Construction Grants for Wastewater Treatment Works (66.418)
Program
66.418 Construction Grants for Wastewater Treatment Works
Federal Agency
OFFICE OF WATER, ENVIRONMENTAL PROTECTION AGENCY
Authorization
Clean Water Act, Public Law 92-500, as amended; Sections 101(e), 109(b), 201 through 205, 207, 208(d), 210 through 212, 215 through 219, 304(d)(3), 313, 319, 320, 501, 502, 511, and 516(b); Public Laws 97-117 and 95-217; Water Quality Act of 1987, Public Law 100-4; Public Law 96-483; and Public Law 101-144.
Program Number
66.418
Last Known Status
Active
Objectives
To assist and serve as an incentive in construction of municipal wastewater treatment works which are required to meet State and/or Federal water quality standards and improve the water quality in the waters of the United States. Funding Priority: To assist and serve as an incentive in construction of municipal wastewater treatment works which are required to meet State and/or Federal water quality standards and improve the water quality in the waters of the United States.
Types of Assistance
Project Grants.
Uses and Use Restrictions
For construction of municipal wastewater treatment works including privately owned individual treatment systems, if a municipality applies on behalf of a number of such systems. Such works may serve all or portions of individual communities, metropolitan areas, or regions. A project may include, but may not be limited to, treatment of industrial wastes. The grantee must require pretreatment of any industrial wastes which would otherwise be detrimental to efficient operation and maintenance, or the grantee must prevent the entry of such waste into the treatment plant. The grantee must initiate an acceptable system of user charges.
Eligibility Requirements
Applicant Eligibility
Any municipality, intermunicipal agency, State, or interstate agency, or Federally-recognized Indian tribal government, having jurisdiction over waste disposal. At present, new funding for the Construction Grants Program exists only in the District of Columbia, Virgin Islands, and the outer Pacific Islands because these were provided exemption by the U.S. Congress from establishing State Revolving Fund (SRF). Grants are awarded to only these territories from the SRF funds, which are received as Title II grants. Funding requests for construction of wastewater treatment facilities are now to be made to the SRF representative of the State in which the construction is proposed.
Beneficiary Eligibility
Anyone to be served by a wastewater treatment works assisted by this program.
Credentials/Documentation
(1) Certified copy of authorization and assurances from the applicant's governing body. Authorization must be current, and must designate by name and title the individual who will represent the applicant; (2) current description of the project; (3) statement explaining exact nature of local, State, and any other Federal funds which may be used to finance the project; (4) applicant assurance (which is acceptable to the Regional Administrator) that any necessary discharge permit has been or will be obtained in accordance with Section 401, of Public Law 92-500, as amended; (5) conformance with requirements set forth in 40 CFR Part 35; Subpart I. Application may be made for grant assistance for building and erection of the treatment works with an allowance for planning and design costs at the time that the grant for construction is made. Costs will be determined in accordance with OMB Circular No. A-87, "Costs Principles for State, Local, and Indian Tribal Governments."
Application and Award Process
Preapplication Coordination
Preapplication assistance, including necessary application forms, and, where appropriate, a preapplication conference should be scheduled with the State water pollution control agency. The standard application forms as furnished by the Federal agency and required by OMB Circular No. A-102 must be used by this program. An environmental assessment is required for this program, which may require the development of an environmental impact statement by EPA. 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
Application must be submitted through the State water pollution control agency to the appropriate EPA Regional Office. This program is excluded from coverage under OMB Circular No. A-110.
Award Procedure
Projects considered for award must be approved by the State water pollution control agency and also certified by such agency as to priority over any other eligible projects. Award is made following such certification and approval by a Regional Office of EPA. Funds authorized by the Congress are allotted to the States in accordance with The Clean Water Act, as amended. Grant awards within individual States are limited by the funds which have been allotted to such States.
Deadlines
Any Title VI sums that are allotted as Title II to the District of Columbia (DC), American Samoa, Guam, Northern Marianas Islands, and Virgin Islands will be available for obligation to the above territories respectively for a period of one year after the close of the fiscal year for which the sums are authorized. The deobligated CWA Title II construction grants funds reissued on or after October 1, 1990, and before October 1, 2001, will remain available for reobligation in the same State until September 30, 2002, unless a deviation has been requested by the State before September 30, 2002, and approved by the EPA Region.
Range of Approval/Disapproval Time
Appeals
As described in 40 CFR, Part 31, Subpart F.
Renewals
None.
Assistance Considerations
Formula and Matching Requirements
This program operates under Section 202 of the Clean Water Act. The Federal grant may be for up to 55 percent for grants awarded after September 30, 1984 or for 75 percent of eligible project costs for grant assistance awarded before October 1, 1984. The States may lower these percentages with the concurrence of the Regional Administrator pursuant to Section 202(a)(1) of the Clean Water Act as amended by Public Law 100-4. For innovative or alternative treatment processes and techniques referred to in section 201(g)(5) the funding shall be 20 per centum greater than the above approved percentage, but in no event greater than 85 per centum of the cost of construction of the project being funded with the grant. The grantee must assure that they will provide funds for all remaining costs. Some States assist grantees in providing all or part of the non-Federal share. The American Samoa, Guam, Northern Marianas Islands, and Virgin Islands will receive the funds allocated up to 100 percent of the cost of construction.
Length and Time Phasing of Assistance
Grant payments are based on work completed, equipment delivered, or sometimes off-site manufacturing or services rendered. Final grant payment is made after construction is completed and satisfactory final inspection and performance evaluation are carried out.
Post Assistance Requirements
Reports
Annual inspection by the State agency for compliance with permit requirements including a written report concerning operation and maintenance of waste treatment facility, and certification one year after beginning operation that the works are meeting project performance standards.
Audits
Preward, interim, and/or final audits may be performed. Periodic audits should be made as part of the recipient's systems of financial management, and internal control to meet terms and conditions of grants and other agreements. At least once a year EPA will conduct, or require the State to have independently conducted, a financial and compliance audit of the grant and the operations of the project. 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," non-Federal 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 non-Federal 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
Financial records, including all documents to support entries on accounting records and to substantiate charges to each grant, must be kept available to personnel authorized to examine EPA grant accounts. All records must be maintained for 3 years after project closeout, and if questions still remain, such as those raised in a court appeal, related records should be retained until the matter is completely resolved.
Program Accomplishments
In Fiscal Year 2002, seven construction grants were awarded totaling $17.5 Million. It is anticipated that 5 construction grants will be awarded in the fiscal year 2003 with an estimated dollar value of $12 million, including deobligated funds from previous grants.
Financial Information
Account Identification
68-0103-0-1-304.
Obligations
(Title II Construction Grants to District of Columbia, American Samoa, Guam, Northern Marianas Islands, and the Virgin Islands) FY 02 $9,958,200; FY 03 est $9,393,300; and FY 04 est $10,000,000.
Range and Average of Financial Assistance
$10,000 to $10,000,000; $3,000,000.
Regulations, Guidelines and Literature
Grants for Construction of Treatment Works, Environmental Protection Agency (40 CFR Part 35, Subpart E (and Subpart I, applicable to grants awarded after May 12, l982); General Grant Regulations and Procedures, EPA (40 CFR Part 31); "Construction Grants 1985 (Guidelines for applicants and grantees)"; and Construction Grants Handbook of Procedures (Guidelines for Project Officers)." For these and other publications, please contact EPA's Office of Wastewater Management, Municipal Support Division, MC-4204M, 1200 Pennsylvania Ave., NW, Washington, DC 20460.
Related Programs
66.458, Capitalization Grants for Clean Water State Revolving Funds.
Information Contacts
Regional or Local Office
Information regarding appropriate waste treatment requirements and State and Federal assistance may be obtained from the State water pollution control agency. Individuals may also communicate with the appropriate EPA Regional Office listed in Appendix IV of the Catalog. Also, contact your State agency concerning possible assistance under a State revolving fund (Title VI) of the 1987 Amendments of the Clean Water Act.
Headquarters Office
Gajindar Singh, Municipal Assistance Branch, MC-4204M, Municipal Support Division, Office of Wastewater Management, Environmental Protection Agency, 1200 Pennsylvania Ave., NW, Washington, DC 20460. Telephone: (202) 564-0634 Fax: (202) 501-2396.
Web Site Address
http://www.epa.gov/owm/cwfinance/index.htm
Examples of Funded Projects
New and expanded wastewater treatment plants, infiltration-inflow correction, new interceptors, new collector sewers, and correction of combined sewer overflows (CSO) projects.
Criteria for Selecting Proposals
Annual funding priorities are determined by the State in which the grantee is located. The project must be given priority by the State water pollution control agency through its project priority system and recommended for funding for approval by the EPA Regional Office.
