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Forms and Instructions
Contact
Michael Russ (russ.michael@epa.gov)
312-886-4013
Patricia Thompson (thompson.patricia@epa.gov) 312-886-7517
Forms and other information for applying for and managing your assistance agreement
- Helpful information to get you started on a grant application to US EPA's Great Lakes National Program Office
- Forms to apply for a US EPA grant
- Managing an award after it is issued
- Essential OMB Circulars and EPA Grants Regulations
This information applies to any GLNPO grant, though they were originally developed to assist applicants submitting federal applications following their selection through GLNPO's annual Funding Guidance process. Of particular interest to applicants applying for a grant:
- Item HI3 is a checklist of the 11 items an applicant should submit to formally apply for a GLNPO grant
- Item HI4 provides supplemental Instructions and Requirements keyed to the Checklist, including the address to submit applications and ways to avoid common causes of delays.
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Many of these forms are fillable PDFs, i.e., you can fill them in and print them. You can only save them if you're using the full version of Adobe Acrobat (not Adobe Reader). You may also print out the forms and fill them in on a typewriter or neatly print the information on them.
Getting Started - Helpful Information
- HI1 HI 1 - Contacts for applicants who were asked to submit a full application package were sent an e-mail in this form (PDF) (3pp, 17K) June 2010
- HI3 HI 3 - Checklist of Items to be Submitted (PDF) (1pg, 54K) May 2010
- Key Contact Form EPA Form 5700-54 (fill-in PDF) (1pg, 30K) May 2009
- HI4 HI 4 - Grants Requirements and Instructions (PDF) (51pp, 198K) July 2010
- HI5 HI 5 - DUNS Number Guide (How to Obtain) (PDF) (2pp, 23K) November 2003
Forms to apply for a US EPA grant
This list is keyed to HI3 Checklist of Items to be Submitted. (see above)
- A1 Transmittal Letter. No required form. Just tell us that you are submitting a grant application.
- A2 SF-424: Application for Federal Assistance (fill-in PDF) (6pp, 211K) May 2009
- A3 SF-424A: Budget Information (fill-in PDF) (4pp, 187K) August 1997
- SF424A Instructions (PDF) (2pp, 56K) May 2009
- A4 SF-424B: Assurances - Non-Construction Programs (fill-in PDF) (2pp, 123K) August 2011
- A5 Workplan format is Item 5 on page 3 of HI 4 Grants Requirements and Instructions (PDF) (51pp, 198K) July 2010
- Do include milestones and a budget chart
- A6 Itemized Object Class is Item 6 on page 9 of HI 4 Grants Requirements and Instructions (PDF) (51pp, 198K) July 2010
- Category Budget Narrative
- A particular format is not required
- A7 SF LLL-A: Certification Regarding Lobbying EPA Form 6600-06 (PDF) (1p, 13K) October 2009
- A8 SF LLL: Disclosure of Lobbying Activities (fill-in PDF) (2pp, 30K) July 1997
- A9 US Form 4700-4: Pre-Award Compliance Review Report (fill-in PDF) (2pp, 135K) January 2009
- A10 Letters of Support
- If applicable
- No required format
- A11 Indirect Cost Rate Agreement or Proposal
- No required format
- Please refer to EPA Guide on how to prepare an indirect cost rate proposal for a non-profit organization (PDF) (35pp, 275K) June 2006
Managing an award
The following materials will be helpful for managing an award after it's been issued.
- M1 M1 - 10 Common Grant Audit Issues (PDF) (2pp, 14K) June 2003
- M2 Progress Report Outline for Great Lakes Restoration Initiative Projects (PDF) (1pg, 9K) December 2010 - Generic project progress report format
- Automated Standard Application for Payments (ASAP)
- Allows grantee organizations receiving federal funds to draw from accounts pre-authorized by federal agencies.
- M3 ASAP Bank Information Form (PDF) (1pg, 8K) February 2004
- M4 ASAP Enrollment Handbook for Payment Requestor/Recipient Organization
- M5 ASAP Organization Enrollment and User ID Request Form (PDF) (2pp, 28K) September 2008
- M6 ASAP Officials Authorization Form (PDF) (2pp, 24K) February 2004
- M7 Federal Financial Report (FFR) - SF 425 (fill-in PDF) (1 pg, 90K)
October 2008
- FFR Form SF 425 replaces the Financial Status Report (SF269) and Federal Cash Transaction Report (SF 272). Please only report relevant data on FFR Form SF 425.
- SF 425 Instructions (PDF) (5pp, 61K) June 2010
- M8
EPA form 5700-52A: MBE/WBE Utilization under Federal Grants and Cooperative Agreements (fill-in PDF) (5pp, 329K) May 2011
- EPA OSBP's Disadvantaged Business Enterprise Program Overview (PDF) (2pp, 69K) April 2009
- Special Notice: Suspended use of EPA Forms 6100-2, 6100-3, 6100-4 (PDF) (1pg, 295K) February 2011
If using GLRI funds for sub-contracting, fill out these forms:- 6100-2: Subcontractor Participation (PDF) (2pp, 66K) July 2008
- 6100-3: Subcontractor Performance (PDF) (2pp, 80K) November 2002
- 6100-4: Subcontractor Utilization (PDF) (2pp, 82K) November 2002
- M9 US EPA Rural Area Business Enterprise Development Plan (PDF) (2pp, 17K) June 2004
- M10 EPA Form 3340-4: Summary Report of Inventions and Subagreements or Contracts (PDF) (2pp, 65K) March 1976
- M11 Property Report (A narrative report in your own words is also acceptable.)
- M12 5700-53 Lobbying and Litigation Certification for Grants and Cooperative Agreements (PDF) (1pg, 79K) July 2002
- M13 Elements of Final Report is on page 24 of HI 4 Grants Requirements and Instructions (PDF) (51pp, 198K) July 2010
- M14 Great
Lakes Restoration Initiative logo (PDF) (1pg, 120K) September 2010
- Appropriate signage at "on-the-ground" protection or restoration projects under the Great Lakes Restoration Initiative must give project information and credit the initiative and appropriate federal agencies for funding. Signs should clearly display the Great Lakes Restoration Initiative logo.
OMB Circulars and EPA Grants Regulations
The following OMB Circulars and EPA Grants Regulations are essential to proper grants management.
Procurement and Administration
Applies to:
- State, Local and Indian Tribes 40 CFR Part 31 and OMB Circular A-102
- Universities and Nonprofits 40 CFR Part 30 and OMB Circular A-110
Audit
Applies to:
- State, Local and Indian Tribes 40 CFR Part 31 and OMB Circular A-133
- Universities and Nonprofits 40 CFR Part 30 and OMB Circular A-133
Cost Principles
Applies to:
- State, Local and Indian Tribes 40 CFR Part 31 and OMB Circular A-87
- Universities 40 CFR Part 30 and OMB Circular A-21
- Nonprofits 40 CFR Part 30 and OMB Circular A-122
Debarment and Suspension
Applies to all: 40 CFR Part 32
Restrictions on Lobbying
Applies to all: 40 CFR Part 34
Research and Demonstration Grants
Applies to all: 40 CFR Part 40