Assistance for Small and Disadvantaged Communities Tribal Drinking Water
Grant Program Information
WATER
INFRASTRUCTURE
IMPROVEMENTS FOR
THE NATION (WIIN) ACT
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SUMMARY
The U.S. Environmental Protection Agency's (EPA) Office of Ground Water and Drinking Water
(OGWDW) has made available to tribes the Assistance for Small and Disadvantaged
Communities Tribal Drinking Water Grant Program ("Grant Program"). The EPA has allocated
funding to Regional offices based on the Drinking Water Infrastructure Grants-Tribal Set-Aside
(DWIG-TSA) formula. The EPA will waive cost share requirements for the tribal grant program.
Eligible projects for assistance include investments necessary for a public water system to
comply 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 primacy agency to
respond to a contaminant. Projects and activities must serve a small or disadvantaged
community to qualify for grant assistance.
EPA Regions must give priority for the use of program funds to projects and activities benefiting
underserved communities. As specified in the statute authorizing the Grant Program, an
underserved community is a political subdivision that has been determined to have an
inadequate system for obtaining drinking water, including a community that does not have
household drinking water or wastewater services or that is served by a public water system that
violates or exceeds a requirement of a national primary drinking water regulation.
The activities under this program will support the EPA's FY 2018-22 Strategic Plan, Goal 1, "A
Cleaner, Healthier Environment: 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."
Specifically, this tribal grant program will support the EPA's two priority goals for the tribal
drinking water program.
1. Increase the number of American Indian and Alaska Native homes with access to safe
drinking water in coordination with other federal agencies.
2. Reduce the number of community water systems with health-based violations of
national primary drinking water regulations.
This document contains information on the Assistance for Sma 1
and Disadvantaged Communities Tribal Drinking Water Grant
Program for both internal and external stakeholders. Nothing in
this document is meant to conflict with or supersede the Office
of Management and Budget Uniform Grant Guidance, or any
grant terms and conditions. All public materials for the grant
program are available at www.epa.gov/safewater/grants.
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TABLE OF CONTENTS
I. OVERVIEW 3
II. BACKGROUND & STATUTORY AUTHORITY 3
III. ELIGIBLE BENEFICIARIES 4
IV. ELIGIBLE ACTIVITIES 6
V. FUNDING SCHEDULE AND PROCEDURES 8
ALLOCATION OF FUNDS 8
VII. AUTHORITIES AND FUNDING VEHICLES 8
VIII. REGIONAL RESPONSIBILITIES 8
IX. USE OF FUNDS RESTRICTIONS 10
XI. ADDITIONAL GRANT PROGRAM INFORMATION 10
XII. CONTACT INFORMATION 10
XIII. APPENDICES: 11
Appendix A - Funding Schedule and Procedures 11
Appendix B - Cross-Cutting Federal Authorities for Assistance to the Grant Program 12
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I. OVERVIEW
The Assistance for Small and Disadvantaged Communities Tribal Drinking Water Grant
Implementation Document describes how the U.S. Environmental Protection Agency (EPA) will
provide assistance to small and disadvantaged communities in areas governed by Indian tribes
to meet the requirements of the Safe Drinking Water Act (SDWA). The purpose of this
document is to present EPA Regions with information to implement the program. Projects and
activities funded under the Assistance for Small and Disadvantaged Communities Tribal
Drinking Water Grant Program (the Grant Program) must meet all eligibility and funding
requirements as explained in this document.
Statutory provisions described in this document are legally binding requirements. However, this
document does not substitute for those provisions or any OMB Uniform Grant Guidance
regulations, nor is it a regulation itself. Any decisions regarding a distinct situation will be made
based on the statutes, regulations, and regional policies. This Grant Program allows flexibility in
its implementation. This document explains the manner in which the goals, objectives, and legal
requirements of section 1459A of the SDWA may be successfully met.
II. STATUTORY AUTHORITY
Section 1459A of the 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 assist
eligible small and disadvantaged tribal communities to finance projects needed to comply with
the SDWA. This assistance may be provided through funding assistance or in-kind services for
the benefit of the tribal community.
SDWA section 1459A states:
"(b) ESTABLISHMENT.-
(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."
As required in SDWA section 1459A(d),1 funding priority will be given to projects and activities
that benefit underserved communities, which are defined in SDWA section 1459A(b):2
"(2) INCLUSIONS.—The term 'underserved community' includes a political subdivision of
a [tribe] that either, as determined by the Administrator—
1 SDWA §1459A(d) (42 U.S.C. 300j-19a).
2 SDWA § 1459A(b)(2) (42 U.S.C. 300j-19a).
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(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."
The term 'small and disadvantaged' as it relates to tribal communities receiving assistance
under the Grant Program is specified in the statute as a community:
"(c)(2)(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)."3
Tribes and their respective communities that are determined to have a population less than
10,000 and lack the capacity to incur sufficient debt may qualify for assistance under this Grant
Program. Assistance through the Grant Program is subject to the availability of appropriated
funds.
III. ELIGIBLE BENEFICIARIES
EPA Regions will be allocated funds to be given as assistance to tribes based on the DWIG-TSA
allocation formula. Only federally-recognized tribes that otherwise meet the statutory
requirements and are not suspended or debarred are eligible to receive assistance under the
Tribal Grant Program. EPA Regions will develop procedures to identify eligible projects
according to the requirements of the authorizing statute.
As specified in section 1459A(c) of the SDWA, eligible grant recipients include:
"(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 [or Indian Tribe], 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
3 SDWA §1459A(c)(2) (42 U.S.C. 300j-19a).
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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)."4
Section (2)(A) applies only to tribal communities that may receive assistance from a state
Assistance for Small and Disadvantaged Communities Drinking Water Grant Program; thus,
tribal communities under this program must meet eligibility criteria outlined in section (2)(B).
Assistance may be provided to the following types of public water systems.5
• Tribally Owned Water Systems: All existing community water systems and all non-profit,
non-community water systems owned by a tribal government are considered to serve
an Indian tribe and are eligible to have projects funded with Grant Program funds
provided they serve tribal homes.
• Non-Tribally Owned Water Systems: The tribal population served by the water system
must be governed by a federally recognized tribal entity.
• The project or activity must be exclusively or primarily for the benefit of a tribal
population, even in the event that the system's tribal population may be a small
percentage of the total service population served.
o If the project is exclusively, or primarily, for the benefit of a tribal population,
then the Region may conclude that the Grant Program should fund the entire
cost of the project,
o If the tribal population benefitting from the project is a relatively small
percentage of the total population benefitting from the project, then the
Region must conclude that it is not appropriate for the Grant Program to
fund the entire cost of the project.
Under section 1459A(c)(l)(C), assistance can also be provided to tribal underserved
communities that do not have public water systems. Projects and activities must serve a small
or disadvantaged community as specified under section 1459A(c)(2)(B) of the SDWA. The EPA
may utilize third parties, including technical assistance providers, federal agencies, etc., to
provide in-kind services to implement a project or activity exclusively for the benefit of eligible
tribal communities.
The following types of water systems are ineligible to receive funding from the Grant Program.
* Federally-owned public water systems.
* For-profit non-community water systems.
4 SDWA §1459A(c)(2) (42 U.S.C. 300j-19a).
5 Drinking Water Infrastructure Grants-Tribal Set-Aside Guidance, 2013.
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* Systems that have enforcement priority with any national primary drinking water
regulation or variance, unless:
o The purpose of the assistance is to address the cause of significant non-compliance
and the assistance will ensure that the system returns to compliance
o The purpose of the assistance is unrelated to the cause of the significant non-
compliance and the system is on an enforcement schedule (for maximum
contaminant level and treatment technique violations) to return to compliance.
As described in Section VIII, EPA Regions will develop objective criteria by which communities
will be assessed to determine capacity to incur debt to finance a project or activity. Priority shall
be given to projects or activities that benefit underserved communities.
IV. ELIGIBLE ACTIVITIES
EPA Regions will ensure that allocated funding is distributed to eligible projects and activities
that serve a small or disadvantaged community. For the purposes of determining eligible and
ineligible projects, the Grant Program follows the Drinking Water Infrastruct ants - Tribal
Set-Asides Guidance. For additional clarification on eligible projects, please refer to the Drinking
Water State Revolving Fund Eligibilities Handbook.
The grant funds allocated to the region shall be expended in accordance with statutory
language of section 1459A(b)(2) of the SDWA. Eligible uses of funds include the following.
• Investments necessary for a public water system to comply with the SDWA.
• Efforts that benefit a small or disadvantaged community on a per household basis.
• Programs to provide household water quality testing, including testing for unregulated
contaminants.
• Activities necessary and appropriate to respond to a contaminant.
Specific projects and activities that are consistent with the statutory language may include, but
are not limited to the following:
• Assistance to increase technical, managerial, and financial capacity;
• Treatment;
• Transmission and distribution;
• Storage;
• Consolidation; and
• Household water quality testing, including for unregulated contaminants.
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Assistance provided through the Grant Program may be used to increase the technical,
managerial, and financial capacity of a water systems that serves a tribal community if that
water system lacks appropriate technical, managerial, or financial capability and is not receiving
such assistance under another Federal program. Projects and activities to increase technical,
managerial, and financial capacity may include, but are not limited to the following.
* 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.
* 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.
Funding under this program cannot be used for operation and maintenance purposes or for
routine compliance monitoring. For the purposes of defining "Operation and maintenance
costs" that are ineligible to be funded under the grant, the grant program follows the definition
as outlined in the Drinking Water State Revolving Fund Eligibility Handbook. In addition, the
following projects are ineligible for assistance.
* Purchase of land (prohibited by statute).
* Operations and maintenance costs (prohibited by statute).
* Partial lead service line replacement (prohibited by statute).
* Replacement of premise plumbing such as faucets (private side lead service line
replacement is eligible).
* Construction or rehabilitation of dams.
* 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.
* Projects needed primarily for fire protection.
* Projects needed primarily to serve future population growth (prohibited by statute).
* Projects that have received assistance from the Grant Program state allotment for any
other state.
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V. FUNDING SCHEDULE AND PROCEDURES
EPA will distribute the national tribal allotment of the Grant Program, subject to Congressional
appropriations, as an allocation to regions based upon the DWIG-TSA allocation formula.
Regional offices will develop the procedures and schedule for annual selection of projects and
activities, obligation of funds, or distribution of grants. EPA Regions will have up to one
calendar year from the date that funds are made available to the Regions to obligate funds to
awarded projects and activities but are encouraged to award funds as soon as possible. Funds
unobligated at the end of the allowed time period may be redistributed to other regions.
ALLOCATION OF FUNDS
Allocation Formula: The national tribal allotment of the grant is calculated according to the 2%
tribal set-aside of the Drinking Water State Revolving Fund as authorized in the SDWA and
annual Congressional appropriations. The regional tribal allotment is calculated based on the
DWIG-TSA allotment formula as outlined in the DWIG-TSA Program Guidelines.
VII. AUTHORITIES AND FUNDING VEHICLES
The available authorities and funding vehicles for using Assistance for Small and Disadvantaged
Communities grant funds to assist the EPA in carrying out the responsibilities of the Grant
Program are as follow.
• Contract as in-kind services.
• Interagency Agreements (lAs).
• Direct Implementation Tribal Cooperative Agreements (DITCA).
• Direct Grants.
• Cooperative Agreements.
VIII. REGIONAL RESPONSIBILITIES
EPA Regions will administer annual allotments to provide assistance which will facilitate SDWA
compliance for public water systems that violate or exceed a requirement of a national primary
drinking water regulation and for communities that do not have household drinking water or
wastewater services. Any projects funded through this grant must meet the requirements
described in section 1459A of the SDWA.
A. Project and Budget Period: EPA Regions will have up to one calendar year to obligate funds
to a project or activity. For projects that are anticipated to be longer than one year, the Region
must work with the Office of Ground Water and Drinking Water to develop the project and
reporting schedule.
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B. Project Prioritization: EPA Regions must develop objective criteria by which communities will
be assessed to determine capacity to incur debt to finance a project or activity. EPA Regions will
determine project prioritization based on the needs of the communities within the Region. Each
EPA Region will determine the balance of projects and activities to be funded. Priority shall be
given to projects or activities that benefit underserved communities. EPA Regions will ensure
that allocated funding is distributed to eligible projects and activities that serve a small or
disadvantaged community.
C. Grant Programmatic Priorities: The principal objective of the Grant 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,
including providing access to safe drinking water. EPA Regions are required to give priority for
the use of project funds as follows.
• Address the most serious risks to human health.
• Ensure compliance with the requirements of the SDWA.
D. Terms and Conditions: EPA Regions that issue direct grants to tribes will develop terms and
conditions in accordance with Regional grant requirements.
E. Reporting Requirements: Within 90 days of obligation or award, Regions will be required to
submit a programmatic report to headquarters through TDI Nexus. Reporting in TDI Nexus must
include a summary of the following information.
i.
Community name.
ii.
Tribe name.
iii.
Assistance provided.
iv.
Need addressed.
v.
Project or activity costs.
vi.
Technical progress.
vii.
Additional planned activities.
viii.
Summary of expenditures.
Within 90 days of completing the project or activity, EPA Regions will submit to HQ a brief final
summary of the project, which will include a project/activity summary, project/activity costs,
benefits to the community, outputs and outcomes achieved, and successes and/or lessons
learned. For projects that are anticipated to be longer than one year, the Region must work
with the Office of Ground Water and Drinking Water to develop the project and reporting
schedule.
EPA Regions that issue direct grants to tribes will establish reporting requirements for the
grantee in the terms and conditions of the grant.
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IX. USE OF FUNDS RESTRICTIONS
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 §1500.8, no funds awarded
under the Grant Program shall be used to cover expenses incurred prior to the project period
set forth in any assistance agreement funded under the Grant Program.
X. ADDITIONAL GRANT PROGRAM INFORMATION
A. Performance Partnership Grants: Funds awarded under this program are not eligible for
inclusion with the tribe's Performance Partnership Grants.
B. National Environmental Review: The EPA Region will follow existing environmental review
policies as established in the Regional DWIG-TSA policies.
XI. CONTACT INFORMATION
If you have any questions concerning the contents of this Guide, you may contact Leslie
Temple, Tribal WIIN Program Lead, Protection Branch, Drinking Water Protection Division, at
(202) 564-4734, or Cathy Davis, Acting Manager, Protection Branch, Drinking Water Protection
Division, at (202) 564-2703. Regional points of contact can be found at:
https://www.epa.gov/tribaldrinkingwater/regional~coordinators~assistance~small~and~
disadvantaged-communities-tribal.
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XII. APPENDICES
Appendix A: FUNDING SCHEDULE AND PROCEDURES
A. February 2019: EPA Office of Ground Water and Drinking Water (OGWDW) announced
the grant program.
B. June 2019: OGWDW informed EPA Regions of their allocation via email.
C. June 2019: OGWDW released the Grant Program Information Guide and criteria for
regional review.
D. October 2019: Funds made available to EPA Regions; Regions identify projects and
activities for assistance.
E. October 2020: Deadline for EPA to obligate funding to projects/activities.
Please note: This schedule is subject to change and updated information will be provided
directly to states as needed. Regions will have up to one year to obligate their allocated Grant
Program funds. EPA encourages the obligation of funds as soon as possible to allow for timely
implementation of projects.
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Appendix B: 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
* 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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