Instructions for Applying for
FY 2014 Section 106 Monitoring Initiative Funds for

Water Monitoring Program Enhancements
and the National Coastal Condition Assessment 2015

January 2014

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Instructions for Applying for
FY 2014 Section 106 Monitoring Initiative Funds for

Water Monitoring Program Enhancements
and the National Coastal Condition Assessment 2015

Contents

I.	Summary of Important Items	3

II.	Introduction	3

III.	Options for Disbursing Monitoring Initiative Funds	4

IV.	The Monitoring Initiative Application Process	5

A.	Implementing the Monitoring Strategy (Part A)	5

1.	General Information	5

2.	Part A: Checkbox	7

B.	Participating in the National Aquatic Resource Survey (Part B)	7

1.	General Information:	7

2.	Contractor Assistance via in-kind services or associated program support	8

3.	Other Information	9

4.	Grant Terms & Conditions	10

Checklist	11

ATTACHMENTS

A.	Part A. Implementation of Monitoring Strategies Excel Worksheet

B.	Part B. Participation in National Aquatic Resource Survey Table Excel Worksheet

C.	Example email/letters for request of Associated Program Support

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Instructions for Applying for FY 2014 Section 106 Monitoring Initiative Funds for
Water Monitoring Program Enhancements and the National Coastal Condition

Assessment (NCCA) 2015

I.	Summary of Important Items

1.	EPA is requesting an application by April 18, 2014 for work to be completed using FY14
monitoring initiative funds.

2.	Grants will be incrementally funded as monitoring initiative funds are available

3.	EPA is providing an approach that allows states/tribes to request field and lab services for
the NCCA under EPA's associated program support (APS) authority (see Section
IV.B.2).

a.	Part B of the monitoring initiative workplan is filled out only for activities that
states are conducting themselves or for activities that are requested as in-kind
services.

b.	Requests for APS must be must be made pre-allotment (estimated date is March
28, 2014).

4.	Field Work: Grants that include in-kind services requests for NCCA 2015 field work
must include a period of performance through at least December 2015 to ensure that all
work is completed and funds drawn down under the national field work contract.

5.	Lab Work: Grants that include in-kind services requests for NCCA 2015 lab work must
include a period of performance through at least December 2016 to ensure that all work is
completed and funds drawn down under the national lab contracts. State/tribal grants may
only include products using these data if both the Region and the NCCA project leads
have agreed that the data will be available for release in time to develop the product.

II.	Introduction

Beginning in FY 2005, Congress specifically dedicated a portion of the Clean Water Act (CWA)
Section 106 annual appropriation for water quality monitoring enhancements. The goal of EPA's
Monitoring Initiative is to provide resources to enhance existing state and tribal monitoring
programs, and to establish a nationwide statistical survey program in an effort to begin
answering broader water quality questions. These Monitoring Initiative funds are a supplement
to the base Section 106 grant and have two components, funds for states and other eligible
entities to enhance their water monitoring and assessment programs consistent with their
monitoring strategies, and funds for states, tribes and other eligible entities to participate in
statistically-valid surveys of the Nation's waters.

These instructions are intended to assist Regions and Section 106 eligible grant recipients in
preparing applications for the FY 14 grant cycle. It is important to note that grant recipients must
submit specific information on the use of Monitoring Initiative funds, apart from base Section
106 funds, to receive these funds.

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EPA is asking for an application for FY 2014 funding including:

1.	Part A Worksheet: a description of the activities that will support enhancement of the
state Monitoring Strategy

2.	Part B Worksheet: information as to how each state or tribe will participate in the
National Coastal Condition Assessment 2015 (FY 14 Monitoring Initiative funding is
used to support the NCCA field/lab work conducted in 2015).

Activities included as APS are not included in Part B. For states/tribes that would like contractor
assistance with all NCCA field and lab work, no Part B workplan is required. Alternatively, if a
grantee requests contractor assistance as traditional in-kind services, then Part B is required.
Recipients requesting APS must provide written documentation requesting the specified
associated program support activities. The statement should include the amount of funding to be
withheld, as applicable, and acknowledgment that EPA will be directing the funding for the
specified purpose. See Section IV.B.2 for instructions on preparing this statement.

Included in the Part A worksheet is a checkbox for specifying the implementation of statewide
statistical surveys. The checkbox at the bottom of the form is in lieu of submitting a separate
certification form as specified in the 2008 Amendment to the Guidelines for the Award of
Monitoring Initiative Funds under Section 106 Grants to States, Interstate Agencies, and Tribes
(Guidelines) available at http://www.epa.gov/owm/cwfinance/106-guidelines-monitor.htm.

III. Options for Disbursing Monitoring Initiative Funds

There are several options for disbursing the Monitoring Initiative Funds. These funds can be
requested as a separate categorical grant, part of a base Section 106 categorical grant, or as part
of a Performance Partnership Grant (PPG). The table below has more information and a list of
key features of these options. States, tribes and other eligible entities are encouraged to discuss
these options with their EPA Regional offices to determine which is most appropriate for their
situation.

When NCCA field or lab work is conducted directly by the recipient or through in-kind services,
the project and budget periods for the Section 106 Monitoring Initiative grant must be
synchronized with the tasks and deliverables for NCCA 2015. For example, project periods may
need to extend to the end of calendar year 2016 to ensure final deliverables, particularly those
associated with laboratory in-kind services requests, are completed within the timeframe of the
grant. If the recipient requests NCCA field or lab work under associated program support (see
Section IV), the project and budget periods need only extend out to cover the activities included
within the grant.

Raw data from the national survey will not be available until QA/QC is completed by the EPA.
States/tribes should not include tasks in their grant that would require data back from the national
labs prior to allowing QA/QC to be completed. Please contact the Region and the EPA NCCA
project leader to discuss when data are likely to be available.

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Options for Disbursing
Monitoring Initiative
Funds

Key Features

Separate Categorical Grant

•	Direct link between monitoring funds and monitoring activities improves ability to track
and report on specific activities accomplished and the outcomes related to Monitoring
Initiative funds

•	State and EPA can track funds easily (special grant code)

•	Period of performance may be tailored to scope of monitoring activities, e.g., two or three
years of Monitoring Initiative funds could be put into one grant.

Part of Base Section 106
Categorical Grant

•	Monitoring Initiative funds become commingled with base funds making it difficult to link
expenditure of these funds with specific monitoring activities without imposing additional
tracking and reporting requirements on states.

•	Period of Performance for Section 106 base grant activities may not be consistent with the
Monitoring Initiative funds (for example, in-kind lab services generally need to extend two
years out).

Added to Performance
Partnership Grant

•	Monitoring Initiative funds become commingled with base Section 106 funds and other
state grant funds. Regions need to ensure that Monitoring Initiative tasks within a PPG are
consistent with the amount of funding provided.

•	Period of performance for the PPG may not be consistent with the Monitoring Initiative
funds (for example, in-kind lab services requests generally need to extend two years out).

IV. The Monitoring Initiative Application Process

A separate application must be submitted for monitoring initiative funds regardless of the grant
mechanism chosen. Attached to these instructions are two Excel Spreadsheet Workplan Forms
(Attachments A and B) to assist in documenting and reporting activities (including statewide
survey activities). Information requested in Parts A and B worksheets must be provided to and
approved by the Regional office to receive funds. Part B does not need to be completed for
activities accounted for through associated program support. Applicants are encouraged to read
the 2008 Guidelines prior to preparing their application package. Grant applications are due to
EPA by April 18, 2014. Tribes participating in the national survey should discuss with their
Region when grant applications are due.

A Implementing the Monitoring Strategy (Part A)

- Part A Monitoring Initiative workplan required by all applicants with the exception of
tribes

1. General Information

Applicants must provide a detailed description of activities to implement the state Monitoring
Strategy. These activities may include state-scale statistical survey or other monitoring efforts
designed to address gaps or enhancements in the state's current Monitoring Strategy.

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States will receive $160,000, and each territory and the District of Columbia will receive
$80,000 for the fiscal year. For this section of the workplan, states must provide a 1-2 page
narrative format that describes the monitoring and assessment activities that will be undertaken
to enhance their monitoring programs and complete the Part A spreadsheet. Interstate
organizations will also receive funds to implement monitoring strategies and assist in building
state monitoring and assessment capacity. Interstate agencies should discuss how to apply for
funds with the appropriate EPA Region. Monitoring Initiative funds for tribes are included
within the tribe's Section 106 grant allocation and no separate workplan is required.

These Part A funds must be used to enhance the state's current monitoring program, i.e., to
address gaps or other deficiencies identified in the monitoring strategy. They cannot be used for
ongoing or routine monitoring and assessment activities. EPA encourages states to include
activities associated with continuation of state-scale surveys or intensifications of the NCCA.
The Agency also encourages states to consider including appropriate requests for travel to
national meetings to present findings from state monitoring activities. Additional instructions for
Part A of the workplan include:

•	Proposed activities must be consistent with 40 CFR 130.41 and the 2008 Guidelines.

•	The information provided in the workplan on monitoring activities and schedules must be
sufficient for EPA to understand what work will be completed, at what cost and what
deliverable is to be expected by what date. If most of the major activities will only be
completed by the end of the overall grant period, additional milestones for tracking
progress must be provided (consult with the Region for more information.)

•	Proposed activities must address gaps identified in the state's Monitoring Strategy as
called for in the 2003 guidance The Elements of a State Monitoring and Reporting
Program.

•	As requested in the Part A worksheet, appropriate information on environmental
outcomes, information connecting these activities to the state's Monitoring Strategy, and
costs must be provided.

1 130.4 - Water quality monitoring.

(a)	In accordance with section 106(e)(1), States must establish appropriate monitoring methods and procedures
(including biological monitoring) necessary to compile and analyze data on the quality of waters of the United States
and, to the extent practicable, ground-waters. This requirement need not be met by tribes. However, any monitoring
and/or analysis activities undertaken by a tribe must be performed in accordance with EPA's quality
assurance/quality control guidance.

(b)	The State's water monitoring program shall include collection and analysis of physical, chemical and biological
data and quality assurance and control programs to assure scientifically valid data. The uses of these data include
determining abatement and control priorities; developing and reviewing water quality standards, total maximum
daily loads, wasteload allocations and load allocations; assessing compliance with National Pollutant Discharge
Elimination System (NPDES) permits by dischargers; reporting information to the public through the section 305(b)
report and reviewing site-specific monitoring efforts.

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2. Part A: Checkbox

To streamline and reduce the burden of submitting individual certifications, states are to use the
checkbox at the bottom of the Part A workplan to fulfill the certification requirement in the 2008
Guidelines (this takes the place of submitting a certification letter). The basic criteria for a state-
scale survey program are outlined as follows:

-	The state-scale survey is designed so that it provides condition estimates for a population of
waters of the state based on an unbiased, representative sample of a subset of those waters

a)	the assessment is based on a core set of indicators for at least one designated use. This
set of indicators may be tailored to specific water quality issues within the state (e.g.,
biological integrity, recreation, fish consumption, nutrient pollution, etc.)

b)	the statistical survey may span more than one year. States may use a rotating basin
approach and survey a different watershed over time, or spread the sampling over several
years

c)	state or national methods and protocols may be used

d)	states should strive for 90% confidence levels (+/- 10%). This typically requires at
least 50 sites

e)	at least one water body type is assessed

f)	a commitment to continuing its statewide statistical survey program

-	State agrees to continue to participate in the national survey, unless the state-scale survey is
fully consistent with the national survey design and methods.

-	State survey results are reported to the Agency as a component of their 305(b)/303(d)
Integrated Report through the web tool designed for this purpose (EPA is no longer using the
probability module included in the ADB to collect this information).

R Participating in the National Aquatic Resource Survey (Part B)

-	Part B Monitoring Initiative Workplan required by applicants participating directly or via
inkind services in the NCCA.

-	Email or letter to Regions by March 28, 2014 (estimated pre-allotment date) required for
NCCA activities requested under Associated Program Support.

1. General Information:

Applicants must provide details on how they will participate in the National Coastal Condition
Assessment. For FY 14 funds, states and participating tribes will receive $8,000 for each site to
conduct the survey. The breakdown of costs will be $5,000 per site for field sampling and $3,000
per site for laboratory analysis. EPA is in the process of gathering more information related to
costs of implementing NCCA 2015. Additional breakdown of costs for individual laboratory
analyses will be provided by March 21, 2014. In some cases, funding will be provided
incrementally.

There are a number of approaches a state/tribe may use to participate in the national surveys. A
delegated Section 106 Agency may

-	use the grant funds to conduct all of the field and lab work;

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conduct some portion of the field and/or lab work, and request EPA provide national contract
support for the rest of the work; or

request EPA contractor support for all of the field and lab work.

States and tribes conducting field and/or lab work themselves must complete Part B of the
Monitoring Initiative Workplan

2. Contractor Assistance via in-kind services or associated program support

Starting with the FY 14 grant funding, EPA is providing two options for provision of contractor
support in completing field and lab work: in-kind services and associated program support. As
noted previously, Part B of the workplan does not need to be completed for activities accounted
for through associated program support. Although EPA is expanding the options for obtaining
support for implementing field and lab work, EPA encourages states and tribes with the capacity
to conduct field and/or lab work themselves.

In-kind services: As part of the National Aquatic Resource Surveys, EPA has made field and
laboratory services available to states and tribes via national or regional contracts and
interagency agreements. To date, EPA has provided these services as in-kind services. EPA is
retaining this option for the NCCA 2015. For in-kind services requests, the Section 106 agency
must include the request for in-kind services in their grant application as has typically been done
for the National Aquatic Resource Surveys. The grant must include both the services requested
and the funding amounts. The state, tribe or other organization must take into consideration when
in-kind services will be completed by the contractor (Dei
December 2016 for lab work) when identifying the
project period for the grant.

Associated Program Support: (Not included in grant
application or the Part B workplan): Beginning in FY
2014, EPA is offering national contract support as
associated program support (APS). Funding that would
otherwise go to a specific agency in the form of a direct
award or be provided as in-kind services through the
grant process can be identified in advance for associated
program support. This reduces the direct award level to
that agency and the eligible Section 106 agency would
not include the APS tasks or funds in their grant.

EPA will retain the applicable funding to provide the
requested service (lab analysis or field sampling). EPA
will continue to work with states and tribes on planning
and implementation of the surveys. In providing APS,

EPA will work with states and tribes in advance to
identify needs on a national basis and target funds for
the support before determining the final region-by-
region allocation of grant funds (i.e. pre-allotment). The

APS option is provided to promote administrative efficiency and cost savings to the recipients.

2015 for field work and

Associated Program Support:

Since FY 1999, Congress has
included language in the State and
Tribal Assistance Grant (STAG)
account for "multi-media and
single media pollution prevention,
control and abatement, and related
activities", authorizing EPA to use
a portion of the funds available for
those programs to fund activities
that benefit all or a portion of the
state and tribal grant recipients -
the associated program support
costs authority.

Please see

http://water.epa. gov/grants fundin
g/cwf/upload/Section-106-APSC-
Guidance-Final.pdf for more
information.

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Process for Obtaining Prior Approval for Associated Program Support Activities: Beginning
with FY 2014, states and tribes may request field and/or lab services through the associated
program support process.

To request APS, each Section 106 agency receiving a share of the National Survey funds (sites)
needs to provide written documentation to the Regional office requesting the specified
associated program support activities. The statement should include the amount of funding to be
withheld, as applicable, and acknowledgment that EPA will be directing the funding for the
specified purpose. Two examples are provided in Attachment C that could be used in an email or
letter. As noted above, the delegated Section 106 Agency requesting services through the
associated program support process does not include the request or the funding amount in the
grants submission.

State requests for Associated Program Support must be received by the Region no later than
March 28, 2014. Once Regions have obtained written confirmation from the state, the Region
will forward this information to Sarah Lehmann, NARS team leader (Lehmann.sarah@epa.gov))
no later than April 1, 2014. Based on this, a final funding table for each state will be compiled
and funds appropriately distributed. All decisions related to APS must be made pre-allotment
(estimated date is March 28, 2014). States/tribes who decide they would like contractor support
after final allotment must request these services through in-kind services.

3. Other Information

Frequently asked questions related to funding:

•	Supplies - EPA will provide some supplies required for field sampling including field kits
and shipping forms. A list of EPA-provided supplies for NCCA 2015 will be supplied.
Recipients will provide all other supplies, equipment and/or materials needed.

•	Training - EPA will provide field training during the spring prior to the sampling season.
Training is mandatory for the field crew. EPA does not cover the cost of travel to
training. Monitoring Initiative funds may be used toward travel. If Monitoring Initiative
funds will be used, these costs should be reflected in the state's workplan as part of Part
A or Part B.

•	Repeat sampling - Each recipient will receive an additional $8,000 per site to conduct the
sampling and laboratory work for site designated as revisits.

In cases where the delegated Section 106 Agency does not have the appropriate waterbody
monitoring expertise, or otherwise prefers that another agency or organization conduct the
national survey work, the delegated Section 106 agency may invoke state procedures, e.g., an
MOU, to redirect the Section 106 funds to another state agency. While the above approach is
preferred, a state can request EPA redirect the survey funds to another state agency. For this
approach, the delegated Section 106 agency can obtain a letter signed by the Governor
requesting EPA to set up a separate grant directly with another state agency (e.g. Department of
Natural Resources, Fish and Game Agency, Natural Heritage Program, Coastal Zone
Management Program).

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4. Grant Terms & Conditions

In addition to other terms and conditions from the Region, the following quality assurance term
and condition should be included for states/tribes conducting NCCA field/lab work.

Quality assurance - EPA will develop and provide to all partners the Quality Assurance Project
Plan (QAPP), Field and Laboratory Standard Operating Procedures (SOPs), and other necessary
documents for participation in the National Aquatic Resource Surveys. All active participants
must verify that they will abide by the EPA protocols. If the state or tribe is planning to conduct
some or all of the laboratory work, Part B of the workplan should indicate that the state or tribe
will work with the Agency to document, establish, and implement appropriate quality assurance
and data management consistent with the national QAPP/SOPs. A certification form to confirm
adherence to nationwide protocols will be available no later than February 2015. For states and
tribes that request support through associated program support or in-kind services for all aspects
of the survey, no certification is required. (Applicable to Part B)

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Checklist for Monitoring Initiative Funds Grant Application

Check

Required Items

~

Grant Application Package

(separate grant application, part of the Section 106 grant, or as a PPG)

~

Workplan - Part A Implementing Monitoring Strategy

~

Workplan - Part B Participation in National Aquatic Resource Survey (NCCA)
(not required for activities supported through associated program support)

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Attachments A and B

The attached workplan consists of two parts. In Part A of the workplan, states must identify in
table and narrative format activities for which the Section 106 Monitoring Initiative enhancement
funds will support. At the bottom of the form, states must also indicate their commitment to
conducting state-scale statistical surveys. This must include the upcoming work on implementing
a state-scale statistical survey. In Part B of the workplan, states must identify the extent to which
they will be participating in the National Coastal Condition Assessment 2015, that is: a) conduct
all of the field and lab work; b) conduct some portion of the field and/or lab work, and request
in-kind EPA-contractor services for the rest of the work, or c) request in-kind EPA-contractor
services for all of the field and lab work. If option b is selected, the state must identify the work
it will perform, that is, the number of sites it will sample or the particular indicator tests it will
conduct. States that request associated program support are not required to include their APS
request as part of their Part B submission.

See excel worksheets.

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Attachment C
Example email/letters for request of APS

Example 1

To: Regional contact

Subject: Reserving FY 14 Monitoring Initiative Funding for National Coastal Condition
Assessment work under the Associated Program Support Authority

	(State name) requests the following Section 106 Monitoring Initiative National

Coastal Condition Assessment (NCCA) work be implemented under the Associated Program

Support Authority. The total funding amount	(state name/agency) requests EPA

reserve under the Associated Program Support Authority for NCCA work is	for the

(collection/analysis) of water quality samples. The state will not include a request for these
funds in the state monitoring initiative grant. For NCCA activities for which Associated
Program Support is not requested/agreed to, the state intends to include the activities and funds
in the Monitoring Initiative grant application.

Example numbers only....)

Activity

Requested

Associated

Program

Support

(yes/no)

# of sites

Per site cost (EPA
estimates)

Total Amount of
Requested Associated
Program Support (# of
sites * per site cost)

Field
Work

No







Lab work
(all)

Yes

20





Total

Associated
Program
Support
Request









cc:

Sarah Lehmann
Treda Grayson
Hugh Sullivan

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Example 2

To: Regional contact

Subject: Reserving FY 14 Monitoring Initiative Funding for National Coastal Condition
Assessment work under the Associated Program Support Authority

	(State name) requests the following Section 106 Monitoring Initiative National

Coastal Condition Assessment (NCCA) work be implemented under the Associated Program

Support Authority. The total funding amount 	(state name/agency) requests EPA

reserve under the Associated Program Support Authority for NCCA work is	for the

(collection/analysis) of water quality samples. The state will not include a request for these
funds in the state monitoring initiative grant. For NCCA activities for which Associated
Program Support is not requested/agreed to, the state intends to include the activities and funds
in the Monitoring Initiative grant application.

Example numbers only.

Activity

Consent to

Associated

Program

Support

(yes/no)

# of sites

Per site cost

(EPA

estimates)

Total amount of
Requested
Associated Program
Support (# of sites *
per site cost)

Field Work

No







Lab work - selected
analyses









Benthic infauna

No







Sediment
toxicity

Yes

10





Fish tissue

Yes

10





Water chemistry

No







Enterococci by
qPCR

Yes

10





Microcystins

Yes

10





Total Associated
Program Support
Funding Request









cc:

Sarah Lehmann
Treda Grayson
Hugh Sullivan

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