2021
Sewer Overflow and Stormwater
Reuse Municipal Grants Program
Grant Implementation Document
Section 221 of the
Clean Water Act
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Contents
ACRONYMS 3
I. OVERVIEW 4
II. STATUTORY AUTHORITY 4
III. ELIGIBLE RECIPIENTS FOR 2020 APPROPRIATIONS AND THEREAFTER 6
IV. ELIGIBLE USE OF FUNDS 7
V. ALLOCATION OF FUNDS 11
VI. APPLICATION FORMS AND SUBMISSION INFORMATION 14
VII. WORKPLAN 14
VIII. STATE ACTIVITIES SELECTION 17
IX. COST SHARING REQUIREMENTS 17
X. AWARD ADMINISTRATION INFORMATION 18
XI. CONTACT INFORMATION 22
APPENDIX A: Glossary of Terms 25
APPENDIX B: Data Sources for the Allocation Formula 27
APPENDIX C: Application Forms and Submission 30
APPENDIX D: Grants.gov Instructions Guide - Noncompetitive Applications for States 31
APPENDIX E: Grants Policies and Resources 33
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ACRONYMS
AIS
American Iron and Steel
AORs
Authorized Organization Representatives
AWIA
America's Water Infrastructure Act
BMP
Best Management Practice
CCMP
Comprehensive Conservation and Management Plan
CE
Categorical Exclusion
CEQ
Council on Environmental Quality
CFR
Code of Federal Regulation
CSO
Combined Sewer Overflow
CWA
Clean Water Act
CWNS
Clean Watersheds Needs Survey
CWSRF
Clean Water State Revolving Fund
DUNS
Data Universal Number System
DBE
Disadvantaged Business Enterprises
EA
Environmental Assessment
EIS
Environmental Impact Statement
EPA
Environmental Protection Agency
FFR
Federal Financial Report
FNSI
Finding of No Significant Impact
FY
Fiscal Year
GMO
Grants Management Officer
IUP
Intended Use Plan
MBE
Minority Business Enterprise
MS4s
Municipal Separate Storm Sewer Systems
NEP
National Estuary Program
NEPA
National Environmental Policy Act
NPDES
National Pollution Discharge Elimination System
NPS
Nonpoint Source
OSG
Overflow and Stormwater Grant (short name for this document's program)
ROD
Record of Decision
SAT
Simplified Acquisition Threshold
SF
Standard Form
SRF
State Revolving Fund
SSO
Sanitary Sewer Overflow
use
United States Code
WBE
Woman Business Enterprise
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I. OVERVIEW
On October 23, 2018, the America's Water Infrastructure Act of 2018 was signed into law and amended
section 221 of the Federal Water Pollution Control Act (also known as the Clean Water Act or CWA) to
reauthorize the Sewer Overflow and Stormwater Reuse Municipal Grants Program (this may be referred
to as the Overflow and Stormwater Grant program or OSG program). This legislation substantially
amended the existing Sewer Overflow Control Grants. These amendments expanded project eligibilities
to include stormwater management projects and reauthorized appropriations for the program, among
other modifications. This program is intended to address infrastructure needs for combined sewer
overflows (CSO), sanitary sewer overflows (SSO), and stormwater management and will award grants to
states to make sub-awards to eligible entities for eligible projects.
This document describes how the Environmental Protection Agency (EPA) will administer these grant
funds and provide procedures for program implementation for relevant state agencies to issue sub-
awards to eligible recipients for projects as outlined in the CWA. This document may also be helpful to
provide eligible grant recipients and other stakeholders an opportunity to better understand project
eligibilities and related program requirements.
II. STATUTORY AUTHORITY
Section 221 of the CWA, also referenced by the U.S. Code title: 33 (JSC 1301, was amended by section
4106 in America's Water Infrastructure Act of 2018. This amendment authorizes EPA to award grants to
states to assist communities in meeting CSO, SSO, and stormwater management infrastructure needs.
The statutory language, as amended, is as follows:
CWA Section 221:
(a) IN GENERAL.—
(1) GRANTS TO STATES. — The Administrator may make grants to States for the purpose
of providing grants to a municipality or municipal entity for planning, design, and
construction of—
(A) treatment works to intercept, transport, control, treat, or reuse municipal
combined sewer overflows, sanitary sewer overflows, or stormwater; and
(B) any other measures to manage, reduce, treat, or recapture stormwater or
subsurface drainage water eligible for assistance under section 603(c).
(2) DIRECT MUNICIPAL GRANTS. — Subject to subsection (g), the Administrator may
make a direct grant to a municipality or municipal entity for the purposes described in
paragraph (1).
(b) PRIORITIZATION.— In selecting from among municipalities applying for grants under
subsection (a), a State or the Administrator shall give priority to an applicant that—
(1) is a municipality that is a financially distressed community under subsection (c);
(2) has implemented or is complying with an implementation schedule for the nine
minimum controls specified in the CSO control policy referred to in section 402(q)(l) and
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has begun implementing a long-term municipal combined sewer overflow control plan or
a separate sanitary sewer overflow control plan;
(3) is requesting a grant for a project that is on a State's intended use plan pursuant to
section 606(c); or
(4) is an Alaska Native Village.
(c) FINANCIALLY DISTRESSED COMMUNITY —
(1) DEFINITION. — In subsection (b), the term "financially distressed community" means
a community that meets affordability criteria established by the State in which the
community is located, if such criteria are developed after public review and comment.
(2) CONSIDERATION OF IMPACT ON WATER AND SEWER RATES. —In determining if a
community is a distressed community for the purposes of subsection (b), the State shall
consider, among other factors, the extent to which the rate of growth of a community's
tax base has been historically slow such that implementing a plan described in
subsection (b)(2) would result in a significant increase in any water or sewer rate
charged by the community's publicly owned wastewater treatment facility.
(3) INFORMATION TO ASSIST STATES. — The Administrator may publish information to
assist States in establishing affordability criteria under paragraph (1).
(d) COST-SHARING.— The Federal share of the cost of activities carried out using amounts from a
grant made under subsection (a) shall be not less than 55 percent of the cost. The non-Federal
share of the cost may include, in any amount, public and private funds and in-kind services, and
may include, notwithstanding section 603(h), financial assistance, including loans, from a State
water pollution control revolving fund.
(e) ADMINISTRATIVE REQUIREMENTS. — A project that receives assistance under this section
shall be carried out subject to the same requirements as a project that receives assistance from a
State water pollution control revolving fund under title VI, except to the extent that the Governor
of the State in which the project is located determines that a requirement of title VI is
inconsistent with the purposes of this section. For the purposes of this subsection, a Governor
may not determine that the requirements of title VI relating to the application of section 513 are
inconsistent with the purposes of this section.
(f) AUTHORIZATION OF APPROPRIATIONS.—
(1) IN GENERAL.— There is authorized to be appropriated to carry out this section
$225,000,000for each of fiscal years 2019 through 2020.
(2) MINIMUM ALLOCATIONS.—To the extent there are sufficient eligible project
applications, the Administrator shall ensure that a State uses not less than 20 percent of
the amount of the grants made to the State under subsection (a) in a fiscal year to carry
out projects to intercept, transport, control, treat, or reuse municipal combined sewer
overflows, sanitary sewer overflows, or stormwater through the use of green
infrastructure, water and energy efficiency improvements, and other environmentally
innovative activities.
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(g) ALLOCATION OF FUNDS. —
(1) FISCAL YEAR 2019.—Subject to subsection (h), the Administrator shall use the
amounts appropriated to carry out this section for fiscal year 2019 for making grants to
municipalities and municipal entities under subsection (a)(2) in accordance with the
criteria set forth in subsection (b).
(2) FISCAL YEAR 2020 AND THEREAFTER.—Subject to subsection (h), the Administrator
shall use the amounts appropriated to carry out this section for fiscal year 2020 and
each fiscal year thereafter for making grants to States under subsection (a)(1) in
accordance with a formula to be established by the Administrator, after providing notice
and an opportunity for public comment, that allocates to each State a proportional share
of such amounts based on the total needs of the State for municipal combined sewer
overflow controls, sanitary sewer overflow controls, and stormwater identified in the
most recent detailed estimate and comprehensive study submitted pursuant to section
516 and any other information the Administrator considers appropriate.
(h) ADMINISTRATIVE EXPENSES.— Of the amounts appropriated to carry out this section for each
fiscal year—
(1) the Administrator may retain an amount not to exceed 1 percent for the reasonable
and necessary costs of administering this section; and
(2) the Administrator, or a State, may retain an amount not to exceed 4 percent of any
grant made to a municipality or municipal entity under subsection (a), for the reasonable
and necessary costs of administering the grant.
(i) REPORTS. — Not later than December 31, 2003, and periodically thereafter, the
Administrator shall transmit to Congress a report containing recommended funding
levels for grants under this section. The recommended funding levels shall be
sufficient to ensure the continued expeditious implementation of municipal
combined sewer overflow and sanitary sewer overflow controls nationwide
III. ELIGIBLE RECIPIENTS FOR 2020 APPROPRIATIONS AND
THEREAFTER
Eligible recipients include the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands,
Guam, American Samoa, and the Northern Mariana Islands.1 For the purposes of this document, the
term "state" will be used to describe all eligible recipients. Funds will be awarded to states based on an
allocation formula consistent with CWA section 221(g)(2)(B). The allocation process is further described
in Part V of this document. States may use available OSG funding to provide financial assistance to
municipalities and municipal entities within their jurisdiction for the purposes described in CWA section
221(a)(1).
33 U.S.C. §1362(3)
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IV. ELIGIBLE USE OF FUNDS
To be eligible for program assistance, a project must meet the criteria as described in CWA section
221(a)(1). This section describes that states can provide financial assistance:
(1) ... to a municipality or municipal entity for planning, design, and construction of—
(A) treatment works to intercept, transport, control, treat, or reuse municipal combined sewer
overflows, sanitary sewer overflows, or stormwater; and
(B) any other measures to manage, reduce, treat, or recapture stormwater or subsurface
drainage water eligible for assistance under section 603(c).
CWA section 603(c) states that assistance may be used:
(1) . . .for construction of publicly owned treatment works (as defined in section 212);
(2) for the implementation of a management program established under section 319;
(3) for development and implementation of a conservation and management plan under section
320;
(4) for the construction, repair, or replacement of decentralized wastewater treatment systems
that treat municipal wastewater or domestic sewage;
(5) for measures to manage, reduce, treat, or recapture stormwater or subsurface drainage
water;
(6) . . .for measures to reduce the demand for publicly owned treatment works capacity through
water conservation, efficiency, or reuse;
(7) for the development and implementation of watershed projects meeting the criteria set forth
in section 122;
(8) . . .for measures to reduce the energy consumption needs for publicly owned treatment works;
(9) for reusing or recycling wastewater, stormwater, or subsurface drainage water;
(10) for measures to increase the security of publicly owned treatment works;
(11) .. .to provide assistance to owners and operators of small and medium publicly owned
treatment works—
(A) to plan, develop, and obtain financing for eligible projects under this subsection, including
planning, design, and associated preconstruction activities; and
(B) to assist such treatment works in achieving compliance with this Act; and
(12) . . .to provide assistance to an eligible individual (as defined in subsection (j))—
(A) for the repair or replacement of existing individual household decentralized wastewater
treatment systems; or
(B) in a case in which an eligible individual resides in a household that could be cost-effectively
connected to an available publicly owned treatment works, for the connection of the
applicable household to such treatment works.
Project Categories
The statutory eligibilities allow states to fund a variety of project types. Eligible projects exist under the
following three general categories: 1) combined sewer overflow correction, 2) sanitary sewer overflow
correction, and 3) stormwater and subsurface drainage water. This list is not meant to be exclusive and
it is possible that there are other eligible projects that are consistent with the OSG authorizing statute
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that are not specifically mentioned in this document. In all cases, municipalities or municipal entities are
eligible for assistance. However, the projects can be publicly or privately owned. In addition, only capital
projects are eligible, including infrastructure planning, design, construction, and equipment purchases.
Operations and maintenance activities are not eligible for funding.
1. Combined Sewer Overflow Correction
Under CWA section 221(a)(1)(A), assistance may be provided to any municipality or municipal
entity for planning, design, and construction of treatment works to intercept, transport, control,
treat, or reuse municipal combined sewer overflows. Eligible CSO correction projects may
include:
¦ Installation of separate sanitary and storm sewers
¦ Downspout disconnection
¦ Overflow tanks/tunnels
¦ Infiltration/inflow correction
¦ Conveyance infrastructure related to CSO correction
¦ Real-time control systems for CSO management
¦ Planning and design activity related to an eligible capital project
2. Sanitary Sewer Overflow Correction
Under CWA section 221(a)(1)(A), assistance may be provided to any municipality or municipal
entity for planning, design, and construction of treatment works to intercept, transport, control,
treat, or reuse municipal sanitary sewer overflows. Eligible SSO correction projects may include:
¦ Infiltration/inflow correction
¦ Enhancement of collection system, pump station, or treatment facility capacity for the
purposes of mitigating SSOs
¦ Real-time control systems for SSO management
¦ Other capital projects for the purposes of mitigating or preventing the impact of
stormwater on wastewater collection
¦ Planning and design activity related to an eligible capital project
3. Stormwater and Subsurface Drainage Water
Under CWA section 221(a)(1)(A), assistance may be provided to any municipality or municipal
entity for planning, design, and construction of treatment works to intercept, transport, control,
treat, or reuse stormwater. There are additional eligibilities under CWA section 221(a)(1)(B),
which provides states with the authority to provide assistance to any municipality or municipal
entity for any other measures to manage, reduce, treat, or recapture stormwater or subsurface
drainage water eligible for assistance under CWA section 603(c). Eligible gray and green
infrastructure projects may include:
¦ Gray Infrastructure - conventional piped drainage and water treatment systems
designed to move urban stormwater away from the built environment. Examples
include:
- Traditional pipe, storage, and treatment systems
Collection and treatment systems for reuse
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Real-time control systems for CSO management
Sediment controls including:
o Filter fences
o Storm drain inlet protection
o Street sweepers
o Vacuum trucks
Planning and design activity related to an eligible capital project
¦ Green infrastructure - section 502 of the CWA defines this as "...the range of measures
that use plant or soil systems, permeable pavement or other permeable surfaces or
substrates, stormwater harvest and reuse, or landscaping to store, infiltrate, or
evapotranspirate stormwater and reduce flows to sewer systems or to surface waters."
Examples include:
Green roofs, blue roofs, green streets, and green walls
Rainwater harvesting collection, storage, management, and distribution systems
Real-time control systems for harvested rainwater
Infiltration basins
Constructed wetlands, including surface flow and subsurface flow (e.g., gravel)
wetlands
Bioretention/bioswales (e.g., rain gardens, tree boxes)
Permeable pavement
- Wetland/riparian/shoreline creation, protection, and restoration
Establishment/restoration of urban tree canopy
Replacement of gray infrastructure with green infrastructure including purchase and
demolition costs
Planning and design activity related to an eligible capital project
¦ Other capital projects for the purposes of mitigating or preventing the impact of
stormwater on wastewater collection or treatment
Stormwater projects may be eligible for funding either under CWA section 221(a)(1)(A) as a
treatment works or, along with subsurface drainage water, under CWA section 221(a)(1)(B)
which refers to CWA section 603(c). CWA section 603(c) includes twelve eligibility criteria, the
majority of which refer to measures that attain an objective; however, four eligibilities reference
other sections of the CWA (e.g., section 212, section 319, section 320, and section 122). Those
four eligibilities have additional criteria that must be considered when determining if a project
may receive program assistance. Criteria for those four eligibilities are summarized below.
CWA Section 603(c)(1) Eligibility: Section 212
Eligible entities may use funds for projects at publicly owned treatment works, as defined in
CWA section 212, under this grant program. The eligibility criteria for CWA section 603(c)(1)
projects are:
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¦ Projects must be consistent with the definition of "treatment works" as set forth in CWA
section 212
¦ Projects must be publicly owned, as required by CWA section 603(c)(1)
CWA Section 603(c)(2) Eligibility: Section 319
Eligible entities may fund publicly or privately-owned projects that implement nonpoint source
(NPS) management programs established under CWA section 319. The eligibility criteria for CWA
section 319 projects are:
¦ Projects must support the implementation of a current EPA approved state NPS
management program plan or nine-element watershed-based plan
¦ Projects can be publicly or privately owned
¦ CWA section 603(c)(2) funding is for the control of NPS pollution; only projects that do not
directly implement a final National Pollutant Discharge Elimination System (NPDES) permit
are eligible
EPA encourages states to work with their NPS programs to ensure that projects funded under
the CWA section 319 authority are consistent with the current approved state NPS management
program plan.
CWA section 603(c)(3) Eligibility: Section 320
Eligible entities may fund projects that support the development and implementation of a
National Estuary Program (NEP) Comprehensive Conservation and Management Plan (CCMP)
under CWA section 320. CCMPs are long-range plans developed by each NEP Management
Conference; they contain actions to address water quality, living resources, and habitat
challenges in the estuary and the surrounding area called the "study area." The study area
includes the estuary and the land area adjacent to the estuary that is affected by the estuary
and/or has a significant effect on the estuary, such as salt marshes, coastal and intertidal areas,
bays, harbors, lagoons, inshore waters, and channels. Some NEPs also work in the upland areas
of the larger surrounding watershed. Activities located outside the study area, but within the
"estuarine zone" or watershed as defined in CWA section 104(n)(4) and Section 320(k), may
have an impact on the water quality of the estuary and may implement the CCMP. States can
fund projects located within a NEP watershed so long as the project implements a CCMP. The
eligibility criteria for CWA section 603(c)(3) projects are:
¦ Projects must develop, amend, or implement a CWA section 320 CCMP
¦ Projects can be publicly or privately owned
EPA encourages states to work with the appropriate NEP to ensure that projects funded under
the CWA section 603(c)(3) eligibility are consistent with the CCMP.
CWA section 603(c)(7) Eligibility: Section 122
Stormwater or subsurface drainage water projects that develop or implement watershed pilot
projects related to at least one of the six areas identified in CWA section 122 are eligible:
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Watershed Management of Wet Weather Discharges
Watershed management of wet weather discharges includes the management of municipal
combined sewer overflows (CSOs), sanitary sewer overflows (SSOs), and stormwater discharges.
Stormwater Best Management Practices (BMPs)
Stormwater BMPs include activities that manage, reduce, treat, recapture, or reuse municipal
stormwater.
Watershed Partnerships
Watershed partnerships include efforts to demonstrate cooperative ways to address nonpoint
sources of pollution to reduce adverse impacts on water quality.
Integrated Water Resource Planning
An integrated water resource plan facilitates the coordinated management and protection of
surface water, ground water, and stormwater resources on a watershed or subwatershed basis
to meet the objectives, goals, and policies of the CWA.
Municipality-Wide Stormwater Management Planning
A municipality-wide stormwater management plan identifies the most effective placement of
stormwater technologies and management approaches to reduce water quality impairments
from stormwater on a municipality-wide basis.
Increased Resilience of Treatment Works
Eligible projects are those that increase the resilience of treatment works to manmade or
natural disasters, such as extreme weather events and sea-level rise. This includes efforts to
assess future risks and vulnerabilities.
The eligibility criteria for CWA section 603(c)(7) projects are:
¦ Projects must meet the criteria set forth in CWA section 122.
¦ Projects can be publicly or privately owned.
Additional information on the stormwater and subsurface drainage water projects eligible for
assistance under CWA section 603(c) can be found in the EPA report, Overview of Clean Water State
Revolving Fund Eligibilities: https://www.epa.gov/sites/production/files/2016-
07/documents/overview of cwsrf eligibilities may 2016.pdf.
V. ALLOCATION OF FUNDS
Funds appropriated for this program shall be allocated to the states according to their total proportional
needs for municipal CSOs, SSOs, and stormwater as identified in the most recent Clean Watersheds
Needs Survey (CWNS) and any other additional information considered appropriate by the EPA
Administrator. The allocation criteria are described in CWA section 221(g)(2):
... the Administrator shall use the amounts appropriated to carry out this section for fiscal year
2020 and each fiscal year thereafter for making grants to States under subsection (a)(1) in
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accordance with a formula to be established by the Administrator, after providing notice and an
opportunity for public comment, that allocates to each State a proportional share of such
amounts based on the total needs of the State for municipal combined sewer overflow controls,
sanitary sewer overflow controls, and stormwater identified in the most recent detailed estimate
and comprehensive study submitted pursuant to section 516 of this title and any other
information the Administrator considers appropriate.
After notice and comment, EPA adopted the following methodology to allocate funds appropriated for
the program.
1. Reserve 1% of the federal appropriation for EPA's administrative expenses per CWA section
221(h).
2. Allocate the remaining amount (federal appropriation minus EPA administrative set-aside)
based on several factors to characterize the "need allocation" of each state. In addition to the
most recent CWNS, EPA chose additional objective factors to help characterize the
infrastructure needs of each state, as permitted by CWA section 221(g)(2). EPA assigned weights
to each of the factors in the allocation formula. The CWNS needs are weighted at 50% and the
additional factors were weighted evenly to collectively account for the remaining 50%. The
combination of the following factors forms the need allocation for each state with data sources
listed in Appendix B.
¦ Clean Watersheds Needs Survey: This factor is included as the statute directs EPA to use
the needs submitted pursuant to CWA section 516. Each allocation year, EPA will use
the latest available CWNS information that provides a comprehensive assessment of
CSOs, SSOs, and stormwater infrastructure needs. This factor represents 50% of the
need allocation as these needs were directly identified in the survey.
¦ Annual Average Precipitation: This factor is included to account for the volume of
annual precipitation a state receives which suggests the amount of stormwater runoff
that needs to be managed. This factor represents 16.67% of the need allocation.
¦ Total Population: This factor is included to represent the proportional need of each
state's population size acknowledging that higher populations generally have greater
infrastructure needs. This factor represents 16.67% of the need allocation.
¦ Urban Population: This factor is included to represent the needs that urban centers have
for CSOs, SSOs, and stormwater management due to high concentrations of impervious
surfaces. This factor represents 16.67% of the need allocation.
3. Adjust the allocation proportions to ensure that no state receives an allocation below 0.5%. Any
adjustments to raise states to this base allocation amount will be taken at a proportional basis
from states that were above this base amount. Once adjustments are made to ensure that each
state receives at least 0.5% of the remaining amount (federal appropriation minus EPA
administrative set-aside), this allocation will be considered the final state allocation for the
applicable fiscal year.
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In following this methodology, the results for each state's allocation proportion are shown in Table 1.
Table 1: State Entity Allocation Table
State Entity
Allocation Percentage
Alabama
1.0%
Alaska
0.5%
American Samoa
0.5%
Arizona
0.8%
Arkansas
0.7%
California
10.6%
Colorado
1.0%
Connecticut
2.2%
Delaware
0.5%
District of Columbia
1.3%
Florida
2.7%
Georgia
1.5%
Guam
0.9%
Hawaii
0.5%
Idaho
0.5%
Illinois
2.7%
Indiana
3.1%
Iowa
0.8%
Kansas
1.2%
Kentucky
2.1%
Louisiana
1.4%
Maine
0.6%
Maryland
2.7%
Massachusetts
2.6%
Michigan
1.5%
Minnesota
0.7%
Mississippi
0.8%
Missouri
3.9%
Montana
0.5%
Nebraska
1.3%
Nevada
0.7%
New Hampshire
1.0%
New Jersey
5.7%
New Mexico
0.5%
New York
6.4%
North Carolina
1.3%
North Dakota
0.5%
Northern Marianas
0.8%
Ohio
7.0%
Oklahoma
0.8%
Oregon
1.5%
Pennsylvania
3.5%
Puerto Rico
0.9%
Rhode Island
0.9%
South Carolina
0.8%
South Dakota
0.5%
Tennessee
1.5%
Texas
5.5%
Utah
0.5%
Vermont
0.5%
Virgin Islands
0.5%
Virginia
2.1%
Washington
1.8%
West Virginia
1.3%
Wisconsin
1.8%
Wyoming
0.5%
Availability for Obligation: States are encouraged to apply for their allocation during each fiscal year the
OSG program receives an appropriation. CWA section 221 funds appropriated in fiscal year 2020 and
prior to the release of this Implementation Document will be made available until the end of the 2022
fiscal year. States should discuss any delays in applying for funding with their EPA Regional Office. If a
state does not submit an application for their allocation during the fiscal year for which it was
appropriated, the EPA Regional Administrator may award the funds to any eligible recipient in the
region.
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State Administrative Expenses: According to CWA section 221(h)(2), a state may retain an amount not
to exceed 4% of a grant made to a municipality or municipal entity for the reasonable and necessary
costs of administering the grant. If used, please account for this expense when writing the budget
narrative.
VI. APPLICATION FORMS AND SUBMISSION INFORMATION
To receive allocated funds, states must submit an application package which must include the required
application forms, work plan, and estimated project costs (2 CFR 200 and 1500). It is recommended that
the application be submitted at least 60 days before the beginning of the proposed funding period to
ensure timely award of the grant. States are encouraged to coordinate with their EPA Regional Project
Officers to review their grant application and to answer questions concerning the technical or
administrative requirements of the grant prior to the application package submission on grants.gov.
Application Package: Appendix C includes a list of the required forms and documents for the application
package.
VII. WORKPLAN
The workplan, also known as the project narrative, should include the following items and be considered
by the States in describing their project. The workplan does not require a public notification process.
A. Project and Budget Period: The project/ budget periods will be no more than four years.
B. Eligible Activities: States will use funding for the purpose of providing sub-awards to municipalities
or municipal entities (subrecipients) for the planning, design, and construction of treatment works
and measures to manage combined sewer overflows, sanitary sewer overflows, and stormwater to
improve water quality under the CWA (see Part IV. ELIGIBLE USE OF FUNDS). The sub-awardee
benefiting from assistance must meet the statutory definition in CWA section 221(a)(1), (see Part IV.
ELIGIBLE USE OF FUNDS).
States will include a list of eligible activities for assistance in their workplan along with sufficient
detail to support the eligibility determination. States will include the following information for each
eligible activity:
¦ The name of the subrecipient(s)
¦ A description of the project(s)
¦ The estimated start and end dates for the project(s)
¦ A description of how the project(s) fulfills the statutory criteria, as referred to in CWA
section 221(g)(2)
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C. Programmatic Priorities:
Project Prioritization: CWA section 221(b) requires states to prioritize the award of subawards to
eligible subrecipients that are:
¦ financially distressed communities;
¦ implementing a long-term control plan for CSOs or SSOs;
¦ requesting funds for a project included on a state's Intended Use Plan for the Clean Water
State Revolving Fund; or
¦ an Alaskan Native Village.
While states shall follow these priorities, they have the flexibility to determine which of the
priorities are most relevant to their program.
According to CWA section 221(c), states have the discretion on how to define a "financially
distressed community" provided that the affordability criteria used considers the financial impact on
water or sewer rates due to the implementation of a long-term control plan for CSOs or SSOs. States
may adopt their existing CWSRF criteria as outlined in CWA section 603(i)(2)(A), or revise/adapt it
accordingly to reflect the CWA section 221 program.
Minimum Allocation for Green Project Reserve: CWA section 221(f)(2) requires that to the extent
there are sufficient eligible project applications, at least 20% of a state's allocation must be used for
green infrastructure, water and energy efficiency improvements, and other environmentally
innovative activities. For further guidance regarding possible eligible projects, refer to EPA's Green
Project Reserve Guidance for the CWSRF: https://www.epa.gov/cwsrf/green-proiect-reserve-
guidance-clean-water-state-revolving-fund-cwsrf.
D. Strategic Plan Linkage and Anticipated Outputs/Outcomes:
Pursuant to Section 6a of EPA Order 570 dronmental Results under the EPA Assistance
Agreements, states must link proposed assistance agreement workplans with the Agency's Strategic
Plan. EPA also requires that workplans adequately describe environmental outputs and outcomes to
be achieved under assistance agreements.
Linkage to EPA's Strategic Plan: The activities to be funded support EPA's Fiscal Year (FY} 2018-2022
Strategic Plan. The following statement should be included in the workplan:
As described in the project descriptions, the funding by this OSG program supports EPA's
Strategic Plan under Goal 1, "A Cleaner, Healthier Environment: Deliver a cleaner, safer, and
healthier environment for all Americans and future generations by carrying out the Agency's
core mission," 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."
States must explain in their workplan how their project will further this goal and objective. States
must include specific statements describing the environmental results of proposed activities in
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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:
¦ Increase in investment for infrastructure projects to address CSOs, SSOs, and stormwater
management
¦ Increase in investment for infrastructure projects that implement long-term CSO and SSO
control plans
¦ Increase in funding to financially distressed communities
¦ Increased adoption of green infrastructure, water and energy efficiency improvements, and
other environmentally innovative activities to address CSOs, SSOs, and stormwater
management
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 occurrence and severity of combined sewer overflow and sanitary sewer
overflow events in impacted communities
¦ Increased compliance for municipalities and municipal entities in regard to NPDES permits
and relevant control plans for CSOs and SSOs
¦ Reduction in the impacts of stormwater pollution and enhance opportunities for
stormwater capture and use among municipalities and municipal entities
¦ Increased compliance for municipalities and municipal entities in regard to NPDES permits
for municipal separate storm sewer systems
Budget Narrative:
Provide a detailed budget and the estimated funding amounts for each project task when
developing the budget narrative. An example detailed budget can be found at: Sample Budget.
Identify the requested federal dollars, demonstrate how the cost share will be met, and provide the
total project cost for each project task.
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Provide a description of proposed cost for each of the budget categories found in Form SF 424A (i.e.,
personnel, travel, contractual, other). Identify funding by budget category for each year of funding
request. Explain if and how non-federal partners will contribute to the required cost share. This
section provides an opportunity for a narrative description of the budget or aspects of the budget
such as other costs and contracts. Describe itemized costs in sufficient detail for the EPA to
determine whether the costs for each workplan component/task are reasonable and allowable,
including the use of the cost share funds. Please note that an applicant's and any sub-recipient's
indirect cost/fringe generally may be used as cost share.
VIII. STATE ACTIVITIES SELECTION
Each state will submit a draft workplan to their respective EPA Regional Office based on the
programmatic priorities outlined previously in this document. The workplan must clearly demonstrate
that proposed activities are eligible and adhere to the requirements of the grant program. EPA Regional
Offices will review the draft workplan to confirm that the workplan: (1) is designed to help achieve the
elements, goals, and objectives of the grant program; (2) includes eligible costs that are allowable and
consistent the grant program; (3) clearly identifies and describes the specific outputs, outcomes, and
other results that are expected to be achieved, including target dates and milestones for achieving
them; (4) clearly identifies the source of the applicable and required cost share requirements (see Part
IX. COST SHARING REQUIREMENTS).
States are encouraged to begin this process as soon as possible to identify activities for the grant award.
Both the EPA Regions and the states are also encouraged, where possible, to discuss any proposed
activities prior to submission of the draft workplan and list of required documents and information (see
Part VII. WORKPLAN, part B Eligible Activities). EPA encourages states to submit this information as soon
as possible if they have questions that need to be addressed (i.e., whether a proposed activity is eligible
or meets the mandatory criteria established by statute).
Submission Instructions: After workplan negotiations and other pre-application discussions are
completed with the EPA Regional Office, see Appent for instructions for submitting applications
through www.Grants.gov. including how to access the Funding Opportunity Number: EPA-CEP-02, and
Assistance Listing#: 66.447.
IX. COST SHARING REQUIREMENTS
Cost Share Percentage: The statutory language in CWA section 221(d) describes:
The Federal share of the cost of activities carried out using amounts from a grant made under
subsection (a) shall be not less than 55 percent of the cost
To implement this statutory requirement, EPA established that the Federal share for activities awarded
under CWA section 221, shall be 80% of the total activities cost. Consequently, states are required to
provide the remaining 20% share of the total activities cost/grant award amount.
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Optional Sources of Cost Share: CWA section 221(d) continues to describe:
...The non-Federal share of the cost may include, in any amount, public and private funds and in-
kind services, and may include, notwithstanding section 603(h), financial assistance, including
loans, from a State water pollution control revolving fund.
For each award a state receives under CWA section 221, consistent with the language of the CWA and
Uniform Grant Guidance (2 CFR Part 200 et seq.), cost share funds can be provided through any, or a
mix, of the following:
• public sources, including state appropriations or local government match to the OSG grant
project etc.;
• private sources, such as funding from a local business or nonprofit contributing to the OSG
project etc.;
• In-kind services, states should work with their EPA Regional Project Officers to identify
appropriate in-kind services in their OSG workplans and applications. For example, the state's
administrative expenses for managing and overseeing the OSG grant and OSG projects can be in-
kind services provided that the expenses are not being reimbursed by the federal share of the
OSG award. OSG-related expenses paid by the CWSRF fee accounts, held outside the Fund, may
also be used as in-kind services provided, they are appropriately identified in the CWSRF
Intended Use Plan (IUP) and CWSRF annual report.
• A CWSRF loan (including additional subsidization) to the same subrecipient or different
subrecipients may be used to meet the cost share requirement. Only non-equivalency CWSRF
agreements may be used. CWSRF proportionality rules do not apply to OSG grant draws.
The cost share amount can be provided at any time during the grant's project period. The source of the
cost share should be included in the workplan and it should be documented on the OSG final Federal
Financial Report (FFR) report - which is due to EPA 90 days after the end of the budget period.
X. 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/grants/policv-regulations-and-guidance-epa-grants.
In the event that the Governor of the state in which a project is located determines that a
requirement of Title VI is inconsistent with the purposes of this section, as noted in CWA section
221(e), EPA requests a notification or letter from the Governor's office explaining their reasoning in
choosing to exercise this option.
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/grants/grant- terms-and-
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conditions. EPA Regional Offices 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 state grantee 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-Ql-epa-subaward-policv-epa- assistance-agreement-recipients. The National
Term and Condition for Subawards is available at https://www.epa.gov/sites/production/files/2016-
02/documents/gmc subaward policy appendix b national t and c.pdf.
D. Funding to Other State Agencies: EPA's general policy, based on the definitions of the terms "Non-
federal entity" (2 CFR §200.69). "Pass-through entity (2 CFR §20 "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 §20 "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.
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 §200.332, 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 §200.323 Procurement of Recovered Materials, and ensure
that every purchase order or other contract includes any clauses required by section 2
CFR§200.327 Contract provisions. All other non-Federal entities, including subrecipients of a
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state (other than another state agency), will follow §200.318 General Procurement Standards
through §200.327 Contract Provisions.
F. Performance Partnership Grants: Funds awarded under this program are not eligible for inclusion
with the state's Performance Partnership Grants.
G. Pre-award Costs: As authorized in 2. CFR §1500.9, EPA award recipients may incur allowable
project costs 90 calendar days before the Federal awarding agency makes the Federal award.
Expenses more than 90 calendar days pre-award require prior approval of EPA. All costs
incurred before EPA makes the award are at the recipient's risk. EPA is under no obligation to
reimburse such costs if for any reason the recipient does not receive a Federal award or if the
Federal award is less than anticipated and inadequate to cover such costs.
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 Assurance/Quality
Control requirements in 2 CFR 1500.12 . 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. This requirement
is non-applicable for OSG projects that do not collect Environmental Data.
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 et seq.; section 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.
J. American Iron and Steel: According to CWA section 221(e), a project that receives assistance shall
be carried out subject to the same requirements as a project that receives assistance from a state
water pollution control revolving fund (CWSRF) under title VI. Therefore, a treatment works
project funded with CWA section 221 funds must agree to comply with CWA section 608 and
follow the American Iron and Steel requirement which provide that the iron and steel products
used in the project must be produced in the United States, unless a waiver is granted. Please see
Implementation of Iron and Steel Provisions of P.L.113-76, Consolidated Appropriations Act of
2014 https://www.epa.gov/sites/production/files/2015-09/documents/ais-final-guidance-3-2Q-
14.pdf
K. Davis-Bacon: Projects funded with CWA section 221 funds are subject to CWA section 513 and a
state grantee must apply the prevailing wage provision known as the Davis-Bacon act.
https://www.epa.gov/grants/guidance-implementation-davis-bacon-epa-funded-construction-
grants
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L. Disadvantaged Business Enterprises (DBE): EPA's DBE program and its requirements are
contained within 40 CFR Part 33 as modified by various memorandums and exceptions issued over
time. More information on the DBE program requirements are located at:
https://www.epa.gov/grants/disadvantaged-business-enterprise-program-under-epa-assistance"
agreements-dbe-program and within the General Administrative and Programmatic Terms and
Conditions. When required, the recipient agrees to complete and submit a "MBE/WBE Utilization
Under Federal Grants and Cooperative Agreements" report (EPA Form 5700-52A) on an annual
basis. The current EPA Form 5700-52A can be found at the EPA Grantee Forms Page at:
https://www.epa.gov/sites/production/files/2020-06/documents/epa form 5700 52a fill-
sign.pdf. Reporting is required for assistance agreements where funds are budgeted for procuring
construction, equipment, services and supplies (including funds budgeted for direct procurement
by the recipient or procurement under subawards or loans in the "Other" category) with a
cumulative total that exceed the Simplified Acquisition Threshold (SAT) (currently, $250,000
however the threshold will be automatically revised whenever the SAT is adjusted; See 2 CFR
Section 200.1), including amendments and/or modifications. When reporting is required, all
procurement actions are reportable, not just the portion which exceeds the SAT.
M. Environmental Reviews: The state shall apply its own "NEPA-like" state environmental review
process for complying with the CWA section 511(c)(1) provided that the following elements (1)
through (5) are met:
1. Legal foundation. The state must have the legal authority to conduct environmental reviews of
CWA section 212 construction projects receiving SRF assistance. Such authority and supporting
documentation must specify:
(i) The mechanisms to implement mitigation measures to ensure that a project is
environmentally sound;
(ii) The legal remedies available to the public to challenge environmental review
determinations and enforcement actions;
(iii) The state agency primarily responsible for conducting environmental reviews;
(iv) The extent to which environmental review responsibilities will be delegated to local
recipients and will be subject to oversight by the primary state agency.
2. Interdisciplinary approach. The state must employ an interdisciplinary approach for identifying
and mitigating adverse environmental effects including, but not limited to, those associated
with other applicable Federal environmental authorities.
3. Decision documentation. The state must fully document the information, processes and
premises that influence decisions to:
(i) Proceed with a project contained in a finding of no significant impact (FNSI) following
documentation in an environmental assessment (EA);
(ii) Proceed or not proceed with a project contained in a record of decision (ROD) following
preparation of a full environmental impact statement (EIS);
(iii) Reaffirm or modify a decision contained in a previously issued categorical exclusion (CE),
EA/FNSI or EIS/ROD following a mandatory five year environmental reevaluation of a proposed
project; and
(iv) If a state elects to implement processes for either partitioning an environmental review or
CE from environmental review, the state must similarly document these processes in its
proposed state environmental review process, also known as SERP.
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4. Public notice and participation.
(i) The state must provide public notice when a CE is issued or rescinded, a FNSI is issued but
before it becomes effective, a decision issued five years earlier is reaffirmed or revised, and
prior to initiating an EIS.
(ii) Except with respect to a public notice of a categorical exclusion or reaffirmation of a
previous decision, a formal public comment period must be provided during which no action
on a project will be allowed.
(iii) A public hearing or meeting must be held for all projects except for those having little or no
environmental effect.
5. Alternatives Consideration. The state must have evaluation criteria and processes which allow
for:
(i) Comparative evaluation among alternatives including the beneficial and adverse
consequences on the existing environment, the future environment and individual sensitive
environmental issues that are identified by project management or through public
participation; and
(ii) Devising appropriate near-term and long-range measures to avoid, minimize or mitigate
adverse impacts.
N. Reporting Requirements: In accordance with 2 CFR §200.329, the non-Federal entity (in this case
the state receiving the grant) must submit an annual report to their EPA regional office 90 days
after the end of the state fiscal year. Further, in accordance with 2 CFR §200.329. 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.
The final performance report submitted by the state must be due no later than 120 calendar days
after the period of performance end date and summarize accomplishments, expenditures,
outcomes, outputs, lessons learned, and any other resources leveraged during the project and how
they were used. The subrecipient must submit to the state, no later than 90 calendar days after the
period of performance end date, all final performance reports as required by the terms and
conditions of the Federal award. See also §200.344.
XI. CONTACT INFORMATION
For general questions about the Sewer Overflow and Stormwater Reuse Municipal Grants Program,
please contact the Clean Water State Revolving Fund Branch at (202) 564-7347, or by email at
OSG@epa.gov. For questions that require the assistance of an EPA Regional Office, please see the table
below.
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Address
Contact
States and Territories
Represented
U.S. EPA Region 1
5 Post Office Square,
Suite 100
Boston, MA 02109-3912
Jason Turgeon
Turgeon.Jason@epa.gov
Phone: 617-918-1637
CT, ME, MA, NH, Rl, VT
U.S. EPA Region 2
290 Broadway, 18th Floor
New York, NY 10007-1866
Denis Durack
Durack.Denis@epa.gov
Phone: 212-637-3875
NJ, NY, PR, VI
U.S. EPA Region 3
1650 Arch Street
Philadelphia, PA 19103
Magdalene Cunningham
Cunningham.Magdalene@epa.gov
Phone: 215-814-2338
DE, DC, MD, PA, VA, WV
U.S. EPA Region 4
61 Forsyth Street, SW
16th Floor (9T25)
Atlanta, GA 30303-8960
Caroline Ejimofor
Ejimofor.Caroline@epa.gov
Phone: 404-562-9309
AL, FL, GA, KY,
MS, NC, SC, TN
U.S. EPA Region 5
77 West Jackson Boulevard
(WS-15J)
Chicago, IL 60604-3507
Kate Johnson
Johnson.Catherine@epa.gov
Phone: 312-353-5692
IL, IN, Ml, MN, OH, Wl
U.S. EPA Region 6
1445 Ross Avenue,
Suite 1200
Dallas, TX 75202-2733
Miranda Penn
Penn.Miranda@epa.gov
Phone: 214-665-7417
AR, LA, NM, OK, TX
U.S. EPA Region 7
11201 Renner Boulevard
Lenexa KS 66219
Glenn Curtis
Curtis.Glenn@epa.gov
Phone: 913-551-7726
IA, KS, MO, NE
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Address
Contact
States and Territories
Represented
U.S. EPA Region 8
1595 Wynkoop Street
(8P-W-TF)
Denver, CO 80202-1129
Benjamin Bents
Bents.Benjamin@epa.gov
Phone: 303-312-6435
CO, MT, ND, SD, UT, WY
U.S. EPA Region 9
75 Hawthorne St.
San Francisco, CA 94105
Elizabeth Borowiec
Borowiec.Elizabeth@epa.gov
Phone:415-972-3419
AZ, CA, HI, NV, AS,
GU, CNMI
U.S. EPA Region 10
1200 Sixth Avenue, Suite 900
(OWW-137)
Seattle, WA 98101
Sejal Soni
Soni.Sejal@epa.gov
Phone: 206-553-1798
AK, ID, OR, WA
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APPENDIX A: Glossary of Terms
Combined Sewer Overflow: A discharge of untreated wastewater from a combined sewer system at a
point before the headworks of a treatment works. CSOs generally occur during wet weather (rainfall or
snowmelt). During periods of wet weather, these systems become overloaded, bypass treatment works,
and discharge directly to receiving waters at designed overflow points.
Construction2: The term "construction" means any one or more of the following: preliminary planning to
determine the feasibility of treatment works, engineering, architectural, legal, fiscal, or economic
investigations or studies, surveys, designs, plans, working drawings, specifications, procedures, field
testing of innovative or alternative waste water treatment processes and techniques meeting guidelines
promulgated under section 1314(d)(3) of this title, or other necessary actions, erection, building,
acquisition, alteration, remodeling, improvement, or extension of treatment works, or the inspection or
supervision of any of the foregoing items.
Municipality3: A city, town, borough, county, parish, district, association, or other public body created
by or pursuant to state law and having jurisdiction over disposal of sewage, industrial wastes, or other
wastes, or an Indian tribe or an authorized Indian tribal organization, or a designated and approved
management agency under CWA section 208.
Sanitary Sewer Overflow: Untreated or partially treated sewage overflows from a sanitary sewer system
intended to carry wastewater or waterborne wastes to a treatment works.
Stormwater: Stormwater runoff, snow melt runoff, and surface runoff and drainage.
Subsurface Drainage Water: Water from an underground collection system (e.g., sewer, tile drain, etc.)
used to manage overland flow of water (e.g., stormwater, irrigation water, etc.). Depending on the type
of collection system, subsurface drainage may be a point source or nonpoint source of pollution.
Treatment Works4: (A) The term "treatment works" means any devices and systems used in the storage,
treatment, recycling, and reclamation of municipal sewage or industrial wastes of a liquid nature to
implement section 1281 of this title, or necessary to recycle or reuse water at the most economical cost
over the estimated life of the works, including intercepting sewers, outfall sewers, sewage collection
systems, pumping, power, and other equipment, and their appurtenances; extensions, improvements,
remodeling, additions, and alterations thereof; elements essential to provide a reliable recycled supply
such as standby treatment units and clear well facilities; and acquisition of the land that will be an
integral part of the treatment process (including land used for the storage of treated wastewater in land
treatment systems prior to land application) or will be used for ultimate disposal of residues resulting
from such treatment and acquisition of other land, and interests in land, that are necessary for
construction.
2 33 USC 1292 (11
3 33 USC 1362 (41
4 33 USC 1292 (21
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(B) In addition to the definition contained in subparagraph (A) of this paragraph, "treatment works"
means any other method or system for preventing, abating, reducing, storing, treating, separating, or
disposing of municipal waste, including storm water runoff, or industrial waste, including waste in
combined storm water and sanitary sewer systems. Any application for construction grants which
includes wholly or in part such methods or systems shall, in accordance with guidelines published by the
Administrator pursuant to subparagraph (C) of this paragraph, contain adequate data and analysis
demonstrating such proposal to be, over the life of such works, the most cost efficient alternative to
comply with sections 1311 or 1312 of this title, or the requirements of section 1281 of this title.
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APPENDIX B: Data Sources for the Allocation Formula
On August 4, 2020, EPA published a Federal Register Notice5 on the section 221 allocation formula
design and its contributing data sources used to assess total needs of the state for municipal CSO
controls, SSO controls, and stormwater. The data sources used in these need determinizations are as
follows:
¦ Clean Watersheds Needs Survey: The CWNS includes and documents identified capital
investment needs for Sanitary Sewer Overflow Correction (Categories l-IV where states have
shown a designated SSO need), Combined Sewer Overflow Correction (Category V), and
Stormwater Management (Category VI). Information for this factor will be taken from the most
recent published CWNS6 and will be updated accordingly.
¦ Annual Average Precipitation: The precipitation factor for each state is the annual average
amount of precipitation collected from the past 10 years of data from the National
Oceanographic and Atmospheric Association (NOAA) National Centers for Environmental
Information, Climate at a Glance: Statewide Time Series. These data will be updated annually to
form a 10-year rolling average.7 Due to data limitations, alternative data sources are proposed
to be used for the following states:
- Hawaii: The past 10 years of data for annual average precipitation will be collected from
the Hilo Area, Honolulu Area, Kahului Area, and Lihue Area from the Honolulu Forecast
Office of NOAA.8 These sources constitute the most complete data set in the relevant
timeframe and are considered the best available representation for Hawaii.
- District of Columbia: The past 10 years of data for annual average precipitation will be
collected from the Washington Area from the Baltimore/Washington Forecast Office of
NOAA. This is the most complete data set in the relevant timeframe and is considered
the best available representation for the District of Columbia.9
- Puerto Rico: The past 10 years of data for annual average precipitation will be collected
from the San Juan Area and Ensenada and Morovis weather stations from the San Juan
Forecast Office of NOAA. These sources constitute the most complete data set in the
relevant timeframe and are considered the best available representation for Puerto
Rico.10
- American Samoa: The past 10 years of data for annual average precipitation will be
collected from the Pago Pago Area from the Pago Pago Forecast Office of NOAA. This is
5 Federal Registry citation # 85 FR 47205
6 Clean Watersheds Need Survey 2012 Report to Congress, January 2016. https://www.epa.gov/cwns/clean-
watersheds-needs-survev-cwns-2012-report-and~data
7 NOAA National Centers for Environmental information, Climate at a Glance: Statewide Time Series, accessed April
2020, https://www.ncdc.noaa.gov/cag/statewide/time-series
8 NOAA, Honolulu Forecast Office, Hilo Area, Honolulu Area, Kahului Area, and Lihue Area Data,
https://w2. weather.gov/climate/xmacis. php?wfo=hnl
9 NOAA, Baltimore/Washington Forecast Office, Washington Area Data,
http$i//w2.weather.gov/climate/xroaci$.php?wfo=lwx
10 NOAA, San Juan Forecast Office, San Juan Area and Ensenada, and Morovis Weather Station Data.
https://w2.weather.gov/climate/xmacis.php?wfo=siu
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the most complete data set in the relevant timeframe and is considered the best
available representation for American Samoa.11
- Guam: The past 10 years of data for annual average precipitation will be collected from
the Guam Area from the Tiyan Forecast Office of NOAA. This is the most complete data
set in the relevant timeframe and is considered the best available representation for
Guam.12
- Northern Mariana Islands: The past 10 years of data for the annual average precipitation
will be collected from the Guam Area from the Tiyan Forecast Office of NOAA. There are
no available weather stations in the Northern Mariana Islands. However, the Northern
Mariana Islands are covered by the Tiyan Forecast Office and Guam is located
approximately 130 miles away. It has been determined that data from the Guam Area
can be considered an acceptable surrogate for precipitation amounts in the Northern
Mariana Islands.13
- U.S. Virgin Islands: The past 10 years of data for the annual average precipitation will be
collected from the Christiansted Airport and St. Thomas weather stations from the San
Juan Forecast Office of NOAA. These sources constitute the most complete data set in
the relevant timeframe and are considered the best available representation for the U.S.
Virgin Islands.14
¦ Total Population: Data for the total population factor will be taken from the most recent
published U.S. Census Bureau decennial census. The initial allocation will be based on the 2010
U.S. Census and will be updated accordingly.
- The states, the District of Columbia, and Puerto Rico population data will be taken from
the U.S. Census Bureau State Population Totals and Components of Change.15
- American Samoa, Guam, Northern Mariana Islands, and U.S. Virgin Islands population
data will be taken from the U.S. Census Bureau Island Area Tables.16
¦ Urban Population: The urban population factor for each state will be based on the available data
from the most recent U.S. Census Bureau decennial census.17 The initial formula will be based
on the 2010 U.S. Census and data will be updated as future decennial censuses are published.
Urban population estimates for American Samoa, Guam, Northern Mariana Islands, and the U.S.
Virgin Islands are not available through the Census. The following alternative data sources will
be used and updated as needed.
11 NOAA, Pago Pago Forecast Office, Pago Pago Area Data,
https://w2.weather.gov/climate/xmacis.php?wfo=samoa
12 NOAA, Tivan Forecast Office, Guam Area Data, https://w2.weather,gov/climate/xmacis,php?wfo=guam
13 Ibid.
14 NOAA, San Juan Forecast Office, Christiansted Airport and St. Thomas Weather Station Data,
https://w2,weather,gov/climate/xmacis,php?wfo=siu
15 U.S. Census Bureau, State Population Totals and Components of Change 2010-2019,
https://www.census.gov/data/tables/time-series/demo/popest/2010s-state-total.html
16 U.S. Census Bureau, 2010 Island Area Tables, https://www.census.gov/data/tables/2010/dec/201Q-island-
areas.html
17 U.S. Census Bureau, Census Urban and Rural Classification and Urban Area Criteria,
https://www.census.gov/programs-surveys/geographv/guidance/geo-areas/urban-rural/201Q-urban-rural.html
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- American Samoa: Data from the Central Intelligence Agency World Factbook will be
used. The percentage of the total population considered to be urban will be multiplied
by the total population.18
- Guam: Data from the Central Intelligence Agency World Factbook will be used. The
percentage of the total population considered to be urban will be multiplied by the total
population.19
- Northern Mariana Islands: Data from the Central Intelligence Agency World Factbook
will be used. The percentage of the total population considered to be urban will be
multiplied by the total population.20
- U.S. Virgin Islands: Data from the Central Intelligence Agency World Factbook will be
used. The percentage of the total population considered to be urban will be multiplied
by the total population.21
18 Central Intelligence Agency, World Factbook, American Samoa, https://www.cia.gov/library/publications/the-
world-factbook/geos/aq.html
19 Central Intelligence Agency, World Factbook, Guam, https://www.cia.gov/library/publications/the-world-
factbook/geos/gq.html
20 Central Intelligence Agency, World Factbook, Northern Mariana Islands,
https://wwwxia.goy/ljbrarv/publications/the-world-factbook/geos/cq.html
21 Central Intelligence Agency, World Factbook, U.S. Virgin Islands,
https://www.cia.gov/library/publications/the-world-factbook/geos/vq.html
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APPENDIX C: Application Forms and Submission
The following are a list of forms that are part of the application process and should be downloaded at
https://www.grants.gov/web/grants/forms.html in response to the Assistance Listing:
Required forms
• Standard Form 424 ("Application for Federal Assistance")
• Standard Form 424A ("Budget Information for Non-Construction Programs")
• EPA Form 4700-4 ("Pre-award Compliance Review Report")
• Project Narrative Attachment Form22 (Work Plan)
• Budget Narrative Attachment Form21
• EPA Form 6600-06 ("Certification Regarding Lobbying") is available at epa.gov and will be
requested by the EPA Project Officer after the application has been selected for an award.
Post-Award
• EPA Form 5700-52A ("MBE/WBE Utilization Report") is available at epa.gov
• Standard Form 425 (Federal Financial Report)
22 The Project Narrative and Budget Narrative forms may appear as optional attachments in Grants.gov, however
they are a pivotal component of evaluating the grant application package and should be included in the application
package submitted through Grants.gov.
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APPENDIX D: Grants.gov Instructions Guide - Noncompetitive
Applications for States
After workplan negotiations and other pre-application discussions are completed, Program
Offices/Regional GMOs will communicate to the state or territory the specific instructions for submitting
their application on Grants.gov.
Register with Grants.gov: EPA requires that all initial applications be submitted through Grants.gov.
In order to submit your application using Grants.gov, your organization must be registered with
Grants.gov. Please allow four weeks to complete registration. Also, please note that you must have a
Data Universal Number System (DUNS) number and an active SAM.gov registration before registering
with Grants.gov. Please note that only Authorized Organization Representatives (AORs) can submit an
application on behalf of your organization. You can find out more information about registering
here:https://www.grants.gov/web/grants/applicants/organization-registration.html
Access Grant Application Package
Applicants can access the grant application package two ways: by either using the direct link below or
searching for the application package using the Funding Opportunity Number.
For a direct link to the application package: https://www.grants.gov/web/grants/view-
opportunity.html?oppld=273808
Search using the Funding Opportunity Number (Note - OSG applicants use Funding Opportunity
Number EPA-CEP-02):
Go to https://www.grants.gov/web/grants/applicants/search-opportunitv-package.html
Type "EPA-CEP-02" into the "Funding Opportunity Number" field and click "Search".
Search for Opportunity Package
To search for an opportunity package, enter the Funding Opportunity Number or Opportunity Package ID and click trie Search button. If you do not remember
the Funding Opportunity Number for the grant opportunity, return to the Search Grants section to locate ttie grant opportunity.
e
- Please enter criteria and click Search:
- Funding Opportunity Number: |
Opportunity Package ID: \~
Search
Once the applicant has entered the Funding Opportunity Number, Assistance Listing numbers will be
listed.
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OPPORTUNITY PACKAGE(S) CURRENTLY AVAILABLE FOR THIS FUNDING OPPORTUNITY:
CFDA
Competition ID
Competition Title
Opportunity Package ID
Opening Date
Closing Date
Actions
66.001
PKG00213703
10/04/2020
Preview | Apply
66.032
PKG00214049
10/04/2020
Preview | Apply
66.034
PKG00214050
10/04/2020
Preview | Apply
66.038
PKG00214051
10/04/2020
Preview | Apply
66.040
PKG00214052
10/04/2020
Preview | Apply
66.042
PKG00214046
10/04/2020
Preview | Apply
66.121
PKG00214048
10/04/2020
Preview | Apply
66.124
PKG00214043
10/04/2020
Preview | Apply
66.125
PKG00214045
10/04/2020
Preview | Apply
66.202
PKG00214047
10/04/2020
Preview | Apply
66.418
PKG00214053
10/04/2020
Preview | Apply
66.419
PKG00214103
10/04/2020
Preview | Apply
66.432
PKG00214104
10/04/2020
Preview | Apply
66.433
PKG00214105
10/04/2020
Preview | Apply
66.437
PKG00214106
10/04/2020
Preview | Apply
66.454
PKG00214107
10/04/2020
Preview | Apply
66.456
PKG00214108
10/04/2020
Preview | Apply
66.458
PKG00214109
10/04/2020
Preview | Apply
66.460
PKG00214110
10/04/2020
Preview | Apply
Click "Apply" next to Assistance Listing 66.447
Once you have accessed the application package:
1. Login to create a Workspace for the opportunity. Fill out and attach the forms and
information that your particular program requires. Contact your EPA point of contact if you have
questions about which forms and materials you must submit for your program. Please note that
the DUNS number on your application must belong to the entity listed on the application as
applying for the grant.
2. Submit your application. Please Note: an AOR is the only one who can submit an application and
they must be authorized by the entity applying for the grant.
3. Confirm with your EPA point of contact that EPA has received your application package.
If for any reason you cannot submit your application by the deadline specified, contact your EPA point of
contact immediately.
Resources: A link to Grants.gov resources such as how to apply, register, and seek help.
https://www.grants.gov/web/grants/applicants.html
What happens next?
When the application is submitted using Grants.gov, EPA's Grant Management System will use the
applicants state to identify the region receiving the application package. An accompanying 'lookup table'
will associate the region with an EPA point of contact in that region to receive the email notice and the
link to the application in the pre-award module.
Applicant Grants.gov Support
Visit the Grants.gov Applicant page here https://www.grants.gov/web/grants/applicants.html for FAQs,
User Guides, Checklists, Training and Technical Support.
Call or email the Grants.gov Contact Center (https://www.grants.gov/web/grants/support.html) - Open
24 hours a day, 7 days a week - with any technical questions or issues. 1-800-518-4726
support@grants.gov
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APPENDIX E: Grants Policies and Resources
Grants Policy Resources: EPA grant policies may affect how recipients manage and administer EPA
assistance agreements. Refer to the resources in the following link for specific information that may be
pertinent to your grants.
https://www.epa.gov/grants/epa-grants-policv-resources
Grants Policy Issuance (GPI) 16-01: EPA Subaward Policy for EPA Assistance Agreement Recipients:
https://www.epa.gov/grants/grants-policv-issuance-gpi-16-01-epa-subaward-policy-epa-assistance-
agreement-recipients
EPA 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 EPA project officers 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
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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