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Special Appropriation Projects

Special Appropriation Projects (SAPs), also referred to as Earmarks, STAG, or Line Items, are rather unique sources of funding. Congress earmarks discreet amounts of funding to specific organizations for a defined purpose.

If you are with an organization that has been provided with a SAP grant or is responsible for the oversight of a SAP project, the following information should be helpful for you.  You will need to obtain the necessary forms to apply for the grant, manage the grant after it is awarded, and close the grant when it is completed.  The following information includes common questions, pitfalls, how to access the funds, etc.

The information provided is general in nature.  Please refer to the annual guidelines for detailed requirements or contact the appropriate project officer for additional assistance [See Also: Question 13].

STAG Questions & Answers

You will need Adobe Acrobat Reader, available as a free download, to view some of the files on this page. See EPA's PDF page to learn more about PDF, and for a link to the free Acrobat Reader. How much of the earmark is available for award? What kind of projects may be included? What is the non-federal match requirement? What must I send to EPA in order to gain access to the funds? May I be reimbursed for pre-award costs? How do I get a reduction or waiver of the local match? What are the Project Guidelines and Regulatory Requirements and Restrictions? Who should I submit the grant application package to? How do I access the funds after the grant has been awarded? What should I do after I get the grant award document in the mail? What if I need to make changes during the project? Helpful Links Who should I call with questions?

Highlights   Grant Application Forms Environmental Information Document (PDF) (19pp, 118Kb) Program Guidelines OMB Circulars Cross-Cutter Authorities Helpful Links Contacts Combined Sewer Overflow Control Policy Combined Sewer Overflows: Guidance for Financial Capability Assessment and Schedule Development (62pp, 2Mb) 40 CFR 30 40 CFR 31

1. How much of the earmark is available for award?

Since FY 2001, EPA has been taking 3% off the top of the earmark grants for project management. The funds may be used to fund the State, Corps of Engineer or for contractor support for the management and oversight of the special projects. This means that the set-aside monies cannot be used to pay for EPA staff or travel expenses. EPA Region 5 utilizes a portion of the 3% set-aside for contractor support in order to conduct on-site project inspections for those projects under EPA Region 5 oversight. Projects under State oversight will be inspected by the appropriate State agency. (see Post Award Management).

Additionally, the government’s budget usually gets cut across the board and a small rescission is often taken from all our funding, including earmarks. It varies from year to year and will be specified in the guidelines.

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2. What kind of projects may be included?

Each earmark has corresponding language in the appropriations bill. The scope of work must fall within that language. For instance, if the language in the bill specifies wastewater infrastructure improvements the grant couldn’t fund the upgrading of water mains.

It is possible to get a language change. You must contact the EPA Region 5 Special Appropriations coordinator.

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3. What is the non-federal match requirement?

There is a requirement for a 45% non-federal match. This means that you must pay at least 45% of the total project cost, not 45% of the federal amount being provided. So if your total project cost is $500,000, your minimum share would be at least $225,000.

The recipient share of the grant may not come from another federal funding source, unless that source is specifically allowed to match other Federal funds. There are a number of Federal sources which can be used as local match:

• Department of Agriculture, Rural Development program;
• Department of Housing and Urban Development, Community Development Block Grant Program;
• Appalachian Regional Commission Grants

State Revolving Loan Funds (SRF) may also be used. You must check with your state’s State Revolving Fund contact to determine whether this is an option for your particular project.

Also, you are not required to include your entire matching grant or loan on the EPA grant application. For instance, if you have a rural development grant for $2 million and you only need $300,000 in local match for the earmark grant, you don’t have to include the entire $2 million. You can include only what is necessary.

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4. What must I send to EPA Region 5 in order to gain access to the funds?

Although these funds have been earmarked for your organization, you still have to go through the grant application process in order to gain access to the funds. The application process is threefold:

1. Application Forms and Certifications
   1. Common Pitfalls on the Standard Form 424
   2. Completing the Standard Form 424c
   3. Certifications
2. Project Workplan
3. Environmental Information Document (PDF) (19pp, 118Kb) (if the project includes construction)
4. Quality Assurance Project Plan (QAPP) (if applicable)
5. Indirect cost rate agreement (if applicable)

The descriptions and instructions for these elements, as well as additional information, are provided below.

4.a. Application Forms and Certifications

All Applicants Must Submit the Following

A signed Application for Federal Assistance - Standard Form 424 (PDF) (6pp, 183Kb) Budget Information Sheet - Construction Programs (Standard Form 424C) (PDF) (2pp, 37Kb) Signed Assurances - Construction Programs (Standard Form 424D) (PDF) (2pp, 20Kb) Signed Certification Regarding Lobbying (PDF) (2pp, 17Kb) Signed Disclosure of Lobbying Activities (Standard Form LLL) [only if you paid to lobby for your project] (PDF) (2pp, 45Kb) Signed Procurement System Certification (EPA Form 5700-48) (PDF) (1p, 18KB) Signed Pre-award Compliance Review Report (EPA Form 4700-4) (PDF) (3pp, 170Kb) Project Workplan Environmental Information Document (PDF) (19pp, 118Kb) (suggested, not required) Quality Assurance Project Plan, if required Indirect Cost Rate Agreement, if required Although the final application must be signed, we strongly encourage your initial submittal of the grant forms be unsigned. Quite often changes to the application are necessary and providing a draft application prevents the need for repeated signing by your organization’s signature authority. However, please sign the Environmental Information Document (if used) for the initial submittal.

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4.a. Application Forms and Certifications (cont.)

1. Common Pitfalls on the Standard Form 424
2. Completing the Standard Form 424c
3. Certifications

i. Common Pitfalls on the Standard Form 424

Block 5 - Organizational DUNS Number

We often receive applications with block 5 blank. We cannot make a grant award without an organizational DUNS number (PDF, 23KB, 2 pages).

Also, in order for us to be able to communicate with you when necessary, provide all the contact information requested in this block (phone, fax, email, etc.)

Block 6 - CFDA Number

The appropriate CFDA number is 66.202 and the title is “Congressionally Mandated Projects."

Block 15 - Estimated Funding

When filling out this block, bear in mind that you have to draw down the funding at the same proportion (Federal to Total Project Cost) that the funds are awarded. For example, if the funds are awarded at the maximum Federal share level of 55%, then for every $100 of invoices you have, you may draw down only $55 of EPA funds.

Therefore, if you are doing a multi-million dollar project and we are only contributing a small portion of it, consider funding just a part of that project with this grant. Otherwise you will end up with a grant with a Federal share of only 5%, for example, and it will take quite some time for you to get all the money.

For example, if you are upgrading your wastewater treatment plant at a cost of $4 million; however the Federal amount for your STAG grant is only $500,000 (minimum project cost of $909,091). If you were to include the entire project on the grant document, the Federal/match ratio would be only 13% Federal to 87% match. That is only $13 out of every $100. Another option would be choosing a portion of the project that is close to the minimum project cost. Let’s say the cost for replacing the pumps is $1.1 million. That would make the Federal/match ratio 45% Federal and 55% match, which is reasonable.

Block 16 - Clearinghouse

We often receive applications with block 16 left blank. This block is referring to the clearinghouse process. Each state has a State Point of Contact (SPOC) you must submit the grant application to when you submit it to EPA. Indicate the date you submitted it to the SPOC on the 424. The SPOCs in Region 5 are:

• Illinois
  Does not participate in the clearinghouse process. There is no need to send the application to a SPOC. Check “Program has not been selected by state for review.”
  
  
• Indiana
  Does not participate in the clearinghouse process. There is no need to send the application to a SPOC. Check “Program has not been selected by state for review.”
  
  
• Michigan
  Richard Pfaff (pfaff@semcog.org)
  Southeast Michigan Council of Governments
  535 Griswold, Suite 300
  Detroit, Michigan 48226
  Telephone: (313) 961-4266
  Fax: (313) 961-4869
  
  
• Minnesota
  Does not participate in the clearinghouse process. There is no need to send the application to a SPOC. Check “Program has not been selected by state for review.”
  
  
• Ohio
  No SPOC. Contact determined by county.
  
  
• Wisconsin
  Jeff Smith (jeffrey.smith@doa.state.wi.us)
  Section Chief, Federal/State Relations
  Wisconsin Department of Administration
  101 East Wilson Street, 6th Floor
  P.O. Box 7868
  Madison, Wisconsin 53707
  Telephone: (608) 266-0267
  Fax: (608) 267-6931
  

Block 17 - Federal Debt

Don’t forget to answer this question, too! We often receive applications with block 17 left blank.

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4.a. Application Forms and Certifications (cont.)

ii. Completing the Standard Form 424c

The SF 424c is the budget page we use for the special appropriation projects. It breaks the costs out by a number of categories. We ask that you modify the form as follows:

• Column A: Federal Share
• Column B: Applicant Share
• Column C: Total

The budget totals on this sheet include all funds, federal and match, not just federal.

Our regulations governing the procurement of services may impact what costs may be included on the EPA grant. All contract costs to be charged to the grant must have been procured according to EPA’s procurement regulations. For state, local and tribal governments, those regulations can be found in 40 CFR Part 31 subpart 36. For universities, hospitals and non-profit entities, those regulations can be found in 40 CFR Part 30 subpart 40.

We tend to run into problems with this when the planning and design of a project has already been completed and the contract was not procured according the regulations, (which would be with a request for qualifications for architectural and engineering work). It is important to review these costs carefully before including them in the budget.

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4.a. Application Forms and Certifications (cont.)

iii. Certifications

• Standard Form 424 D - Assurances for Construction Programs
• EPA Form 4700-4 Pre-award Compliance Review Report
• Certification Regarding Lobbying
• Standard Form LLL Disclosure of Lobbying Activities: Only required if you paid to lobby for your project
• EPA Form 5700-48 Procurement System Certification:
  There is often some confusion about this certification. There are two choices. The first one indicates that your organization’s procurement system is just as or more stringent than EPA regulations. If you opt for that one, you must provide citations from your organization’s rules. The second choice indicates that your organization’s procurement system does not comply with EPA regulations; however, you will follow them on this project.

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4.b. Project Workplan

The project workplan is where you tell us exactly what you are going to do with the funding.

Your Workplan Should Include the Following

Project Title: Please be consistent with the grant application. Applicant Name: Please be consistent with the grant application. Project Description and Activities: Describe the overall project. Is it multi-phased? What are those phases and which is being funded with this grant? The project must be consistent with the earmark language in the appropriations bill. Specify which activities (planning, design, construction) are to be completed with EPA & local match funds. Are permits required for this project? Which ones? Have they been applied for? If this is a combined sewer overflow project, is it in conformance with EPA’s Combined Sewer Overflow Control Policy? Has the project started? If so, when and how much has been completed? If the project has already began, what are the costs you wish to have reimbursed? Include that information and documentation [i.e. invoices] with your workplan. Include a map of construction activities. Include a copy of the facilities plan. Project Location: Provide either a NPDES permit number, a SDWIS number or latitude and longitude of the project. Environmental Benefit: Describe the intended environmental and/or public health benefits to be achieved. Explain if the project is being implemented to comply with a compliance order. Project Schedule: Provide target dates for the start and completion of planning, design and construction as well as any other key milestones during the project (such as bid dates, contract award, etc). Project Budget: If multi-phased, what are the costs associated with each phase? Provide the costs both from EPA Region 5 and from match sources. What is/are the source(s) of the local match?

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4.c. Environmental Information Document (PDF) (19pp, 118Kb)

The National Environmental Policy Act (NEPA) requires Federal agencies to assess the potential impact on the environment of the projects they fund. This includes assessing requirements relating to various Federal laws, including the Endangered Species Act, the National Historic Preservation Act etc. Federal laws that apply across Federal agencies are referred to as cross-cutters (see 7b).

EPA Region 5 uses the completed Environmental Information Document as the basis for its NEPA review. The NEPA review generally concludes with either a Finding of No Significant Impact (FONSI) or a Categorical Exclusion determination.

We cannot award funds for work beyond the preliminary design stage until our environmental review is completed. If you need funds in order to get your project started before the environmental review is completed, you can break your project into phases as follows:

• Phase 1: Preliminary work, site surveys and assessment, problem evaluation
• Phase 2: NEPA documentation, all remaining preliminary work, final evaluation
• Phase 3: Design and Construction

Should you choose this approach, you will still need to submit the application forms, certifications and the project workplan for the initial grant award.

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4.d. Quality Assurance Project Plan (QAPP) (if applicable)

Any project funded under an EPA grant which calls for the collection of data requires a QAPP. The purpose of the QAPP is to develop the data quality objectives and describe how the data will be used in order to ensure that the data collected is useful and is collected according to approved methods.

4.e. Indirect cost rate agreement (if applicable)

If you will be including indirect cost in the budget, you will need to include a copy of your organization’s indirect cost rate agreement with your application.

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5. May I be reimbursed for pre-award costs?

According the guidelines, if necessary, you can incur costs prior to the award of the grant. There may be time limits on that. For construction costs, the costs cannot have been incurred prior to the beginning of the federal fiscal year in which those funds were appropriated. For example, if your funds were earmarked in the FY 2004 appropriations bill, then only the construction costs incurred after October 1, 2003 are eligible for funding [The Federal Fiscal Year (FY) runs from October 1 to September 30]. There is no time limit on planning and design costs. In certain other situations, Congressional language could require the grant to include pre-award costs in excess of those that could be approved in the circumstances described above.

If you have incurred pre-award costs and wish to include them in the grant, your workplan must specifically identify how much work has already been completed and distinguish between prior costs and estimated future costs. You will also need to submit supporting documentation of what those costs were, how much they were, when they were incurred and the latest inspection report available, as well as relevant contract materials.

Remember that pre-award costs are only eligible for reimbursement if the contracts were procured according to EPA regulations.

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6. How do I get a reduction or waiver of the local match?

Occasionally, there will be situations when organizations will be in fiscal emergency. When this occurs, there is potential for a reduction or waiver of the local match. The process for this is outlined in the guidelines. We utilize the March 1997 document entitled Combined Sewer Overflows: Guidance for Financial Capability Assessment and Schedule Development (PDF, 62pp, 2.3Mb). This document includes a process for measuring the financial impact of current and proposed wastewater treatment facilities and drinking water facilities on the users of those facilities, and establishes a procedure for assessing financial capability. The assessment process requires the calculation of a financial capability indicator. The Agency approves waivers in those cases where the financial capability indicator shows that the project would result in a high financial burden on the users of the facility.

Exceptions to the 45 percent match requirement must be approved by EPA Headquarters via a recommendation from the EPA Regional Office.

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7. What are the Project Guidelines and Regulatory Requirements and Restrictions?

The EPA Office of Water publishes annual guidelines for the special appropriation projects. Although EPA cannot award funds for a specific fiscal year until that year’s guidelines are final, an organization is encouraged to submit their application to EPA Region 5 to get the review process started prior to the guidelines being released.

1. Special Appropriation Guidelines
2. Cross-Cutter Authorities
3. 40 CFR 30 (Regulations for Non-Profits)
4. 40 CFR 31 (Regulations for state, local, and tribal governments)
5. 40 CFR Part 6 Subparts A, B, C, and D (Regulations relating to NEPA)
6. 40 CFR Part 25 (Regulations relating to public notification)
7. OMB Circulars
8. Purchasing Supplies, Equipment and Services Under the Grant
9. MBE/WBE Utilization
10. National Term on Suspension and Debarment

7.a. Special Appropriation Guidelines

1. FY 02 Guidelines (PDF) (79pp, 3.7Mb)
2. FY 03 Guidelines (PDF) (62pp, 9.7Mb)
3. FY 04 Guidelines (PDF) (63pp, 6.6Mb)
4. FY 05 Guidelines (PDF) (66pp, 2.1Mb)
5. FY 06 Guidelines (PDF) (56pp, 4.0Mb)
6. FY 08 Guidelines (PDF) (83pp, 4.0Mb)

7.b. Cross-Cutter Authorities

Federal laws that apply across Federal agencies are referred to as cross-cutters. They are listed below as well as in the guidelines.

Cross-Cutting Federal Authorities for Special Appropriations Act Projects

Many of the links in this table lead to pages or documents outside of the EPA Web site. Use your browser's Back button to return to this page. Environmental Authorities Archeological and Historic Preservation Act, Pub. L. 93-291(PDF, 6pp, 96Kb), as amended Clean Air Act, Pub. L. 95-95, as amended Clean Water Act, Titles III, IV, and V, Pub. L. 92-500, as amended Coastal Barrier Resources Act, Pub. L. 97-348 Coastal Zone Management Act, Pub. L. 92-583, as amended Endangered Species Act, Pub. L. 93-205, as amended Environmental Justice, Executive Order 12898 Flood Plain Management, Executive Order 11988 as amended by Executive Order 12148 Protection of Wetlands, Executive Order 11990 as amended by Executive Order 12608 Farmland Protection Policy Act, Pub. L. 97-98 (PDF, 4pp, 15Kb) Fish and Wildlife Coordination Act, Pub. L. 85-624, as amended Magnuson-Stevens Fishery Conservation and Management Act, Pub. L. 94-265 National Environmental Policy Act, Pub. L. 91-190 National Historic Preservation Act, Pub. L. 89-655 (PDF, 65pp, 640Kb) as amended Safe Drinking Water Act, Pub L. 93-523, as amended Wild and Scenic Rivers Act, Pub. L. 90-54, as amended Economic and Miscellaneous Authorities Debarment and Suspension, Executive Order 12549 Demonstration Cities and Metropolitan Development Act, Pub. L. 89 -754, as amended, and Executive Order 12372 Drug-Free Workplace Act, Pub. L. 100-690 Government Neutrality Toward Contractor's Labor Relations, Executive Order 13202 as amended by Executive Order 13208 New Restrictions on Lobbying, Section 319 of Pub. L. 101-121 (PDF, 96pp, 230Kb) Prohibitions relating to violations of the Clean Water Act or Clean Air Act with respect to Federal contracts, grants, or loans under Section 306 of the Clean Air Act and Section 508 of the Clean Water Act, and Executive Order 11738. Uniform Relocation and Real Property Acquisition Policies Act, Pub. L. 91-646, as amended Civil Rights, Nondiscrimination, Equal Employment Opportunity Authorities Age Discrimination Act, Pub. L. 94-135 Equal Employment Opportunity, Executive Order 11246 Section 13 of the Clean Water Act, Pub. L. 92-500 Section 504 of the Rehabilitation Act, Pub. L 93-112 supplemented by Executive Orders11914 and 11250 Title VI of the Civil Rights Act, Pub. L 88-352 Disadvantaged Business Enterprise Authorities Section 129 of the Small Business Administration Reauthorization and Amendment Act, Pub. L. 100-590 (PDF, 2pp, 17Kb) Small, Minority and Women Owned Business Enterprises, Executive Orders 11625, 12138 and 12432

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7.c. 40 CFR 30 : Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit Organizations

• The grant regulations with which nonprofit entities, hospitals and universities must comply.

7.d. 40 CFR 31 : Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments

• The grant regulations with which state, local and tribal governments must comply.

7.e. 40 CFR Part 6 Subparts A, B, C, and D : Procedures for Implementing the Requirements of the Council on Environmental Quality on the National Environmental Policy Act

• The grant regulations governing NEPA

7.f. 40 CFR Part 25 : Public Participation in Programs under the Resource Conservation and Recovery Act, the Safe Drinking Water Act, and the Clean Water Act

• The grant regulations governing public notification. [Link 83]
  

7.g. OMB Circulars

• Administrative Requirements
  • A-102 (rev.) (PDF, 10pp, 42Kb) Uniform Administrative Requirements for Grants to State and Local Governments (also known as the Common Rule)
  • A-110 (rev.) Uniform Administrative Requirements for Grants With Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations
• Cost Principles
  • A-21 (rev.) (PDF, 109pp, 260Kb) Cost Principles for Educational Institutions
  • A-87 (rev.) (PDF, 57pp, 200Kb) Cost Principles for State, Local, and Indian Tribal Governments
  • A-122 (rev.) (PDF, 55pp, 220Kb) Cost Principles for Non-Profit Organizations
• Audits
  • A-133 (rev.) (PDF, 33pp, 180Kb) Audits of States, Local Governments, and Other Non-Profit Organizations

7.h. Purchasing Supplies, Equipment and Services Under the Grant

• State, Tribal, and Local Governments
• Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations

7.i. MBE/WBE Utilization

7.j. National Term on Suspension and Debarment

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8. Who should I submit the grant application package to?

You will need to provide your information to your project officer. At Region 5, the project officers are assigned by State:

• Barbara Cash: Illinois, Michigan & Wisconsin
• Steffanie Crossland: Minnesota

The mailing address is:

State and Tribal Programs Branch
U.S. EPA Region 5 (WS-15J)
77 West Jackson Boulevard
Chicago, IL 60604-3590

The States of Indiana and Ohio have opted to receive the 3% set-aside funds to manage the special appropriation projects. If you are a grant recipient in Indiana, you will be submitting your grant applications to:

Amy Henninger
Indiana Finance Authority
100 North Senate Avenue, Room 1275
Indianapolis, IN 46204

If you are a grant recipient in Ohio, you will be submitting your grant applications to:

Bob Monsarrat
Ohio EPA - DEFA
50 West Town St, Ste 700
P.O. Box 1049
Columbus, Ohio 43216

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9. How do I access my funds after the grant has been awarded?

Access to grant funds is typically through the Automated Standard Application for Payment (ASAP) system. This is a voice and/or web-based system which electronically transfers the funds to a pre-determined account. You do not fill out any additional forms to enroll in this system at this time. When the grant is awarded and accepted, the financial center for your area will send you an email providing instructions on the next step.

Payment requests must be timed to minimize the time between receipt of EPA funds and disbursement of those funds. So you can make your ASAP request a couple of days ahead of when you plan to make your payments to your contractors. You will not be sent a check upon award of your grant.

DO NOT DEPOSIT THESE FUNDS INTO AN INTEREST BEARING ACCOUNT.

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10. What should I do after I get the grant award document in the mail?

1. Receiving the Award Document
2. Post Award Management
   1. Semi-annual progress reports
   2. Administrative Reporting
   3. On-Site Inspections
3. Grant Close-Out
   1. Final Project Report
   2. Project Completion Certification
   3. Final Inspection report (if applicable)
   4. Final Financial Status Report
   5. Final MBE/WBE
   6. Lobbying and Litigation Certificate

10.a. Receiving the Award Document

Our goal is to make grant awards within 60 days of receiving a complete application. Complete means the application is complete and signed; our technical contacts have reviewed and approved the workplan and a final NEPA determination has been made.

When the grant is awarded, you will receive a cover letter and two signed copies of the grant award. Review the award document carefully, including the terms and conditions. When your organization signs the award document, they are agreeing to everything in it. Note, there are two EPA contacts listed on the first page of the award. One is the project officer, whom you have been working with and is located in the Water Division. The other is the grant specialist who is located in the Resource Management Division. As you will notice under Post Award Management and Grant Close-Out, there are a few reporting forms you will be sending directly to this individual.

If everything is acceptable, sign both copies, keep one for your files and mail the other one to the address specified in the cover letter. Do not mail it to your project officer. Once the executed copy of the award document reaches the grant specialist at EPA, the grant specialist will note it in our grant system. Please note that you cannot get access to the grant funds until you have signed and returned the grant document.

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10.b. Post Award Management

• Semi-annual progress reports
  One of the terms and conditions on the grant will required that you submit a semi-annual progress report. The purpose of the report is to update EPA on the status of your project. You need to tell us what occurred over the last six months, when did construction start, percent project complete, were there any problems, any changes that need to be made, documentation of incurred cost, etc. Also, what do you anticipate being accomplished over the next six months.
  
  

  Progress Report Elements

  Title: Grant Number: Recipient: Date: Work Summary Overview: Provide details of the work completed under the grant including completion dates and percent completion. Project Issues: Provide details of any issues that have developed so far as well as the resolutions. Project Schedule and Cost Summary/Documentation: Provide the current schedule for the project and a summary/documentation of the costs incurred on the project. Indicate here if a no-cost time extension or a budget modification is needed.

  
  
• Administrative Reporting
  Check the terms and conditions of your grant to determine the frequency of administrative reporting to the grant specialist.
  • Financial Status Report (Standard Form 269a) (PDF) (2pp, 37Kb)
    Required reporting frequency varies. Check your term and condition.
  • MBE/WBE Utilization Under Federal Grants, Cooperative Agreements and Interagency Agreements (EPA Form 5700-52A) (PDF) (4pp, 107Kb)
    
• On-Site Inspections
  EPA Region 5 utilizes a portion of the 3% set-aside funds to hire a contractor to conduct on-site inspections on those projects in Region 5 states not being managed by a state agency. The contractor will contact you ahead of time; these are not surprise inspections.
  
  Since the 3% set-aside only applies to funds appropriated since FY 2001, any projects funded solely with funds before FY 2001 will not be inspected. States have the option of receiving the 3% as a grant to manage these projects. Those projects located in these States will be inspected by the appropriate State agency, not the EPA contractor.

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10.c. Grant Close-Out

• Final Project Report
  Within the reporting term and condition, you will be required to provide a final project report. Within that report you need to tell us what you accomplished in relation to the workplan, what were the difficulties (if any) and what are the environmental benefits of the project.
  
  

  Final Report Elements

  Title: Grant Number: Recipient: Date: Project History & Summary: Why was the project needed? What is the overall concept of the project? If the project is being done in response to a compliance order for permit violations, include that information here. Work Summary Overview: Provide details of the work completed under the grant including completion dates and photographs, if available. Project Issues: Provide details of any issues that developed during the project as well as the resolutions. Project Schedule and Cost Summary/Documentation: Provide the overall final schedule for the project and a summary/documentation of the funding sources and final construction costs. Environmental Benefits: Provide a summary of the environmental and/or public health benefits of the project. For example, correcting a problem with the sanitary sewer that results in eliminating all the CSOs and SSOs would prevent untreated waste from discharging into Lake Thingamajig. Certification of Project Completion: All construction projects will have a condition on the grant requiring submission of this certification at the end of the project. If you do not already have a copy of it, see the link below. Project for planning and design or feasibility studies only will not have this condition.

  
  
• Certification of Project Completion (PDF, 1p, 16Kb)
  Needed for any construction projects.
  
  
• Final Inspection report (if applicable)
  The contractor/State agency will conduct a final inspection of the project and provide a final inspection report to you and to the EPA project officer.
  
  
• Final Financial Status Report (PDF, 2pp, 37Kb)
  Submit to the grant specialist within 90 days after the grant expires.
  
  
• Final MBE/WBE (PDF) (4pp, 110Kb)
  Submit to the grant specialist within 90 days after the grant expires.
  
  
• Lobbying and Litigation Certificate (PDF) (1pp, 56Kb)
  Submit to the grant specialist within 90 days after the grant expires.

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11. What if I need to make changes during the project?

11.a. No-cost time extensions

Sometimes the original project is delayed due to weather difficulties, etc. In these situations, we will do what is called a no-cost time extension. You need to provide a written request (email is fine) to your project officer indicating 1) you need an extension; 2) how long an extension you require; and 3) why the extension is necessary.

11.b. Budget amendments

Sometimes budgets change during the course of the project. Projects come in under or over cost. This can change the % federal share on the grant. As long as we aren’t paying more than 55%, this isn’t a problem; however, the % federal share needs to match what is on the award document. Therefore, when you become aware of a budget change significant enough change the percent ratio, you need to do a budget amendment. Provide your project officer with a revised budget page (SF 424c) and the justification for the amendment (again, email is fine).

Additionally, occasionally funds may need to be shifted between budget categories (from Architecture & Engineering to Construction, etc.). We can do this without a formal budget amendment until the shifts reach a cumulative total of 10% of the total project cost. For instance, if you move 5% of the funds one month a formal budget amendment will not be necessary. Ensure the change is well documented in the file. If however 2 months later you need to move another 7%, that totals 12% and at that time you will need to contact your project officer for a formal budget amendment.

11.c. Changes in the scope-of-work

Periodically, a project may change significantly enough that it requires a change in scope. At that point, contact your project officer to begin a renegotiation of the workplan.

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12. Helpful Links

Helpful Links

Sustainable Infrastructure Drinking Water Information Wastewater in Small Communities State Revolving Loan Fund (SRF) Web Sites Clean Water SRF EPA Illinois Indiana Michigan Minnesota Ohio Wisconsin Drinking Water SRF EPA Illinois Indiana Michigan Minnesota Ohio Wisconsin Rural Development Administration State Offices Illinois Indiana Michigan Minnesota Ohio Wisconsin Housing and Urban Development

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13. Who should I call with questions?

• Steffanie Crossland (crossland.steffanie@epa.gov)
  Special Appropriations Coordinator
  MN Project Officer
  312-353-4779
  
  
• Barbara Cash (cash.barbara@epa.gov)
  IL/MI/WI Project Officer
  312-886-6746
  
  
• Bill Tansey (tansey.william@epa.gov)
  Technical Contact
  312-886-0125
  
  
• Ken Westlake (westlake.kenneth@epa.gov)
  NEPA Branch Chief
  312-886-2910
  
  
• Amy Henninger (AHENNING@idem.in.gov)
  Point of Contact at IFA
  317-232-6566
  
  
• Bob Monsarrat (bob.monsarrat@epa.state.oh.us)
  Point of Contact at Ohio EPA
  614-644-3655
  

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