Program Policy and Guidance for the Drinking Water State Revolving Fund Program

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Federal Register (FR) Notices for DWSRF Policy

• DWSRF Program Rule(FR August, 2000)
  A detailed explanation of the DWSRF regulation and presentation of the regulation
• Transfer and Cross-Collateralization of Clean Water State Revolving Funds and Drinking Water State Revolving Funds (FR October 13, 2000)
  An explanation of the cross-program transfer and use of funds
• Drinking Water State Revolving Fund (DWSRF) Program Policy Announcement -  Eligibility of Using DWSRF Funds to Create a New Public Water System (FR November 3, 1998)
  An explanation of financing for a new water system
• Drinking Water State Revolving Fund (DWSRF) Program Policy Announcement- Eligibility of Reimbursement of Incurred Costs for Approved Projects (FR January 12, 1999)
  An explanation of cost recovery in financing of DWSRF projects
• Final DWSRF Guidelines (FR February 1997)
  The first DWSRF program guidelines that provided the basis for the DWSRF program rule

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Office of Management and Budget (OMB) document

• https://www.grants.gov/learn-grants/grant-policies/omb-uniform-guidance-2014.html

         OMB’s Uniform Guidance on Grants

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Reports to Congress

• The Drinking Water State Revolving Fund Program; Financing America's Drinking Water from the Source to the Tap - A Report to Congress (PDF)(112 pp, 978 K, About PDF)
  General overview of financial planning for drinking water in America
• The Drinking Water State Revolving Fund Program; Financing America's Drinking Water from the Source to the Tap - A Report to Congress Appendices (PDF)(180 pp, 2MB, About PDF)
  Provides information on infrastructure projects and state and local activities needed to ensure the provision of safe and affordable drinking water
• Financing America's Drinking Water - A Report of Progress (PDF)(20 pp, 2 MB)
  Provides a report of infrastructure projects, activity highlights, and an overview of four years of progress
• Clean Water and Drinking Water Infrastructure Gap Analysis Report (PDF)(54 pp, 2MB, About PDF)
  Report that makes clear that there is no single correct number to describe the gap
• Clean Water and Drinking Water Infrastructure Gap Analysis Report Fact Sheet (PDF)(2 pp, 101 K, About PDF)
  Fact sheet on the Clean Water and Drinking Water Infrastructure Gap Analysis study
• Implementation of Transfers in the Clean Water and Drinking Water State Revolving Fund Programs - Report to Congress (PDF)(47 pp, 494 K, About PDF)
  Recommends that Congress continue to authorize transfers between the CWSRF and DWSRF programs so as to give states flexibility to address their most pressing water infrastructure needs
• Handbook on Coordinating Funding for Water and Wastewater Infrastructure - A Compilation of State Approaches (PDF)(78 pp, 2MB, About PDF)
  States and the federal government have funded billions of dollars worth of improvements to drinking water and wastewater infrastructure
• Case Studies in DWSRF Implementation I. Public Participation (PDF)(24 pp, 262 K, About PDF)
  Presents case studies in implementation with a focus on public participation
• Case Studies in DWSRF Implementation II. Capacity Assessment (PDF)(23 pp, 251 K, About PDF)
  Presents case studies in implementation with a focus on water system capacity
• Case Studies in DWSRF Implementation II. Capacity Assessment Appendix (PDF)(47 pp, 424 K, About PDF)
  ADEC Alaska Drinking Water Fund Capacity Assessment Process Worksheet for Potential Projects
• Case Studies in DWSRF Implementation III. Disadvantaged Communities (PDF)(96 pp, 501 K, About PDF) 
  A resource for states that are interested in establishing or modifying a drinking water assistance program for disadvantaged communities

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Principal Guidance Documents

• Drinking Water State Revolving Fund: Program Operations Manual - Provisional Edition (PDF)(78 pp, 3 MB, About PDF)
  A comprehensive presentation of the DWSRF program
• SRF Fund Management Handbook (pdf) (3.97 MB) This document provides an in-depth analysis of how to measure the financial health of the SRF programs, spotlighting potential risks, and methods to avoid pitfalls
• Guide to Using the Automated Clearinghouse for the DWSRF Program (PDF)(31 pp, 150 K, About PDF)
  Explanation of procedures to draw and receive federal funds
• The DWSRF Guide to Understanding Audits (PDF)(42 pp, 327 K, About PDF)
  Description of detailed evaluations of state revolving funds
• Audit Guide for Clean Water and Drinking Water State Revolving Fund Programs (PDF)(98 pp, 347 K, About PDF)
  Step-by-step instructions for conducting audits of SRF programs

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Additional Program Guidance Documents

• Building Program Demand through Outreach & Engagement (pdf) (6.38 MB, 11/2019)
  This handbook provides information on how to expand outreach efforts and broaden DWSRF programming to desired stakeholders and potential borrowers. Additionally, a general background to the DWSRF program and the benefits that can be obtained through it is also included.
• Reallotment of Fiscal Year 2022 Drinking Water State Revolving Fund Bipartisan Infrastructure Law Funds (pdf) (932.97 KB, November 2023)
• Award of State Revolving Funds Appropriated by the Additional Supplemental Appropriations for Disaster Relief Act (ASADRA), 2019 (pdf) (1.63 MB, November 2023)
  This memorandum describes how the EPA will award and administer the Additional Supplemental Appropriations for Disaster Relief Act (ASADRA) capitalization grants to the seven eligible states of Alabama, Alaska, California, Georgia, Florida, North Carolina, South Carolina, and the Territory of the Northern Mariana Islands.
• Award and Implementation of the 2023 State Revolving Fund Supplemental Appropriation for Hurricanes Fiona and Ian (SAHFI) (pdf) (545.09 KB, November 2023)
  This memorandum describes how EPA will award and administer State Revolving Fund Supplemental Appropriation for Hurricanes Fiona and Ian (SAHFI) capitalization grants to the eligible states.
• Award and Implementation of the 2023 Drinking Water State Revolving Fund City of Jackson-Supplemental Appropriation (COJ-SA) (pdf) (386.67 KB, November 2023)
  This memorandum describes how EPA will award and administer the City of Jackson, Supplemental Appropriation (COJ-SA) capitalization grant(s) to the State of Mississippi under the Consolidated Appropriations Act, 2023, signed into law on December 29, 2022.
• Capacity Development Strategies State Revolving Fund Withholding Memorandum (pdf) (410 KB, March 2023)
  Memorandum regarding the Drinking Water State Revolving fund withholding process as it relates to the states' capacity development strategies.
• Federal Flood Risk Management Standard for SRF Programs (pdf) (365.6 KB, April 2022)
  This memo explains the re-instated Federal Flood Risk Management Standard (FFRMS) and how it applies to the State Revolving Fund Programs. The FFRMS was established by Executive Order 13690 and re-instated by EO 14030 in May 2021.
• FY 2022 DWSRF Base Allotment Availability (pdf) (1.07 MB, May 2022)
  This is memorandum announces the availability of base federal fiscal year 2022 DWSRF dollars.
• State Revolving Fund Capitalization Grant Reallotment Procedure (pdf) (272.22 KB) September 2020
  This memorandum explains the procedure for capitalization grant reallotment in the Clean Water and Drinking Water State Revolving Fund (CWSRF and DWSRF) programs.
• Federal Flood Risk Management Standard for SRF Programs (pdf) (365.63 KB, April 2022)
  This memo explains the re-instated Federal Flood Risk Management Standard (FFRMS) and how it applies to the State Revolving Fund Programs. The FFRMS was established by Executive Order 13690 and re-instated by EO 14030 in May 2021.
• Reallotment of FY 2019 DWSRF Fund(5 pp, 400 K, About PDF)
  This is memorandum announces the availability of reallotted federal fiscal year 2019 DWSRF dollars.
• Financing Terms Greater Than 30 Years Memorandum(42 pp, 327 K, About PDF)
  This memorandum addresses financing terms greater than 30 years in the Drinking Water State Revolving Funds and replaces the "Financing Terms Greater than 20 Years in the Drinking Water State Revolving Funds," memorandum issued on April 14, 2014.
• One Year Inter-SRF Transfer Authority to Address Lead in Drinking Water (PDF)(2 pp, 1 MB, October 7, 2019)
  Memorandum explaining the temporary expansion of the Clean Water to Drinking Water State Revolving Fund (SRF) transfer authority specifically to address lead-related threats to public health in drinking water. This was authorized by the Water Infrastructure Funding Transfer Act (P.L. 116-63) )

  • WIFTA Questions and Answers (PDF)(2 pp, 164 K,  July 6, 2020)

• Expanded Source Water Protection Related Eligibilities under DWSRF's Local Assistance and other State Programs Set Aside (pdf) (1.27 MB, July 2019)
  Memorandum highlighting expanded source water protection eligibilities under the DWSRF Program Local Assistance set-aside (i.e. 15% set-aside) enacted through the AWIA of 2018.
• National Priorities for the DWSRF Program (pdf) (1 MB, June 2019)
  Memorandum explaining the DWSRF program’s four national priorities.
• NEW: Implementation of DWSRF – Related SDWA Amendments in America’s Water Infrastructure Act (AWIA) of 2018 (pdf) (4.89 MB, March 25, 2019)
  Memorandum assisting the EPA and states in implementing changes to the DWSRF Program enacted through the AWIA of 2018.
• Implementation of DWSRF-Related SDWA Amendments in the Water Infrastructure Improvements for the Nation (WIIN) Act (pdf) (5.05 MB, June 2017)
  Memorandum assisting the EPA and states in implementing changes to the DWSRF Program enacted through the WIIN of 2016.
• Final Interagency Preliminary Engineering Report (pdf) (675.53 KB, January 16, 2013)
  Interagency Memorandum containing a Preliminary Engineering Report (PER) template. EPA encourages states to adopt this PER template as a best practice for projects funded by their Clean Water and Drinking Water State Revolving Funds.
• Environmental Review Process Coordination Best Practices (pdf) (498.8 KB, February 10, 2017)
  Memorandum highlights best practices currently employed in some states to eliminate duplicative environmental reviews and more broadly facilitate funding coordination between the SRF programs and USDA
• Clarification of Drinking Water State Revolving Fund Eligibility of Service Line Replacement on Private Property (pdf) (537.37 KB, May 9, 2016)
  This memorandum clarifies that complete service line replacement is an eligible DWSRF expense, regardless of pipe material and ownership of the property on which the service line is located
• DWSRF Program Questions and Answers (pdf) (179.22 KB)
  Answers to specific questions about DWSRF program implementation.
• Guidance for Tribal Set-Aside SRF Grant Program (pdf) (3.01 MB)
  Recommended steps for Tribes to use DWSRF funds.
• Cross-Cutting Federal Authorities: A Handbook on their Application in the Clean Water and Drinking Water State Revolving Fund Programs (pdf) (211.7 KB, October 2003)
  This handbook describes how cross-cutting federal authorities apply to projects and activities receiving assistance under the Clean Water State Revolving Fund (CWSRF) program authorized by Title VI of the Clean Water Act and the Drinking Water State Revolving Fund (DWSRF) program authorized by section 1452 of the Safe Drinking Water Act (together, the SRF programs).
• CWSRF and DWSRF Financial Audit Strategy (pdf) (60 KB, October 16, 1997)
  Memorandum about a revised audit strategy was developed through discussions with representatives from OWM, OGWDW, OGC, OIG, EPA Regional Offices, and OMB.
• State Revolving Fund (SRF) Cash Flow Model (pdf) (29.41 KB, August 13, 1997)
  Memorandum about new software tool has been designed to model SRF programs in a user friendly, flexible and comprehensive manner.
• State Revolving Fund (SRF) Planning Model (pdf) (41.07 KB, June 6, 1997)
  Memorandum about new software that EPA has designed to help manage a state's SRF programs.
• Application of Minority and Women-Owned Business Enterprise Requirements in the CWSRF and DWSRF Programs (pdf) (61.5 KB, November 5, 1998)
  Memorandum explaining a key revision in the Guidance regarding the negotiation of Minority and Women-Owned Business Enterprise “fair share” goalsnning with grants awarded in fiscal year 1999.
• Management of Set-asides for the Drinking Water State Revolving Fund Program (pdf) (314.27 KB, February 9, 1999)
  Memorandum about the interim final policy, in February 1999, of the management of set-aside funds.
• Change in Agency Policy Concerning the Use of a Loan from a Drinking Water State Revolving Fund as Part of the Local Match for EPA Appropriations Act Projects (pdf) (75.57 KB, October 10, 2001)
  Memorandum notifying regions and states of a change in policy regarding the use of state DWSRF monies for providing local match for special projects authorized by Appropriations Acts.
• Hold Back of DWSRF Grants for States with Unapproved Operator Certification Programs (pdf) (95.09 KB, October 4, 2001)
  Memorandum about the hold back of DWSRF funds, with no states subject to a withholding of funds in association with the February 5, 2001 deadline.
• Use of the Drinking Water State Revolving Fund to Implement Security Measures at Public Water Systems (pdf) (17.9 KB, November 2, 2001)
  Memorandum that transmits a fact sheet that explains how the DWSRF may be used by states to help public water systems implement protection measures.
• Single Audit Act Guidance for Sub-Recipients (pdf) (82.47 KB, November 6, 2001)
  Memorandum about clarifying the Single Audit Act (SAA) requirements as they apply to State Revolving Fund (SRF) assistance recipients.
• Applicability of EPA Quality Assurance Requirements to CWSRF and DWSRF Grants (pdf) (71.46 KB, January 15, 2002)
  Memorandum responding to Region 1's request to clarify quality assurance requirements for the CWSRF and DWSRF grant programs.
• Documentation of Drinking Water State Revolving Fund (DWSRF) Program Withholding Decisions relating to the Operator Certification Program (pdf) (54.4 KB, September 24, 2002)
  Memorandum about withholding DWSRF funds due unmet operator certification program requirements.
• Implementation of DWSRF Financial Indicators (pdf) (64.38 KB, February 25, 2003)
  Memorandum about presenting a balanced suite of Drinking Water SRF financial indicators developed through the State/EPA SRF Workgroup.
• Use of Drinking Water State Revolving Fund (DWSRF) Program Funds for Water Efficiency Measures (pdf) (117.64 KB, July 25, 2003)
  Memorandum clarifying the use of Drinking Water State Revolving Fund (DWSRF) funds by states and water systems to implement water efficiency measures.
• Eligibility of Routine Compliance Monitoring Costs under the Drinking Water State Revolving Fund Capacity Development Set-aside (pdf) (33.6 KB, September 4, 2003)
  Memorandum clarifying the appropriate use of Drinking Water State Revolving Fund (DWSRF) capacity development set-aside funds for the conduct of routine compliance monitoring for systems by states.
• Cost Review Requirement for DWSRF Set-asides (pdf) (313.5 KB, August 31, 2004)
  Memorandum about cost review requirements for DWSRF set-asides with an attached project officer cost analysis/budget review checklist.
• Environmental Results Grant Requirement for Drinking Water State Revolving Fund (DWSRF) Capitalization Grants and Setasides (pdf) (1.42 MB, March 21, 2005)
  Memorandum about EPA Order Classification Number 5700.7, Environmental Results under EPA Assistance Agreements, which is also attached
• State options for matching the Drinking Water State Revolving Fund (DWSRF) State Program Management Set-aside (10% Set-aside) (pdf) (62.11 KB, December 2, 2005)
  Memorandum clarifying the range of options that states have to provide the required additional match for the DWSRF State Program Management Set-aside (10% set-aside).
• Use of Drinking Water State Revolving Fund (DWSRF) and Clean Water State Revolving Fund (CWSRF) program monies to provide required matches for other federal grant programs (pdf) (35.55 KB, March 2, 2006)
  Memorandum communicating the option to use non-federal, non-state match SRF monies (in compliance 40 CFR Part 31) to meet match requirements of other federal grant programs.
• National Priorities for the Drinking Water State Revolving Fund Program (pdf) (101.5 KB, August 21, 2006)
  Memorandum requesting that regions work with their states to advance four national DWSRF program priorities
• Clarification of Single Audit Act Requirements Under the CW and DW State Revolving Fund Programs (pdf) (1.79 MB, August 13, 2007)
  This memorandum incorporates updated Single Audit Act (SAA) requirements and clarifies the responsibilities of State Revolving Fund (SRF) assistance recipients
• Drinking Water State Revolving Fund Unliquidated Obligations (ULO) Reduction Strategy 2014 (pdf) (1.35 MB, April 14, 2014)
  This memorandum presents a national strategy to reduce unliquidated obligations (ULO) under the Drinking Water State Revolving Fund (DWSRF)
• Questions and Answers on the Additional Subsidization and Green Project Provisions (pdf) (436.08 KB, August 19, 2013)
  This memorandum provides questions and answers on the additional subsidization and green project reserve provisions of FY10 through FY13
• Guidance of Fed Funding Accountability & Transparency Act (FFATA) Reporting through CW amd DW SRF Data Systems (pdf) (5.23 MB, March 23, 2011)
  This memorandum provides information on using the Clean Water Benefits Reporting (CBR) system for CWSRF and the Project Benefits Reporting (PBR) system for DWSRF reporting for FFATA
• Period for Obligation of 1452(k) Funds for the Conduct of Source Water Delineations and Assessments (pdf) (21.4 KB, November 17, 2000)
  Memorandum about period for obligation of 1452(k) funds for the conduct of source water delineations and assessments
• Capitalization Grants for Drinking Water State Revolving Fund (pdf) (133.84 KB, March 2003)
  This document provides information on the DWSRF program objectives and procedures
• Reallotment of FY 2019 DWSRF Funds (pdf) (390.84 KB, December 2020)
  This memorandum announces the availability of reallotted federal fiscal year 2019 DWSRF dollars.
• Transfers of Drinking Water State Resolving Funds (DWSRF) Set-Asides to Loan Funds and Conversion of Set-Asides to Reservation on Future Capitalization Grants (pdf) (309.38 KB, June 4, 2008)
  Memorandum about transfers of drinking water stater resolving funds (DWSRF) set-asides to loan funds and conversion of set-asides to reservation on future capitalization grants
• Clarification of Certain Eligible Uses of DWSRF Set-Asides (pdf) (1.14 MB, July 7, 2008)
  This document reiterates and clarifies certain uses among the broad range of State and water utlitiy planning and program implementation activities eligible for funding under the DWSRF set-asides
• Using DWSRF to Support Brownfield Redevelopment (pdf) (203.63 KB, August, 2006, 816-F-06-044)
  Information for water systems to utilize state DWSRF funds for the infrastructure costs needed to provide a brownfield site with safe drinking water under appropriate conditions.