Capitalization Grants for Clean Water State Revolving
Funds

To create State Revolving Funds (SRFs) through a program of capitalization grants to States which will provide a long term source of State financing for construction of wastewater treatment facilities and implementation of other water quality management activities (see CFDA 66.418).

Funding Priority
- Fiscal Year 2008: Capitalization grants are available to each State for the purpose of establishing a Clean Water SRF for providing assistance for: (1) construction of publicly owned wastewater treatment works; (2) implementing nonpoint source management activities included in State Plans developed pursuant to Section 319; and (3) developing and implementing an estuary comprehensive conservation and management plan under Section 320.

The capitalization grant is deposited in the State's SRF, which is used to provide loans and other types of financial assistance, but not grants, to local communities and intermunicipal and interstate agencies.

Up to 4 percent of the grant amounts may be used by the States for the cost of administering the SRF.

States determine priorities for funding within their State in accordance with the CWA.

The program supports the Agency's strategic goal of ensuring Clean and Safe Water.

Funding Priority - Fiscal Year 2009: Capitalization grants are available to each State for the purpose of establishing a Clean Water SRF for providing assistance for: (1) construction of publicly owned wastewater treatment works; (2) implementing nonpoint source management activities included in State Plans developed pursuant to Section 319; and (3) developing and implementing an estuary comprehensive conservation and management plan under Section 320.

The capitalization grant is deposited in the State's SRF, which is used to provide loans and other types of financial assistance, but not grants, to local communities and intermunicipal and interstate agencies.

Up to 4 percent of the grant amounts may be used by the States for the cost of administering the SRF.

States determine priorities for funding within their State in accordance with the CWA.

The program supports the Agency's strategic goal of ensuring Clean and Safe Water.
Examples of Funded Projects

State revolving loan fund; wastewater projects involving advanced treatment, secondary treatment, infiltration/inflow correction, replacement/upgrade of pipe and equipment and expansion of existing wastewater treatment plants; nonpoint source and estuary protection projects (for example, septic system rehabilitation, leaking underground storage tank removal, contaminated soil removal, agricultural BMPs, conservation easements, wetlands protection/rehabilitation, and prevention of agricultural runoff).


Agency - Environmental Protection Agency

The mission of the Environmental Protection Agency is to protect human health and the environment. Since 1970, EPA has been working for a cleaner, healthier environment for the American people.

Office - EPA Regional Offices listed in Appendix IV of the Catalog.


Program Accomplishments

Each year, 51 grants are awarded to states and Puerto Rico. The program funds an estimated 10 to 20 percent of the nation's annual wastewater capital projects. The program has provided over $63 billion in cumulative assistance since 1988. Assistance has included funding to prevent polluted runoff, upgrade wastewater treatment plants from secondary level treatment to advanced (tertiary) treatment to reduce pollutant loads, and improve water quality on a watershed basis.In FY 07, the program provided $5.3 billion in assistance. This included $2.0 billion for secondary treatment to reduce pollutant loads, $889 million to upgrade wastewater treatment plants from secondary level treatment to advanced (tertiary) treatment, and $243 million to prevent polluted runoff. Similar types of activities are anticipated for FY 08.

Uses and Use Restrictions

Capitalization grants are available to each State for the purpose of establishing a Clean Water SRF for providing assistance for: (1) construction of publicly owned wastewater treatment works; (2) implementing nonpoint source management activities included in State Plans developed pursuant to Section 319; and (3) developing and implementing an estuary conservation and management plan under Section 320.

The capitalization grant is deposited in the state's SRF, which is used to provide loans and other types of financial assistance, but not grants, to local communities and intermunicipal and interstate agencies.

Assistance may be provided to persons for implementing nonpoint source and estuary management activities provided for in State Plans developed under Sections 319 and 320.

Up to 4 percent of the grant amounts may be used by the states for the cost of administering the SRF.

Assistance agreement awards under this program may involve or relate to geospatial information.

Further information regarding geospatial information may be obtained by viewing the following website: http://geodata.epa.gov.

Eligibility Requirements

Applicant Eligibility

States and Puerto Rico are eligible to receive capitalization grants under Title VI.

The District of Columbia, territories, possessions of the U.S., and Indian tribes are eligible to receive grants from Title VI for the construction of municipal wastewater facilities.

(see CFDA 66.418)

Beneficiary Eligibility

For loans and other financial assistance (but not grants) for wastewater treatment facilities: local communities, intermunicipal, State, interstate agencies, and Indian tribes. For nonpoint source management programs and estuary activities in approved State Nonpoint Source Management Programs and Comprehensive Conservation and Management Plans: the public agencies listed above, individuals, and programs.

Credentials/Documentation

To receive a capitalization grant, a State shall enter into an agreement with the EPA Regional Administrator which shall include, but not be limited to, the 10 specifications set forth in Section 602(b) of the CWA. OMB Circular No. A-87, "Cost Principles Applicable to Grants and Contracts with State and Local Governments" applies to State grantees.

Aplication and Award Process

Preapplication Coordination

An applicant (State) should seek preapplication assistance from the appropriate EPA Regional Office.

The State is required to prepare and provide for public comment a plan identifying the intended uses of the funds in the SRF (an intended use plan) and how those uses support the goals of the SRF.

The plan is to be submitted no later than the application.

An environmental impact statement is not required prior to grant award; however, a State environmental review process must be applied to all subsequent state assistance for wastewater facilities.

This program is eligible for coverage under E.O.

12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the state has selected the program for review.

Application Procedures

The standard application for EPA non-construction grant assistance (SF424-A and B) is submitted to the appropriate EPA Regional Office. Applicants may be able to use http://www.grants.gov to electronically apply for certain grant opportunities under this CFDA. The State must certify in its application that it has the legal, managerial, technical, and operational capabilities to administer the SRF program competently and that it will comply with Federal anti-discrimination laws and other applicable Federal statutes. Regulation 40 CFR Part 31 applies to the State. Establishment of the SRF is a prerequisite for a grant award.

Award Procedures

A grant application is reviewed by the appropriate Regional Office and, if approved, the grant is awarded by the Regional Administrator under a delegation of authority from the Administrator of EPA.

Deadlines

Applications should be submitted to the appropriate Regional Office no later than July 3 of the year following the year of appropriation to allow sufficient time for review and processing prior to the September 30 reallotment deadline.

Authorization

Clean Water Act (CWA), as amended, Public Law 95-217; Water Quality Act of 1987, Sections 601 through 607, 205(m), Public Law 100-4.

Range of Approval/Disapproval Time

Approval time averages 45 days.

Appeals

Disputes will be resolved under 40 CFR 30.63 or 40 CFR 31.70, as applicable.

Renewals

For those portions of the State program that do not change from year to year, a subsequent grant application may incorporate by reference relevant portions of the previous year's application which have not changed or an operating agreement approved by the region.

Assistance Considerations

Formula and Matching Requirements

The Regional Administrator may award capitalization grants from funds appropriated for this purpose. Allotments to the States are determined by a table of decimal fractions ("formula") in Section 205(c)(3) of the CWA. The required State match is 20 percent of the amount of each Federal grant payment.

Length and Time Phasing of Assistance

Funds are available for EPA's obligation to the State during the fiscal year in which they are allotted and during the following year. The State must agree to enter into binding commitments with recipients to provide financial assistance from the SRF in an amount equal to 120 percent of each quarterly grant payment. The State is also required to agree to expend all funds in the SRF in an expeditious and timely manner.

Post Assistance Requirements

Reports

Beginning the first fiscal year after receiving payments, the State shall provide an annual report to the Regional Administrator in accordance with the schedule established in the grant agreement (generally not later than 90 days after the end of the fiscal year in which the payments were received).

The annual report shall describe how the State has met the goals and objectives for the preceding fiscal year, as identified in its intended use plan, including identification of loan recipients, loan amounts, and loan terms and similar details on other forms of financial assistance provided from the SRF.

Audits

A State must, at a minimum, comply with the provisions of the Single Audit Act Amendments of 1996, and the OMB Circular No. A-133 and Compliance Supplement. States are also encouraged to conduct annual independent audits. State-conducted audits may be performed in conjunction with the Single Audit Act. Grants and cooperative agreements are subject to inspections and audits by the Comptroller General of the United States, the EPA Office of Inspector General, other EPA staff, or any authorized representative of the Federal government. Reviews by the EPA Project Officer and the Grants Specialist may occur each year. In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," non-federal entities that expend $500,000 or more in a year in Federal awards shall have a single or a program-specific audit conducted for that year. Non-federal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in OMB Circular No. A-133.

Records

As part of the annual review conducted by the agency to assess the State's performance against activities identified in the intended use plan and annual report, and to determine compliance with the terms of the capitalization grant agreement, the State or loan recipient shall make available to EPA such records as the Regional Administrator reasonably requires to review and determine State compliance with the requirements of the CWA.

Financial Information

Account Identification

68-0103-0-1-304; STAG.

Obigations

FY 07 $1,017,073,535; FY 08 est. $689,070,000; and FY 09 est. $555,000,000.

Range and Average of Financial Assistance

$6,500,000 to $147,000,000/fiscal year; $26,000,000/fiscal year.

Regulations, Guidelines, and Literature

Program guidance was issued January 28, 1988. A State Revolving Fund Management Manual was distributed in November, 1988. Regulations include 40 CFR Part 31 and SRF regulations 40 CFR Part 35, Subpart K which were issued in March 1990.

Information Contacts

Regional or Local Office

EPA Regional Offices listed in Appendix IV of the Catalog.

Headquarters Office

Sheila Platt, State Revolving Fund Branch, Municipal Support Division, (4204M), Office of Wastewater Management, Environmental Protection Agency, Washington, DC 20460. Telephone: (202) 564-0686; Fax: (202) 501-2403; E-mail: platt.sheila@epa.gov.

Criteria for Selecting Proposals

Grants are awarded to States that satisfy the requirements outlined in the application procedure section.



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