Slide 1

Presenter: Karen Fligger, EPA HQ 1

Slide 2

Session Overview CWNS 2012 Documentation Criteria Recap Pre-Approved Document Types Innovative Needs and Costs Documentation Requirements for Submitting Documents 2

Slide 3

3

Slide 4

Official Needs Eligibility Criteria 1. Description of the water quality or public health problem 2. Location of the problem 3. Solution to the problem 4. Cost of the solution 5. Basis for the cost 6. Total cost 7. Current Documentation 4 Needs Costs

Slide 5

Footnotable Definition A document is footnotable if a facilitys total needs are less than $30 million (2012 dollars) and is pre-approved as footnotable Footnotable documents: Must be retained in states files rather than being sent to EPA Are audited; the portion to be audited will be requested at end of data entry 5

Slide 6

Needs, Costs or Both Documents may be used to justify just needs, just costs, or both needs and costs If a document has been pre-approved to only justify needs, the DEP will restrict entering costs for the document 6

Slide 7

7

Slide 8

Document Types The documents are grouped into the following five sections: Documents with no specific emphasis Wastewater treatment Non-point source (NPS) Stormwater Small communities 8

Slide 9

Guidelines for all Documents Recommended Alternatives: If one alternative is recommended in the documented, the recommended alternatives costs must be used. If there is not a recommended alternative, the average cost across all alternatives must be used. All documented costs must be adjusted to reflect known funding that occurred between the document date and 1/1/2012. 9

Slide 10

Most Commonly Used Documents for CWNS 2008 (as % of need) Capital Improvement Plan (CIP) (20)- 36.1% Facility Plan (21)- 14.3% CSO Long Term Control Plan (32)- 6.7% Intended Use Plan (IUP) (01) 6.4% Preliminary Engineers Estimate 4.8% 10

Slide 11

Documents with no specific emphasis on the type of need DocumentDoc Type Intended Use Plan / Project Priority List1 State and Federal Loan and Grant Applications2 CWSRF Loan Applications3 ARRA Loan Applications 93 GPR Business Cases 94 Non-governmental Grant Applications4 Cost of Previous Comparable Construction5 State-Approved Area-wide or Regional Basin Plan6 State-Approved Local Comprehensive Water and Sewer Plan7 Total Maximum Daily Load (TMDL)8 National Estuary Program Comprehensive Conservation and Management Plan 9 Nutrient Criteria Studies10 Impaired Waters or TMDL Listing11 State Needs Surveys & other State forms12 Excel Spreadsheet Annotations96 EPA-HQ Approved99 11

Slide 12

Intended Use Plan / Project Priority List (1) Need: Yes Costs: Yes Footnotable: Yes To use an IUP or PPL to document needs and costs, states must include documentation which identifies projects the state intended to fund in the year related to the IUP. 12

Slide 13

State and Federal Loan and Grant Applications (2) Need: Yes Costs: Yes Footnotable: Yes All supporting documentation to the grant application must be submitted Need: Signatures, description of problem/solution. Cost: cost estimate from engineer. 13

Slide 14

CWSRF Loan Applications (3) Need: Yes Costs: Yes Footnotable: Yes 14

Slide 15

ARRA Loan Applications (93) Need: Yes Costs: Yes Footnotable: Yes These documents are similar to CWSRF Loan Applications 15 NEW!

Slide 16

GPR Business Cases (94) Need: Yes Costs: Yes Footnotable: Yes CWSRF Green Project Reserve (GPR) Business Cases that have been approved by EPA Regions or by States can be used to document needs and costs. 16 NEW!

Slide 17

Non-governmental Grant Applications (4) Need: Yes Costs: Yes Footnotable: No Need: Signatures, description of problem/solution. Cost: cost estimate from engineer. 17

Slide 18

Cost of Previous Comparable Construction (5) Need: No Costs: Yes Footnotable: No The approach used to create each document must be pre- approved by EPA headquarters before entering the information into the system. 18

Slide 19

Cost of Previous Comparable Construction (5) Cost must be based on at least 3 bid or completed projects that are: Recent: within the last two years. Similar in size, scope, and geographic area. Size: plus or minus 25 percent. Generally in the same county or watershed. Certain specific rules apply to some Categories of cost. 19

Slide 20

Impaired Waters or TMDL Listing (11) Need: Yes Costs: No Footnotable: N/A States will directly link the facilities to the database of impaired waters based on the discharge location. There will be no need to submit documentation. 20

Slide 21

State Needs Surveys & Other State Forms (12) Need: Yes Costs: No (except for small communities) Footnotable: Yes Must be pre-approved by EPA headquarters prior to use. 21

Slide 22

State Needs Surveys & Other State Forms (12) 22

Slide 23

State Needs Surveys & Other State Forms (12) Cost Justification - Population