Disaster Relief Appropriations Act (DRAA) Hurricane Sandy Capitalization Grants for Drinking Water S

Grants are made to New York and New Jersey to fund resiliency projects for facilities impacted by Hurricane Sandy through the State DWSRF Programs.

Funding Priority - Fiscal Year 2013: The funding priority established by the Hurricane Sandy Supplemental Appropriation is to fund projects
at drinking water facilities that will improve the resiliency of those facilities against future disasters.

Only facilities that were impacted by Hurricane Sandy in the States of New York and New Jersey are eligible.

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 - See Regional Agency Offices.

Steve Vida, Section Chief, State Revolving Fund Program Section, EPA Region 2, 290 Broadway - 24th Floor, NY NY 10007.

Telephone:(212) 637-3862; Fax: (212) 637-3889; e-mail: vida.stephen@epa.gov.

Program Accomplishments

Not Applicable.

Uses and Use Restrictions

Capitalization grants are made available to New York and New Jersey for the purpose of funding resiliency related projects for facilities that were impacted by Hurricane Sandy.

The capitalization grant is deposited in the State"s DWSRF, and is used to provide loans and other types of financial assistance to eligible public water systems.

A State may elect to use up to 31% of the capitalization grant for other eligible activities, including 4% for administration of the program.

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.

Grant recipients and sub-recipients are encouraged to adopt and enforce policies that ban text messaging while driving company-owned or -rented vehicles or government-owned vehicles, or while driving privately-owned vehicles when on official government business or when performing any work for or on behalf of the government.

Grant recipients and sub-recipients are encouraged to conduct initiatives of the type described in section 3(a) of the Federal Leadership on Reducing Text Messaging While Driving Executive Order that was signed on October 1, 2009.

Eligibility Requirements

Applicant Eligibility

The States of New York and New Jersey.

Beneficiary Eligibility

The States of New York and New Jersey, and drinking water facilities funding resiliency projects that were impacted by Hurricane Sandy.


To receive a capitalization grant, a State shall enter into an agreement with the EPA Regional Administrator which shall include, but is not limited to, the requirements set forth in Section 130 of the SDWA. OMB Circular No. A-87, "Cost Principles Applicable to Grants and Contracts with State and Local Governments" applies to State grantees. OMB Circular No. A-87 applies to this program.

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 on a plan identifying the intended uses of the funds in the DWSRF (Intended Use Plan, or IUP) and how those uses support the goals of the DWSRF.

The IUP 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.

Environmental impact information is not required for this program.

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

OMB Circular No. A-102 applies to this program. This program is excluded from coverage under OMB Circular No. A-110. 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 DWSRF 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 DWSRF 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.


Contact the headquarters or regional office, as appropriate, for application deadlines.


Disaster Relief Appropriations Act, 2013, Public Law 113-2.

Range of Approval/Disapproval Time

Approval time averages 45 days.


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


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

Statutory Formula: The supplemental appropriation left the development of an allocation formula to US EPA. New York is eligible for 59.7% of the appropriation and New Jersey is eligible for 40.3% of the appropriation.

The allocation percentages were determined in accordance with the population of the counties of each state that were declared disaster areas by FEMA for Hurricane Sandy. Census data from the most recent census was used. 59.7% of all the total impacted population live in New York and 40.3% live in New Jersey.
Matching Requirements: Other.
This program does not have MOE requirements.

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 term of the grant shall be determined at the time of award. States must enter into binding commitments with loan recipients to provide financial assistance from the DWSRF in an amount equal to the sum of Federal assistance, less amounts used by the State for eligible set-aside purposes, and the State match. States are also required to agree to commit and expend all funds in the DWSRF as efficiently as possible, and in a timely manner. See the following for information on how assistance is awarded/released: The method of fund disbursement will be determined at the time of award.

Post Assistance Requirements


The State shall provide biennial reports to the Regional Administrator in accordance with the schedule established in the grant agreement.

The biennial report shall describe how the State has met the goals and objectives for the preceding two fiscal years of the overall program, including the supplemental appropriation for Hurricane Sandy, including identification of loan recipients, loan amounts, and loan terms.

Cash reports are required under this program.

Progress reports are required under this program.

Expenditure reports are required under this program.

Performance reporting is required under this program.


In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal 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 Circular No. A-133. 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. The audit of the fund to be prepared by the State or an independent auditor must be in accordance with the standards of the Government Accountability Office (known as the Generally Accepted Government Auditing Standards). To the extent that the set-asides are used for project purposes that must be repaid, or are directly related to the DWSRF (e.g., administration) or are revolving funds themselves, they must be part of an audited opinion(s). The audits must provide an auditor"s opinion on the DWSRF financial statements, a report on internal controls and a report on compliance with laws and regulations. Those set-aside funds that are not loaned out may be audited in conjunction with audits conducted under the Single Audit Act, as described in OMB Circular No. A-133 and OMB"s Compliance Supplement for Single Audits of State and Local Governments.


Financial records, including all documents to support entries on accounting records and to substantiate changes to each grant, must be kept available to personnel authorized to examine EPA grant accounts. All records must be maintained for three years from the date of submission of the final expenditure report. If questions still remain, such as those raised as a result of audit, related records should be retained until the matter is completely resolved. As part of the annual review conducted by the Agency to access a State"s performance against activities identified in the intended use plan and biennial report, and to determine compliance with the terms of the capitalization grant agreement, the State or assistance 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 SDWA.

Financial Information

Account Identification



(Formula Grants) FY 12 $0; FY 13 est $100,000,000; and FY 14 est $0

Range and Average of Financial Assistance

Not applicable.

Regulations, Guidelines, and Literature

EPA Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments (40 CFR Part 31) and Drinking Water State Revolving Fund regulations (40 CFR Part 35, Subpart L). Additional program information, including contact information for state program managers, is available online at http://water.epa.gov/grants_funding/dwsrf/index.cfm. Additional guidance can be found at: http://www.epa.gov/sandy/ .

Information Contacts

Regional or Local Office

See Regional Agency Offices. Steve Vida, Section Chief, State Revolving Fund Program Section, EPA Region 2, 290 Broadway - 24th Floor, NY NY 10007. Telephone:(212) 637-3862; Fax: (212) 637-3889; e-mail: vida.stephen@epa.gov.

Headquarters Office

Peter Shanaghan Infrastructure Branch (4606M)
Drinking Water Protection Division
Office of Groundwater and Drinking Water
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW, Washington, District of Columbia 20460 Email: shanaghan.peter@epa.gov Phone: (202) 564-3848

Criteria for Selecting Proposals

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

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