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Grant Community.com Catalog of Federal Domestic Assistance Program Descriptions |
CATALOG OF FEDERAL DOMESTIC
ASSISTANCE
66.458: Capitalization Grants for State Revolving Funds
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| PROGRAM AND AWARD | FINANCIAL AND INFORMATION CONTACTS |
| ELIGIBILITY REQUIREMENTS | FINANCIAL AND ADMINISTRATIVE INFO. |
| APPLICATION AND AWARD PROCESS | INFORMATION CONTACTS |
| RELATED PROGRAMS | ASSISTANCE CONSIDERATIONS |
| PROGRAM ACCOMPLISHMENTS | POST ASSISTANCE REQUIREMENTS |
Applicant Eligibility: States, territories and possessions of the U.S., including DC may use allotments under Title VI as grants for the construction of municipal wastewater facilities. Indian tribes are eligible to receive capitalization grants.
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 above public agencies and individuals if specified in the approved plans 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.
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 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 Procedure: The standard application for EPA nonconstruction grant assistance (EPA Form 5700-33) is submitted to the appropriate Regional Office. 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 antidiscrimination 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 Procedure: 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.
Range of Approval/Disapproval Time: Approval time averages 45 days.
Appeals: As described in EPA's Regulation 40 CFR Part 31, Subpart F.
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.
Criteria for Selecting Proposals: Grants are awarded to States that satisfy the requirements outlined in the application procedure section.
Examples of Funded Projects: State revolving loan fund; wastewater treatment plants, nonpoint source projects (e.g., prevention of agricultural runoff), and estuary protection.
Range and Average of Financial Assistance: $10,000,000 to $216,000,000; $30,000,000.
Federal Agency: OFFICE OF WATER, ENVIRONMENTAL PROTECTION AGENCY
Type of Assistance: Formula Grants.
Obligations: (Grants) FY 99 $1,329,014,000; FY 00 est 1,324,499,700; and FY 01 est $800,000,000.
Budget Account Number: 68-0103-0-1-304; 68-0103-7-1-304.
Authorization: Clean Water Act, Public Law 95-217, as amended; Water Quality Act of 1987, Sections 601 through 607, 205(m), Public Law 100-4.
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.
Regional or Local Office: EPA Regional Offices listed in Appendix IV of the Catalog.
Headquarters Office: Richard Kuhlman, State Revolving Fund Branch, Municipal Support Division, (4204), Office of Wastewater Management, Environmental Protection Agency, Washington, DC 20460. Phone: (202) 260-7366.
(See Appendix IV for more contact info.)
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.
Uses and Use Restrictions: Capitalization grants are available to each State for the purpose of establishing a clean water State revolving fund 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 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 if provided for in State Plans developed under Sections 319 and 320. Up to 4 percent of the grant amounts may be used for the cost of administering the SRF.
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: At least once a year EPA will conduct, or require the State to have independently conducted, a financial and compliance audit of the SRF and the operations of the SRF. State-conducted audits may be performed in conjunction with the Single Audit Act of 1984. In accordance with the provisions of OMB Circular No. A-133, "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that receive financial assistance of $300,000 or more within the State's fiscal year shall have an audit made for that year. The Office of Management and Budget (OMB) Circular No. A-133, "Audits of States, Local Governments, and Non-Profit Organizations," was published in the Federal Register on June 30, 1997. The Circular implements the Single Audit Act amendments of 1996. The Circular requires nonfederal entities that expend more than $300,000 in Federal award dollars, to have an audit conducted in accordance with the Circular's provisions. With the revised Circular, the previous OMB Circular No. A-128 for single audits of State and local governments was rescinded and the single audit requirements for these entities were incorporated among the provisions of 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.
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Last Updated, November, 2000
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