The information explains how you apply for the funding, get
paid, and what your responsibilities are after you have received
the funding. It contains links for getting the forms which must
be completed. The forms can be completed on screen and printed
for mailing. All information can be read on screen or downloaded.
Important Notice
The intention of this section is to provide you (the Grantee)
with information that will help you to properly manage your grant.
EPA's grant regulations are located under Title 40 of the Code
of Federal Regulations (CFR), Parts 29 through 47. You must comply
with these regulations in their entirety. Non-profits and institutions
of higher education should pay particular attention to 40 CFR
Part 30; State and local governments are governed by 40 CFR Part
31.
The information provided here is not intended to serve as a
replacement for the grant regulations or for any federal statute
that applies to your grant. Those authorities should be consulted
to ensure compliance. The information provided at this site is
simply designed to provide you with a better understanding of
the regulatory requirements. To the extent that any information
herein is inconsistent with any of the regulations, or with any
statutory authority, the regulations and/or statute govern.
Table of Contents
1. How to Apply
Your community has been identified to receive a grant. To receive
the grant, the community must fill out a grant application.
The grant application is a package of documents. It includes
a form in which you formally request the grant. It also describes
what your project is, contains a schedule for starting and completing
the project, and provides information on compliance with Federal
regulations applicable to the grant. EPA will review the application, and when the application is complete and approveable, the grant will be awarded to the community.
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2. Grant Application
Form
The grant application form is four pages long. The first page
is your official request (Standard
Form 424) [pdf, 6 pages, 193KB, info
about pdf]. Note that all applicants must provide their Dunn
and Bradstreet (D&B) Data Universal Numbering System (DUNS)
number. The number should be typed into the address block of box
5 of the Standard Form 424. If you do not have a DUNS number,
click on the "Applications Forms" link and either call
the toll-free DUNS Number or use the on-line web address. There
is no cost involved to get a DUNS number.
The second page summarizes budget information for the project.
The summary identifies the categories of activities you will fund
with the grant. Infrastructure grants use Standard Form 424C.
The last is a two-page certification that you will comply with
all appropriate Federal regulations, policies, and requirements.
The certification is Standard Form 424D.
All application forms can be reached through the "Application
Forms" link on the left side of this page. Additionally,
a "Helpful
Hints for Completing the SF 424" [1pp, 30K, about pdf] guide can be reached
in the "Links to Other Related Information" link.
It is important to note that these grants generally expect the community
to provide a local cost share for their project. The local contribution
is sometimes referred to as the "grant match" or "local
cost share." The usual split is 55 % Federal grant funds
with 45 % local dollars. This means that for each $1.00 of eligible
project costs incurred, you are reimbursed $0.55 from EPA.
Therefore, on the first page of the application (Standard Form
424), in space 15, it is important that you identify the source
of funding you will use for the community's local cost share.
Possible sources of local cost share (i.e., the non-Federal grant
match) include:
2. Appendix A, Certification
Regarding Lobbying (self-explanatory). [pdf, 1 page, 27KB,
info about pdf]
3. Standard Form LLL. Disclosure
of Lobbying Activities.[pdf, 2 pages, 95KB, info
about pdf] Use this form only if required by paragraph (2)
on the "Certification Regarding Lobbying."
4. EPA Form 4700-4, Preaward
Compliance Review Report . [pdf, 2 pages, 81KB, info
about pdf] The information on this form will enable EPA to
determine whether the applicant is developing projects, programs
and activities on a nondiscriminatory basis as required by Title
VI of the Civil Rights Act of 1964.
5. Response from Intergovernmental Review (Executive Order 12372).
The community must submit notice of its application to the State
Single Point of Contact or area-wide clearinghouse. It can take
up to 60 days for that office to review the notice. The community
may request an earlier review from that office. The purpose of
this process is to avoid any conflicts between your project and
other projects in your state by making other agencies aware of
your plans.
6. Please note that the grant application, Standard Form (SF) 424, requires applicants to have a resolution for the authorized representative signing the SF-424 on file. It gives Federal agencies the option of requiring the submission of the resolution with the SF-424. Region 3 does not require the submission of the resolution with the SF-424.
If, however, the authorized representative is changed, a copy of the new resolution must be submitted to the state infrastructure financing office and EPA. An authorized representative must be a member (employed or volunteer) of the applicant organization. Persons who provide contractual services such as outside accountants, engineers, consultants or attorneys cannot serve as authorized representatives.
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4. Project Planning and Environmental Information
Before awarding a grant for design or construction-phase work, EPA will review the project planning and environmental information. This review examines whether the community has chosen a project that is cost-effective, environmentally sound, has public support, and is affordable.
If you are applying for a grant to pay for design and construction-phase work, you should include with the grant application package a copy of the engineering report(s) or studies that describe, evaluate, and recommend the proposed project. If you believe that proper specific circumstances make it important that the grant be awarded before EPA's review of the project planning and environmental information, you should contact the state infrastructure financing office or EPA to discuss whether an exception is appropriate.
Another option is to first apply for funding of planning costs followed by a later award for design or construction costs.
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5. Sustainable Water Infrastructure
EPA, in partnership with water industry professionals, is working to fundamentally change the way the nation views and manages its water infrastructure because:
- Drinking water and wastewater facilities (supply, treatment, distribution, and collection) represent large investments of local funds, and
- The cost of maintaining water infrastructure is staggering.
EPA is encouraging local utilities to plan how to maximize the useful value of the new drinking water and wastewater facilities they are building. To help water utility managers, EPA is sharing information on best practices, tools, and techniques that can help utilities save electricity, conserve water, and maximize the useful life (value) of equipment. The water industry is beginning to use the term "sustainable infrastructure" to capture all three approaches.
EPA recommends all water utilities consider their equipment and facilities as their "assets", and shift from thinking in terms of maintenance (of the equipment) to management of their asset. Utilities will benefit by longer service life with reduced costs.
To learn more about maximizing the useful value and reducing the costs of water infrastructure, go to : http://www.epa.gov/waterinfrastructure/ and http://www.epa.gov/reg3wapd/infrastructure.
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6. Mailing the Application
After you have assembled all of these documents, you will mail
them to the state infrastructure financing office which serves
your community, or the EPA Regional Office, depending on what you were advised to do during your pre-application meeting with state and EPA representatives. (For example, applications for projects located in the District of Columbia and Pennsylvania
should be mailed to the U.S. EPA Region 3, Grants and Audit
Management Branch (3PM70), 1650 Arch Street, Philadelphia, PA
19103-2029, to the attention of Ms. Kathleen Blinebury, Grants
Management Officer.) A list of EPA Region 3 state infrastructure financing
offices is located at the end of this page.
The state infrastructure financing office
will review the community's application and send it to EPA when
everything is complete. EPA will mail the grant award to the community.
A letter will ask that you to sign all three original copies of
the grant agreement. One copy is returned to EPA and one copy
is mailed to the state infrastructure financing
office. You keep the third copy for your records.
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7. What Happens
Next
Your community has received its grant. You are ready to use the
grant to build your project. At this point it is important to
know how you get paid and what your responsibilities are.
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8. The Rules
In accepting the grant award, the community agrees to comply
with all applicable Federal statute, regulations and policies.
Chief among the applicable rules governing your grant are EPA
regulations at 40 Code of Federal Regulations (CFR) Part 31 and
Office of Management and Budget Circular A-87. These are available
through "Links to Other Related Material." If you have
any questions about these standards, feel free to contact the
EPA Office of Infrastructure and Assistance at (215) 814-5771.
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9. How the Grant is Paid
Most new grants awarded after May 2007 will be paid through the Federal Automated Standard Application for Payment (ASAP) system. ASAP is an electronic payment and information system that provides access to grant funds through the Internet or by telephone.
If the new grant project will be paid within a short period of time, or in one to three payments or the grant amount is very small ($100,000 or less), payment may be made through the Automated Clearinghouse/Electronic Funds Transfer (ACH/EFT) system. The ACH/EFT system is more suited to those payment conditions.
Prior to award of the grant, the EPA project officer and grantee will determine which payment system is suitable.
In order to receive payment through ASAP, enrollment in the ASAP system is required. Regardless of the number of federal agencies or programs providing funding to a grantee, only one enrollment in ASAP is required. See ASAP or ACH/EFT Enrollment.
Whichever payment system is used, the grant is paid on a reimbursable basis. A payment request may be prepared and submitted to the state oversight agency anytime after allowable costs have been incurred. For most municipal governments, departments and authorities, costs are considered "incurred" when posted to an accounting system as due and payable to a vendor. It is good business practice to submit requests for payment no more frequently than monthly.
Standard Form 271, Outlay Report and Request for Reimbursement for Construction Grants, is used to summarize all eligible project costs funded by the EPA grant. The completed SF271must be submitted to the state oversight agency or state infrastructure financing office for pre-payment review. Once the state agency approves the payment, EPA's Las Vegas Financing Center staff will authorize payment through ASAP or ACH/EFT.
Funds will be available for the grantee to draw from its bank account approximately 10 business days after the SF271 has been submitted to the state agency. For ASAP users, the system may be accessed at anytime to view account balances (availability of funds), account history, or the status of payment requests. ACH/EFT users should use the account access services provided by their bank to determine availability of funds.
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10. Enrollment in Payment Systems
1. How to enroll in ASAP
The grant recipient organization's authorized representative should contact Mr. Peter Puglisi at the EPA Las Vegas Financing Center (LVFC) after a signed copy of the grant agreement has been returned to EPA and the state oversight agency as directed in the Assistance Agreement/Amendment Notice. Mr. Puglisi can be contacted at 702-798-2426 or by e-mail at Puglisi.Peter@epa.gov. Mr. Puglisi should be informed if and when the recipient organization previously enrolled in ASAP. Once enrolled in ASAP, the system may be used for reimbursement of all of the grantee's federally-funded projects. Only one enrollment is necessary.
Whether an existing or new ASAP account is used, the state oversight agency or state infrastructure financing office must be authorized for "inquiry-only" access. Throughout the term of the project, the oversight agency assists EPA by monitoring grant financial status, maintaining awareness of the project's progress, and reviewing grantee requests for payment. The oversight agency will not approve grant payments without "inquiry-only" access to verify grant financial status.
Information on ASAP is available at http://www.fms.treas.gov/asap.
2. How to enroll in ACH/EFT
During the pre-application discussions about the grant from EPA, the grantee and project officer will determine if the project meets the criteria for this payment system. If the decision is to use the ACH/EFT payment system, approximately two weeks after EPA receives the signed grant agreement, Mr. Peter Puglisi will send the grantee an ACH/EFT enrollment packet for providing required banking information. The enrollment packet must be completed and returned to LVFC promptly.
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11. How the Grant Funds
May Be Used
Grant funds may be used to fund various elements of an approved
project. For example, you might decide to use the grant to pay
for only the construction cost of the project. Or you might use
it to pay for planning or other professional services. Finally,
you might use it to pay for the cost of grantee's employees to
administer the project. You might even use the grant to pay for
portions of all of theses activities. Your application must identify
which of these activities will be funded under the grant. Depending
on what you choose to do, the following considerations would apply.
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If You Will
Use Some or All of the Grant to Pay for the Contractor's Cost
of Building the Project
Generally, this is the most straightforward situation. It has
the smallest number of Federal requirements and reviews, and the
smallest number of records you must keep track of and preserve.
There are five broad areas where you must coordinate your management
of the project with EPA or the state infrastructure financing
office: (1) project planning, (2) construction
plans and specifications, (3) contractor selection,
(4) oversight of construction, and (5) reporting.
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If You Will Use
Some or All of the Grant to Pay for the Cost of Professional Services
to Design or Plan Your Project
In many respects, this is similar to using the grant to pay for
construction costs. The difference is that more records, in the
form of invoices or time sheets, are involved.
Again, you must coordinate your management of the project with
EPA or the state infrastructure financing office with respect to
three principal areas: (1) project planning, (2) contractor selection,
and (3) reporting. The issues are essentially the same as described
in the preceding section.
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12. How Is
The Grant Completed
Construction of your project is finished. You are finishing the
last entries in your project records. At this point it is important
to know how EPA closes its records of your grant.
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13. Requesting the Final
Payment
When the community has received 90% of the grant amount, you
will be sent instructions on how to prepare your request for final
grant payment. Payments will be held at the 90% level until the
request is reviewed. Your final request will be presented on the
same Standard Form 271 you used for the earlier payment requests.
Copies of all invoices and back-up documentation to support the
full amount of the grant, including the final payment, must be
submitted to the applicable office at that time. You must so include
a certification that the grant-funded project has been completed.
You must also certify that none of the Federal funds awarded to
the grant were used to engage in lobbying the Federal Government
or in litigation against the United States. The certification
must be made using EPA Form 5700-53, which is available through
the "Reporting Forms" link on the left side of this
page.
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14. Review by State and
EPA
The state infrastructure financing office or the US Army Corps
of Engineers will review this package and make a recommendation
to EPA of the amount of the final grant payment.
The EPA Office of the Inspector General may review EPA's records
of your projects. If they do, you will receive a report which
identifies any concerns or issues raised during the review.
EPA will prepare a final determination of project costs which
are accepted for grant reimbursement. You will have an opportunity
to resolve any questions which EPA identifies in its final determination.
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15. Closeout of the
Grant
After all issues have been resolved, EPA will close its records
and advise you to do the same. Note, however, that you must maintain
your project records for a minimum of three years after the submission
of the Final Payment Recommendation.
EPA's goal is that projects be completed within 5 years after
award, and closed out within 7 years.
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