maximized.
15
16 (c) RESERVATION OF FUNDS—The Administrator shall reserve each fiscal year beginning after September 30, 1986,
17 before allotments to the States under section 1285(e) of this title, one-half of one percent of the sums appropriated
18 under section 1287 of this title. Sums reserved under this subsection shall be available only for grants for the
19 development of waste treatment management plans and for the construction of sewage treatment works to serve
20 Indian tribes, as defined in subsection (h) of this section and former Indian reservations in Oklahoma (as determined
21 by the Secretary of the Interior) and Alaska Native Villages as defined in Public Law 92-203 [43 U.S.C. § 1601 et
22 seq.].
23
24 (d) COOPERATIVE AGREEMENTS—In order to ensure the consistent implementation of the requirements of this
25 chapter, an Indian tribe and the State or States in which the lands of such tribe are located may enter into a
26 cooperative agreement, subject to the review and approval of the Administrator, to jointly plan and administer the
27 requirements of this chapter.
28
29 (e) TREATMENT AS STATES—The Administrator is authorized to treat an Indian tribe as a State for purposes of
30 subchapterll of this chapter and sections 1254, 1256, 1313, 1315, 1318, 1319, 1324, 1329, 1341, 1342, 1344, and
31 1346 of this title to the degree necessary to carry out the objectives of this section, but only if—
32
33 (1) the Indian tribe has a governing body carrying out substantial governmental duties and powers;
34 (2) the functions to be exercised by the Indian tribe pertain to the management and protection of water
35 resources which are held by an Indian tribe, held by the United States in trust for Indians, held by a member
36 of an Indian tribe if such property interest is subject to a trust restriction on alienation, or otherwise within
3 7 the borders of an Indian reservation; and
38 (3) the Indian tribe is reasonably expected to be capable, in the Administrator's judgment, of carrying out
3 9 the functions to be exercised in a manner consistent with the terms and purposes of this chapter and of all
40 applicable regulations.
41
42 Such treatment as a State may include the direct provision of funds reserved under subsection (c) of this section to
43 the governing bodies of Indian tribes, and the determination of priorities by Indian tribes, where not determined by
44 the Administrator in cooperation with the Director of the Indian Health Service. The Administrator, in cooperation
45 with the Director of the Indian Health Service, is authorized to make grants under subchapter II of this chapter in an
46 amount not to exceed 100 percent of the cost of a project. Not later than 18 months after February 4, 1987, the
47 Administrator shall, in consultation with Indian tribes, promulgate final regulations which specify how Indian tribes
48 shall be treated as States for purposes of this chapter. The Administrator shall, in promulgating such regulations,
49 consult affected States sharing common water bodies and provide a mechanism for the resolution of any
50 unreasonable consequences that may arise as a result of differing water quality standards that may be set by States
51 and Indian tribes located on common bodies of water. Such mechanism shall provide for explicit consideration of
5 2 relevant factors including, but not limited to, the effects of differing water quality permit requirements on upstream
53 and downstream dischargers, economic impacts, and present and historical uses and quality of the waters subject to
54 such standards. Such mechanism should provide for the avoidance of such unreasonable consequences in a manner
5 5 consistent with the obj ective of this chapter.
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1
2 (f) GRANTS FOR NONPOINT SOURCE PROGRAMS—The Administrator shall make grants to an Indian tribe under
3 section 1329 of this title as though such tribe was a State. Not more than one -third of one percent of the amount
4 appropriated for any fiscal year under section 1329 of this title may be used to make grants under this subsection. In
5 addition to the requirements of section 1329 of this title, an Indian tribe shall be required to meet the requirements of
6 paragraphs (1), (2), and (3) of subsection (d)t of this section in order to receive such a grant.
7
8 (g) ALASKA NATIVE ORGANIZATIONS—No provision of this chapter shall be construed to—
9 (1) grant, enlarge, or diminish, or in any way affect the scope of the governmental authority, if any, of any
10 Alaska Native organization, including any federally-recognized organized pursuant to the Act of June 18,
11 1934 (48 Stat. 987), over lands or persons in Alaska;
12 (2) create or validate any assertion by such organization or any form of governmental authority over lands
13 or persons in Alaska; or
14 (3) in any way affect any assertion that Indian country, as defined in section 1151 of Title 18, exists or does
15 not exist in Alaska.
16
17 (h) DEFINITIONS—For purposes of this section, the term—
18 (1) "Federal Indian reservation" means all land within the limits of any Indian reservation under the
19 jurisdiction of the United States Government, notwithstanding the issuance of any patent, and including
20 rights-of-way running through the reservation; and
21 (2) "Indian tribe" means any Indian tribe, band, group, or community recognized by the Secretary of the
22 Interior and exercising governmental authority over a Federal Indian reservation.
23
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Appendix B. Delegations of Authority for
CWISA Grant Funds
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1 APPENDIX B
2 Delegation Authority of the Clean Water Indian Set-Aside Program
3
4
5 2-80. Grants for Indian Set-Aside Wastewater Treatment Projects
6 1200 TN 226
7 6/11/90
8 1. AUTHORITY. To approve grants for the development of waste treatment management
9 plans and for the construction of sewage treatment works to serve federally recognized
10 Indian Tribes, Tribes on former reservations in Okalahoma, and Alaska Native Villages as
11 authoritized by Section 518(c) of the Clean Water Act (CWA). Such grants may be made
12 to a State or other organization if authorized by the Tribe of the Village.
13 2. TO WHOM DELEGATED. Regional Administrators.
14 3. LIMITATIONS. The Regional Administrator may redelegate this authority for only those
15 projects above the funding line on the Indian Set-Aside National Project Priority List.
16 4. ADDITIONAL REFERENCES. 40 CFR Parts 31-32; Guidelines and Requirements for
17 Applying For grants from the Indian Set-Aside Program, April 1989. Authority to execute
18 (sign) these financial assistance agreements is delegated to the Regional Administrators
19 under Delegation 1-14, Assistance Agreements.
20
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1
2 2-105 Transfer Funds Between State Revolving Fund Tribal Set-Aside Programs
3 (1200 TN 618)
4
5 1. AUTHORITY. Pursuant to Public Law 112-74, to approve the transfer of funds
6 between the accounts provided for tribal set-asides appropriated through Clean Water
7 State Revolving Funds and Drinking Water State Revolving Funds.
8
9 2. TO WHOM DELEGATED. Regional Administrators.
10
11 3. LIMITATIONS. In a fiscal year, a regional administrator may:
12
13 a. Transfer a dollar value of up to 33 percent of the funds provided for the region's
14 Drinking Water Indian Set-Aside account to the region's Clean Water Indian Set-
15 Aside account; and
16
17 b. Transfer a dollar amount up to the dollar amount identified in paragraph a of
18 funds provided for the region's Clean Water Indian Set-Aside account to
19 theregion's Drinking Water Indian Set-Aside account.
20
21 c. Starting in FY13, for the first transfer within each region, the regional
22 administrator must obtain the concurrence of the Office of Water's assistant
23 administrator or designee and thereafter must consult with the Office of Water's
24 assistant administrator or designee exercising this authority.
25
26 4. REDELEGATION AUTHORITY
27
28 a. This authority may be redelegated to the division director level or equivalent in
29 the regions and no further.
30
31 b. This authority may be exercised by any person in the chain of command to the
32 person to whom it has been re-delegated. Any redelegation of this authority does
33 not divest the official making the redelegation from the power to exercise this
34 authority.
35
36 5. ADDITIONAL REFERENCES.
37
38 a. Section 518(c) of the Clean Water Act.
39
40 b. Section 1452(i) of the Safe Drinking Water Act.
41
42 c. Additional guidance as may be issued by the Office of Wastewater Management or the
43 Office of Groundwater and Drinking Water.
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Appendix C. Federal Cross-Cutting
Authorities
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DRAFT C-l
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i Appendix C
2 Federal Cross-Cutting Authorities
3
4 The following is a list of cross-cutting authorities for the CWISA Program. It is not all inclusive and Regional
5 Coordinators should confirm with current rules and regulations to ensure that all federal policies are
6 followed. A more detailed description of the Federal laws, Executive Orders, OMB Circulars and their
7 implementing regulations is available through the OGD Grants Intranet website at
8 http://intranet.epa.gov/ogd/ or through the Regional Grants Management Office.
9
10 Environmental Authorities
11 • Archeological and Historic Preservation Act of 1974, Pub. L. 86-523, as amended
12 • Clean Air Act, Pub. L. 84-159, as amended
13 • Coastal Barrier Resources Act, Pub. L. 97-348
14 • Coastal Zone Management Act, Pub. L. 92-583, as amended
15 • Endangered Species Act, Pub. L. 93-205, as amended
16 • Environmental Justice, Executive Order 12898
17 • Floodplain Management, Executive Order 11988 as amended by Executive Order 12148
18 • Protection of Wetlands, Executive Order 11990
19 • Farmland Protection Policy Act, Pub. L. 97-98
20 • Fish and Wildlife Coordination Act, Pub. L. 85-624, as amended
21 • National Historic Preservation Act of 1966, PL 89-665, as amended
22 • Safe Drinking Water Act, Pub. L. 93-523, as amended
23 • Wild and Scenic Rivers Act, Pub. L. 90-542, as amended
24
25 Economic and Miscellaneous Authorities
26 • Demonstration Cities and Metropolitan Development Act of 1966, Pub. L. 89-754, as amended
27 • Executive Order 12372
28 • Procurement Prohibitions under Section 306 of the Clean Air Act and Section 508 of the Clean
29 • Water Act, including Executive Order 11738, Administration of the Clean Air Act and the Federal
30 • Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans
31 • Uniform Relocation and Real Property Acquisition Policies Act, Pub. L. 91-646, as amended
32 • Debarment and Suspension, Executive Order 12549
33 • Davis-Bacon Act, Pub. L. 107-217, as amended
34
35 Social Policy Authorities
36 • Age Discrimination Act of 1975, Pub. L. 94-135
37 • Title VI of the Civil Rights Act of 1964, Pub. L. 88-3524
38 • Section 13 of the Federal Water Pollution Control Act Amendments of 1972, Pub. L. 92-500 (the
39 Clean Water Act)
40 • Section 504 of the Rehabilitation Act of 1973, Pub. L. 93-112 (including Executive Orders 11914 and
41 11250)
42 • The Drug-Free Workplace Act of 1988, Pub. L. 100-690 (applies only to the capitalization grant
43 recipient)
44 • Equal Employment Opportunity, Executive Order 11246
45 • Women's and Minority Business Enterprise, Executive Orders 11625,12138 and 12432
46 • Section 129 of the Small Business Administration Reauthorization and Amendment Act of 1988, Pub.
47 L. 100-590
48 • Anti-Lobbying Provisions (40 CFR part 30) [applies only to capitalization grant recipients].
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Appendix D. Guidelines on the Inter-
Program Transfer Authority
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1 Attachment 1
2 Guidelines for Implementation of Fund Transfer Authority
3 Between the Drinking Water Infrastructure Grant - Tribal Set Aside and the
4 Clean Water Indian Set - Aside Programs
5 May 2013
6
7 I. Purpose
8
9 This document provides guidance to EPA Regions when implementing the option to transfer funds
10 between the Drinking Water Infrastructure Grant - Tribal Set Aside (DWIG-TSA) and Clean Water
11 Indian Set Aside (CWISA) programs.
12
13 II. Authorization
14
15 State Revolving Fund (SRF) programs currently have permanent authority to transfer funds between the
16 Clean Water SRF and the Drinking Water SRF. Authority to transfer funds between the DWIG-TSA and
17 CWISA programs was provided through EPA's FY12 appropriations, stating:
18
19 Provided further, That for fiscal year 2012 and hereafter, the Administrator may transfer
20 funds provided for tribal set-asides through funds appropriated for the Clean Water State
21 Revolving Funds and for the Drinking Water State Revolving Funds between those
22 accounts in such manner as the Administrator deems appropriate, but not to exceed the
23 transfer limits given to States under section 302(a) of Public Law 104-182.
24
25 The transfer limit identified in section 302(a) is 33 percent of the Drinking Water SRF. For example, had
26 we implemented the transfer provision in FY12, 33 percent of the DWIG-TSA allotment (of $18,358,000)
27 would have been $6,058,140. The process for tribal transfers will begin in FY13; no transfers may be
28 made with FY12 funds. The project eligibility portion of the grant guidelines specific to the program that
29 receives funds from a transfer will apply to the transferred funds. For example, if funds are transferred
30 from the CWISA to the DWIG-TSA, the funds will follow the project eligibility portion of the grant
31 guidelines that apply to the DWIG-TSA.
32
33 III. Permanent Delegation of Authority
34
35 A permanent delegation of authority is in place that delegates the authority to transfer funds between the
36 CWISA and the DWIG-TSA (#2-105). The April 4, 2013 authority memo is attached.
37
38 IV. Transfer Process
39 The following describes the steps to implement a transfer of funds between the two programs.
40
41 1. Regional Allotment Calculation: The Office of Ground Water and Drinking Water (OGWDW) and
42 Office of Wastewater Management (OWM) calculate the allotments and indicate the maximum
43 amount of funding available for transfer within each EPA Region.
44
45 2. Notification of Transfer: Regions will utilize their existing processes to identify water and wastewater
46 infrastructure projects and notify Headquarters of their interest in exercising the transfer option.
47
48 3. Transfer Justification: Regions electing to transfer funds will submit a short narrative transfer
49 justification to HQ that covers key points as described in this guidline supported by a Regional
50 Project List (RPL). For the purposes of these guidelines, the RPL for wastewater projects would
51 consist of information from the IHS Sanitation Deficiency System (SDS) and the RPL for drinking
CWISA Guidelines July 2013
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1 water projects would consist of SDS information in addition to information identified through
2 regional project solicitations. The proposed projects to be funded through a transfer must be on the
3 IHS SDS list. Section V of this guideline includes a further description of the transfer justification and
4 the data elements required in the RPL.
5
6 4. Transfer Approval Review Criteria: The approval of the fund transfer will be based on a
7 consideration of several factors linked to Agency measures and priorities along with consistency with
8 Agency guidelines for implementing the programs. The following information should be provided for
9 consideration during the review process:
10
11 a. Number of Homes Provided Access to Safe Drinking Water or Basic Sanitation: The number of
12 homes the project provides access to safe drinking water or basic sanitation is based on the Indian
13 Health Service deficiency level data.
14
15 b. Improving Compliance with Safe Drinking Water Act Regulations (if applicable).
16
17 c. Project Readiness: Indication that the following types of documents are complete: preliminary
18 engineering report, planning, design, environmental reviews and archeology.
19
20 d. IHS Sanitation Deficiency Survey Project Priority Number.
21
22 5. Transfer Justification Review/Approval: Starting in FY2013, for the first transfer within each region
23 the regional administrator must obtain concurrence of the Office of Water's assistant administrator or
24 designee. Should an impasse occur the first time that a transfer is requested, the decision to approve
25 or disapprove will be resolved by the Assistant Administrator of Water.
26
27 For transfers subsequent to the first transfer, the Regions are to consult with the Office of Water's
28 assistant administrator through notification of OGWDW and OWM of the intent to transfer and
29 provide the Transfer Justification (Item 3) and the information described in 4a to 4d.
30
31 6. Funds Reprogramming: Upon approval of the transfer request, the approved amount of funds will be
32 reprogrammed. The reprogramming will occur at Headquarters before funds are made available to
33 the regions.
34
35 V. Transfer Justification
36
37 In order for OGWDW and OWM to evaluate the reasons for fund transfer, Regions shall provide a
38 narrative justification for the proposed transfer. The justification statement should highlight the public
39 health threat posed by the current deficiencies and net positive public health benefits of funding the
40 project proposed for the transfer. The narrative statement should answer the question: Why are the
41 projects proposed to receive transfer funds a priority for EPA? The narrative should also describe how
42 the proposed infrastructure project will address the current deficiencies along with measures or metrics
43 that clarify why this project is a priority over others. The transfer statement should be supported by the
44 project data provided in the SDS listing for the project along with the RPL. If the project is not in the top
45 10% of the IHS area SDS, the narrative should also explain why the project does not rank highly on the
46 IHS Area SDS.
47
48 The RPL should include the projects planned for funding that utilize all regional funds (both Drinking
49 Water and Clean Water.) If possible, the RPL should also include the highest ranked project(s) not
50 funded as a result of the funds transfer. The data to be included in the RPL for each project are listed in
51 Table 1.
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1
2
3
Table 1: Data Fields for the Regional Project List (RPL)
Project Name*
Project Purpose*
Tribe Name*
Indian Health Service (HS) Area*
IHS Sanitation Deficiency System Data
(Project Number, Project Priority, Project
Initial Deficiency Level and Project Final
Deficiency Level)
Funding from Drinking Water Infrastructure
Grant-Tribal Set- Aside Program
Funding from Clean Water Act Indian Set-
Aside Program
Total Project Cost*
Public Water System Inventory Number*
(Drinking Water project)
National Pollution Discharge Elimination
System Permit (Clean Water Project)
Number of Tribal Homes Served*
Current Violation Type(s) to be address by
project (as applicable)*
Anticipated Construction Start Date*
EPA Program Measures Addressed*
4
5
6
7
8
9
10
11
12
13
14
15
16
17
* Data required for all funded drinking water projects per memo EPA National Tribal Drinking Water
Program Oversight and Accountability (March 23, 2012). Data recommended for all funded wastewater
projects.
VI. Annual Timeline
The following table describes the approximate timing to implement a transfer of funds between the two
programs. Approval by OGWDW and OWM of the first transfer within each Region is required. For
subsequent transfers, Regions will still need to provide justification information to notify OGWDW and
OWM of the intent to transfer. OGWDW and OWM reserve the right to object to a transfer proposal if it
is contrary to the program guidelines or the goals of the program.
Table 2: Tribal Water Infrastructure Funding Transfer Process Timeline
Milestone
Regional Allotment
Calculation
Notification of Transfer
Transfer Justification
Transfer Approval
Funds Reprogramming
Schedule
Budget Operating Plan + 30 days
Budget Operating Plan + 60 days
Budget Operating Plan + 90 days
Transfer Justification /Consultation + 30 days
Transfer Approval + 30 days
Responsible Entities
OGWDW and OWM
EPA Regions
EPA Regions
Regional Administrator
or OGWDW/OWM
OWM or OGWDW
18
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Appendix E. Preliminary Engineering
Report Template
CWISA Guidelines July 2013
DRAFT E-l
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USDA
^A/ DEM^V
1 January 16, 2013
2
3 INTERAGENCY MEMORANDUM
4
5 Attached is a document explaining recommended best practice for the development of
6 Preliminary Engineering Reports in support of funding applications for development of drinking
7 water, wastewater, stormwater, and solid waste systems.
8
9 The best practice document was developed cooperatively by:
10 • US Department of Agriculture, Rural Development, Rural Utilities Service, Water and
11 Environmental Programs:
12 • US Environmental Protection Agency (EPA), Office of Water, Office of Ground Water
13 and Drinking Water and Office of Wastewater Management:
14 • US Department of Housing and Urban Development (HUD), Office of Community
15 Planning and Development:
16 • US Department of Health and Human Services, Indian Health Service (IHS):
17 • Small Communities Water Infrastructure Exchange:
18
19 Extensive input from participating state administering agencies was also very important to the
20 development of this document.
21
22 Federal agencies that cooperatively developed this document strongly encourage its use by
23 funding agencies as part of the application process or project development. State administered
24 programs are encouraged to adopt this document but are not required to do so, as it is up to a
25 state administering agency's discretion to adopt it, based on the needs of the state administering
26 agency.
27
28 A Preliminary Engineering Report (Report) is a planning document required by many state and
29 federal funding agencies as part of the process of obtaining financial assistance for development
30 of drinking water, wastewater, solid waste, and stormwater facilities. The attached Report
31 outline details the requirements that funding agencies have adopted when a Report is required.
32
33 In general the Report should include a description of existing facilities and a description of the
34 issues being addressed by the proposed project. It should identify alternatives, present a life
35 cycle cost analysis of technically feasible alternatives and propose a specific course of action.
36 The Report should also include a detailed current cost estimate of the recommended alternative.
37 The attached outline describes these and other sections to be included in the Report.
38
39 Projects utilizing direct federal funding also require an environmental review in accordance with
40 the National Environmental Policy Act (NEPA). The Report should indicate that environmental
41 issues were considered as part of the engineering planning and include environmental
42 information pertinent to engineering planning.
43
CWISA Guidelines July 2013
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1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
For state administered funding programs, a determination of whether the outline applies to a
given program or project is made by the state administering agency. When a program or agency
adopts this outline, it may adopt a portion or the entire outline as applicable to the program or
project in question at the discretion of the agency. Some state and federal funding agencies will
not require the Report for every project or may waive portions of the Report that do not apply to
their application process, however a Report thoroughly addressing all of the contents of this
outline will meet the requirements of most agencies that have adopted this outline.
The detailed outline provides information on what to include in a Report. The level of detail
required may also vary according to the complexity of the specific project. Reports should
conform substantially to this detailed outline and otherwise be prepared and presented in a
professional manner. Many funding agencies require that the document be developed by a
Professional Engineer registered in the state or other jurisdiction where the project is to be
constructed unless exempt from this requirement. Please check with applicable funding agencies
to determine if the agencies require supplementary information beyond the scope of this outline.
Any preliminary design information must be written in accordance with the regulatory
requirements of the state or territory where the project will be built.
Information provided in the Report may be used to process requests for funding. Completeness
and accuracy are therefore essential for timely processing of an application. Please contact the
appropriate state or federal funding agencies with any questions about development of the Report
and applications for funding as early in the process as practicable.
Questions about this document should be referred to the applicable state administering agency,
regional office of the applicable federal agency, or to the following federal contacts:
Agency
USDA/RUS
EPA/DWSRF
EPA/CWSRF
HUD
fflS
Contact
Benjamin Shuman, PE
Kirsten Anderer, PE
Matt King
Stephen Rhodeside
Dana Baer, PE
Email Address
ben.shuman(3);wdc.usda.sov
anderer.kirsten(3)epa.sov
kins.matt(3)epa.sov
Stephen, m.rhodeside(3)hud.sov
dana.baer@ihs.gov
Phone
202-720-1784
202-564-3134
202-564-2871
202-708-1322
301-443-1345
28
29
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2
3
Sincerely,
JacrfueKne W Ponti-LazarulC Assistant(Ad^iin(^/ator
USBA, Rural Development, Rural Utilities Service, Water and Environmental Programs
Sheila Frace, Acting Deputy Director
US EPAi-OffLwroTyater, Office of Wastewater Management
6- /
Andrew Sawyers, Deputy Director
US EPA, Director, Office o/Water, Office of Ground Water and Drinking Water
/
Ronald Ferguson, PE, RABW, Director
Division of Sanitation Facilities Construction, Indian Health Service
Slanley'Gimont, I/irecufr J
Office of Block Grant (&£tnstance, US Department of Housing and Urban Development
Attachment
CWISA Guidelines
DRAFT
E-4
July 2013
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WORKING GROUP CONTRIBUTORS
Federal Agency Partners
USDA, Rural Development, Rural Utilities Service (Chair)
EPA, Office of Water, Office of Ground Water and Drinking Water
EPA, Office of Water, Office of Ground Water and Drinking Water
EPA, Office of Water, Office of Wastewater Management
EPA, Office of Water, Office of Wastewater Management
EPA, Region 1
EPA, Region 9
HUD, Office of Community Planning and Development
HUD, Office of Community Planning and Development
Indian Health Service
Indian Health Service
USDA, Rural Development, Florida State Office
USDA, Rural Development, Florida State Office
Benjamin Shuman, PE
Kirsten Anderer, PE
CAPT David Harvey, PE
Matt King
Joyce Hudson
Carolyn Hayek
Abimbola Odusoga
Stephen M. Rhodeside
Eva Fontheim
CAPT Dana Baer, PE
LCDRCharissaWilliar, PE
Michael Langston
Steve Morris, PE
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State Agency and Interagency Partners
Arizona Water Infrastructure Finance Authority
Border Environment Cooperation Commission
Colorado Department of Local Affairs
Colorado Department of Public Health & Environment
Colorado Department of Public Health & Environment
Georgia Office of Community Development
Idaho, Department of Environmental Quality
Indiana Finance Authority
Indiana Finance Authority
Indiana Finance Authority
Kentucky Division of Water
Kentucky Department of Local Government
Louisiana Department of Environmental Quality
Maine Department of Health and Human Services
Minnesota Pollution Control Agency
Minnesota Pollution Control Agency
Missouri Department of Natural Resources
Montana Department of Commerce
North Carolina Department of Commerce
North Carolina Rural Center
North Carolina Department of Commerce
Rhode Island Department of Health
Rhode Island Department of Health
Dean Moulis, PE
Joel Mora, PE
Barry Cress
Michael Beck
Bret Icenogle, PE
Steed Robinson
Tim Wendland
Emma Kottlowski
Shelley Love
Amanda Rickard, PE
Shafiq Amawi
Jennifer Peters
Jonathan McFarland, PE
Norm Lamie, PE
Amy Douville
Corey Mathisen, PE
Cynthia Smith
Kate Miller, PE
Olivia Collier
Keith Krzywicki, PE
Vickie Miller, CPM
Gary Chobanian, PE
Geoffrey Marchant
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1
2 ABBREVIATIONS
3
4 NEPA - National Environmental Policy Act
5 NPV - Net Present Value
6 O&M - Operations and Maintenance
7 OMB - Office of Management and Budget
8 Report - Preliminary Engineering Report
9 SPPW - Single Payment Present Worth
10 USPW - Uniform Series Present Worth
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12
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1
2
3 GENERAL OUTLINE OF A PRELIMINARY ENGINEERING REPORT
4
5 1) PROJECT PLANNING
6 a) Location
7 b) Environmental Resources Present
8 c) Population Trends
9 d) Community Engagement
10
11 2) EXISTING FACILITIES
12 a) Location Map
13 b) History
14 c) Condition of Existing Facilities
15 d) Financial Status of any Existing Facilities
16 e) Water/Energy/Waste Audits
17
18 3) NEED FOR PROJECT
19 a) Health, Sanitation, and Security
20 b) Aging Infrastructure
21 c) Reasonable Growth
22
23 4) ALTERNATIVES CONSIDERED
24 a) Description
25 b) Design Criteria
26 c) Map
27 d) Environmental Impacts
28 e) Land Requirements
29 f) Potential Construction Problems
30 g) Sustainability Considerations
31 i) Water and Energy Efficiency
32 ii) Green Infrastructure
33 iii) Other
34 h) Cost Estimates
35
36 5) SELECTION OF AN ALTERNATIVE
37 a) Life Cycle Cost Analysis
38 b) Non-Monetary Factors
39
40 6) PROPOSED PROJECT (RECOMMENDED ALTERNATIVE)
41 a) Preliminary Project Design
42 b) Project Schedule
43 c) Permit Requirements
44 d) Sustainability Considerations
45 i) Water and Energy Efficiency
46 ii) Green Infrastructure
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1 iii) Other
2 e) Total Project Cost Estimate (Engineer's Opinion of Probable Cost)
3 f) Annual Operating Budget
4 i) Income
5 ii) Annual O&M Costs
6 iii) Debt Repayments
7 iv) Reserves
8
9 7) CONCLUSIONS AND RECOMMENDATIONS
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DETAILED OUTLINE OF A PRELIMINARY ENGINEERING REPORT
PROJECT PLANNING
Describe the area under consideration. Service may be provided by a combination of
central, cluster, and/or centrally managed individual facilities. The description should
include information on the following:
a) Location. Provide scale maps and photographs of the project planning area and
any existing service areas. Include legal and natural boundaries and a
topographical map of the service area.
b) Environmental Resources Present. Provide maps, photographs, and/or a narrative
description of environmental resources present in the project planning area that
affect design of the project. Environmental review information that has already
been developed to meet requirements of NEPA or a state equivalent review
process can be used here.
c) Population Trends. Provide U.S. Census or other population data (including
references) for the service area for at least the past two decades if available.
Population projections for the project planning area and concentrated growth
areas should be provided for the project design period. Base projections on
historical records with justification from recognized sources.
d) Community Engagement: Describe the utility's approach used (or proposed for
use) to engage the community in the project planning process. The project
planning process should help the community develop an understanding of the
need for the project, the utility operational service levels required, funding and
revenue strategies to meet these requirements, along with other considerations.
EXISTING FACILITIES
Describe each part (e.g. processing unit) of the existing facility and include the following
information:
a) Location Map. Provide a map and a schematic process layout of all existing
facilities. Identify facilities that are no longer in use or abandoned. Include
photographs of existing facilities.
b) History. Indicate when major system components were constructed, renovated,
expanded, or removed from service. Discuss any component failures and the
cause for the failure. Provide a history of any applicable violations of regulatory
requirements.
c) Condition of Existing Facilities. Describe present condition; suitability for
continued use; adequacy of current facilities; and their conveyance, treatment,
storage, and disposal capabilities. Describe the existing capacity of each
component. Describe and reference compliance with applicable federal, state, and
local laws. Include a brief analysis of overall current energy consumption.
Reference an asset management plan if applicable.
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1 d) Financial Status of any Existing Facilities. (Note: Some agencies require the
2 owner to submit the most recent audit or financial statement as part of the
3 application package.) Provide information regarding current rate schedules,
4 annual O&M cost (with a breakout of current energy costs), other capital
5 improvement programs, and tabulation of users by monthly usage categories for
6 the most recent typical fiscal year. Give status of existing debts and required
7 reserve accounts.
8
9 e) Water/Energy /Waste Audits. If applicable to the project, discuss any water,
10 energy, and/or waste audits which have been conducted and the main outcomes.
11
12 3) NEED FOR PROJECT
13
14 Describe the needs in the following order of priority:
15
16 a) Health, Sanitation, and Security. Describe concerns and include relevant
17 regulations and correspondence from/to federal and state regulatory agencies.
18 Include copies of such correspondence as an attachment to the Report.
19
20 b) Aging Infrastructure. Describe the concerns and indicate those with the greatest
21 impact. Describe water loss, inflow and infiltration, treatment or storage needs,
22 management adequacy, inefficient designs, and other problems. Describe any
23 safety concerns.
24
25 c) Reasonable Growth. Describe the reasonable growth capacity that is necessary to
26 meet needs during the planning period. Facilities proposed to be constructed to
27 meet future growth needs should generally be supported by additional revenues.
28 Consideration should be given to designing for phased capacity increases.
29 Provide number of new customers committed to this proj ect.
30
31 4) ALTERNATIVES CONSIDERED
32
33 This section should contain a description of the alternatives that were considered in
34 planning a solution to meet the identified needs. Documentation of alternatives
35 considered is often a Report weakness. Alternative approaches to ownership and
36 management, system design (including resource efficient or green alternatives), and
37 sharing of services, including various forms of partnerships, should be considered. In
38 addition, the following alternatives should be considered, if practicable: building new
39 centralized facilities, optimizing the current facilities (no construction), developing
40 centrally managed decentralized systems, including small cluster or individual systems,
41 and developing an optimum combination of centralized and decentralized systems.
42 Alternatives should be consistent with those considered in the NEPA, or state equivalent,
43 environmental review. Technically infeasible alternatives that were considered should be
44 mentioned briefly along with an explanation of why they are infeasible, but do not
45 require full analysis. For each technically feasible alternative, the description should
46 include the following information:
47
48 a) Description. Describe the facilities associated with every technically feasible
49 alternative. Describe source, conveyance, treatment, storage and distribution
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1 facilities for each alternative. A feasible system may include a combination of
2 centralized and decentralized (on-site or cluster) facilities.
3
4 b) Design Criteria. State the design parameters used for evaluation purposes. These
5 parameters should comply with federal, state, and agency design policies and
6 regulatory requirements.
7
8 c) Map. Provide a schematic layout map to scale and a process diagram if
9 applicable. If applicable, include future expansion of the facility.
10
11 d) Environmental Impacts. Provide information about how the specific alternative
12 may impact the environment. Describe only those unique direct and indirect
13 impacts on floodplains, wetlands, other important land resources, endangered
14 species, historical and archaeological properties, etc., as they relate to each
15 specific alternative evaluated. Include generation and management of residuals
16 and wastes.
17
18 e) Land Requirements. Identify sites and easements required. Further specify
19 whether these properties are currently owned, to be acquired, leased, or have
20 access agreements.
21
22 f) Potential Construction Problems. Discuss concerns such as subsurface rock, high
23 water table, limited access, existing resource or site impairment, or other
24 conditions which may affect cost of construction or operation of facility.
25
26 g) Sustainability Considerations. Sustainable utility management practices include
27 environmental, social, and economic benefits that aid in creating a resilient utility.
28
29 i) Water and Energy Efficiency. Discuss water reuse, water efficiency, water
30 conservation, energy efficient design (i.e. reduction in electrical demand),
31 and/or renewable generation of energy, and/or minimization of carbon
32 footprint, if applicable to the alternative. Alternatively, discuss the water and
33 energy usage for this option as compared to other alternatives.
34
35 ii) Green Infrastructure. Discuss aspects of project that preserve or mimic
36 natural processes to manage stormwater, if applicable to the alternative.
37 Address management of runoff volume and peak flows through infiltration,
38 evapotranspiration, and/or harvest and use, if applicable.
39
40 iii) Other. Discuss any other aspects of Sustainability (such as resiliency or
41 operational simplicity) that are incorporated into the alternative, if applicable.
42
43 h) Cost Estimates. Provide cost estimates for each alternative, including a
44 breakdown of the following costs associated with the project: construction, non-
45 construction, and annual O&M costs. A construction contingency should be
46 included as a non-construction cost. Cost estimates should be included with the
47 descriptions of each technically feasible alternative. O&M costs should include a
48 rough breakdown by O&M category (see example below) and not just a value for
49 each alternative. Information from other sources, such as the recipient's
50 accountant or other known technical service providers, can be incorporated to
51 assist in the development of this section. The cost derived will be used in the life
52 cycle cost analysis described in Section 5 a.
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Example O&M Cost Estimate
Personnel (i.e. Salary, Benefits, Payroll Tax,
Insurance, Training)
Administrative Costs (e.g. office supplies, printing,
etc.)
Water Purchase or Waste Treatment Costs
Insurance
Energy Cost (Fuel and/or Electrical)
Process Chemical
Monitoring & Testing
Short Lived Asset Maintenance/Replacement*
Professional Services
Residuals Disposal
Miscellaneous
Total
* See Appendix A for example list
5) SELECTION OF AN ALTERNATIVE
Selection of an alternative is the process by which data from the previous section,
"Alternatives Considered" is analyzed in a systematic manner to identify a recommended
alternative. The analysis should include consideration of both life cycle costs and non-
monetary factors (i.e. triple bottom line analysis: financial, social, and environmental). If
water reuse or conservation, energy efficient design, and/or renewable generation of
energy components are included in the proposal provide an explanation of their cost
effectiveness in this section.
a) Life Cycle Cost Analysis. A life cycle present worth cost analysis (an
engineering economics technique to evaluate present and future costs for
comparison of alternatives) should be completed to compare the technically
feasible alternatives. Do not leave out alternatives because of anticipated costs;
let the life cycle cost analysis show whether an alternative may have an
acceptable cost. This analysis should meet the following requirements and should
be repeated for each technically feasible alternative. Several analyses may be
required if the project has different aspects, such as one analysis for different
types of collection systems and another for different types of treatment.
1. The analysis should convert all costs to present day dollars;
2. The planning period to be used is recommended to be 20 years, but may be any
period determined reasonable by the engineer and concurred on by the state or
federal agency;
3. The discount rate to be used should be the "real" discount rate taken from
Appendix C of OMB circular A-94 and found at
(www.whitehouse.gov/omb/circulars/a094/a94 appx-c.html);
4. The total capital cost (construction plus non-construction costs) should be
included;
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5. Annual O&M costs should be converted to present day dollars using a uniform
series present worth (USPW) calculation;
6. The salvage value of the constructed project should be estimated using the
anticipated life expectancy of the constructed items using straight line
depreciation calculated at the end of the planning period and converted to
present day dollars;
7. The present worth of the salvage value should be subtracted from the present
worth costs;
8. The net present value (NPV) is then calculated for each technically feasible
alternative as the sum of the capital cost (C) plus the present worth of the
uniform series of annual O&M (USPW (O&M)) costs minus the single payment
present worth of the salvage value (SPPW(S)):
NPV = C + USPW (O&M) - SPPW (S)
9. A table showing the capital cost, annual O&M cost, salvage value, present
worth of each of these values, and the NPV should be developed for state or
federal agency review. All factors (major and minor components), discount
rates, and planning periods used should be shown within the table.
10. Short lived asset costs (See Appendix A for examples) should also be included
in the life cycle cost analysis if determined appropriate by the consulting
engineer or agency. Life cycles of short lived assets should be tailored to the
facilities being constructed and be based on generally accepted design life.
Different features in the system may have varied life cycles.
b) Non-Monetary Factors. Non-monetary factors, including social and
environmental aspects (e.g. sustainability considerations, operator training
requirements, permit issues, community objections, reduction of greenhouse gas
emissions, wetland relocation) should also be considered in determining which
alternative is recommended and may be factored into the calculations.
PROPOSED PROJECT (RECOMMENDED ALTERNATIVE)
The engineer should include a recommendation for which alternative(s) should be
implemented. This section should contain a fully developed description of the proposed
project based on the preliminary description under the evaluation of alternatives. Include
a schematic for any treatment processes, a layout of the system, and a location map of the
proposed facilities. At least the following information should be included as applicable
to the specific project:
a) Preliminary Project Design.
i) Drinking Water:
Water Supply. Include requirements for quality and quantity. Describe
recommended source, including site and allocation allowed.
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1 Treatment. Describe process in detail (including whether adding,
2 replacing, or rehabilitating a process) and identify location of plant and
3 site of any process discharges. Identify capacity of treatment plant (i.e.
4 Maximum Daily Demand).
5
6 Storage. Identify size, type and location.
7
8 Pumping Stations. Identify size, type, location and any special power
9 requirements. For rehabilitation projects, include description of
10 components upgraded.
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12 Distribution Layout. Identify general location of new pipe, replacement,
13 or rehabilitation: lengths, sizes and key components.
14
15 ii) Wastewater/Reuse:
16
17 Collection System/Reclaimed Water System Layout. Identify general
18 location of new pipe, replacement or rehabilitation: lengths, sizes, and key
19 components.
20
21 Pumping Stations. Identify size, type, site location, and any special power
22 requirements. For rehabilitation projects, include description of
23 components upgraded.
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25 Storage. Identify size, type, location and frequency of operation.
26
27 Treatment. Describe process in detail (including whether adding,
28 replacing, or rehabilitating a process) and identify location of any
29 treatment units and site of any discharges (end use for reclaimed water).
30 Identify capacity of treatment plant (i.e. Average Daily Flow).
31
32 iii) Solid Waste:
33
34 Collection. Describe process in detail and identify quantities of material
35 (in both volume and weight), length of transport, location and type of
36 transfer facilities, and any special handling requirements.
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38 Storage. If any, describe capacity, type, and site location.
39
40 Processing. If any, describe capacity, type, and site location.
41
42 Disposal. Describe process in detail and identify permit requirements,
43 quantities of material, recycling processes, location of plant, and site of
44 any process discharges.
45
46 iv) Stormwater:
47
48 Collection System Layout. Identify general location of new pipe,
49 replacement or rehabilitation: lengths, sizes, and key components.
50
51 Pumping Stations. Identify size, type, location, and any special power
52 requirements.
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1 Treatment. Describe treatment process in detail. Identify location of
2 treatment facilities and process discharges. Capacity of treatment process
3 should also be addressed.
4
5 Storage. Identify size, type, location and frequency of operation.
6
7 Disposal. Describe type of disposal facilities and location.
8
9 Green Infrastructure. Provide the following information for green
10 infrastructure alternatives:
11
12 • Control Measures Selected. Identify types of control measures
13 selected (e.g., vegetated areas, planter boxes, permeable pavement,
14 rainwater cisterns).
15 • Layout: Identify placement of green infrastructure control measures,
16 flow paths, and drainage area for each control measure.
17 • Sizing: Identify surface area and water storage volume for each green
18 infrastructure control measure. Where applicable, soil infiltration rate,
19 evapotranspiration rate, and use rate (for rainwater harvesting) should
20 also be addressed.
21 • Overflow: Describe overflow structures and locations for conveyance
22 of larger precipitation events.
23
24 b) Project Schedule. Identify proposed dates for submittal and anticipated approval
25 of all required documents, land and easement acquisition, permit applications,
26 advertisement for bids, loan closing, contract award, initiation of construction,
27 substantial completion, final completion, and initiation of operation.
28
29 c) Permit Requirements. Identify any construction, discharge and capacity permits
30 that will/may be required as a result of the project.
31
32 d) Sustainability Considerations (if applicable).
33
34 i) Water and Energy Efficiency. Describe aspects of the proposed project
35 addressing water reuse, water efficiency, and water conservation, energy
36 efficient design, and/or renewable generation of energy, if incorporated into
37 the selected alternative.
38
39 ii) Green Infrastructure. Describe aspects of project that preserve or mimic
40 natural processes to manage stormwater, if applicable to the selected
41 alternative. Address management of runoff volume and peak flows through
42 infiltration, evapotranspiration, and/or harvest and use, if applicable.
43
44 iii) Other. Describe other aspects of Sustainability (such as resiliency or
45 operational simplicity) that are incorporated into the selected alternative, if
46 incorporated into the selected alternative.
47
48 e) Total Project Cost Estimate (Engineer's Opinion of Probable Cost). Provide an
49 itemized estimate of the project cost based on the stated period of construction.
50 Include construction, land and right-of-ways, legal, engineering, construction
51 program management, funds administration, interest, equipment, construction
52 contingency, refinancing, and other costs associated with the proposed project.
53 The construction subtotal should be separated out from the non-construction
54 costs. The non-construction subtotal should be included and added to the
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1 construction subtotal to establish the total project cost. An appropriate
2 construction contingency should be added as part of the non-construction subtotal.
3 For projects containing both water and waste disposal systems, provide a separate
4 cost estimate for each system as well as a grand total. If applicable, the cost
5 estimate should be itemized to reflect cost sharing including apportionment
6 between funding sources. The engineer may rely on the owner for estimates of
7 cost for items other than construction, equipment, and engineering.
8
9 f) Annual Operating Budget. Provide itemized annual operating budget
10 information. The owner has primary responsibility for the annual operating
11 budget, however, there are other parties that may provide technical assistance.
12 This information will be used to evaluate the financial capacity of the system.
13 The engineer will incorporate information from the owner's accountant and other
14 known technical service providers.
15
16 i) Income. Provide information about all sources of income for the system
17 including a proposed rate schedule. Project income realistically for existing
18 and proposed new users separately, based on existing user billings, water
19 treatment contracts, and other sources of income. In the absence of historic
20 data or other reliable information, for budget purposes, base water use on 100
21 gallons per capita per day. Water use per residential connection may then be
22 calculated based on the most recent U.S. Census, American Community
23 Survey, or other data for the state or county of the average household size.
24 When large agricultural or commercial users are projected, the Report should
25 identify those users and include facts to substantiate such projections and
26 evaluate the impact of such users on the economic viability of the project.
27
28 ii) Annual O&M Costs. Provide an itemized list by expense category and project
29 costs realistically. Provide projected costs for operating the system as
30 improved. In the absence of other reliable data, base on actual costs of other
31 existing facilities of similar size and complexity. Include facts in the Report
32 to substantiate O&M cost estimates. Include personnel costs, administrative
33 costs, water purchase or treatment costs, accounting and auditing fees, legal
34 fees, interest, utilities, energy costs, insurance, annual repairs and
35 maintenance, monitoring and testing, supplies, chemicals, residuals disposal,
36 office supplies, printing, professional services, and miscellaneous as
37 applicable. Any income from renewable energy generation which is sold back
38 to the electric utility should also be included, if applicable. If applicable, note
39 the operator grade needed.
40
41 iii) Debt Repayments. Describe existing and proposed financing with the
42 estimated amount of annual debt repayments from all sources. All estimates
43 of funding should be based on loans, not grants.
44
45 iv) Reserves. Describe the existing and proposed loan obligation reserve
46 requirements for the following:
47
48 Debt Service Reserve - For specific debt service reserve requirements
49 consult with individual funding sources. If General Obligation bonds are
50 proposed to be used as loan security, this section may be omitted, but this
51 should be clearly stated if it is the case.
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1 Short-Lived Asset Reserve - A table of short lived assets should be
2 included for the system (See Appendix A for examples). The table should
3 include the asset, the expected year of replacement, and the anticipated
4 cost of each. Prepare a recommended annual reserve deposit to fund
5 replacement of short-lived assets, such as pumps, paint, and small
6 equipment. Short-lived assets include those items not covered under
7 O&M, however, this does not include facilities such as a water tank or
8 treatment facility replacement that are usually funded with long-term
9 capital financing.
10
11 7. CONCLUSIONS AND RECOMMENDATIONS
12
13 Provide any additional findings and recommendations that should be considered in development
14 of the project. This may include recommendations for special studies, highlighting of the need
15 for special coordination, a recommended plan of action to expedite project development, and any
16 other necessary considerations.
17
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1
2
Appendix A: Example List of Short-Lived Asset Infrastructure
Estimated Repair, Rehab, Replacement Expenses by Item within up to 20 Years from Installation)
Drinking Water Utilities
Wastewater Utilities
Source Related
Pumps
Pump Controls
Pump Motors
Telemetry
Intake/Well screens
Water Level Sensors
Pressure Transducers
Treatment Related
Chemical feed pumps
Altitude Valves
Valve Actuators
Field & Process Instrumentation Equipment
Granular filter media
Air compressors & control units
Pumps
Pump Motors
Pump Controls
Water Level Sensors
Pressure Transducers
Sludge Collection & Dewatering
UV Lamps
Membranes
Back-up power generators
Chemical Leak Detection Equipment
Flow meters
SCADA Systems
Distribution System Related
Residential and Small Commercial Meters
Meter boxes
Hydrants & Blow offs
Pressure reducing valves
Cross connection control devices
Altitude valves
Alarms & Telemetry
Vaults, lids, and access hatches
Security devices and fencing
Storage reservoir painting/patching
Treatment Related
Pump
Pump Controls
Pump Motors
Chemical feed pumps
Membrane Filters Fibers
Field & Process Instrumentation Equipment
UV lamps
Centrifuges
Aeration blowers
Aeration diffusers and nozzles
Trickling filters, RBCs, etc.
Belt presses & driers
Sludge Collecting and Dewatering Equipment
Level Sensors
Pressure Transducers
Pump Controls
Back-up power generator
Chemical Leak Detection Equipment
Flow meters
SCADA Systems
Collection System Related
Pump
Pump Controls
Pump Motors
Trash racks/bar screens
Sewer line rodding equipment
Air compressors
Vaults, lids, and access hatches
Security devices and fencing
Alarms & Telemetry
Chemical Leak Detection Equipment
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Appendix F. EPA Tribal Clean Water
Program TDINex Data Entry Guidelines
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CWISATDI Data Guidelines (March 2012)
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EPA Tribal Clean Water Indian Set Aside Program
Tribal Direct Implementation Nexus (TDI Nex)
Data Guidelines
March 2012
I. Introduction
The Tribal Direct Implementation Nexus (TDI Nex) unites existing data systems from the
Environmental Protection Agency (EPA) and Indian Health Service (IMS) with EPA Regional Tribal
and Alaska Native Village (ANV) program data to assist in the oversight of the Clean Water
Indian Set Aside (CWISA) Program. Information from existing agency wide data systems: the
IMS Project Data System (PDS), the EPA Integrated Grants Management System (IGMS), and the
EPA Safe Drinking Water Information System (SDWIS) form the backbone of the TDI Nex. The
EPA Regional Tribal/ANV data supplements the existing data sources to improve EPA's ability to
describe the success of the CWISA program.
This document and tool was developed in conjunction with the Drinking Water
Infrastructure Grants Tribal Set Aside (DWIG-TSA) Program. There is a separate TDI Nex
guidelines document for the drinking water program. SDWIS data is not applicable to CWISA
funded projects
This document summarizes data fields available through the TDI Nex Tool and the
responsibility and frequency of data updates. The use of this tool is scheduled to start with the
FY 2012 funding year and aims to continue for future funding cycles or until future notice.
Figure 1: Data Sources Integrated via the TDI Nex
26
27
( IMS Project Data \
System (PDS) )
Management System
(IGMS)
Implementation
xus(TDINex)
C3A Regional
Vibal/ANV J
ogram Data
(Not applicable to CWISA)
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II. Purpose of Data Integration
The data integration effort is part of an overall strategy by EPA to better establish the
specific public health benefits realized in both State and tribal communities by the State
Revolving Fund and the Tribal set aside programs. Data Integration will also improve EPA's
ability to: demonstrate the use of CWISA funds and identify aspects of program implementation
that lead to lasting success in Indian country. The TDI Nex tool will be used to improve
accountability of the CWISA program by helping to track and summarize the annual fund usage
over time. The outputs of the tool will be used to help the CWISA program demonstrate
successful implementation over time including a summary of EPA infrastructure investments.
The specific Region entered data fields are intended to support EPA's goal of improved program
accountability.
III. Summary of Data Responsibility
Table 1 summarizes the minimum update frequency and responsibly entity
associated with the four data sources integrated by the TDI Nex. EPA Headquarters will be
responsible for updating the IGMS, IMS PDS and SDWIS data sources quarterly. It is requested
that the Regional Program Data should be updated by the EPA Regions at a minimum prior to
each of the bi-annual Regional—Headquarters check in discussions. Additionally, any project
changes that impact the regional data fields (see Table 3 below) and occur outside of scheduled
meetings should be updated within 30 calendar days of the change.
Table 1: Data Source Minimum Update Frequency and Responsibility
Data Source
Integrated Grants
Management System
(IGMS)
Safe Drinking Water
Information System (SDWIS)
IMS Project Data System
(PDS)
Regional Tribal and ANV
Program Data
Minimum Update
Frequency
Quarterly
Quarterly
Quarterly
Bi-Annually prior to check-
in meetings
Responsibility Entity
EPAHQ
EPAHQ
EPAHQ
EPA Regions
Notes
N/A to CWISA
-
-
24
25
26
27
28
29
30
IV. Description of Data Sources
The following section describes the data fields associated with each database
included in the TDI Nex tool.
A. Integrated Grants Management System (IGMS) Data
The Integrated Grants Management Systems (IGMS) is a database used by EPA to
manage grant and interagency agreement funding agency wide. Twenty - three (23) IGMS data
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1
2
3
4
5
6
fields that are of importance to EPA's tribal clean water program have been incorporated into
the TDI Nex via a data pull from IGMS that is scheduled to be completed quarterly by EPA
Headquarters and uploaded to the TDI Nex tool via an excel spreadsheet. The IGMS data will
include the follow fields:
Table 2: Integrated Grants Management System Data Fields Included in the TDI Nex
Awarding Region Code
Applicant Type
Project Officer
Award Date
Award Fiscal Year
Grant No
Grant Family
Grant Status
Program Code
Project Description
Project Title
Project Start Date
Project End Date
Applicant Name
EPA Amount This Action
Total EPA Amount Awarded to Date
Recipient Contribution: Amended Total
Other Federal Funds: Amended Total
EPA Amount: Amended Total
Expenditure Amount
Unliquidated Obligation Amt
Final Report
Final Report Date
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
Detailed description of the data fields in IGMS can be found at this web link:
http://www.epa.gov/enviro/facts/igms/userguide.html
B. Indian Health Service Project Data System (PDS) Data
The Indian Health Service (IHS) maintains six data systems within the Sanitation Tracking
and Reporting System (STARS). The data system that is of most importance to the fiduciary
responsibilities of the EPA's tribal clean water set aside program is the Project Data System
(PDS). PDS data is used by IHS to track construction project progress. Fifty-two (52) PDS data
fields of importance to EPA's tribal clean water program will been incorporated in the TDI Nex
via a quarterly data pull to be coordinated between EPA and IHS Headquarters. EPA
Headquarters will upload the data to the TDI Nex tool quarterly. The data from PDS will be
arranged in six (6) tabs (Project Details, Project Milestones, Homes, Project Costs, Project
Funding and IA Project Ids) and will include the following fields:
Table 3: IHS Project Data System Data Fields Included in the TDI Nex
IHS Area
PDS Project Number
EPA Region
Project Name
Tribe
Community State Code
Community Name
Project Homes
Total Cost
Total Funding
Percent Project Complete
Percent Funds Expended
MOA Signed Date
Construction Start Date
Construction Complete Date
Final Report Date
Last Update
Housing Group
Home Type
Number Homes
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Percent Construction Complete
Percent Project Complete
Percent Funds Expended
MOA Signed Date
Construction Start Date
Construction Complete Date
Final Report Date
Last Update
Scope
Percent Construction Complete*
Construction Document Start Date *
Construction Documents Complete Date *
Construction Phase Start Date *
Construction Phase End Date *
* Includes: Proposed, Estimated, and Actual
Dates.
Homes Served
Initial Deficiency Level (IDL)
Final Deficiency Level (FDL)
First Service Homes
Funding Source Code
Funding Source Name
Fiscal Year
Funding Year
Estimated Cost
Actual Cost
Document Num. ("Interagency Agreement")
Estimated Amount
Estimated Expenditure
Document ("Interagency Agreement") Signed
Date
Start Date
End Date
Document ("Interagency Agreement") Amount
1
2
3
4
5
6
7
8
9
10
11
12
13
14
Additional information regarding these data fields can be found in the Sanitation Tracking and
Reporting System User Manual (September 2008).
C. Safe Drinking Water Information System (SDWIS) Data
The SDWIS contains information about public water systems and their violation of EPA's
drinking water regulations, and is not applicable to CWISA funded projects.
D. EPA Regional/ANV Tribal Program Data
Table 4 contains five key numeric data fields Regions are asked to fill in order to
reference data tables within the tool.
Table 4: Region Entered Project Identifiers
Data Field
Funding Source
Region Project ID#
Description
Identifies where the
program funds will be
taken from
Number which will
identify projects before
there are IGMSorPDS
numbers available
Source
EPA Region
EPA Region
Data Field
Location in TDI
Nex
Clean Water
Project Detail
Clean Water
Project Detail
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Data Field
IMS IA/PDS Number
IA Number
EPA Grant Number
Description
Number associated with
IA funded project
Number which identifies
the Interagency
Agreement under which
the project is funded
Number associated with
direct grant project
Source
IMS (Must be
entered by EPA
Region)
EPA Region
EPA Region
Data Field
Location in TDI
Nex
Clean Water
Project Detail
Clean Water
Project Detail
Clean Water
Project Detail
1
2
3
4
5
6
7
8
9
10
11
12
Table 5 lists optional data fields that can be used as needed by Regions to assist in their
CWISA program management. The fields described in Table 5 represent data that is currently
not tracked by any of the aforementioned existing databases, but are required under the 1998
DWIG-TSA Program Guidelines (not required by CWISA guidelines). As a condition of the EPA
National Tribal Drinking Water Operator Certification program and as part of an overall effort
by EPA to better establish the specific public health benefits realized in both State and tribal
communities by the Sate Revolving Fund and DWIG-TSA programs, DWIG-TSA Regional project
managers will be responsible for data entry for the fields listed in Table 5.
Table 5: Region Entered Data Fields (optional for CWISA projects)
Reference
Number
a
b
c
d
Region Entered Data
Field
Certified Operator(s)
appropriate to
operate/maintain
current
infrastructure
Certified Operator(s)
appropriate to
operate/maintain
future infrastructure
Project Purpose
Primary Project
Purpose
Description
Y/N
Y/N/Agrees to Obtain
Narrative of the specific
public health benefit (s)
achieved by this project
Pick List menu of purpose
categories to provide sort-
able data
Notes
At the time of
project application
At the time of
project application
See Section IV-D-2
for additional
guidance.
See Section IV-D-3
for additional
guidance.
Data Field
Location in
TDI Nex
Clean Water
Project
Detail
Clean Water
Project
Detail
Clean Water
Project
Detail
Clean Water
Project
Detail
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e
f
g
h
i
j
Primary
Infrastructure
category
Technical Assistance
(TA) Provided
System has the
technical,
managerial, and
financial capacity to
operate the planned
infrastructure
Capacity Agreement
Fiscal Year Funding
Tag
Project phased
Enable project to be
categorized by
infrastructure type(s)
(attached)
Drop down EPA Funded
TA, Other Funded TA, EPA
and Other Funded TA or
None.
Y/N (condition of funding
from SDWA and 1998
Guidance)
Y/N tribal entity
responsible for funding
system operations has
entered into an
agreement to develop the
capacity to operate the
planned infrastructure
Identifies the fiscal year
of the funds used for
the project
Yes/No
See Section IV-D-4
for additional
guidance.
Currently or in the
last 12 months
prior to project
application.
At the time of
project application
Conditional
Clean Water
Project
Detail
Clean Water
Project
Detail
Clean Water
Project
Detail
Clean Water
Project
Detail
Clean Water
Project
Detail
Clean Water
Project
Detail
1
2
3
4
5
6
Table 6 list additional optional data fields that can be used as needed by Regions to assist in
their CWISA program management.
Table 6: Region Entered Data Fields (optional for CWISA projects)
Reference
Number
k
1
m
Region Entered
Data Field
Secondary Project
Purpose
Secondary
Infrastructure
Category
Responsible Entity
Description
Allows categorization of
an additional project
purpose
Allows categorization of
an additional
infrastructure category
Responsible entity for
oversight of the
wastewater system pick
list tribal utility board,
Notes
Pick List
Pick List
Pick list
Data Field Location in
TDI Nex
Clean Water Project
Detail
Clean Water Project
Detail
Clean Water Project
Detail
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n
O
P
q
System O&M
Funding Sources
System Receiving
Infrastructure has
Asset
Management
Program
Project
Prioritization Score
Regional Funding
Tracking
tribal council, federal
government, local (non-
tribal) government or
none
Identifies the funding
sources and percent that
each attribute to each of
the operation and
maintenance of the
system. List all sources of
funds (user fees, tribal
enterprise, tribal general
funds, federal
government or other.)
Y/N/Will receive tool as
part of project
Ranking scheme based
on Regional solicitation
and prioritization process
Field used to track
returned and de-
obligated project funds
to ensure full project
accounting.
See Section
IV-D-5 for
additional
guidance
As needed
Clean Water Project
Detail
Clean Water Project
Detail
Clean Water Project
Detail
1 1. Regional Entered Data Field Descriptions
2 a. Certified Drinking Water/Wastewater Operator(s) appropriate to operate/maintain
3 current infrastructure (optional): The intent of this field (Yes/No) is to establish if the
4 system receiving project funds is being operated an adequately trained and certified
5 operator. This helps ensure the system has adequate technical, managerial, and
6 financial capacity.
7 b. Drinking Water/Wastewater Certified Operator(s) appropriate to operate/maintain
8 future infrastructure or agreement to obtain (optional): The intent of this field
9 (Yes/No/Agrees to Obtain) is to indicate if the system receiving funds will be operated
10 by adequately trained and certified operator following project completion. An
11 appropriately certified operator helps ensure the system has adequate technical,
12 managerial, and financial capacity.
13 c. Project Purpose Narrative (optional): the intent of this narrative field is to specifically
14 establish how the infrastructure funded by the Tribal set aside will improve public
15 health in Indian country by; a.) facilitating compliance with the Clean Water Act (CWA)
16 and/or b.) significantly furthering the health objectives of the CWA and CWISA
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1 Program Guidelines. The population of this field explains the contribution a project
2 has to public health protection as indicated by the traditional program measure for
3 the provision of access to safe wastewater sanitation services (WQ-24) and/or other
4 public health impacts. Additional details provided in Section IV-D-2 below.
5 d. Primary Project Purpose Category (optional): the intent of this data pick list field is to
6 provide easy sorting of projects for data summary and analysis purposes according to
7 categories of public health purpose. Additional details provided in Section IV-D-3
8 e. Primary Infrastructure category (optional): The intent of this pick list field is to
9 systematically categorize the infrastructure funded by the Tribal set aside programs.
10 Data in this field will allow for a more complete summarization and analysis of the
11 infrastructure built by EPA in Indian country (e.g. most common infrastructure
12 category is addressing limited wastewater capacity). Data in this field will promote the
13 adoption of best practices and allow EPA to quickly identify the general use of funds
14 for a particular system or tribe. Additional detail on this field is provided in Section IV-
15 D-4.
16 f. Technical Assistance Provided (optional): The intent of this field pick list is to establish
17 if a system receiving CWISA funds is receiving or has received support from services
18 funded by EPA, other technical assistance support, or none in the last 12 months prior
19 to funding application. Information in this field will enable EPA to better understand
20 the capacity support provided for each project and promote comparative analysis of
21 post project outcomes.
22 g. Technical, managerial, and financial (TMF) capacity (optional): The intent of this field
23 (Yes/No) is to establish that the system receiving CWISA funds currently has adequate
24 technical, managerial, and financial capacity.
25 h. Capacity Agreement (optional): The intent of this field (Yes/No) is to establish that a
26 system receiving CWISA funds that does not possess adequate technical, managerial,
27 and financial capacity has entered into an agreement to undertake feasible changes in
28 operations necessary to ensure that the system has the technical, managerial, and
29 financial capability.
30 i. Fiscal Year Funding Tag (optional): The intent of this field is to establish the primary
31 fiscal year of the funds awarded to an infrastructure project. If a project utilizes
32 multiple funding years, the EPA Region should select the fiscal year from which the
33 majority of the project funds originated.
34 j. Project Phased (optional): The intent of this Y/N field is to determine if additional
35 project phases must be completed before the project purpose is fulfilled. If in order to
36 fulfill the project purposed additional project(s) must be complete then the project is
37 phased (Yes). If the project purpose will be met when this project is complete -
38 without a need for additional funding - then the project is not phased (No).
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1 k. Secondary Project Purpose (optional): The intent of this field is to allow regions to
2 categorize a secondary project purpose.
3 I. Secondary Infrastructure Category (optional): The intent of this field is to allow
4 regions to categorize additional infrastructure categories as applicable.
5 m. Responsible Entity (optional): The intent of this pick list field is to establish how
6 operation of the wastewater system receiving CWISA funding is overseen (e.g. a utility
7 board, tribal council, local non-tribal government, federal government or none).
8 Information in this field will provide insight on the organizational set-up of wastewater
9 systems receiving EPA funds.
10 n. Wastewater System O&M Funding Source (optional): The intent of this field is to
11 determine the source(s) of funds utilized by the utility system to regularly maintain
12 and operate its facilities. Information in this field will provide insight on the
13 organizational set-up of wastewater systems receiving EPA Tribal set aside funds and
14 help identify systems/projects that may benefit from managerial and financial capacity
15 training to help ensure optimal operation of infrastructure over its lifetime. Additional
16 detail on this field is provided in Section IV-D-5.
17 o. System Receiving Infrastructure has Asset Management Program (optional): The
18 intent of this field is to establish if the system receiving the CWISA funded
19 infrastructure has or will have by project completion, a program to effectively manage
20 their existing and future assets. EPA has an interest in providing asset management
21 tools for systems in Indian country to help ensure proper operation of water
22 infrastructure to achieve continual compliance with the CWA and to avoid
23 unnecessary use of program funds.
24 p. Regional Project Ranking (optional): This intent of this field is for use by EPA Regions,
25 to indicate the regional ranking associated with a project.
26 q. Regional Fund Tracking (optional): The intent of this field is to track funding of
27 projects that utilize funds from multiple fiscal years.
28 2. Project Purpose Narrative Data Field Entry Guidelines
29 The minimal reporting guidelines for data entry in the Project Purpose field by EPA Regional
30 staff are described below. This data may be entered into either:
31
32 i. The "Project Description" data field in IGMS data system for direct grant and IA funded
33 projects
34 ii. The "Project Description" data in IMS PDS data system for IA funded projects
35 iii. The "Project Purpose Narrative" data field in the TDI Nex for direct grant and IA funded
36 projects
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1 If possible, it is recommended that EPA Regional staff utilize option (i) to ensure the quality of
2 the data contained within the "Project Description" field in IGMS is consistent across EPA data
3 systems and to reduce duplicative data entry requirements.
4
5 Option ii could be used for CWISA projects funded through lAs with IMS. Under this option, the
6 EPA Regions could ask the IMS Area to input the level of detail requested by EPA into the PDS
7 data system.
8
9 Option iii relies upon duplicative direct data entry into the TDI Nex and data is entered into the
10 Project Purpose field.
11
12 Project purpose narrative field data that meets these guidelines will only need to be re-visited
13 by the EPA Region if changes in scope occur that alter a project's purpose.
14 a. Background: The intent of this field is to establish how the infrastructure funded by the
15 Tribal set aside will improve public health in Indian country by; a.) facilitating
16 compliance with the CWA and/or b.) significantly furthering the health objectives of the
17 CWA and CWISA Guidelines. Data entered into this field must explain the contribution
18 an awarded project will make to the protection of public health as demonstrated by the
19 EPA Tribal Clean Water program measure: WQ-24 and/or other health indicators.
20 • WQ-24.N11: Number of American Indian and Alaska Native homes provided
21 access to basic sanitation in coordination with other federal agencies.
22 b. Data Field Guidelines: This field should be populated by 1 or more sentences that
23 include the following:
24 • Identification of the specific system infrastructure deficiencies addressed by the
25 awarded project
26 o Identification of the total system infrastructure deficiencies (for phased and
27 shared cost projects)
28 • Description of the negative public health effects and/or threats caused by the
29 identified system infrastructure deficiencies (include an estimate of population
30 affected for phased, first service, new wastewater system, shared cost, and
31 feasibility study projects)
32 o Public health effect: a demonstrated and documented health impact on the
33 service population or the environment (e.g. health-based violations, water
34 quality monitoring data, health impairments due to wastewater exposure, etc.)
35 o Public health threat: an identified situation that may lead to a public health
36 effect based upon existing water system deficiencies (e.g. lagoon seepage, point
37 source pollution, wastewater exposure etc.)
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1 • Description of what infrastructure will be built and how that infrastructure will
2 address the identified deficiencies.
3 • Identification of the specific public health benefit(s) gained or negative public health
4 impact(s) avoided by addressing the infrastructure deficiencies.
5 c. Data Entry Examples:
6 (Examples are drafted for DWIG projects - CWISA funded projects my use similar language, as
7 appropriate.)
8
9 /. Existing System Upgrade
10 This project will prevent TCR violations as well as address DBPR MCL exceedences for TTHMs
11 caused by bacteriological growth and low pressure due undersized pipe, and dead-ends by
12 replacing existing mains with 5000' of 10 inch pipe to loop the system which will improve the
13 hydraulics, prevent growth and support compliant chlorine residuals.
14
15 ii. First Service Extension
16 The project directly addresses an ongoing Radionuclides Rule MCL violation at the current
17 system (PWS ID 090400267) by taking the current system offline and extending the
18 neighboring, NPDWR compliant Bald Hill water system to serve the 30 residents of Bald Hill on
19 Hoopa Valley Tribal Lands. This grant will provide funds for the construction of 2 drinking water
20 tanks, 2 pump stations, and 10,000 ft of 6" PVC pipeline. Pre-award costs have been approved
21 back to August 1, 2004.
22
23 ///'. New System
24 This project will address a significant risk to public health from bacteriological contamination
25 and disruptions in service due to treatment malfunction and water main breaks. One main
26 break resulted in a loss of pressure and required the issuance of a boil water notice. This grant
27 will provide funds for the construction of a new community water system to serve the 60
28 residents of the Kwigillingok Village in Alaska. The current system is scheduled to reach the end
29 of its design life by 2014. The new system will include; a new treatment building and
30 equipment, 1 new tank, and a new water main and distribution system. The new system will
31 rely on a geothermal power plant installed by the Department of Energy to reduce operating
32 costs and provide circulated heat to prevent pipe breaks.
33
34 iv. Phased Project
35 This project is Phase I of IV of an overall plan to construct a 50 mile transmission line and
36 regional water system between Shiprock, NM and Sweetwater, AZ. The fully completed project
37 will address Arsenic MCL violations at 5 water systems (NN0400571, NN0400572, NN0400574,
38 NN0400575, and NN0400578) that serve 7832 residents/1958 homes in 7 communities with a
39 current deficiency of 4. In addition, this project will increase revenues by expanding the rate
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1 payer base and provide operational efficiencies to help address TCR MR repeat major violations
2 at NN0400572 and NN040574.
3 Phase I will address the Arsenic MCL violation for 600 homes (1200 residents) in the
4 Sweetwater System (NN0400571). Construction will include; two 500,000 gallon water storage
5 tanks in Sweetwater and Teec Nos Pos, a 300 gallon-per-minute (gpm) booster station in
6 Sweetwater with a 3-phase power line upgrade, 17,000' of 6" waterline between the
7 Sweetwater Master Well and the Sweetwater Franco-Western Well, 250' of 14" water
8 transmission line, booster station upgrades at two sites in Beclabito, and a new booster station
9 on the existing inter-tie between Cudei and Beclabito.
10 v. Shared Cost Project
11 This project will address a risk to public health from bacteriological contamination caused by
12 chlorination equipment malfunction and subsequent interruptions in service as well as a lack of
13 staffing by installing a new water treatment plant. This project includes construction of a new
14 building, two new high service pumps at the water treatment plant for pumping to the
15 community elevated water storage reservoir, two new high service pumps at the lake intake, a
16 chlorine contact tank with equalization storage at the water treatment plant, three chemical
17 treatment rooms for chorine/fluoride, ammonia, and filter cleaning chemicals, and modest
18 office and laboratory space for water treatment plant operation. This project is being funded by
19 EPA and IMS. EPA's contribution will be used to fund outside engineering services to provide
20 specialized design work needed for the geotechnical evaluation, the building and its systems,
21 and possibly the treatment process itself.
22
23 vi. Feasibility Study
24 This project is for a feasibility study to target the best option to directly address the Arsenic
25 Rule exemption at the Meneger's Dam water system set to expire in 2015. This project will
26 provide for a feasibility study to compare the total life time system costs of, but not limited to,
27 the following alternatives:
28
29 • Creating an expanded regional water system that will connect the Meneger's Dam water
30 system to the proposed Gu Vo/Pia Oik Regional Water System. The Gu Vo water system
31 will be combined with the Pia Oik water system under IMS projects TU 99-262 and TU
32 99-252, creating the Gu Vo/Pia Oik Regional Water System. The Gu VO/Pia Oik Regional
33 Water System will utilize a water source with an arsenic level of only 5 ppb.
34 • Provide a water treatment plant for the Meneger's Dam water system.
35 Findings from this study will be used to plan and design the most cost effective and expedient
36 solution to ensure public health protection under the Arsenic Rule for the population served by
37 the Meneger's Dam system.
38
39
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1 vii. Other Infrastructure
2 This project will directly address TCR MCL violations due to bacteriological contamination
3 caused by water system power loss and subsequent pressure loss. Loss of pressure in drinking
4 water systems is closely associated with bacteriological contamination of water supplies and
5 the risk of exposure to disease causing organisms. Both systems have experienced TCR MCL
6 violations and have issued boil water notices over the last year during power failures. One
7 diesel powered generator will be installed at the two small Tribal community water systems to
8 provide power during predictable interruptions in power supplied by San Diego General Electric
9 during wind storms and fire events and maintain pressure within the system.
10
11 3. Project Purpose Category Data Field Entry Guidelines
12 To enable the categorization and sorting of projects to summarize use of funds and
13 identify trends, the Project Purpose Category "pick list" may be used in conjunction with the
14 Project Purpose Narrative field. The following list of purpose categories is intended to identify
15 the public health impact of each project. Users are requested to select the primary and if
16 needed secondary categorical purpose for each CWISA funded project.
17
18 The infrastructure project will [check one] ( directly OR as part of a phased approach):
19
20 a. Address public exposure to untreated wastewater
21 b. Address limited wastewater treatment capacity
22 c. Provide first service to homes that lack access to basic sanitation
23 d. Provide operational efficiencies and reduce O&M
24 e. Other
25 4. Infrastructure Category Data Field Entry Guidelines
26 The Infrastructure Category pick list may be used to enable the categorization and
27 sorting of projects to summarize the use of funds and identify trends. The following list of
28 infrastructure categories is intended to clearly identify the main purpose of the wastewater
29 system capital expenditure funded directly by EPA. Users may select the primary and if needed
30 secondary infrastructure category for each CWISA funded project.
31
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Clean Water Indian Set Aside
Project Infrastructure Categories1
Project
Infrastructure
Category
Description
Planning
Engineering Project Report that includes: executive summary,
background narrative, preliminary design description, alternative
considered and recommended solution, permits required, O&M
requirements, environmental considerations, and project cost
estimate.
Design
Construction project plans and budget
Wastewater
Treatment Plant
Screens, grit removal, clarifiers, sludge pumps, aeration, blowers,
trickling filters, batch reactors, biological reactors, digesters,
recirculating pumps, chemical feed, filtration, chlorination,
dechlorination, UV disinfection, dewatering, biosolids
management, nutrient removal, constructed wetlands, and sludge
disposal
Wastewater
Lagoon
Wastewater treatment lagoons, aeration basins and ponds,
aerators, and sludge disposal
Decentralized
Wastewater
Treatment
Onsite septic systems for individual homes or small clusters of
homes
Wastewater
Collection
Wastewater mains (transport of wastewater through a piping grid
serving customers), service line replacement, service lines, lift
stations, clean outs, valves (gate, butterfly, etc.) control valves,
backflow prevention devices, and meters.
Other
Laboratory capital costs for labs owned by the system, asset
management software/program, computer and automation cost
(SCADA), pump controls/telemetry, emergency power, security
fencing, security other physical (lights, wall, manhole locks, other
locks), security electronic/cyber (computer firewall, closed circuit
TV), security monitoring tools (identify anomalies in process
streams or finished water), flow meters, generators, & utility shop
maintenance materials.
1
2
3
4
5
6
Select categories adapted from professional technical knowledge and the Clean Watersheds Needs
Survey. Items listed for each description are intended to indicate where different system
infrastructure components should be categorized. It is not an exhaustive list of eligible examples.
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1 5. Wastewater System Funding Source Data Field Entry Guidelines (Optional Regional
2 Field)
3 Wastewater system support for the maintenance and operation is crucial for the service
4 population to receive the maximal public health benefit from EPA's water infrastructure
5 investments. The categories listed below enables the user to categorize the source of funding.
6 Categorization of funding source provides a method to easily identify trends in project award,
7 as well as retrospective analysis of post award performance. Information contained within this
8 field will also help EPA target the appropriate party for managerial and financial capacity
9 training to support system viability.
10
11 Wastewater System Funding Source
12 • User fees
13 • Tribal Government General Fund
14 • Tribal Economic Enterprises
15 • Federal Government
16 • Other
17
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Appendix G. Project Types/Infrastructure
Categories
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Excerpt from CWISA Data Guidelines (March 2012)
Clean Water Indian Set Aside
Project Infrastructure Categories1
Project
Infrastructure
Category
Description
Planning
Engineering Project Report that includes: executive summary,
background narrative, preliminary design description, alternative
considered and recommended solution, permits required, O&M
requirements, environmental considerations, and project cost
estimate.
Design
Construction project plans and budget
Wastewater
Treatment Plant
Screens, grit removal, clarifiers, sludge pumps, aeration, blowers,
trickling filters, batch reactors, biological reactors, digesters,
recirculating pumps, chemical feed, filtration, chlorination,
dechlorination, UV disinfection, dewatering, biosolids
management, nutrient removal, constructed wetlands, and sludge
disposal
Wastewater
Lagoon
Wastewater treatment lagoons, aeration basins and ponds,
aerators, and sludge disposal
Decentralized
Wastewater
Treatment
Onsite septic systems for individual homes or small clusters of
homes
Wastewater
Collection
Wastewater mains (transport of wastewater through a piping grid
serving customers), service line replacement, service lines, lift
stations, clean outs, valves (gate, butterfly, etc.) control valves,
backflow prevention devices, and meters.
Other
Laboratory capital costs for labs owned by the system, asset
management software/program, computer and automation cost
(SCADA), pump controls/telemetry, emergency power, security
fencing, security other physical (lights, wall, manhole locks, other
locks), security electronic/cyber (computer firewall, closed circuit
TV), security monitoring tools (identify anomalies in process
streams or finished water), flow meters, generators, & utility shop
maintenance materials.
3
4
5
Select categories adapted from professional technical knowledge and the Clean Watersheds Needs
Survey. Items listed for each description are intended to indicate where different system infrastructure
components should be categorized. It is not an exhaustive list of eligible examples.
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Appendix H. Grant Management and
Oversight Requirements
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Appendix H
Grant Management and Oversight Requirements
Grants through the CWISA program are subject to assistance agreement regulations, Office of
Management and Budget (OMB) cost principles, the Cash Management Improvement Act, and Agency
policies. Grants must be awarded and managed as any other assistance agreement. The Office of Grants
and Debarment (OGD) has developed Orders, Grants Policy Issuances (GPIs) and directives to assist
project officers and program offices in fulfilling and understanding their responsibilities (available at
http://intranet.epa.gov/ogd/policv/policy.htm. Several grant requirements are discussed in further
detail below.
Orders, Policies, and Directives Overview
EPA Order 5700.7, Environmental
Results Under Assistance
Agreements
The Order applies to funding packages to the Grants Management
Office after January 1,2005, and requires EPA Program Offices to:
1) Link proposed assistance agreements to the Agency's Strategic
Plan/Government Performance and Results Act (GPRA)
architecture;
2) Ensure that outputs and outcomes are appropriately addressed in
assistance agreement work plans and funding recommendations;
and
3] Ensure that progress in achieving agreed-upon outputs and
outcomes is adequately addressed in grantee progress reports and
advanced monitoring activities.
OGD policy memorandum GPI 00-
02, Pre-Award Costs, and 2 CFR 225
Applies to all grants awarded on or after April 1,2000 and addresses
EPA's revised interpretation of a provision in the general grant
regulations at 40 CFR 31.23(a) concerning the approval of pre-award
costs.
Addresses EPA's interpretation of a provision in the general grant
regulations at 40 CFR 31.23(a) allowing up to 90 days of preaward
costs.
• Recipients may incur pre-award costs [up to] 90 calendar days
prior to the award date provided they include such costs in their
application, the costs meet the definition of pre-award costs and
are approved by the EPA Project Officer and EPA Award Official.
• The award official can approve pre-award costs incurred more
than 90 calendar days prior to the grant award date, in appropriate
circumstances, if the pre-award costs are in conformance with the
requirements set forth in 2 CFR 225 (supersedes OMB Circular A-
87, Cost Principles for State, Local, and Indian Tribal Governments)
and with applicable Agency regulations, policies and guidelines.
If otherwise consistent with the coverage of 2 CFR 225, the following
two situations may meet the requirements at Appendix B 31. Pre-
award costs:
• Any allowable costs incurred after the start of the fiscal year for
which the funds were appropriated but before grant award (i.e. for
a FY 2010 project, this date is October 1, 2009).
• Allowable facilities planning and design costs associated with the
construction portions of the project included in the grant that were
incurred before the start of the fiscal year for which the funds were
appropriated (i.e. for a FY 2010 project, this date is October 1,
2009).
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Orders, Policies, and Directives
OMB Circular A-16, which
incorporates Executive Order
12906 and the One-Stop Geospatial
E-gov Initiative
OGD Cost Review Guidance
EPA Order 5700.6A2, Policy on
Compliance, Review, and Monitoring
OGD directives to project officers
OGD policy memorandum GPI 08-
05, Guidance regarding Grants
Management and the Management
of I nteragency Agreements under
the Performance Appraisal and
Recognition System (PARS)
Office of Human Resources (OHR)
PARS policy documents
"Place of performance"
requirement
Project officer must indicate in the funding recommendations for a
proposed assistance agreement that the grant involves or relates to the
creation, collection, or analysis of geospatial information.
GPI's 00-05 & 08-04 require EPA staff to review all elements of cost for
all funding packages. Cost review checklists are available at
http://intranet/epa.gov/ogd/cost review/main/index.htm.
Streamlines post-award management of assistance agreements and
helps ensure effective oversight of recipient performance and
management. Requires EPA project office to develop and carry out
post-award monitoring plan, and conduct annual baseline monitoring
or the equivalent for every award.
Grants will be managed according to the EPA Project Officer Manual
fhttp://intranet.epa.gov/OGD/proiect officer manua!6/)and directives
listed at http://intranet.epa.gov/OGD/policv/policv.htm
For consideration in assessing grants project officer and
supervisor/manager compliance with key grants management policies
under the PARS process, developing PARS performance agreements,
and conducting mid-year and end-of-year performance reviews.
http://intranet.epa.gov/policv/pars/index.htm
For most projects, the geographic information needed includes the
NPDES or SDWIS number(s). For those without these identification
numbers, the latitude and longitude of the project should be provided.
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Appendix I. NEPA Exemption Memo for
CWISA Direct Grants
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C 20460
JUN 1 2 2012 ENFORCEMENT AMD
COMPLIANCE ASSURANCE
MEMORANDUM
SUBJECT: Clean Water Indian Set-Aside Grant Progran^afKl the National Environmental
Policy Act (NEPA) ^\C
xX/
FROM: Susan E. Bromm, DirectorCjJ!^
Office of Federal Activities
TO: James A. Hanlon, Director
Randy Hill, Deputy Director
Office of Wastewater Management
Office of Water
This memorandum is intended to clarify EPA's responsibilities under the National
Environmental Policy Act (NEPA) for grants to eligible tribes issued under Section 518(c) of the
Clean Water Act (CWA) through the Clean Water Indian Set-Aside (CWISA) Grant Program.
CWISA grants may be issued directly from EPA to an eligible tribe or through an Interagency
Agreement (IA)' with the Indian Health Service (IHS).
Where EPA transfers funds to IHS to administer grants for tribal wastewater construction
projects through an I A2, IHS is responsible for complying with any applicable Federal
requirements, including NEPA, subject to its statutory authorities, regulations, and guidance for
the subsequent funded wastewater construction projects.
In contrast, EPA's issuance of a direct grant to an eligible tribe is not subject to NEPA
pursuant to a general exemption under Section 51 l(c) of the CWA3. Therefore, no NEPA review
is required for EPA's issuance of a direct CWISA grant to an eligible tribe. However, under
appropriate circumstances, a NEPA document may be prepared pursuant to EPA's "Policy and
' All CWISA lAs with IHS are processed through the Interagency Shared Service Center - West in Seattle,
Washington.
2 EPA's action of transferring funds to IHS through an IA is an administrative action eligible for a non-
documentable categorical exclusion (CE) under EPA's NEPA Implementing Regulations (40 CFR 6.204(a)(2)(ii))
3 Historically, EPA performed NEPA reviews on these actions as required by Section 602(b) of the CWA that
applies only to clean water projects "constructed in whole or in part before fiscal year 1995..." However, any
directly funded CWISA projects constructed in whole or in part after fiscal year 1995 are statutorily exempt from
NEPA pursuant to Section 51 l(c) of the Clean Water Act (CWA).
Internet Address (URL) • http://www.epa gov
Recycled/Recyclable • Printed with Vegetable Oil Based Inks on 100% Postconsumer, Process Chlorine Free Recycled Paper
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Procedures for Voluntary Preparation of National Environmental Policy Act (NEPA)
Documents."4 Voluntary NEPA documentation can be particularly useful in situations where
other federal agencies are preparing NEPA documentation for related actions, where NEPA's
well-understood and long-standing procedures provide an opportunity for increased public
involvement, and where the NEPA process can facilitate analysis of environmental impacts.
Under the Policy, EPA will prepare an EA or, if appropriate, an EIS on a case-by case
basis in connection with Agency decisions where the Agency determines that such an analysis
would be beneficial. Among the criteria that may be considered in making such a determination
are: (a) the potential for improved coordination with other federal agencies taking related
actions; (b) the potential for using an EA or EIS to comprehensively address large-scale
ecological impacts, particularly cumulative effects; (c) the potential for using an EA or an EIS to
facilitate analysis of environmental justice issues; (d) the potential for using an EA or EIS to
expand public involvement and to address controversial issues; and (e) the potential of using an
EA or EIS to address impacts on special resources or public health.
Please feel free to contact me at (202) 564-5400, or have your staff contact Jessica Trice,
at (202) 564-6646, if you have any questions.
4 Policy and Procedures for Voluntary Preparation of National Environmental Policy Act (NEPA) Documents, 63
Fed. Reg. 58045 (1998).
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Appendix J. Inter agency Agreement (IA)
Standard Terms and Conditions
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1 Interagency Agreement between the
2 U.S. Environmental Protection Agency and the Indian Health Service
3 for [Tribal Drinking Water Facilities] Construction
4
5 I. ADMINISTRATIVE TERMS AND CONDITIONS
6
7 This Interagency Agreement (IA) provides for the coordination between the Environmental Protection
8 Agency (EPA) Region [ ] Drinking Water Infrastructure Grants -Tribal Set Aside (DWIG-TSA) Program
9 and the Indian Health Service (IMS) Sanitation Facilities Construction Program. This IA applies to funds
10 appropriated to the EPA under section 1452(i) of the Safe Drinking Water Act, which the EPA intends to
11 transfer to the IMS under this IA.
12
13 If the actual cost of providing the facilities is less than the amount in the Project Documents, the IMS
14 Area Office and the EPA Region, in consultation with the Tribe, will coordinate the disposition of the
15 remaining funds. The parties may decide to increase the scope or identify another project for funding,
16 or the IMS may return the unused funds to the EPA. Any project changes agreed to by the parties must
17 be reflected in the IA through an amendment prior to expiration of the IA and before allocating funds to
18 a new project, unless the IMS decides to return the funds to the EPA. If the parties cannot come to
19 agreement, the IMS will return the funds to the EPA.
20
21 Funds transferred by EPA to the IMS under this IA may only be used in agreements authorized by Indian
22 Sanitation Facilities Act, 42 U.S.C. 2004a.
23
24 The IMS is approved to purchase equipment in accordance with its equipment management policies. The
25 IMS will determine that the equipment is in the best interest of the government and is necessary for the
26 performance of the projects under this IA. Disposition of the equipment will be subject to IMS
27 equipment management policies or as specified in the Project Documents with no further accountability
28 to EPA.
29
30 A. Resolution of Disagreements
31
32 Should disagreements arise on the interpretation of the provisions of this agreement or amendments
33 and/or revisions thereto, that cannot be resolved at the operating level, the area(s) of disagreement
34 shall be stated in writing by each party and presented to the other party for consideration. If agreement
35 or interpretation is not reached within 30 days, the parties shall forward the written presentation of the
36 disagreement to respective higher officials for appropriate resolution.
37
38 If a dispute related to funding remains unresolved for more than 30 calendar days after the parties have
39 engaged in an escalation of the dispute, disputes will be resolved in accordance with instructions
40 provided in the Treasury Financial Manual (TFM) Volume I, Part 2, Chapter 4700, Appendix 10, available
41 at http://www.fms.treas.gov/tfm/index.html.
42
43 B. Duration of Agreement and Termination Procedures
44
45 This agreement shall continue in effect until IMS or EPA provides written notice of termination, or when
46 a project (or projects) funded under this agreement are completed or are no longer needed for the
47 purpose identified in the Project Documents. Any funds that are obligated up to and on the date of
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1 termination will remain obligated to the project(s) identified in this agreement. Notice shall be given to
2 the other party at least 60 days in advance of a termination date.
3
4 As per section 4.3.2 of EPA's "Interagency Agreement Policies, Procedures, and Guidance Manual 2008"
5 the total duration of the project period for an IA may not exceed 7 years unless
6 (1) there is statutory or regulatory authorization for a longer period, (2) a signed waiver from an EPA
7 Director, Office of Grants & Debarment (OGD), or designee, granting an exception is obtained, or (3) in
8 the case of an allocation (appropriation) transfer, a shorter period is mandated, i.e., 5 years. This
9 durational limitation includes both the original period of performance and any extensions. The initial
10 determination of the appropriate length of the project period should take this limitation into account.
11 (For example, an IA between IMS and EPA normally has a 5-year term. The IA can be extended upon
12 approval of the parties for up to two more years for a total IA term of 7-years. An IA cannot be
13 extended beyond the 7-year limit unless a waiver is granted by the EPA Director, Office of Grants &
14 Debarment.) To exceed the 7-year policy limitation, a waiver request must be submitted in writing by
15 the appropriate EPA Senior Resource Official to OGD. The OGD Director, or designee, may approve
16 waivers on a class or individual basis because of national security concerns, circumstances of unusual or
17 compelling urgency, unique programmatic considerations, or because the waiver would be in the public
18 interest.
19
20 C. Sufficient Progress
21
22 EPA expressly reserves the right to terminate the IA for failure to make sufficient progress so as to
23 reasonably ensure completion of the project within the project period (as defined in Section I.B.),
24 including any extensions. EPA will measure sufficient progress by examining the performance required
25 under the Statement of Work, the time remaining for performance, and/or the availability of funds
26 necessary to complete performance. Prior to exercising this right to terminate, EPA will follow the
27 resolution procedures cited Section I.A.
28
29 D. Cost Collection upon Cancellation
30
31 If the EPA cancels the order, the IMS is authorized to collect costs incurred prior to cancellation of the
32 order plus termination costs, up to the total payment amount provided for under the agreement.
33
34 E. lAs with Contracts or Procurement
35
36 The IMS will use its administrative policies and procedures including those under the Buy Indian Act
37 provisions for direct federal acquisition, to implement and execute projects funded under this IA.
38
39 F. Fiscal and Project Reporting Requirements
40
41 The IMS will update its Sanitation Tracking and Reporting System (STARS) quarterly and provide a report
42 in STARS that may be accessed by the EPA. The report will include at minimum, project-specific
43 estimated expenditures and actual milestones achieved to date and will be available to the respective
44 EPA Regional DWIG Program Coordinator and to the EPA Financial Management Center. The STARS will
45 be updated by the 30th day following the end of a quarter, beginning with the first full reporting period
46 after funds are received by the IMS.
47
48
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1 G. Audit Findings
2
3 If an audit determines that any direct or indirect costs in a project funded under this IA are unallowable,
4 the parties to this IA will be notified immediately following resolution of the audit and the IMS project
5 account will be credited for ineligible costs.
6
7 II. PROGRAMMATIC TERMS AND CONDITIONS
8
9 A. Authority and Purpose
10
11 The activities under this IA are being executed by the EPA pursuant to the Safe Drinking Water Act
12 section 1450 (b), 42 USC 300j-9(b) and 1452(i), 42 USC 300j-12(i). The services and facilities will be
13 provided to the Tribe by the IMS under the Transfer Act, 42 U.S.C. 2001; Indian Sanitation Facilities Act,
14 42 U.S.C. 2004a; and Title III of Indian Health Care Improvement Act, as amended, 25 U.S.C. 1632.
15
16 B. EPA Responsibilities
17
18 1. The EPA Regional Office shall designate a representative to coordinate its participation in
19 projects (Regional Program Coordinator). This representative shall formally advise the respective IMS
20 Area Office of this designation.
21
22 2. As resources permit the EPA shall provide to the IMS and Tribes technical assistance as needed
23 to successfully meet applicable program requirements.
24
25 3. The EPA Regional Office will ensure that the proposed projects are in accordance with the Safe
26 Drinking Water Act, annual national guidance and the Drinking Water Infrastructure Grants Tribal Set-
27 Aside Program Final Guidelines October 1998 and the Addendums.
28
29 4. EPA Regional Office will ensure that water collection and analysis methodologies (as applicable)
30 are in accordance with the IHS/EPA jointly developed Quality Assurance Project Plan (QAPP).
31
32 5. EPA is responsible for any distribution within the EPA of the final technical and financial report
33 provided to the respective EPA Regional Program Coordinator after the construction phase completion.
34
35 6. The EPA will not be a signatory on any Project Summaries or Memorandums of Agreement.
36
37 7. Where appropriate, EPA Regions shall provide comments to IMS Area Offices on the design and
38 planning documents associated with projects funded by the IA within 30 days of receiving said
39 documents.
40
41 8. EPA Regions shall monitor construction progress with: data from the IMS database, discussions
42 with the IMS Area Offices and field site visits as necessary to ensure the level of expended funds is
43 reasonable given the reported milestone dates. The EPA will consult with the IMS Area Office quarterly
44 to discuss project status.
45
46 9. The EPA Regions will participate in the final project inspection, as deemed necessary and
47 resources permitting. At project completion, the EPA Region will review the final technical and financial
48 reports provided by the IMS Area Office and will initiate the necessary EPA close-out process.
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2 10. The EPA Regions will acknowledge and respond to IMS Area invitations to participate in project
3 activities within 10 days of receipt.
4
5 C. IMS Responsibilities
6
7 1. The IMS shall implement and execute projects funded under this IA using its administrative
8 policies and procedures as described in the Indian Health Manual, Part 5, Chapter 2, Memorandum of
9 Agreement.
10
11 2. Project Documents (Project Summary/ Memorandum of Agreement or Arrangements as
12 described in 42 U.S.C. 2004a) will be developed by the IMS Area Office, in consultation with the
13 respective Tribes and respective EPA Regional Office.
14
15 3. Unless otherwise stipulated in the project documents, the IMS shall be the lead agency in
16 assuring compliance with the National Environmental Policy Act (NEPA), the National Historic
17 Preservation Act (NHPA), and other applicable Federal requirements only if the EPA funds are deposited
18 in the IMS financial system (UFMS).
19
20 4. Quarterly progress reports will be available to EPA through the IMS STARS system as stated in
21 I.F., Fiscal and Project Reporting Requirements. Should the need arise and if the agencies mutually
22 agree, the report may be supplemented.
23
24 5. The EPA Regional Office shall be formally notified of and invited to participate in the conceptual
25 design meeting, the final plans and specification review, and the final inspections for projects in which
26 EPA funds are utilized. IMS shall notify the EPA at least 30 business days prior to these events to allow
27 optimal participation. Notification will be by e-mail.
28
29 6. As applicable, upon completion of each project under this IA, all rights title and interest to the
30 provided sanitation facilities shall be transferred to the Tribe or to a responsible entity identified by the
31 Tribe in accordance with the Project Documents. Each respective IMS Area Office shall make such
32 arrangements as they determine necessary for the ownership and operation and maintenance of the
33 completed facilities.
34
35 7. For each project funded under this IA, a final technical and financial report shall be provided no
36 later than 365 days after construction phase completion to the respective EPA Regional Program
37 Coordinator. Electronic copies of the report shall be provided to the EPA representatives identified
38 above in Fiscal Reporting Requirements.
39
40 8. The water sampling umbrella Water Sample Collection and Analysis Quality Assurance Project
41 Plan (QAPP) for Tribal Drinking Water and Wastewater Infrastructure Projects, developed jointly
42 between EPA and IMS, will be implemented by IMS as applicable.
43
44 9. For an EPA funded project for a pilot water treatment study or for a specific hydraulic network
45 model calibration, the IMS will prepare an individual project specific Quality Assurance Project Plan
46 (QAPP) in accordance with EPA Guidance for Quality Assurance Project Plans (QA/G-5) (EPA 2001) which
47 can be found at http://www.epa.gov/QUALITY/qs-docs/r5-final.pdf. The QAPP must be submitted for
48 review and approval by the EPA OW QA Officer through the EPA IA Project Officer, who must approve
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1 the Quality Assurance procedures or standards in writing. EPA will have 60 calendar days to approve the
2 QAPP submitted by IMS, after that time the QAPP will be considered final.
3
4 10. Restrictions on FY13 Funding for Corporations with Unpaid Federal Tax Liabilities and Felony
5 Convictions
6
7 This interagency agreement (IA) obligates and transfers or advances EPA funds appropriated under
8 Public Law 113-6 (Department of Defense, Military Construction and Veterans Affairs, and Full-Year
9 Continuing Appropriations Act, 2013) and Public Law 112-175 (Continuing Appropriations Resolution,
10 2013). As a result, this IA is subject to the provisions contained in the Department of the Interior,
11 Environment, and Related Agencies Appropriations Act, 2012, Public Law 112-74, Division E, Title IV,
12 Sections 433 and 434, regarding unpaid federal tax liabilities and federal felony convictions.
13
14 The IMS is also subject to the provisions of Division E, Sections 433 and 434 of the FY12 Appropriations
15 Act, regarding federal felony convictions and unpaid federal tax liabilities, in accordance with
16 Department of Health & Human Services Acquisition Policy Number 2012-03. IHS will forward to the
17 EPA Award Official, within 45 days, any documentation supporting an award where a written
18 determination was made by the agency debarring and suspending official that suspension or debarment
19 was considered but is not necessary to protect the interests of the Government.
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