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How to Complete Your Application for Federal Assistance Standard Form 424
 |
PART I, Application for Federal Assistance (SF-424) PART II, Guidance For Workplan Narrative: Description of the Program/Project |
Based on the inquiries we frequently receive, we have developed the following information to augment the instructions in the "Application for Federal assistance" (Standard Form 424). Reading this information in conjunction with the instructions on the application form will speed up the preparation of your application and will reduce our processing time on your application. The grant award will contain Terms and Conditions that you should read very carefully. In addition, you should familiarize yourself with the applicable EPA regulations.
The following are items requiring special attention in the preparation of your application (You will need Adobe Acrobat Reader, available as a free download, to view some of the files listed below. See EPA's PDF page to learn more about PDF) :
- "Application
for Federal assistance" (Standard Form 424)
face page with accompanying instructions;
- "Budget
Information - Non-Construction Programs" (Standard Form 424A with
accompanying instructions) ;
- "Assurances
- Non-Construction Programs" (Standard Form 424B)
The authorized certifying official must sign and date the second page of the "Assurances - Non-Construction Programs".
PART I, Application for Federal Assistance (SF-424)
Item 8: If the "name and telephone number of the person to be contacted for matters involving this application" are different from the Project Manager's, i.e., the person who will be our contact for technical matters if the application is funded, please provide the name, title, address, e-mail address and telephone number of the Project Manager on the key contact list.
In addition, for other than State, local government and Indian Tribe grants, please submit a biographical sketch of the Project Manager incorporating information on education, background, and other qualifying experience for the project. Also list the name and training or discipline of other key personnel engaged in the project. Identify other projects in which the Project Manager is engaged and the amount of time he or she devotes to each. Provide a summary of employment, including contracts and consultancies for the present and for the past two years for the Project Manger and each of the key personnel.
Grant applicants are required to provide a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number when applying for Federal grants or cooperative agreements on or after October 1, 2003.
The Office
of Management and Budget (OMB) has determined that there is a need for improved statistical reporting
of Federal grants and cooperative agreements. Use of the DUNS number government-wide
will provide a means to identify entities receiving awards and their business
relationships. The DUNS number will be used for tracking purposes, and
to validate address and point of contact information. It 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 dedicated toll-free DUNS Number request line at 1–866–705–5711. Business hours are from 8:00 a.m. to 6:00 p.m. (local time of the caller when calling from within the continental United States). The process to request number takes about 5-10 minutes. A DUNS number will be assigned at the end of the call. You will need to provide the following information:
- Legal Name
- Headquarters name and address for your organization
- Doing business as (DBA) or other name by which your organization is commonly known or recognized
- Physical Address, City, State and Zip Code
- Mailing Address (if separate from Headquarters and/or physical address)
- Telephone Number
- Contact Name and Title
- Number of Employees at your physical location
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 Web site 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.
Item 11: Insert the Catalog of Federal Domestic Assistance Number and Title. This catalog is available at local libraries and contains information regarding federal grant programs. EPA grants begin at 66.001 in this catalog.
Item 15: A brief description of the proposed project or program for which assistance is requested [A detailed description of the program/project is also required to be submitted with the Application for Federal Assistance and is discussed further in these instructions under DESCRIPTION OF THE PROGRAM/PROJECT.]
Item 16: List the specific
congressional district(s) for both the applicant and the project. Indicate
Statewide if project effects the entire State.
Item 17: The "Start
Date" and "Ending Date" should reflect the amount of time
that will be required to complete the entire scope of work in your application,
i.e., the project/budget period. The start date should be at least sixty
days succeeding the submittal date of the final application package to
allow time for review and processing.
Item 18: The amounts under "Estimated Funding" are the amounts required, or to be contributed, during the budget and project periods.
Item 19: State Executive Order 12372 process Intergovernmental review. This item must be completed in order to be considered for assistance with EPA.
Item 20: This item must be completed in order to be considered for assistance with EPA.
Item 21: The Name, Title and Telephone Number of the Authorized Representative, i.e., the person who has authority to execute the Agreement on behalf of the applicant.
If EPA awards a grant or cooperative agreement pursuant to your application, we will mail the official copies of the award agreement to the authorized representative listed in Item 21.
PART II, Guidance For Workplan Narrative: Description of the Program/Project
Your application must include a section that provides the following information:
- OBJECTIVE: Describe the principal and subordinate objectives of the program/project. This should include relevant physical, economic, social, financial, institutional, or other problems requiring solution. Supporting documents from concerned interests other than the applicant may be used. Any relevant data based on planning studies should be included and footnoted.
- RESULTS OR THE BENEFITS EXPECTED: Identify results and/or benefits accruing from the program/project. All workplans need to show environmental results in terms of measurable outputs and outcomes to the extent possible. [Important: include all primary and secondary benefits accruing to the Recipient, the population served, the public served, the public and the environment in general]; for example: compliance with water quality standards or ambient air quality standards, advancements in the state of the art of pollution abatement, etc.
- APPROACH: A detailed work plan must be provided which includes:
- How the program/project will be accomplished. Factors should be cited which might accelerate or decelerate the work activities. Describe why the approach has been taken rather than alternatives. Include a description of any unusual features of the project such as design or technological innovations, reductions in cost or time or extraordinary social and community involvement.
- Describe all facilities presently available for use in carrying out the project.
- List, by name, all non-Federal sources of funds and facilities to be utilized in the performance of the proposed program/project.
- List, in chronological order, a schedule of accomplishments, progress, or milestones that are anticipated over the length of the program/project.
- Indicate by whom each element of the work plan will be carried out including supporting agencies, consultants and contractors.
- Describe sampling and data collections procedures analytical methods,
and methods for evaluating the results and successes of the project.
- GENERAL PROGRAM/PROJECT INFORMATION:
- Identify the kinds of data to be collected (and maintained) and discuss the criteria to be used to evaluate the results and successes of the project.
- Discuss the following:
- the effect of this program/project on, or its relationship to, other work planned, anticipated, or underway by the grantee, recipient of the funds, or other government agencies;
- Federal, State, interstate and local programs with which the work will be coordinated and the extent and nature of the coordination.
- QUALITY ASSURANCE REQUIREMENT: If your program/project involves
environmentally related measurements or data generation, you are required
to develop and implement quality assurance practices sufficient to produce
data of known quality, adequate to meet program/project objectives and
to minimize loss of data due to out-of-control conditions or malfunctions.
Applicants must either submit a Quality Assurance Plan or have a current
one on file with EPA Region 2's Quality Assurance Manager.
Applicants who are State, Local or Indian Tribal governments, see EPA regulations 40 CFR 31.45. Other applicants, see EPA regulations 40 CFR 30.54. If you are unsure whether your program/project is subject to the Quality Assurance requirements, please communicate with your Region 2 EPA Contact.
PART III, Budget Information (SF-424A)
BUDGET. A complete budget must be submitted in order to be considered for federal assistance. The application includes a two-page sheet, "Budget Information-Non-Construction Programs" (Standard Form 424A), Sections A through F. Please be sure to complete Sections A, B and F.
Section B: If your application contains more than one program/project, a budget breakdown is required for each individual program/project. Budget information must include both the Federal funds requested plus any appropriate Recipient matching/cost share. Column 5, Total, should be cumulative amounts (Federal and non-Federal) for the program/project.
A budget detail/narrative section should be included with your Application which includes a breakdown of Section B, Budget Categories. The detail/narrative section must demonstrate that all costs are eligible, allocable, allowable and necessary and should be set up as follows:
Line A - Personnel
Provide a list of all positions, (either titles, such as environmental engineer, executive director, secretary; or types such as professional, nonprofessional, clerical), average salaries, # of FTE or hours, and total salary costs for each. If you are listing positions by category please identify the positions that will be included in each.
Example if listing by title: Environmental Engineer, 3.5 FTE, $51,429/FTE, $180,000
Example if listing by type: Professional (engineers, scientists, technicians), .25 FTE, $100,000/FTE, $25,000
Line B - Fringe Benefits
Identify percentage(s) and apply percent to estimated personnel costs. You must include a list of what is included such as FICA, Vacation Time, Sick Leave, Health Benefits, etc.
Line C - Travel
Should be provided as follows:
Routine: information on planned trips which are performed on a regular basis for the program
Special: itemized list of planned trips for special conferences, seminars, and meetings.
International: (may require special approval)
Line D - Equipment
If your organization has established an equipment capitalization threshold different than the Federal threshold of $5,000, identify that threshold here. Provide itemized information on all planned equipment purchases with a unit price at or above your organization's threshold or $5,000, whichever is less, by the following categories:
Item Description, Purpose, Estimated Unit Cost and Quantity
For Superfund awards under CERCLA §104(d)(1), additional requirements for equipment purchases, tracking, and disposition are contained in 40 CFR Part 35 Subpart O.
Line E - Supplies (must be tangible goods)
Identify estimated costs for major supply categories, such as office supplies, lab supplies, field materials, computer supplies, training, etc. Provide information on total planned equipment purchases with a unit cost of less than the equipment threshold identified in Line D above.
For Superfund awards under CERCLA §104(d)(1), additional requirements for supplies purchases, tracking, and disposition are contained in 40 CFR Part 35 Subpart O.
Line F - Contractual
Specify the nature and cost of each proposed contract. You must specify whether or not the proposed contract(s) will be competed. If a single source is to be used, a statement needs to be provided indicating this is allowable under your procurement procedures. A justification as to why it cannot/should not be competed must also be provided.
For Superfund awards under CERCLA §104(d)(1), additional requirements for contracting methods, approvals, and contract documents are contained in 40 CFR Part 35 Subpart O, and for Superfund Technical Assistance Grant (TAG) awards under CERCLA §117(e), additional requirements for contracting methods, approvals, and contract documents are contained in 40 CFR Part 35 Subpart M. Both of these grant programs require written approval from the EPA Award Official prior to using noncompetitive contracting methods, and the TAG program has its own separate Application Kit, which can be obtained by contacting the EPA Region 2 Grants Office at (212) 637-3402.
Line G - Construction
If construction costs are anticipated, you must contact the Grants and Contracts Management Branch for additional instructions prior to completing your application.
Line H - Other
Specify and explain the need for all costs included under this category. Your itemization of "Other" should include a breakdown of costs for items such as insurance and indemnification, advertising and public relations, stipends, space rental, telephone, utilities, trainee tuition and fees, book allowances, rental of equipment or supplies, printing, publication and postage. For direct costs that are split funded among multiple agreements a cost allocation plan must developed and submitted to EPA for approval. Additional information on how to prepare a cost allocation plan can be found at http://www.epa.gov/ogd/recipient/sample1.htm
Line I - Total Direct Costs
The total direct costs charged to the program/project, sum of lines A through H.
Line J - Indirect Costs
Provide an explanation of how indirect charges were calculated for the program/project. For example, is the indirect cost rate based on just Personnel, Personnel and Fringe, or all direct costs. [See below].
Sample Budget Detail/Narrative
**Please note – Both federal and non-federal funds must be listed in the budget detail/narrative**
Personnel: Total $19,975
|
Requested from EPA |
Cost Share provided by applicant (if applicable) |
Personnel |
|
|
Salaries and Wages |
|
|
• Chief Planner/Brownfields Project Manager @ $47/hr x 323 hours |
$15,181 |
|
(1) Project Assistant @ $24/hr x 200 hours |
|
$4,794 |
|
|
|
Total |
$ 15,181 |
$ 4,794 |
Fringe Benefits Total $ 5,193
Rate/Base/Composition
|
Requested from EPA |
Cost Share provided by applicant (if applicable) |
26% of Personnel costs (FICA, retirement, health, vacation, sick leave) |
$3,947 |
$1,246 |
Travel Total $7,000
|
Requested from EPA |
Cost Share provided by applicant (if applicable) |
Routine |
|
|
2 National Conferences including lodging, air, per Diem and Conference fees, local travel for site visits and meetings |
$ 4,500 |
|
Special |
|
|
Two week training course on development initiatives Including: mileage, lodging and course fees. |
$2,500 |
|
Total |
$ 7,000 |
|
Equipment (Equipment Capitalization Threshold = $5,000) Total 17,500
Description |
Purpose |
Unit Cost |
Quantity |
Requested from EPA |
Cost Share provided by applicant (if applicable) |
Microwave Digester |
Lab Analysis |
$17,500 |
1 |
$17,500 |
|
|
|
|
Total |
$17,500 |
|
Supplies Total $3,325
Type |
Requested from EPA |
Cost Share provided by applicant (if applicable) |
Computer Software |
$2,500 |
|
Office Supplies (pens, pencils, paper, chairs, etc.) |
$ 825 |
|
Total |
$ 3,025 |
|
Contractual Total $174,496
Contractual Personnel * (competitive process will be used to determine contractor) |
Requested from EPA |
Cost Share provided by applicant (if applicable) |
Physical Engineering firm to perform : |
|
|
Site Assessment - $20,000/site x 2 sites |
$20,000 |
$20,000 |
Site Inventory - $10,000/site x 8 sites |
$40,000 |
$40,000 |
Consulting ** |
|
|
Urban development professional - $524/ day x 104 days |
$54,496 |
|
Total |
$114,496 |
$60,000 |
* If a non-competitive process (single source) is going to be used to select a contractor, it must be indicated in the budget detail or work plan narrative with a justification. In addition, you must indicate that your agency's written procurement procedures allow for a non-competitive process to be used. For contracts exceeding the small purchase threshold (currently $100,000) you may be required to provide additional documentation to EPA. Please note that, for Superfund awards under CERCLA §104(d)(1), additional requirements for contracting methods, approvals, and contract documents are contained in 40 CFR Part 35 Subpart O, and for Superfund Technical Assistance Grant awards under CERCLA §117(e), additional requirements for contracting methods, approvals, and contract documents are contained in 40 CFR Part 35 Subpart M. Both of these grant programs require written approval from the EPA Award Official prior to using noncompetitive contracting methods, and the TAG program has its own separate Application Kit, which can be obtained by contacting the EPA Region 2 Grants Office at (212) 637-3402.
**For 2008 the consultant fee cap is $571.12 per day and $71.39 per hour.
Other Total $ 2,811
Type |
Requested from EPA |
Cost Share provided by applicant (if applicable) |
Advertising for public meetings |
$1,000 |
|
Certified mailings/postage |
|
$ 611 |
Printing Costs |
|
$1,200 |
Total |
$1,000 |
$1,811 |
Section F: If your application contains INDIRECT COSTS, Section F of the SF424a MUST be completed. Please identify the type of indirect cost rate (provisional, predetermined, final or fixed) in the REMARKS column. Also identify the rate which will be in effect during the budget period, the base to which the rate is to be applied, and the Federal Agency with whom your rate is negotiated.
IMPORTANT: To have Indirect Costs included in an assistance agreement one of the following must be included with your application:
- A current Negotiated Indirect Cost Rate approved by a Federal agency
- Proof of a submitted indirect cost rate proposal to the cognizant Federal agency
- For non-profits only, you will have 90 days from the date of award to submit an indirect cost rate proposal to the cognizant Federal agency
If your organization does not have a negotiated rate and EPA is the cognizant Federal agency, your indirect cost proposal must be sent to the appropriate address below. For additional information on how to prepare an indirect cost rate proposal please refer to the Sample Indirect Cost Proposal page.
NON-PROFIT GROUPS, HOSPITALS AND UNIVERSITIES :
Grants Administration Division
Office of Grants and Debarment
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW, MC 3903R
Washington, DC 20460
Attn: Indirect Cost Rate Proposal Control Desk
INDIAN TRIBAL GOVERNMENTS
National Business Center
Indirect Cost Services
U.S. Department of the Interior
2180 Harvard Street, Suite 430
Sacramento, CA 95815-3317
STATE AGENCIES
Financial Analysis and Rate Negotiation Service Center
Office of Acquisition Management
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW, MC 3802R
Washington, DC 20460
PART IV, Assurances (SF-424B)
As an applicant for Federal Financial Assistance, you must assure that you will comply with applicable federal statutes, Executive Orders, regulations and policies governing the program/project. Your application cannot be considered for federal funding without this executed document.
