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Drinking Water Infrastructure Grant
Program
Jan 31, 2001 Letter Transmitting Proposed FY-2001 IUP
Indian Nation
Proposed Fiscal Year 2001
Intended Use Plan
with
Priority System
Priority List
Response to Comments
January 2001
TABLE OF CONTENTS
- I. BACKGROUND
- II. RESPONSE TO COMMENTS ON THE PROPOSED INTENDED USE PLAN
- III. INTRODUCTION
- IV. PROGRAM GOALS
- V. AVAILABLE FUNDS
- VI. UNSCHEDULED EMERGENCY PROJECTS
- VII. PROJECT PRIORITY SYSTEM
- VIII. PROJECT PRIORITY LIST
- IX. SUBMITTAL REQUIREMENTS FOR PROJECTS ON THE PROJECT PRIORITY LIST
- X. ALLOWANCE FOR PLANNING AND DESIGN
- XI. OPERATOR CERTIFICATION
- XII. CAPACITY DEVELOPMENT - DEMONSTRATION SUMMARY
- XIII. HOW TO APPLY FOR FUTURE GRANT FUNDS AND HOW NEW PROJECTS WILL BE ADDED TO THE PROJECT PRIORITY LIST
Many public water systems are in need of infrastructure improvements to protect public health and maintain compliance with the Safe Drinking Water Act (SDWA). A grant program was established under the 1996 SDWA Act Amendments called the Drinking Water Infrastructure Grants, Tribal Set-Aside (DWIG TSA) Program. Grant money is available to federally recognized Indian Nations for drinking water system infrastructure improvements.
In October 1998, the Environmental Protection Agency (EPA) Headquarters published National Guidelines for this program. Copies of the National Guidelines are available on the EPA Region 2 Internet Site. A copy of the National Guidelines can also be obtained by contacting Mr. Gerard McKenna of EPA Region 2 at (212) 637-3838. The National Guidelines require each EPA Regional Office, with Indian Nations located within the Region, to administer a Regional grant program and to distribute the grant funds according to a Regionally developed priority system. Priority systems must address the most serious public health risks, ensure compliance with the SDWA requirements and assist water systems most in need.
EPA Region 2 is administering the grant program for all of the federally recognized Indian Nations located within EPA Region 2 in accordance with the National Guidelines and as set forth in this Intended Use Plan (IUP). There are seven federally recognized Indian Nations located within EPA Region 2; the St. Regis Mohawk Tribe, the Seneca Nation of Indians, Oneida Nation, Tuscarora Nation, the Tonowanda Band of Senecas, Onondaga Nation and Cayuga Nation. EPA Region 2 is authorized to distribute grants to these Indian Nations. Grant funds cannot be awarded directly to owners of individual water systems or individual home owners. The details on who is eligible to receive assistance through an Indian Nation is described in the National Guidelines.
In September 2000, EPA awarded the first grant under this program. The St. Regis Mohawk Tribe received a grant services (zero dollar grant) for a drinking water system rehabilitation project. Fiscal Year 1997, 1998, 1999 and 2000 Grant Funds ($1,147,400) were transferred to the Indian Health Service (IHS) through an Interagency Agreement and IHS will administer EPA's grant funds. IHS, the U.S. Department of Agriculture (USDA) and the Akwesasne Housing Authority acting under the U.S. Department of Housing and Urban Development (HUD) also provided funding toward the project.
II. RESPONSE TO COMMENTS ON THE PROPOSED INTENDED USE PLAN
Any comments that are received in writing or by electronic mail during the comment period specified in the transmittal letter that is sent out with this IUP, will be taken into consideration. EPA will summarize comment(s) in this section and provide a response to the comment(s).
This IUP contains information about EPA Region 2's current grant program, EPA Region 2's Project Priority System that was used to rank projects, EPA Region 2's Project Priority List and information on how to apply for future grant funds.
Based on pre-applications submitted and follow up by EPA, projects were ranked from highest score to lowest score according to the EPA Region 2 Project Priority System, and projects were listed from highest score to lowest score on the EPA Region 2 Project Priority List. All projects on the Project Priority List are eligible for funding. The project(s) with the highest point total will receive first priority for available funds. All grant funds are considered available up on till the point of grant award.
There is an anticipated funding line on the Project Priority List. At this time, EPA is anticipating that there should be Fiscal Year 2001 funding available for the projects listed above the anticipating funding line.
1. Implement an effective DWIG TSA program.
2. Assist public water systems that serve an Indian Nation population achieve and maintain compliance with drinking water standards.
3. Improve technical, financial and managerial capacity so that public water systems that serve an Indian Nation population can provide safe water over the long term.
EPA receives grant funds annually under this program.
FY 2001- Approximately $274,700
VI. UNSCHEDULED EMERGENCY PROJECTS
It is possible that EPA may receive a request to fund an emergency project. Such projects may include those where some type of failure was unanticipated and requires immediate attention to protect public health. In such cases, EPA has the authority to fund an emergency project ahead of a project that has not reached the stage of grant award. If EPA funds an emergency project ahead of a project that is expected to be funded, EPA will inform the Indian Nation(s) involved of the decision and the rationale behind the decision.
Projects were eligible to receive points from category A, B, and C. Points from A, B and C were totaled.
A. Public Health Risk / Compliance
_____ A water system is not in compliance with existing standards and the project will enable the water system to achieve compliance (acute contaminant in a surface water source - 500 points; acute contaminant in a groundwater source - 450 points; non-acute contaminant in a surface water source or a ground water source - 400 points)
_____ The project will prevent non-compliance with existing standards (acute contaminant in a surface water source - 300 points; acute contaminant in a groundwater source - 250 points; non-acute contaminant in a surface water source or a ground water source - 200 points)
_____ New treatment system or distribution system in areas not served by a public water system, where the existing source is subject to contamination (150 points)
B. Infrastructure Improvements
_____ The project will consolidate watersystems or provide an interconnection with another water system for capacity development (125 points)
_____ Existing treatment that is in need of replacement or rehabilitation to ensure compliance with existing drinking water standards (100 points)
_____ Existing transmission or distributions system components that are in need of replacement or rehabilitation to ensure compliance with existing drinking water standards (75 points)
_____ Existing treatment, transmission or distribution system components that are in need of replacement or rehabilitation to meet the standards specified in Recommended Standards for Water Works (Ten States Standards) most recent edition (50 points)
C. Assist Systems Most in Need
_____Median Household Income of the Indian Nations that have a project on the EPA Project Priority List will be compared to the 1990 New York State Median Household Income of $32,965.Less than 40% = 20 points
40% to 59% = 15 points
60% to 79% = 10 points
80% to 99% = 5 points
Greater than or equal to 100% = 0 points
In the event of a tie, the project that will benefit a larger number of people will be ranked higher.
| Indian Nation | System Name | Description of Project | Population | Current Funding Request | Score |
|
1. St. Regis Mohawk |
St. Regis Mohawk Tribe Water System | Rehabilitation of the treatment system | 1500 | $100,000 | 465 |
|
2. Seneca Nation of Indians |
Jimersontown Water System | Rehabilitation of the treatment system | 510 | $170,000 | 415 |
|
3. Seneca Nation of Indians |
Cattaraugus Water System | Rehabilitation of the distribution line/new storage | 100 | $380,000 | 390 |
IX. SUBMITTAL REQUIREMENTS FOR PROJECTS ON THE PROJECT PRIORITY LIST
All projects are required to be designed and constructed in accordance with Recommended Standards For Water Works (Ten States Standards) most recent edition. This document is published by the "Great Lakes Upper Mississippi River Board of State Public Health & Environmental Managers." (Note: Copies of Recommended Standards for Water Works can be ordered by calling the publisher at (518) 439-7286.
The following must be submitted prior to grant award:
1. A project feasibility report
2. Environmental planning documentation for the level of environmental review determined to be applicable by EPA
3. A design report and complete bidding documents (plans and specifications)
4. Documentation of completed public participation activities
5. An EPA Grant Application*
6. A Capacity Development Demonstration Summary (see section XII)
* - A Grant Application Kit is available on the EPA Region 2 Environmental Grant$ Web site. The forms in the Grant Application Kit are for Non-Construction Programs. Non-Construction Programs forms are the forms used for this grant program.
Any project that is not ready to proceed may be bypassed.
X. ALLOWANCE FOR PLANNING AND DESIGN
Preliminary work (planning and design) is necessary to reach the stage of ready for construction. The following table will be used to calculate an allowance for planning and design. If requested, an allowance for planning and design can be included in the grant award for the project.
|
Project Cost |
Allowance as a Percentage of Construction Cost |
|
$ 100,000 or less |
14.4945 |
EPA will not award a grant unless the public water system, that the Indian Nation is using the grant funds on, has a certified operator, who's certification is equal to the classification of the system (does not apply to transient public water systems). EPA encourages operators to be New York State certified, but an equivalent certification is acceptable.
XII. CAPACITY DEVELOPMENT - DEMONSTRATION SUMMARY
Before a DWIG TSA grant can be awarded, a public water system must have adequate technical, financial and managerial capacity (TFM). Public water systems that do not have TFM, are not eligible to be funded unless the Indian Nation or owner of the system agrees to make appropriate changes in operation (management, rate structure, maintenance, consolidation, alternative supplies, etc.) that will ensure the long term capability of the system.
Water system capacity is the ability to plan for, achieve and maintain compliance with applicable drinking water regulations. Below is an excerpt from an EPA guidance document that defines TFM and identifies questions that lead toward an assessment/demonstration of adequate capacity.
Please respond to the questions and attach supporting documents as necessary.
What is technical capacity and how can it be assessed?
Technical capacity is the physical and operational ability of a water system to meet SDWA requirements. Technical capacity refers to the physical infrastructure of the water system, including the adequacy of source water and the adequacy of treatment, storage and distribution infrastructure. It also refers to the ability of system personnel to adequately operate and maintain the system and to otherwise implement requisite technical knowledge.
A water system's technical capacity can be determined by examining key issues and questions, including:
- Source water adequacy. Does the system have a reliable source of drinking water? Is the source of generally good quality and adequately protected?
- Infrastructure adequacies. Can the system provide water that meets SDWA standards? What is the condition of its infrastructure, including well(s) or sources of water intakes, treatment, storage and distribution? What is the infrastructure's life expectancy? Does the system have a capital improvement plan?
- Technical knowledge and implementation. Is the system's operator certified? Does the operator have sufficient knowledge of applicable standards? Can the operator effectively implement this technical knowledge? Does the system have an effective operation and maintenance program?
What is managerial capacity and how can it be assessed?
Managerial capacity is the ability of a water system to conduct its affairs in a manner enabling the system to achieve and maintain compliance with the SDWA requirements. Managerial capacity refers to the system's institutional and administrative capabilities.
Managerial capacity can be assessed through key issues and questions, including:
- Ownership accountability. Are the system owners clearly identified? Can they be held accountable for the system?
- Staffing and organization. Are the system operator(s) and manager(s) clearly identified? Is the system properly organized and staffed? Do personnel understand the management aspects of regulatory requirements and system operations? Do personnel have adequate expertise to manage water system operations? Do personnel have the necessary licenses and certifications?
- Effective external linkages. Does the system interact well with customers, regulators and other entities? Is the system aware of available external resources, such as technical and financial assistance?
What is financial capacity and how can it be assessed?
Financial capacity is a water system's ability to acquire and manage sufficient financial resources to allow the system to achieve and maintain compliance with the SDWA requirements. Financial capacity can be assessed through key issues and questions, including:
- Revenue sufficiency. Do revenues cover costs? Are water rates and charges adequate to cover the cost of water?
- Credit worthiness. Is the system financially healthy? Does it have access to capital through public or private resources?
- Fiscal management and controls. Are adequate books and records maintained? Are appropriate budgeting, accounting and financial planning methods used? Does the system manage its revenues effectively?
Indian Nations interested in applying for future DWIG TSA Grants, must submit a pre-application for a project and if the project is eligible, EPA will list the project on the Project Priority List in the next Proposed IUP. EPA Region 2's pre-application is available online. A copy of the pre-application can also be obtained by contacting Mr. Gerard McKenna of EPA at (212) 637-3838. EPA will send out a letter to interested parties announcing a "call for projects" annually (see below for exception). A copy of EPA's pre-application will be sent out with the letter, and the letter will specify when pre-applications need to be submitted in order to be eligible for available funding.
A new pre-application does not need to be submitted in future fiscal years for projects currently on the Project Priority List unless the project information changes significantly. In future fiscal year IUP's, new or amended projects may be ranked higher than projects currently on the list that are not currently being funded with DWIG TSA Grant Funds.
It is EPA's policy to provide the funding necessary to complete projects that have already received DWIG TSA Grant Funds before funding new projects. EPA will not send out a letter announcing a "call for projects" and will not send out a Proposed IUP, in years where EPA does not expect to have enough annual funding to fund a new project. Projects can be phased if there is not enough available funding to fund the entire project.
If additional funding is needed to complete a project that has already been funded with DWIG TSA Grant Funds, the Indian Nations must send a written request to Gerard McKenna at the following address:
U.S. Environmental Protection Agency Region 2
Drinking Water Section
290 Broadway, 24th Floor
New York, NY 10007-1866
McKenna.Gerard@epa.gov
For projects on the Project Priority List that have not received DWIG TSA Grant Funds, there is a considerable amount of planning and design that needs to be done before a project can reach the stage of ready for construction. EPA would like to encourage Indian Nation(s) that have a project on the Project Priority List, to begin the planning and design necessary to reach the stage of ready for construction, so the project can be funded as soon as EPA has grant funds available for the project.
For Indian Nations that are interested in applying for future grant funds, EPA is recommending that the Indian Nation(s) begin assessing water system needs as soon as possible. EPA has other drinking water grant funds that can be used to do assessments. If you would like to find out more about the DWIG TSA Grant Program or you are interested in finding out more about other types of EPA drinking water grants, please contact Mr. Gerard McKenna of EPA at (212) 637-3838.
The Indian Health Service (IHS) has provided financial and engineering support to Indian Nations for drinking water systems for many years. EPA encourages Indian Nations to work with IHS on the development and implementation of their projects. For assistance from IHS, please contact Mr. Phillip Rapp at (207) 941-8744.
There are two methods that EPA can use to award DWIG TSA funds. An Indian Nation can receive grant funds from EPA directly. After funds are awarded, an Indian Nation may elect to provide some or all of the funds to IHS, a local government, an Indian Nation consortium or an eligible public water system for the conduct of the project. An Indian Nation can also request that EPA transfer the funds to IHS through an Interagency Agreement (IAG) and EPA can award a grant of IHS services (zero dollar grant) to the Indian Nation. IHS can administer the grant funds if requested. While both methods are acceptable, the latter approach is more efficient and can reduce the administrative burden on the Indian Nation and lessen paperwork for all parties.
For information on this page, contact: poon.robert@epa.gov
