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2004 Request for Applications to Support Source Reduction Assistance - Revised Announcement

OVERVIEW
Sponsoring Agency and Office: Environmental Protection Agency, Office of Prevention, Pesticides and Toxic Substances, Office of Pollution Prevention and Toxics.

Funding Opportunity Title: Source Reduction Assistance Grant Program.

Announcement Type: Revised Announcement.

Catalog of Federal Domestic Assistance (CFDA) Number: 66.717
OPPT Solicitation Number: 04/10/01/PPD

Application Submission Date: Applications must be received on or before December 15, 2004.

FULL TEXT OF ANNOUNCEMENT
I. Funding Opportunity Description.
Following a review of applications submitted to EPA Headquarters under Announcement Number 04/02/06/PPD dated February 20, 2004, the Agency has decided to re-solicit applications for national grants and cooperative agreements. EPA's Office of Pollution Prevention and Toxics (OPPT) expects to fund a small number of applications to support source reduction/pollution prevention and resource conservation activities that have a national or international focus. Under this funding opportunity, EPA Headquarters will only fund activities that will encourage and stimulate:

EPA Headquarters will not accept applications for other types of source reduction/pollution prevention and resource conservation activities.

A. Purpose of solicitation notice. EPA is interested in supporting source reduction/pollution prevention and resource conservation projects that will provide an overall benefit to the environment by preventing the generation of pollutants at the source. More specifically, EPA is soliciting applications that achieve pollution prevention through purchasing policies and practices and/or through the integration of pollution prevention concepts into state, regional, or tribal regulatory programs, e.g. air, water, hazardous waste programs.

EPA is particularly interested in applications from eligible applicants who establish partnerships with businesses and other environmental assistance providers to seamlessly deliver source reduction/pollution prevention assistance. In many cases partnerships can make the most efficient use of Federal government funding. Please see Section V. B. for details on how EPA will rank applicants on the basis of their partnerships.

B. Background. The Pollution Prevention Act defines "source reduction" to mean any practice which reduces the amount of any hazardous substance, pollutant, or contaminant entering any waste stream or otherwise released into the environment (including fugitive emissions) prior to recycling, treatment, or disposal; and reduces the hazards to public health and the environment associated with the release of such substances, pollutants, or contaminants.
Source reduction practices may include: equipment or technology modifications, process or procedure modifications, reformulation or redesign of products, substitution of raw materials, and improvements in housekeeping, maintenance, training, or inventory control.
The term "source reduction" does not include any practice which alters the physical, chemical, or biological characteristics or the volume of a hazardous substance, pollutant, or contaminant through a process or activity which itself is not integral to and necessary for the production of a product or the providing of a service.
The term "pollution prevention" means source reduction, as defined under the Pollution Prevention Act, and other practices that reduce or eliminate the creation of pollutants through: increased efficiency in the use of raw materials, energy, water or other resources, or protection of natural resources through conservation. For additional information please visit EPA's Pollution Prevention web site at http://www.epa.gov/p2/.

Executive Order 13101, entitled "Greening the Government through Waste Prevention, Recycling and Federal Acquisition," defines "environmentally preferable" to mean products or services that "have a lesser or reduced effect on human health and the environment when compared with competing products or services that serve the same purpose. This comparison may consider raw materials acquisition, production, manufacturing, packaging, distribution, reuse, operation, maintenance or disposal of the product or service." EPA is interested in funding projects that would apply these same concepts to purchases by state, tribal, and local governments as well as the private sector. For additional policy guidance and case studies on Environmentally Preferable Purchasing, please visit http://www.epa.gov/epp/.

II. Award Information.
EPA expects $75,000 to be available to fund grants and co-operative agreements under this announcement. All awards will be made through the competitive process described in this announcement for amounts not to exceed $60,000 over a two year period. Applications that exceed this amount will be rejected. EPA reserves the option to offer applicants partial funding for discrete activities described in an applicant's application. EPA also reserves the option not to issue awards.

Applicants may apply for either a grant or cooperative agreement. EPA will not be substantially involved in the performance of grants. With concern to cooperative agreement awards, the substantial involvement by the Agency shall be determined on the basis of the project receiving funding, and will be specified in terms and conditions negotiated with successful applicants.

III. Eligibility Information.
A. Eligible Applicants. Assistance under this program is available to the fifty States, the District of Columbia, the United States Virgin Islands, the Commonwealth of Puerto Rico, any territory or possession of the United States, local governments, city or township governments, independent school district governments, state controlled institutions of higher education, Federally-recognized tribal governments, non-profits other than institutions of higher education private institutions of higher education, and community-based grassroots organizations. Nonprofit organizations must be able to demonstrate that they are eligible through documentation of nonprofit status provided the U.S. Internal Revenue Service or their state of incorporation. However, nonprofit organizations described in Section 501(c)(4) of the Internal Revenue Code that engage in lobbying activities as defined in Section 3 of the Lobbying Disclosure Act of 1995 are not eligible to apply.

Applicant eligibility will be used as a pass/fail criterion when evaluating applications.
If you have any questions regarding the eligibility of a particular entity, please contact Michele Amhaz, phone: (202) 564-8857; e-mail address: amhaz. michele@epa.gov.

B. Matching requirements. EPA requires a minimum of a 5% match which can be met only with eligible and allowable costs under the grant or cooperative agreement.

IV. Application and Submission Information.
A. Address to Request Application Forms. Applicants must submit all required forms with their applications. Applications that do not include the required forms will be returned to the applicant for completion. The Standard Form 424, 424A, and other relevant application forms available must be used for this program. To avoid delays, EPA encourages applicants to download applicable forms from the Internet at http://www.epa.gov/ogd/AppKit/application.htm. For pre-application assistance for completing your application, or to obtain copies of the required forms by mail, please contact EPA's Grants Administration Division at (202) 564-5305.

B. Content and Form of Application Packages. Applications must address all of the Threshold and Evaluation Factors described in Section V. B. and C. below. In addition to the required forms and attachments, the narrative section of the application must not exceed 7 single spaced type written pages in length. The EPA review panel will not evaluate pages in the application in excess of the 7 page limit. Applications may not use a point type smaller than 11 point type with single-sided paper and must have page margins all-around of at least one inch.

C. Submitting Grant Packages to EPA Headquarters. Complete applications (applications plus required forms) must be postmarked or delivered to EPA by December 15, 2004. Applications that are postmarked after that date, or that EPA receives after that date will be rejected.

By Regular Mail. Applicants may send their entire grant package (applications plus required forms) by regular US Postal service to: Michele Amhaz, Office of Pollution Prevention and Toxics, Pollution Prevention Division, Environmental Protection Agency, 1200 Pennsylvania Ave., N.W. Mail Code (7409-M), Washington, D.C. 20460. Due to security concerns, applicants may expect delays in regular US Postal Service mail delivery to EPA.

By Overnight Delivery. Applicants may send their entire grant package (applications plus required forms) to: Michele Amhaz, Office of Pollution Prevention and Toxics, Mail Code: (7409-M), Office of Pollution Prevention and Toxics, Pollution Prevention Division, Environmental Protection Agency, 1201 Constitution Avenue NW, Room 5303 LL, Washington, DC 20004. Applicants are advised to obtain a tracking number for their overnight delivery to check on the status and whereabouts of their shipment. EPA Headquarters will not be responsible for lost, misplaced, or misdirected application packages.

Please note that all grant application forms, must be submitted to EPA containing original signatures. EPA will not accept photocopies of signatures or e-mailed application forms with scanned signatures.

Effective October 1, 2003, the Office of Management and Budget (OMB) now requires grant applicants to provide a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number when applying for Federal grants or cooperative agreements. A DUNS number will be required whether an applicant is submitting a paper application or using the government-wide electronic portal (Grants.gov). The DUNS number will supplement other identifiers required by statute or regulation, such as tax identification numbers.

Organizations can receive a DUNS number in one day, at no cost, by calling the toll-free DUNS Number request line at 1-866-705-5711. Individuals who would personally receive a grant or cooperative agreement award from the Federal government apart from any business or nonprofit organization they may operate are exempt from this requirement. The website where an organization can obtain a DUNS number is: http://www.dnb.com. This takes 30 business days and there is no cost unless the organization requests expedited (1-day) processing, which includes a fee of $40.
A DUNS number must be included in every application for a new award or renewal of an award, including applications or plans under mandatory grant programs, submitted on or after October 1, 2003. A new revised version of the SF-424 will include the DUNS number. It is anticipated that the new revised SF-424 will be available this fall and will be found at the following OMB web site. www.whitehouse.gov/omb/grants/sf424.pdf. However, as a temporary measure applicants can still use the current SF-424 forms but will need to enter the DUNS number in the Applicant Information address block.

To download other applicable forms and to find out more about funding procedures please consult the EPA's assistance agreement web site at http://www.epa.gov/ogd/AppKit/index.htm. In addition, please refer to the application checklist to ensure your application package is complete by consulting the checklist for small grants by visiting http://www.epa.gov/ogd/AppKit/under.htm.

All application packages must also include a one (1) page list of the key contact personnel who will be assigned to the project. The key contact list should contain the name, title, mailing address, phone number and e-mail address of the following personnel:
Authorized representative: the individual who reviews and accepts awards and amendments.
Payee: Individual authorized to accept payments.
Administrative Contact: Individual to contact concerning administrative matters (e.g., indirect cost, rate computation and re-budgeting requests, etc.)
Project Manager: Individual responsible for completing the proposed work.

D. Applications Submitted to EPA Headquarters under the February, 2004 Source Reduction Assistance Solicitation (04/02/06/PPD). Applicants who submitted an application to EPA Headquarters under the February, 2004 Source Reduction Assistance Solicitation can have their application considered under this revised solicitation without re-submitting the application package. However, the applicant must send an e-mail notification to: amhaz. michele@epa.gov or a send a letter to: Michele Amhaz, Office of Pollution Prevention and Toxics, Pollution Prevention Division, Environmental Protection Agency, 1200 Pennsylvania Ave., NW Mail Code (7409-M), Washington, DC 20460, stating that the applicant would like their application to be considered under this solicitation. Please be aware that the scope and evaluation criteria in this solicitation have changed significantly from the previous solicitation. If you want to make changes in your earlier application, you must submit a new application package. Applicants who choose not to submit a new application bear the risk that their application will not be consistent with the scope of this revised solicitation or not scored as highly under the revised evaluation criteria.

E. Application Submission Date. Complete applications (applications plus required forms) must be postmarked or delivered to EPA by December 15, 2004. Applications that are postmarked after that date, or that EPA receives by hand delivery after that date will be rejected. Applicants may send applications by regular US Postal service. Due to security concerns, applicants may expect delays in regular US Postal Service mail delivery to EPA. Please note that all grant application forms, must be submitted to EPA containing original signatures. EPA will not accept photocopies of signatures or e-mailed application forms with scanned signatures.

F. Intergovernmental Review. This assistant agreement program is eligible for coverage under E.O. 12372 "Intergovernmental Review of Federal Programs" (and the review requirements of Section 204 of the Demonstration Cities and Metropolitan Development Act). Each state applicant should consult their EPA Regional office or official designated as the single point of contact in his or her State for more information on the process the State requires when applying for assistance; if the State has selected the program for review. If you do not know who your Single Point of Contact is please call the EPA Headquarters Grant Policy Information and Training Branch at 202-564-5325 or refer to the State Single Point of Contact web site http://www.whitehouse.gov/OMB/grants/spoc.html. Federally-recognized tribal governments are not required to comply with this procedure.

G. Funding Restrictions. EPA can only fund applications for expenses that are eligible under Section 10 of the Toxic Substances Control Act, and allowable under OMB Circular A-21, A-87, and A- 122 as applicable. The EPA will only consider applications oriented toward reducing pollutants at the source, and that address either environmentally preferable purchasing, or the integration of pollution prevention into multimedia state, tribal and local regulatory programs. Please note that EPA cannot fund applications that have a principal purpose of improving Federal regulatory programs. Applications that do not meet these requirements will be rejected.

H. Other Submission Requirements. With regard to confidential disclosure - all applicants should clearly mark any information they consider confidential. EPA will make final confidentiality decisions in accordance with Agency regulations provided in 40 CFR. Part 2, Subpart B.

V. Application Review Information.
A. Project Objectives. EPA will only consider applications that are oriented toward reducing pollutants at the source and that implement one or more of the following source reduction/pollution prevention or resource conservation objectives:

Please note that EPA cannot fund applications that have a principal purpose of improving Federal regulatory programs. In addition, special preference will be given to applications which involve scaling-up successful ideas to regional or national level impact. Example: Scaling-up a prior P2 activity might involve providing P2 tools (e.g., CD-ROM applications, videos on training school staff in pollution prevention techniques, P2 educational materials for workshops or seminars/conferences, P2 tools accessible through the Internet, etc.) that can provide P2 assistance on a statewide, REGIONAL or national scale.

Environmentally Preferable Purchasing (EPP)
Applications must implement or support a source reduction/pollution prevention project that will provide an overall benefit to the environment by preventing the generation of pollutants at the source, as well as, provide a method to characterize and report the actual or potential environmental effects of the activity. In addition, EPP projects should demonstrate that the recipient's work will encourage green purchasing, as well as, provide assistance and information to institutional purchasers about greener products.
(Additional information on the environmentally preferable purchasing program may be accessed at http://www.epa.gov/oppt/epp/.)


Integration of Pollution Prevention into Multimedia Regulatory Programs
Applications must support the incorporation of pollution prevention principles and practices in tribal, state, or regional programs that regulate various environmental media, e.g. air, water, waste. Incorporation of pollution prevention in the environmental media programs can often result in both improved environmental performance and reduced costs, especially if pollution prevention approaches can be integrated across media.

B. Review Process and Technical Evaluation. A panel comprised of EPA staff will evaluate each application based upon the seven criteria listed below, and provide a recommended ranking to the Agency's selecting official. Applications may receive up to 100 points. Following the assignment of scores, EPA will sort the applications into groups of "high, medium, low," with a scoring range of 80-100 corresponding to "high," 60-80 corresponding to "medium," and below 60 corresponding to "low." Some allowance may be made for logical breaks in the scoring distribution when determining the cutoff points, e.g., if the distribution of scores included values of 81, 80, 79, and a next highest score of 65, the cutoff for "high" would be made at 79 rather than 80.

1. Threshold Factors. The EPA review panel will only score and rank applications that meet all of the threshold requirements described below. EPA will notify applicants who do not meet threshold eligibility requirements in Section III A within 10 working days of the decision to reject the application.

i. Applicant eligibility. The applicant must demonstrate that it is eligible to receive assistance under this announcement as provided for in Section III A. Documentation of eligibility may be provided as an attachment that does not count against the 7 page limit.

ii. Project Scope. The applicant's project must be consistent with the Funding Restrictions and Project Objectives described in Sections III G. and V A., respectively.

iii. Match. Applications must provide the required 5% match as described in Section III B.

iv. Amount of Financial Assistance Requested. Applications may not request more than the amount of assistance described in Section II.

In addition, applicants must meet the administrative requirements (e.g., due dates and formatting requirements) described in this announcement.

2. Evaluation Factors. The EPA review panel will score applications based upon the following factors.
i. Project description and justification. The application presents a clear description of the work to be done and explains why and how it addresses local, state, national, and/or international concerns. 15 points.

Ii Project strategy. The application includes a well-conceived strategy to achieve the project goals and objectives and a reasonable schedule for the execution of the tasks associated with each goal. The review panel will consider how well an application relates to overarching Agency goals, objectives, and strategic priorities, such as those stated in the EPA Strategic Plan (available at www.epa.gov/ocfopage/plan/2003sp.pdf). 20 points.

Iii Project management. The application identifies key personnel who will work on the project and demonstrates their qualification and accountability. Applicants may attach resumes as attachments that do not count against page limits. 10 points.

iv. Project measurement. The application contains clear measures of success for each
major task or product, and provides a description of the format in which these measurements will be reported. Applications must include a methodology for reporting environmental improvement measurements. Please note: the degree of effort and complexity for each proposed measure is intended to be in proportion to the amount of resources devoted to the task or product. 15 points.

v. Budget. The budget and associated narrative of the application demonstrates effective and judicious use of Federal funds. EPA requires a 5% match. Please note that use of EPA financial assistance compensation for consultants is limited under EPA's appropriations act to the daily equivalent of the rate paid to Federal employees at the ES-IV level. The budget and narrative must be included as a separate attachment that does not count against the 7 page limit. 15 points.

vi. Partnerships. The application makes effective use of partnerships, wherever possible, to leverage other organizations' funding and expertise. Partners must provide letter(s) of support from an official within the organization, specifying and confirming their specific contributions to the project. These letters must be included as attachments that do not count against the 7 page limit. 15 points.

vii. Past performance. The application describes the successful execution of similar projects and how lessons learned from past projects will benefit the proposed project. In addition, the application must identify any adverse audit findings or grant enforcement actions taken by any Federal agency against the applicant during the past 5 years. EPA may verify past performance information. 10 points..

C. Selection Process. The EPA selecting official will consider the panel's recommended technical rankings, as well as the management factors described below, in making final selections. Management factors include:

EPA reserves the option to accept or reject applications; or to offer partial funding based upon funding availability.

Partial Funding: EPA may offer partial funding of an application. In order to be considered for partial funding, a application must have clearly delineated activities or phases with separate budget estimates for each activity/phase.

Incremental Funding: For multi-year applications, EPA may offer funding for the first year of the project at the time of award, with the remainder of the funding provided in subsequent years, contingent on the availability of funds.

Disputes: Applicants may follow the process in accordance with 40 CFR 30.63 and Part 31, subpart F for disputes.

D. Anticipated Announcement and Award Date. EPA anticipates announcing selections under this competition in January 2005. Applicants who are not selected will be notified by mail within 60 days after final selections are made. EPA anticipates that all awards will be issued by April 2005.

VI. Award Administration Information.
A. Award Notices. Awards are not final until the successful applicants receive an official notice of award from EPA's Grants Administration Division (GAD). Pre-award costs are governed by 40 CFR 30.25(f) and 40 CFR 31.23, as applicable. Until the award is final, successful applicants incur pre award costs at their own risk.

B. Administrative and National Policy Requirements. Periodic audits will be made as part of the recipient's system of financial management and internal control to meet the terms and conditions of grants and other assistance agreements. In accordance with the provisions of The Office of Management and Budget (OMB) Circular No. A-133, "Audits of States, Local Governments, and Nonprofit Organizations," non-federal entities that receive financial assistance of $300,000 or more within the State's fiscal year shall have an audit made for that year. The Circular implements the Single Audit Act amendments of 1996. State agencies that receive less than $300,000 within the State's fiscal year shall have an audit made in accordance with Federal laws and regulations governing the programs in which they participate. The Circular was published in the Federal Register on June 30, 1997.

Records. Financial records, including all documents to support entries on accounting records to substantiate charges to each assistance agreement, must be kept available to personnel authorized to examine EPA assistance agreement accounts. All records must be maintained for three years from the date of submission of the annual financial status report. If questions still remain, such as those raised as a result of an audit, related records should be retained until the matter is completely resolved.

C. Reporting.
The recipients work plan and their status report must be consistent with the requirements of 40 CFR Part 30 and Part 31. The recipient, along with the EPA Headquarters Project Officer, will develop a process for jointly evaluating and reporting progress and accomplishments under the work plan. The reporting schedule may require the recipient to submit, at a minimum, annual progress reports, during the life of the project. Depending upon the complexity of the work plan, recipients may be required to submit to EPA Headquarters quarterly progress reports. Whether quarterly or annually, the recipient should include in their reports a discussion of accomplishments as measured against work plan commitments; a discussion of cumulative effectiveness of the work performed under all work plan components; a discussion of existing and potential problem areas; and if applicable, suggestions for improvement, including where feasible, schedules for making improvements. With concern to quarterly reporting, if the EPA Headquarters Project Officer finds that the recipient has not made sufficient progress under the work plan, then the EPA Headquarters Project Officer and the recipient will negotiate a resolution that addresses the issues.

VII. Agency Contact
EPA Headquarters
Office of Pollution Prevention and Toxics
1200 Pennsylvania Ave., NW
Mail Code: 7409M
Washington, DC 20460
Contact: Michele Amhaz, phone: (202) 564-8857; e-mail: amhaz. michele@epa.gov

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