Effective August 2019
Assistance for Small and Disadvantaged Communities Drinking Water Grant
Program
Grant Implementation Document
Water Infrastructure
Improvements for the
Nation Act
Safe Drinking Water Act
Section 1459A

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Summary
The Environmental Protection Agency's (EPA) Office of Ground Water and Drinking Water
(OGWDW) is issuing an Implementation Document for the Assistance for Small arid
Disadvantaged Communities Drinking Water Grant Program. The EPA will award funding
based on an allocation formula similar to that of the Drinking Water State Revolving Fund
(DWSRF). For the purposes of this grant program, the term "state" is used to describe the 50
states and Puerto Rico, Guam, the U.S. Virgin Islands, American Samoa and the Commonwealth
of the Northern Mariana Islands.
Eligible activities for assistance include investments necessary for a public water system in a
small or disadvantaged community to return to compliance with the Safe Drinking Water Act;
efforts that benefit a disadvantaged community on a per household basis; programs to provide
household water quality testing, including testing for unregulated contaminants; and activities
necessary and appropriate for a state to respond to a contaminant. States must fund activities
that benefit underserved communities, with consideration for those communities with the
greatest needs.
This document contains the Assistance for Small and
Disadvantaged Communities Drinking Water Grant Program
information for both internal and external stakeholders.
Nothing in this document is meant to conflict with or
supersede Office of Management and Budget Guidance, or
the EPA's regulations, policy, or any grant terms and
conditions. All public materials for the grant program are
available at www.epa.gov/safewater/grants.
A separate grant information document for tribal funding will
be provided and located at www.epa.aov/safewater/grants.
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Table of Contents
I.	OVERVIEW	3
II.	STATUTORY AUTHORITY	3
III.	ELIGIBLE RECEIPIENTS	4
IV.	ELIGIBLE ACTIVITIES	5
V.	INELIGIBLE USES OF GRANT FUNDS	8
VI.	ALLOCATION OF FUNDS	9
VII.	APPLICATION PACKAGE AND SUBMISSION INFORMATION	10
VIII.	SCOPE OF WORK	10
IX.	STATE ACTIVITIES SELECTION	12
X.	COST SHARING REQUIREMENTS	13
XI.	AWARD ADMINISTRATION INFORMATION	14
XII.	CONTACT INFORMATION	18
XIII.	APPENDICES:	20
Appendix A - Summary of Key Workplan Elements	20
Appendix B - SEC. 1459A. Assistance for Small and Disadvantaged Communities	21
Appendix C - Grant Resources and Policies	24
Appendix D - Cross-Cutting Federal Authorities for Assistance to the Grant Program	25
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OVERVIEW
The Assistance for Small and Disadvantaged Communities Drinking Water Grant Program,
CFDA 66.442, Implementation Document describes how the U.S. Environmental Protection
Agency (EPA) will administer grant funds to assist small and disadvantaged communities to
improve their drinking water. The purpose of this Implementation Document is to provide
states with the information to apply for funding.
A separate grant information document will be provided for tribal funding and located at
www.epa.gov/safewater/erants. State funds can be used to carry out activities that assist
public water systems serving tribal populations that also meet the underserved, small and
disadvantaged communities criteria, with consideration for those communities with the
greatest needs.
II. STATUTORY AUTHORITY
Section 1459A of the Safe Drinking Water Act (SDWA), as amended by the 2016 Water
Infrastructure Improvements for the Nation Act and the 2018 America's Water Infrastructure
Act, authorizes the EPA to award grants to states to assist underserved, small and
disadvantaged communities that are unable to finance activities needed to comply with the
SDWA, as well as respond to a drinking water contaminant.
As defined in SDWA section 1459A:
"(2) INCLUSIONS.—The term 'underserved community' includes a political subdivision of
a State that either, as determined by the Administrator—
'(A) does not have household drinking water or wastewater services; or
'(B) is served by a public water system that violates, or exceeds, as applicable, a
requirement of a national primary drinking water regulation issued under section
1412, including—
'(i) a maximum contaminant level;
'(ii) a treatment technique; and
'(iii) an action level."1
The term 'small and disadvantaged' is specified in the statute as communities:
"(A) that, under affordability criteria established by the State under section 1452(d)(3),
is determined by the State —
1 SDWA § 1459A(b)(2) (42 U.S.C. 300j-19a).
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'(i) to be a disadvantaged community; or
'(ii) to be a community that may become a disadvantaged community as a result
of carrying out a project or activity under subsection (b); or
'(B) with a population of less than 10,000 individuals that the Administrator determines
does not have the capacity to incur debt sufficient to finance a project or activity under
subsection (b)."2
Since states are most familiar with the financial constraints of local communities through their
drinking water programs, the EPA will defer to states to identify the appropriate small
communities that lack the capacity to incur debt and can most benefit from this funding
opportunity.
EPA is also authorized to award grants to states for responding to a drinking water
contaminant. As delineated in SDWA section 1459A:
"(j) STATE RESPONSE TO CONTAMINANTS.-
(1) IN GENERAL.-The Administrator may, subject to the terms and conditions of
this section, issue a grant to a requesting State, on behalf of an underserved
community, so the State may assist in, or otherwise carry out, necessary and
appropriate activities related to a contaminant-
(A)	that is determined by the State to-
(i)	be present in, or likely to enter into, a public water system
serving, or an underground source of drinking water for, such
underserved community; and
(ii)	potentially present an imminent and substantial
endangerment to the health of persons; and
(B)	with respect to which the State determines appropriate authorities
have not acted sufficiently to protect the health of such persons." 3
III. ELIGIBLE RECEIPIENTS
Funds will be awarded to states (the "eligible entity") based on an allocation formula similar to
that of the Drinking Water State Revolving Fund (DWSRF). Eligible applicants include the 50
states, Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, and the Northern Mariana
Islands. For the purposes of this document, the term "state" will be used to describe the 50
2	SDWA § 1459A(c)(2) (42 U.S.C. 300j-19a).
3	SDWA § 1459A(j) (42 U.S.C. 300j-19a).
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states, Puerto Rico, Guam, the U.S. Virgin Islands, American Samoa and the Commonwealth of
the Northern Mariana Islands.
States will use funding to support public water systems within their jurisdiction. Eligible public
water systems include existing privately-owned and publicly-owned community water systems
and non-profit non-community water systems, including systems utilizing point of entry or
residential central treatment.
IV. ELIGIBLE ACTIVITIES
Eligible activities under Section 1459A of the SDWA4 include:
•	Investments necessary for a public water system to comply with the SDWA
•	Efforts that benefit a disadvantaged community on a per household basis according to
State affordability criteria
•	Programs to provide household water quality testing, including testing for unregulated
contaminants
•	Activities necessary and appropriate for a state to respond to a contaminant
To meet this requirement, grant funding can be used for activities that may include, but are not
limited to, the following:
•	Treatment
•	Transmission and Distribution
•	Storage
•	Consolidation
•	Household water quality testing, including for unregulated contaminants
•	Assistance to increase technical, managerial, and financial (TMF) capacity
•	Drinking water contamination response efforts
The following lists include examples of activities that could be funded under each category.
These lists are not intended to represent all types of activities. If a state wishes to fund an
activity not specifically listed, an explanation of how the activity addresses the critical main
functions under section 1459A of the SDWA must be included in the workplan.
Also note that a wide range of costs and expenditures associated with an infrastructure
construction project are eligible as part of a project budget. Costs for restructuring systems
that are in significant noncompliance or that lack the technical, managerial and financial
4SDWA § 1459A (42 U.S.C. 300j-19a).
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capability to ensure compliance are eligible if the restructuring addresses the underlying
noncompliance or lack of capability.
Category 1 - Treatment
Example Activities
•	Construction of new treatment facilities or portions of facilities, including:
o Mixers/Flocculation/Sedimentation
o Filtration
o Chemical addition systems and equipment
o Disinfection
o Filter backwash recycling
o Residuals handling
o On-site generation of disinfectants
o Corrosion control infrastructure
•	Upgrades, rehabilitation or replacement of facilities or portions of facilities
•	Raw water storage that is part of the treatment process and located on the property
where the treatment facility is located
•	Point of access or point of use treatment devices (i.e. filters) are only eligible if the device
is the compliance treatment technology and the devices are owned and maintained by the
public water system
Category 2-Transmission and Distribution
Example Activities	
•	Installation, replacement or rehabilitation of infrastructure to improve water pressure to
safe levels or to prevent contamination caused by non-potable liquids entering the system
through leaks or pipe breaks
o Transmission mains
o Distribution mains
o Meters (e.g., flow meters, customer meters, master meters)
o Appurtenances (e.g., valves, hydrants, pipe restraints)
o Pump stations
•	Service line replacements, regardless of pipe material and ownership of the property on
which the service line is located (service line can be replaced up to premise plumbing)
Note: Partial replacement of lead service lines will not be permitted under this grant
program.
•	New water main extensions to serve existing residents not served by a safe supply of
potable water (this includes installation of the service line up to premise plumbing)
Category 3 - Storage
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Example Activities
• New storage or replacement/rehabilitation of existing structures to continue to maintain
compliance and protect public health by:
o Preventing microbiological contaminants from entering a public water system
o Equalizing water demands
o Reducing pressure fluctuations in the distribution system
o Providing reserves when power outages and other emergencies occur
o Providing drought resiliency
Category 4 - Consolidation
Example Activities
•	Purchase of a water system
•	Interconnection of systems:
o to resolve SDWA noncompliance
o to achieve the technical, managerial and financial capacity needed to prevent
noncompliance
o to reduce the overall per household cost of service
o for resiliency
Note - Funding from the Grant Program cannot be used to purchase land, easements, rights-of-
way, or relocations (prohibited by statute)5.
Consolidation activities cannot be for growth purposes. Exceptions will be considered for
public water systems in small and disadvantaged communities to consolidate with an existing
system that has adequate TMF capacity.
Category 5 - Household water quality testing
Example Activities
•	Testing for unregulated contaminants
•	Conducting initial, special (non-routine) monitoring to establish a baseline understanding
of a contaminant of concern or operation of a newly-used technology
•	Testing for potential contamination in water wells or point-of-entry home systems
•	Testing and analysis of household water through a compliance lab
•	Testing to help identify and improve conditions that may trigger water well pollution
Note - Funding from the Grant Program cannot be used for maintenance and operation
purposes (prohibited by statute)6 or for routine compliance monitoring and sampling.
5	SDWA § 1459A(g) (42 U.S.C. 300j-19a).
6	SDWA § 1459A(g) (42 U.S.C. 300j-19a).
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Category 6-Technical, Managerial and Financial Assistance
Example Activities
•	Training for system staff and board members on the importance of TMF capacity and how
to achieve compliance
•	On-site visits to systems experiencing compliance challenges
•	Water/energy audits
•	Completion of an engineering feasibility study to highlight operational areas of
improvement
•	Operator certification training to qualifying systems
•	Completion of environmental reviews
•	Preparation of Consumer Confidence Reports
•	Developing cost estimates for project planning
•	Rate evaluations and project development
•	Drafting of source water protection ordinances
•	Financial assistance for planning and design of infrastructure improvements
•	Asset management
•	Identification and inventory of service lines, including lead service lines
Category 7 - Drinking water contamination response efforts
Example Activities
•	Investigation of a suspected water contamination incident to determine the extent of
contamination
•	Planning activities for remediation
•	Contaminant characterization, decontamination, and clearance activities to return a public
water system to normal operation
•	Risk communication / public notification activities
•	Post-remediation monitoring to verify removal of a contaminant
V. INELIGIBLE USES OF GRANT FUNDS
Examples of ineligible uses of grant funds are listed below. Please note that this list is intended
to be illustrative and is not all inclusive. It is unallowable to use grant funding for the
following activities:
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*	Purchase of land, easements, rights-of-way, and relocations (prohibited by statute)7
*	Operations and maintenance costs (prohibited by statute )8
*	Partial lead service line replacement
*	Replacement of premise plumbing such as faucets (private side lead service line
replacement is eligible)
*	Construction or rehabilitation of dams
*	Purchase of water rights, unless the water rights are owned by a system to be purchased
for consolidation as part of a capacity development strategy
*	Construction or rehabilitation of reservoirs, except for finished water reservoirs and those
reservoirs that are part of the treatment process and are on the property where the
treatment facility is located
*	Activities needed primarily for fire protection
*	Activities needed primarily to serve future population growth
*	Activities that have received assistance from the tribal allotment for Indian Tribes and
Alaska Native Villages
*	Costs that are unallowable (e.g., lobbying and alcoholic beverages) under 2 CFR 200
Subpart E - Cost Principles.
VI. ALLOCATION OF FUNDS
Funds will be awarded to states based on an allocation formula similar to that of the DWSRF.
Within the DWSRF program, the Agency allots funding for each state for their DWSRF based
upon the results of the most recent Drinking Water Infrastructure Needs Survey and
Assessment. The assessment's estimate covers infrastructure needs that are eligible for the
DWSRF, including the installation of new drinking water infrastructure and the rehabilitation,
expansion, or replacement of existing infrastructure. For the Small and Disadvantaged
Communities Drinking Water Grant Program, states are allocated the same percentage of
funding as under the DWSRF program, with the 4 territories combined allocated 1.5% of the
national appropriation. The Grant Program is focused on the needs of small and disadvantaged
communities that may not be able to participate in the DWSRF program. States must fund
activities that benefit underserved communities, with consideration for those communities
with the greatest needs.
A minimum non-federal cost-share/match of 45 percent of the total project costs is required.
Details on cost-share/match requirements are provided in this Implementation Document.
7	SDWA § 1459A(g) (42 U.S.C. 300j-19a).
8	SDWA § 1459A(g) (42 U.S.C. 300j-19a).
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VII. APPLICATION PACKAGE AND SUBMISSION INFORMATION
This section lists the required documentation and information states must provide the EPA to
apply. The EPA Regional offices are the primary points of contact to approve grant applications
and award funding.
Application Package: The application package must include the following forms:
Mandatory Submissions
a.	Standard Form (SF) 424, Application for Federal Assistance
b.	Standard Form (SF) 424A, Budget Information for Non-Construction Programs
c.	Standard Form (SF) 424B, Assurances for Non-Construction Programs
d.	EPA Form 5700-54, Key Contacts Form
e.	EPA Form 4700-4, Pre-award Compliance Review
f.	Project Narrative Attachment Form
Optional Submissions: Negotiated indirect cost rate agreement (as applicable)
Submission Instructions: The EPA Regions will communicate to states the instructions for
submitting applications through Grants.gov (www.Grants.gov), including how to access the
opportunity. Funding Opportunity Number: EPA-CEP-02, CFDA#: 66.442.
VIII. SCOPE OF WORK
States should consider the following parameters when developing their scope of work.
A.	Project and Budget Period: It is anticipated that project/ budget periods will be no more
than three years.
B.	Eligible Activities: States will use funding for eligible activities in underserved, small and
disadvantaged communities (see IV. ELIGIBLE ACTIVITIES). The communities benefiting from
assistance must meet the statutory definition of being underserved and either small or
disadvantaged, with consideration for those communities with the greatest needs (see II.
STATUTORY AUTHORITY).
C.	1459A List: States will include in their workplan a list (the "1459A List") that identifies eligible
activities for assistance in their small and disadvantaged communities. States will work with the
EPA Regional staff to determine the activities to be funded from their 1459A List, and provide
sufficient detail in the workplan as to how that determination was made (see IX. STATE
ACTIVITIES SELECTION).
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States will include the following details of each activity in their 1459A List: the name of the
public water system if applicable, a description of the project or technical, managerial, and
financial assistance; the priority assigned to the project; the length of time requested to
complete the project; and a description of how the community served meets the underserved,
small and disadvantaged communities statutory criteria, with consideration for those
communities with the greatest needs.
D.	Grant Programmatic Priorities: The principal objective of the program is to facilitate
compliance with national primary drinking water regulations or otherwise significantly advance
the public health protection objectives of the SDWA in small and disadvantaged communities.
States are required to give project funds to benefit underserved communities, as defined in
section 1459A(a) of the SDWA, with consideration for those communities with the greatest
needs.
E.	Strategic Plan Linkage and Anticipated Outputs/Outcomes
Pursuant to Section 6a of Oi ier 5700 \ \ i .vironmental Results under the EPA Assistance
Agreements, recipients must link proposed assistance agreement workplans with the Agency's
Strategic Plan. The EPA also requires that workplans adequately describe environmental
outputs and outcomes to be achieved under assistance agreements.
Linkage to the EPA's Strategic Plan: The activities to be funded support the	318-22
Strategic Plan. Funding will support Goal 1, "Core Mission: Deliver real results to provide
Americans with clean air, land, and water, and ensure chemical safety," Objective 1.2, "Provide
for Clean and Safe Water: Ensure waters are clean through improved water infrastructure and,
in partnership with states and tribes, sustainably manage programs to support drinking water,
aquatic ecosystems, and recreational, economic, and subsistence activities." Applicants must
explain in their workplan how their project will further this objective.
States must include specific statements describing the environmental results of proposed
activities in terms of well-defined outputs and, to the maximum extent practicable, well-
defined outcomes that will demonstrate how activities will contribute to program priorities.
Outputs: The term "output" means an environmental activity, effort, and/or associated work
product related to an environmental goal and objective that will be produced or provided over
a period of time or by a specified date. Outputs may be quantitative or qualitative but must be
measurable during an assistance agreement funding period.
Expected outputs from the activities to be funded under this announcement may include, but
are not limited to, the following:
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•	Increase in the number of households with drinking water services in small and
disadvantaged communities
•	Increase in number of households tested in small and disadvantaged communities
for a drinking water contaminant and identified for action to address contaminant
concerns
•	Increase in compliance of public water systems in small and disadvantaged
communities with national drinking water regulations
•	Increase in number of tools and educational resources provided to support
improvements in public water systems' technical, managerial and financial capacity
in small and disadvantaged communities
Outcomes: The term "outcome" means the result, effect or consequence that will occur from
carrying out an environmental program or activity that is related to an environmental or
programmatic goal or objective. Outcomes may be qualitative and environmental, behavioral,
health-related or programmatic in nature, but must also be quantitative. They may not
necessarily be achievable within an assistance agreement funding period.
Expected outcomes from the activities to be funded under this announcement may include, but
are not limited to, the following:
•	Reduction in the number of public water systems out of compliance with health-based
standards in small and disadvantaged communities
•	Proactive asset planning and financial management of public water systems in small and
disadvantaged communities to ensure the long-term health and operating success of a
water system
•	Enhanced technical, managerial, and financial capability of public water systems in small
and disadvantaged communities
•	Improved performance of drinking water treatment plants in small and disadvantaged
communities
•	Public water systems in small and disadvantaged communities provide the constituency
of the community with safe drinking water
•	Improved understanding of emerging threats to water quality, clean drinking water and
public health
IX. STATE ACTIVITIES SELECTION
EPA recognizes that there is a wide variation among states and is presenting this process to
provide a general outline of the steps to be followed for state submissions.
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Each state will submit a draft workplan with their 1459A List to their respective EPA Region.
The EPA Regions must be able to determine from the draft workplans that activities conform to
all applicable requirements of the grant program. The EPA Region will work with the state to
ensure that the final workplan: (1) is designed to help achieve the goals and objectives of the
grant program; (2) includes costs that are eligible, reasonable, necessary, allowable and
consistent with the grant program; (3) clearly identifies the specific outcomes, outputs, and
other results that are linked to funding and includes target dates and milestones for achieving
them; (4) clearly identifies the source of the required minimum non-federal cost share/match
that is 45 percent of the total project cost, and meets other applicable cost share requirements.
States are strongly encouraged to begin their internal process as early as possible to identify
activities for the grant award. States and the EPA Regions are also encouraged, where feasible,
to discuss proposed activities prior to submission of the draft workplan and 1459A List so that
the subsequent submission can be reviewed and approved quickly. The EPA encourages states
to submit draft workplans and 1459A Lists to the EPA Region as soon as possible if they believe
that there are difficult issues that may arise (e.g., whether a proposed activity is legally
fundable or meets mandatory criteria established by statute).
Prior to beginning the award process, the EPA Regions will discuss with each state a schedule to
ensure timely award of the grant.
X. COST SHARING REQUIREMENTS
Cost share requirements for this grant include a minimum non-federal 45 percent cost
share/match of the total project cost.9 The EPA will waive the 45 percent cost share
requirement for the "Insular Areas", which includes the Virgin Islands, Guam, American Samoa,
the Trust Territory of the Pacific Islands, and the Government of the Northern Marianna Islands.
These areas are not required to budget for cost share.10 States need to demonstrate in their
application how the non-federal cost share/match of 45 percent of the total project budget will
be met.
No DWSRF funds will be considered towards the 45 percent cost share for this grant program,
including federal capitalization grants, state match, principal repayments, interest earnings,
fees, or leveraged funds. State services, materials, supplies, or other in-kind contributions are
eligible to be considered towards the 45 percent cost share requirement.
States may use their own funds or other sources for cost share as long as the standards of 2 CFR
Part 200, as applicable, are met. In-kind contributions, such as the use of volunteers and/or
donated time, equipment, expertise, etc. are subject to the regulations governing matching
9	SDWA § 1459A(g) (42 U.S.C. 300j-19a).
10	Per 48 U.S.C. 1469a of the Omnibus Territories Act, the EPA will waive the match requirement for the "Insular
Areas." The waiver does not include the Commonwealth of Puerto Rico.
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fund requirements, as applicable. In-kind contributions often include salaries or other verifiable
costs and this value must be carefully documented. In the case of salaries, states may use
either minimum wage or fair market value. Cost share must be used for eligible and allowable
project costs and for the reasonable and necessary expenses of carrying out the workplan.
Other federal grants may not be used as cost share towards the Grant Program without specific
statutory authority to do so.
For the full set of rules and requirements regarding cost sharing or matching, please consult 2
CFR §200.306.
XI. AWARD ADMINISTRATION INFORMATION
A.	Regulatory Requirements for Grant Assistance Agreements: This award is subject to the
regulations of the Uniform Administrative Requirements, Cost Principles and Audit
Requirements for Federal Awards; Title 2 CFR, Parts 200 and 1500. A listing and description of
the EPA's general regulations applicable to the award of assistance agreements may be viewed
at: https://www.epa.gov/erants/policy-regulationsand-guidance-epa-grants.
B.	Terms and Conditions: General administrative and programmatic terms and conditions
applicable to the EPA's assistance agreements may be viewed at www.epa.gov/erants/grant-
terms-and-conditions. The EPA Headquarters will provide the EPA Regions with a list of terms
and conditions that will also be applicable. The EPA Regions will ensure that all applicable
terms and conditions are included in the grant agreements.
C.	Funding to Subrecipients: Funding may be used to provide subawards of financial assistance
provided the recipient complies with applicable requirements for subawards including those
contained in 2 CFR Part 200 and the EPA's Subaward Policy at
https://www.epa.gov/grants/grants-policv-issuance-gpi-16-01-epa-subaward-policy-epa-
assistance-aereement-recipients. The National Term and Condition for Subawards is available
at https://www.epa.gov/sites/production/files/2016-
02/documents/gmc subaward policy appendir > national t and c.pdf.
D.	Funding to Other State Agencies: The EPA's general policy, based on the definitions of the
terms "Non-federal entity" (2 CFR §200.69). "Pass-through entity (2 CFR §200.74) "Recipient" (2
CFR §200.86) and "State" (2 CFR §200.90). is that the state itself is the legal entity that receives
the funds even if one particular component of the state is named in the assistance agreement
as the recipient. Transfers of funds between state agencies to perform a particular financial
assistance agreement would, therefore, be governed by state law. Additionally, 2 CFR §200.41?
"Interagency Services" contemplates situations in which one agency provides services to
another agency within the same unit of government as a direct cost of performing the EPA
assistance agreement.
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If utilizing interagency service agreements between state agencies under 2 CFR §200.417, the
expenditures the state agency makes to carry out the Interagency Service Agreement should be
shown in the corresponding direct cost categories (Personnel, Travel, Contractual etc.). If state
law characterizes agreements under which one state agency provides services to another state
agency as a procurement contract, then the costs would be placed in the contractual category.
In interagency service situations, 2 CFR §200.417 provides the state may charge a pro-rated
share of indirect costs for the service, or 10% of the . .direct salary and wage cost of providing
the service (excluding overtime, shift premiums, and fringe benefits) may be used in lieu of
determining the actual indirect costs of the service." Centralized services included in central
service cost allocation plans subject to 2 CFR Part 200 Appendix V are accounted for separately.
There may be situations in which state law provides that state agencies or instrumentalities are
legally separate for the purposes of financial transactions between them or when state financial
management policies for Federal assistance agreements require separate instruments for
accounting purposes (e.g. due to differences in indirect cost rates). In those situations, a state
may characterize appropriate funding transfers as subawards. Note, however, that if one state
agency provides a subaward to another state agency the state agency acting as the pass-
through entity must comply with applicable provisions of 2 CFR Part 200 (including 2 CFR
§200.331). the National Term and Condition for Subawards, and the EPA Subaward Policy
unless the EPA provides an exception. The aggregate cost estimates for subawards to other
state agencies or instrumentalities should be included as line items in the "Other" budget
category.
E.	Procurements: When procuring property and services under a Federal award, a state must
follow the same policies and procedures it uses for procurements from its non-Federal funds.
The state will comply with 2 CFR. §200.322 Procurement of Recovered Materials, and ensure
that every purchase order or other contract includes any clauses required by section 2 CFR
§200.326 Contract provisions. All other non-Federal entities, including subrecipients of a state
(other than another state agency), will follow §200.318 General Procurement Standards
through §200.326 Contract Provisions.
F.	Performance Partnership Grants: Funds awarded under this program are not eligible for
inclusion with the state's Performance Partnership Grants.
G.	Expenses Incurred Prior to the Project Period: Except for eligible pre-award costs as defined
in 2 CFR §200.458 and as authorized by 2 CFR §200.309 and 2 CFR §1500.3. no funds shall be
used to cover expenses incurred prior to the project/budget period set forth in the assistance
agreement. Additionally, except for eligible pre-award costs as defined above, expenses
incurred prior to the project/budget period in the assistance agreement are not eligible
towards the 45% non-federal cost-share.
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H.	Quality Assurance/Quality Control: Activities that include the collection of environmental
data, such as household water quality testing, will need to comply with the Quality
Assuranee/Quality Control requirements in 2 CFR 1500.11. Environmental data are any
measurements or information that describe environmental processes, location, or conditions;
ecological or health effects and consequences; or the performance of environmental
technology. States should allow sufficient time and resources for this process. The EPA can
assist states in determining whether QA/QC is required for a proposed project and, if required,
the appropriate QA/QC practices needed.
I.	Application of Federal Cross-Cutting Authorities (Cross-Cutters): A number of federal laws,
executive orders, and government-wide policies apply by their own terms to projects and
activities receiving federal financial assistance, regardless of whether the statute authorizing
the assistance makes them applicable. All programs, projects, and activities for which a state
provides assistance are subject to the following federal anti-discrimination laws: Civil Rights Act
of 1964, as amended, 42 U.S.C. 2000d etseqsection 504 of the Rehabilitation Act of 1973, as
amended, 29 U.S.C. 794; and the Age Discrimination Act of 1975, as amended, 42 U.S.C. 6102.
A state is responsible for ensuring that assistance recipients comply with the requirements of
crosscutters, see Appendix D.
J. Environmental Reviews: Consistent with the procedural requirements of the National
Environmental Policy Act of 1969 (NEPA), 42 U.S.C. 4321 et seq., as implemented by the Council
on Environmental Quality (CEQ) Regulations (40 CFR Parts 1500 through 1508), and the EPA's
NEPA Regulations (40 CFR Part 6), grant recipients may be required to conduct environmental
reviews. Consistent with NEPA's procedural requirements, the EPA is including in its decision-
making processes procedures to ensure the appropriate and careful consideration of the
environmental effects of proposed actions, to analyze potential environmental effects of
proposed actions and their alternatives for public understanding and scrutiny, to avoid or
minimize adverse effects of proposed actions, and to restore and enhance environmental
quality to the extent practicable.
K. Reporting Requirements: Entities receiving assistance will provide quarterly and annual
progress reports that adhere to the Performance and Financial Monitoring and Reporting
requirements as outlined in the Office of Management and Budget's Uniform Grant Guidance (2
CFR 200). The reporting period (i.e., quarterly, annually) will be identified in the terms and
conditions of the assistance agreements. Further, in accordance with 2 CFR §200.323. the
recipient agrees to report on key project characteristics, milestones, and environmental/public
health protection results in the following areas: 1) achievement of the outputs and outcomes
established in the workplan; 2) the reasons for delays if established outputs or outcomes were
not met; and 3) any additional pertinent information on environmental/public health results.
Information provided in the reports helps monitor the state's progress with implementing their
project and also directly supports the Grant Program by highlighting measurable
accomplishments to the public and Congress. Final reports shall be submitted within 90
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calendar days of the project/budget period end date and summarize accomplishments,
expenditures, outcomes, outputs, lessons learned, and any other resources leveraged during
the project and how they were used.
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XII. CONTACT INFORMATION
If you have any questions concerning the contents of this document, you may contact Yvonne
Veronica Gonzalez, WIIN Program Lead, Protection Branch, Drinking Water Protection Division,
at (202) 564-2912, or Cathy Davis, Associate Manager, Protection Branch, Drinking Water
Protection Division, at (202) 564-2703.
EPA Regional Contacts by State and Territory
Address
Contact
States Represented
U.S. EPA Region 1
5 Post Office Square, Suite
100
Boston, MA 02109-3912
Phone: 617-918-1513
Gevon Solomon
SoIomon.Gevon@epa.gov
CT, ME, MA, NH, Rl,
VI
U.S. EPA Region 2
290 Broadway, 18th Floor
New York, NY 10007-1866
Phone: 212-637-4006
Christine Ash
Ash.Christine@epa.gov
NJ, NY, PR, VI
U.S. EPA Region 3
1650 Arch Street
Philadelphia, PA 19103
Phone: 215-814-5780
Ghassan Khaled
KhaIed.Ghassan@epa.gov
DE, DC, MD, PA, VA,
WV
U.S. EPA Region 4
61 Forsyth Street, SW
Atlanta, GA 30303-8960
Phone: 404-562-9337
Sheryl Parsons
Parsons.ShervI@epa.gov
AL, FL, GA, KY, MS,
NC, SC, IN
U.S. EPA Region 5
77 West Jackson Boulevard
Chicago, IL 60604-3507
Phone: 312-353-4779
Steffanie Crossland
crossIand.steffanie@epa.gov
IL, IN, Ml, MN, OH, Wl
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Address
Contact
States Represented
U.S. EPA Region 6
1445 Ross Avenue, Suite
1200
Dallas, TX 75202-2733
Phone: 214-665-3194
Salvador Gandara
gandara.saIvador@epa.gov
AR, LA, NM, OK, TX
U.S. EPA Region 7
11201 Renner Boulevard
Lenexa KS 66219
Phone: 913-551-7798
Robert Dunlevy
nlevy.Robert@epa.gov
IA, KS, MO, NE
U.S. EPA Region 8
1595 Wynkoop Street
Denver, CO 80202-1129
Phone: 303-312-6569
Cynthia Gonzales
Gonzales.cvnthia@epa.gov
CO, MT, ND, SD, UT,
WY
U.S. EPA Region 9
75 Hawthorne St.
San Francisco, CA 94105
Phone: 808-541-2722
Susan Polanco
Polanco.Susan@epa.gov;
Gabriela Baeza-Castaneda
baeza-
castaneda.gabriela@epa.gov
AZ, CA, HI, NV, AS,
GU, CNMI, Trust
Territory of the Pacific
Islands
U.S. EPA Region 10
222 West 7th Avenue #19
Anchorage, AK 99513
Phone: 206-553-8504
Richard Green (Washington)
Green.Richard@epa.gov;
Neverley Wake (Alaska)
wake.neverlev@epa.gov;
Sejal Soni (Idaho)
soni.seiaI@epa.gov; and
Harold Rogers (Oregon)
Rogers.HaroId@epa.gov
AK, ID, OR, WA

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XII. APPENDICES
Appendix A: Summary of Key Workplan Elements
Section 1. Project Summary and Overall Approach
SUMMARY STATEMENT
A.	ACTIVITIES: [A description of activities to be funded, as described in Section IV. ELIGIBLE ACTIVITIES,
including discussion of how the proposed activities are necessary for a public water system to comply
with the SDWA, and/or provides household water quality testing, and/or is necessary for a state to
respond to a contaminant The activities described in the workplan must fund projects and activities that
benefit underserved communities, with consideration for those communities with the greatest needs.
This section also includes the 1459A List, as described in Section VIII. SCOPE OF WORK.]
B.	ROLES AND RESPONSIBILITIES: [A discussion of the roles and responsibilities of the state and any other
project partners, contractors, or subrecipients.]
C.	TIMELINE AND MILESTONES: [A timeline for the activities selected for funding, including milestones for
specific tasks.]
Section 2. Programmatic Priorities and Strategic Plan Goals
The activities described in this workplan support the grant Programmatic Priorities and EPA's FY 2018-
2022 Strategic Plan Goal 1, "Core Mission: Deliver real results to provide Americans with clean air, land,
and water, and ensure chemical safety," Objective 1.2, "Provide for Clean and Safe Water: Ensure
waters are clean through improved water infrastructure and, in partnership with states and tribes,
sustainably manage programs to support drinking water, aquatic ecosystems, and recreational,
economic, and subsistence activities."
Section 3. Environmental Results—Outputs and Outcomes
[This section of the workplan includes a discussion of the outputs and outcomes of the project / activities,
as described in Section VIII. SCOPE OF WORK].
Section 4. Budget Narrative
[This section of the workplan is a description of the budget and includes estimated funding amounts for
each work component/task. A detailed description of how the 45 percent cost share will be obtained and
used is included. If a proposed cost share is to be provided by a named third-party, a letter of
commitment will be required.]
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Appendix B: SEC. 1459A. Assistance for Small and Disadvantaged Communities
42 USC 300j-19a: Assistance for small and disadvantaged communities
Text contains those laws in effect on March 6, 2019
SEC. 1459A. ASSISTANCE FOR SMALL AND DISADVANTAGED COMMUNITIES.
(a)	DEFINITION OF UNDERSERVED COMMUNITY-In this section:
(1)	IN GENERAL.-The term 'underserved community' means a political subdivision of a State
that, as determined by the Administrator, has an inadequate system for obtaining drinking
water.
(2)	INCLUSIONS.-The term 'underserved community' includes a political subdivision of a
State that either, as determined by the Administrator-
(A)	does not have household drinking water or wastewater services; or
(B)	is served by a public water system that violates, or exceeds, as applicable, a
requirement of a national primary drinking water regulation issued under section 1412,
including-
(i)	a maximum contaminant level;
(ii)	a treatment technique; and
(iii)	an action level.
(b)	ESTABUSHMENT-
(1)	IN GENERAL.-The Administrator shall establish a program under which grants are provided
to eligible entities for use in carrying out projects and activities the primary purposes of which
are to assist public water systems in meeting the requirements of this title.
(2)	INCLUSIONS-Projects and activities under paragraph (1) include-
(A)	investments necessary for the public water system to comply with the requirements
of this title;
(B)	assistance that directly and primarily benefits the disadvantaged community on a
per-household basis; and
(C)	programs to provide household water quality testing, including testing for
unregulated contaminants.
(c)	ELIGIBLE ENTITIES.-An eligible entity under this section-
(1)	is-
(A)	a public water system;
(B)	a water system that is located in an area governed by an Indian Tribe; or
(C)	a State, on behalf of an underserved community; and
(2)	serves a community-
(A) that, under affordability criteria established by the State under section 1452(d)(3), is
determined by the State-
(i) to be a disadvantaged community; or
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(ii) to be a community that may become a disadvantaged community as a result
of carrying out a project or activity under subsection (b); or
(B) with a population of less than 10,000 individuals that the Administrator determines
does not have the capacity to incur debt sufficient to finance a project or activity under
subsection (b).
(d)	PRIORITY-In prioritizing projects and activities for implementation under this section, the
Administrator shall give priority to projects and activities that benefit underserved communities.
(e)	LOCAL PARTICIPATION.-ln prioritizing projects and activities for implementation under this section,
the Administrator shall consult with and consider the priorities of States, Indian Tribes, and local
governments in which communities described in subsection (c)(2) are located.
(f)	TECHNICAL, MANAGERIAL, AND FINANCIAL CAPABILITY.-The Administrator may provide assistance to
increase the technical, managerial, and financial capability of an eligible entity receiving a grant under
this section if the Administrator determines that the eligible entity lacks appropriate technical,
managerial, or financial capability and is not receiving such assistance under another Federal program.
(g)	COST SHARING.-Before providing a grant to an eligible entity under this section, the Administrator
shall enter into a binding agreement with the eligible entity to require the eligible entity-
(1)	to pay not less than 45 percent of the total costs of the project or activity, which may include
services, materials, supplies, or other in-kind contributions;
(2)	to provide any land, easements, rights-of-way, and relocations necessary to carry out the
project or activity; and
(3)	to pay 100 percent of any operation and maintenance costs associated with the project or
activity.
(h)	WAIVER.-The Administrator may waive, in whole or in part, the requirement under subsection (g)(1)
if the Administrator determines that an eligible entity is unable to pay, or would experience significant
financial hardship if required to pay, the non-Federal share.
(i)	LIMITATION ON USE OF FUNDS.-Not more than 4 percent of funds made available for grants under
this section may be used to pay the administrative costs of the Administrator.
(j) STATE RESPONSE TO CONTAMINANTS.-
(1)	IN GENERAL.-The Administrator may, subject to the terms and conditions of this section,
issue a grant to a requesting State, on behalf of an underserved community, so the State may
assist in, or otherwise carry out, necessary and appropriate activities related to a contaminant-
(A)	that is determined by the State to-
(i)	be present in, or likely to enter into, a public water system serving, or an
underground source of drinking water for, such underserved community; and
(ii)	potentially present an imminent and substantial endangerment to the health
of persons; and
(B)	with respect to which the State determines appropriate authorities have not acted
sufficiently to protect the health of such persons.
(2)	RECOVERY OF FUNDS.Hf, subsequent to the Administrator' s award of a grant to a State
under this subsection, any person or entity (including an eligible entity), is found by the
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Administrator or a court of competent jurisdiction to have caused or contributed to
contamination that was detected as a result of testing conducted, or treated, with funds
provided under this subsection, and such contamination violated a law administered by the
Administrator, such person or entity shall, upon issuance of a final judgment or settlement and
the exhaustion of all appellate and administrative remedies-
(A)	notify the Administrator in writing not later than 30 days after such issuance of a
final judgment or settlement and the exhaustion of all appellate and administrative
remedies; and
(B)	promptly pay the Administrator an amount equal to the amount of such funds,
(k) AUTHORIZATION OF APPROPRIATIONS.-There are authorized to be appropriated to carry out this
section, $60,000,000 for each of fiscal years 2017 through 2021.
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Appendix C: Grant Resources and Policies
Grants Policy Resources
This useful webpage includes a searchable table of the latest resources that may be pertinent to your
grant. Use the keyword search to scan for items of specific interest.
https://www.epa.gov/grants/epa-grants-policy-resources
Other Grant Policy references that will be useful to consider:
EPA Grants Policy Issuance 16-01 (Sub-awards Policy): https://www.epa.gov/grants/grants-policy-
issuance-gpi-16-Ol-epa-subaward-policy-epa-assistance-agreement-recipients
Office of Grants and Debarment Guidance on Selected Items of Cost for Recipients:
https://www.epa.gov/grants/rain-2018-g01-r
Cost review template and guidance for project officers' grants Under 40 CFR Part 35 Subpart A:
https://www.epa.gov/grants/cost-review-template-and-guidance-proiect-officers-grants-under-40-cfr-
part-35-subpart
Interim Guidance on Cost Review of Grants/Performance Partnership Grants Awarded under 40 CFR Part
35 Subpart A: https://www.epa.gov/grants/interim-guidance-cost-review-grantsperformance-
partnership-grants-awarded-under-40-cfr-part
Best Practice Guide for Procuring Services, Supplies, and Equipment Under Assistance Agreements:
https://www.epa.gov/grants/best-practice-guide-procuring-services-supplies-and-equipment-under-
epa-assistance-agreements
Grants Management Training for Applicants and Recipients: https://www.epa.gov/grants/epa-grants-
management-training-applicants-and-recipients
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Appendix D: Cross-Cutting Federal Authorities for Assistance to the Grant Program
Environmental Authorities
*	Archeological and Historic Preservation Act, Pub. L. 93-291, as amended
*	Clean Air Act, Pub. L. 95-95, as amended
*	Clean Water Act, Tittles ill, IV and V, Pub. L. 92-500, as amended
*	Coastal Barrier Resources Act, Pub. L. 97-348
*	Coastal Zone Management Act, Pub. L. 92-583, as amended
*	Endangered Species Act, Pub. L. 93-205, as amended
*	Environmental Justice, Executive Order 12898
*	Flood Plain Management, Executive Order 11988 as amended by Executive Order 12148 and 13690
*	Protection of Wetlands, Executive Order 11990 as amended by Executive Order 12608
*	Farmland Protection Policy Act, Pub. L. 97-98
*	Fish and Wildlife Coordination Act, Pub. L. 85-624, as amended
*	Magnuson-Stevens Fishery Conservation and Management Act, Pub. L. 94-265
*	National Historic Preservation Act, Pub. L. 89-655, as amended
*	Safe Drinking Water Act, Pub L. 93-523, as amended
*	Wild and Scenic Rivers Act, Pub. L. 90-54, as amended
Economic and Miscellaneous Authorities
*	Debarment and Suspension, Executive Order 12549
*	Demonstration Cities and Metropolitan Development Act, Pub. L. 89 -754, as amended
*	Intergovernmental Review of Federal Programs, Executive Order 12372
*	Drug-Free Workplace Act, Pub. L. 100-690
*	New Restrictions on Lobbying, Section 319 of Pub. L. 101-121
*	Prohibitions relating to violations of the Clean Water Act or Clean Air Act with respect to Federal
contracts, grants, or loans under Section 306 of the Clean Air Act and Section 508 of the Clean
Water Act, and Executive Order 11738
*	Uniform Relocation and Real Property Acquisition Policies Act, Pub. L. 91-646, as amended
Civil Rights, Nondiscrimination, Equal Employment Opportunity Authorities
*	Age Discrimination Act, Pub. L. 94-135
*	Equal Employment Opportunity, Executive Order 11246
*	Section 13 of the Clean Water Act, Pub. L. 92-500
*	Section 504 of the Rehabilitation Act, Pub. L 93-112 supplemented by Executive Orders 11914 and
11250
*	Title VI of the Civil Rights Act, Pub. L 88-352
Disadvantaged Business Enterprise Authorities
*	Participation by Disadvantaged Business Enterprises in Procurement Under Environmental
Protection Agency (EPA) Financial Assistance Agreements
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