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FY 2009 Request for Proposals for the Source Reduction Assistance Grant Program for Nine of the Environmental Protection Agency's Regional Pollution Prevention Program Offices

Measurement

Q&A's on the Requirement to Provide Estimates of Outcomes for Proposed Grant and Cooperative Agreement Projects and To Track Progress

Sponsoring Agency and Office: Nine of the Environmental Protection Agency's Regional Pollution Prevention Program Offices

Funding Opportunity Title: Source Reduction Assistance Grant Program

Announcement Type: Initial Announcement for Fiscal Year 2009

Catalog of Federal Domestic Assistance (CFDA) Number: 66. 717

Funding Opportunity Number: EPA-HQ-OPPT-09-08

Submission Date: To be considered for funding, hard copy and electronic proposals must be submitted to the appropriate Region(s) listed in Section VII by Tuesday, May 26, 2009. Proposals received after the deadline will not be considered for funding (refer to Section IV for additional submission information).

OVERVIEW

EPA annually awards grants and cooperative agreements under the Source Reduction Assistance (SRA) Grant Program to support pollution prevention/source reduction and/or resource conservation projects that reduce or eliminate pollution at the source. The grant program does not support projects that rely on reducing pollution by using recycling, treatment, disposal or energy recovery activities.

This Request for Proposals announces that nine of EPA's Regional Pollution Prevention (P2) Program Offices anticipate having up to approximately $130,000 per region to issue SRA awards in FY 2009 - FY 2010. [1]EPA will issue awards in the form of grants and/or cooperative agreements. Award funds will be managed by the nine EPA Regional P2 Program Offices participating in this announcement.

Note: EPA Region 8 has developed a grant announcement independent of this one. The Region will not award grants or cooperative agreements under this announcement and no awards for projects conducted in Region 8 will be made under this announcement. For more information on the announcement developed by EPA Region 8, please visit http://www.epa.gov/region08/grants.

Eligible Applicants: Eligible applicants include 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 districts, incorporated non-profit organizations (other than institutions of higher education), public and private institutions of higher education, community-based grassroots organizations, and Indian Tribes and Intertribal Consortia.

Individuals, for-profit businesses andnon-profit 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 ineligible to apply for funding.

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This solicitation includes the following information:

Section I. Funding Opportunity Description
Section II. Award Information
Section III. Eligibility Information
Section IV. Application and Submission Information
Section V. Application Review Information
Section VI. Award Administration
Section VII. Agency Contacts
Attachment A Sample Cover Page
Attachment B Guidance for Submitting Expected P2 Outcome Information
Attachment C Project Timeline Samples
Attachment D Sample Itemized Budget Detail Guidance and Example

FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description: Nine of EPA's Regional Pollution Prevention (P2)

Program Offices (herein referred to as the Regions) are announcing the availability of SRA awards. EPA anticipates having up to approximately $130,000 available per region to support projects involving pollution prevention/source reduction and/or resource conservation activities during FY 2009 - FY 2010. [2]

Note: Region 8 will not award grants or cooperative agreements under this announcement and no awards for projects conducted in Region 8 will be made under this announcement. For more information on the announcement developed by EPA Region 8, please visit http://www.epa.gov/region08/grants.

A. Introduction: This announcement describes how EPA will award the grants and/or cooperative agreements under the SRA Grant Program. Applicants are advised to carefully read this announcement as it provides important information on the requirements and goals of the program, the evaluation criteria used to review proposals, proposal submission requirements, and award selection.

Under the SRA Grant Program, EPA will provide grants and cooperative agreements to fund pollution prevention (source reduction and resource conservation) activities. EPA is interested in funding projects that assist in reducing hazardous substances, pollutants, or contaminants entering waste streams or otherwise released into the environment (including fugitive emissions) prior to recycling, treatment, disposal or energy recovery activities.

B. Grant Program Requirements: This section summarizes grant policies and requirements. Many of these requirements are further discussed in other sections of this announcement including Sections III, IV and V.

  1. Eligible Applicants: Eligible applicants include 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 districts, incorporated non-profit organizations (other than institutions of higher education), public and private institutions of higher education, community-based grassroots organizations, and Indian Tribes and Intertribal Consortia.

    Individuals, for-profit businesses andnon-profit organizations described inSection 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 ineligible to apply for funding.

    Note: Eligible non-profit organizations must be able to demonstrate their non-profit status with appropriate documentation by the time of award.

  2. Criteria for Pollution Prevention/Source Reduction and Resource Conservation:

    1. Pollution Prevention/Source Reduction: Under this announcement, the term "pollution prevention" also means "source reduction" and refers to any practice which reduces or eliminates the creation of pollutants through: increased efficiency in the use of raw materials, energy, water, or other natural resources, or protection of natural resources by conservation activities.

      Pollution prevention/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. Projects which apply any of these practices will not be eligible for funding.

      Examples of acceptable pollution prevention/source reduction projects include, but are not limited to: equipment or technology modifications, process or procedure modifications, reformulation or redesign of products, substitution of raw materials, improvements in housekeeping, maintenance, training, and inventory control.

      Note: Pollution prevention includes what is commonly called "in-process recycling". Although these kinds of recycling activities share many of the advantages of prevention (e. g. , reducing the need for end-of-pipe treatment and promoting energy and resource conservation), they are distinct and separate activities managed by EPA's Office of Resource Conservation and Recovery and are not eligible for funding under this grant announcement. For more information on recycling, please go to EPA's recycling website at http://www.epa.gov/epawaste/conserve/rrr/recycle.htm.

    2. Resource Conservation: The term "resource conservation" refers to any activity that prevents pollution by reducing the use of toxic chemicals, and/or conserving energy, water and materials.

  3. EPA Statutory Authorities for SRA Awards: SRA grants and cooperative agreements will be awarded under the following EPA statutory authorities: Clean Air Act, Section 103(b), as amended; Clean Water Act, Section 104(b)(3), as amended; Federal Insecticide, Fungicide, and Rodenticide Act, Section 20, as amended; Safe Drinking Water Act, Section 1442 (a)(1) and (c), as amended; Solid Waste Disposal Act, Section 8001(a), as amended; and Toxic Substances Control Act, Section 10, as amended.

    Note: Projects must consist of activities within the statutory terms of these EPA authorities. The statutes authorize EPA to award grants or cooperative agreements for the following activities: "research, investigations, experiments, training, demonstration of new or innovative techniques, surveys and studies. " These activities relate generally to the gathering or transferring of information or advancing awareness. Proposals should emphasize this "learning" concept, as opposed to "fixing" an environmental problem using a well-established method. For example, a proposal to install a more energy efficient heating system in the applicant's facility in order to conserve energy, would not fall within research, studies, demonstrations, etc. All activities in the applicant's proposal must be eligible under one or more of the statutory authorities. EPA will not fund projects that focus on recycling, treatment, disposal and/or energy recovery activities.

  4. Programmatic Capability: Applicants are required to describe their ability to successfully complete and achieve the goals of the proposed project(s). To do so, the applicant must address these topics:

    1. Experience Achieving Project Objectives: Describe how the applicant's organizational experience and resources support the successful completion of the proposed project. Also, describe if and how the applicant participates in the National Pollution Prevention Results Data System. The System collects P2 measures on a national basis and reflects the applicant's overall ability to measure and demonstrate P2 achievements. For more information visit: http://www.p2rx.org/services/measurement.cfm; and,

    2. Staff Qualifications: Describe how the applicant's staff has the qualifications and knowledge to successfully accomplish the proposed project.

  5. Cost Sharing and Matching Requirements: EPA requires the applicant to provide a minimum 5% match, as part of the total allowable project cost. For example, the Federal government will provide 95% of the total allowable cost of the project and the recipient will provide the remaining 5%. The match may be issued in the form of cash and/or in-kind contributions, e. g. , donated services, charges for real property and equipment or the value of goods and services directly benefiting the EPA funded project. Proposals which do not describe the 5% match will not be reviewed or considered for funding.

    Note: Insular area applicants in the U. S. Virgin Islands, American Samoa, Guam and the Northern Mariana Islands are advised to contact the applicable regional P2 contact in EPA Region 2 or 9 to determine if cost share requirements will be waived in all or in part, as authorized by the Omnibus Territories Act of 1977, as amended, 48 U. S. C. Section 1469a. Refer to Section VII to contact the applicable Region.

  6. Funding Period: No more than two years.

  7. Alignment with EPA's Environmental Results Policy: Applicants are required to describe outcome and output environmental measurement efforts in their proposals. The term "outcome," as defined by the Agency, refers to the result, effect or consequence that will occur from carrying out an environmental program or activity that is related to an environmental or programmatic goal or objective. Outcomes may be environmental, behavioral, health-related or programmatic in nature and must be able to be quantified. The term "output," as defined by the Agency, refers to an environmental activity or effort and associated work product related to an environmental goal or objective that will be produced or provided over a period of time or by a specified date. Outputs may be quantitative or qualitative, but must be measurable during the assistance agreement funding period. [3]

    Examples of outcome measures expected to be achieved under the award include, but are not limited to:

    • Pounds of hazardous materials reduced,
    • BTUs of energy conserved,
    • Gallons of water saved, and
    • Dollars saved through P2 efforts.

    Note: In 2010, EPA is substituting a measure of million metric tons of carbon dioxide equivalent (MMTCO2e) reduced for the measure of BTUs of energy conserved. Beginning this grant cycle, EPA is providing grantees with a calculator and associated guidance for computing MMTCO2e that converts BTUs and kilowatts of energy, pounds of chemicals with high global warming potential, and units of fuels to MMTCO2e. For this grant cycle, if grantees report results in units of energy, chemicals, or fuels, EPA will use the calculator to make the MMTCO2e conversions for tracking, in preparation for the switch to the MMTCO2e measure in 2010.

    Examples of output measures expected to be achieved under the award include, but are not limited to:

    • Number of stakeholder groups involved in the process,
    • Number of assistance visits,
    • Number of workshops, trainings and courses conducted, and
    • Number of fact sheets developed or distributed.
  8. Work Plan Measurement Elements: To ensure that an environmental measurement strategy is incorporated into the proposal, applicants will need to submit a Work Plan that includes the following elements (for a complete description of the applicant's Work Plan refer to Section IV. D. 3. b):

    1. Numeric estimates of expected P2 results per project;
    2. A description of the relevant data collection methods (e. g. , surveys,pre/post tests, participant reporting arrangements);
    3. A description of the equations, factors and assumptions used to calculate the estimated pollution prevention results;
    4. An itemized budget that reflects the resources needed to pay for measurement and reporting activities. In some cases this may require 10-20% of the proposed budget; [4] and,
    5. A project timeline that includes data collection and evaluation activities supporting environmental outcome measures.
  9. Alignment with EPA's Strategic Plan: The Pollution Prevention program's goals in the Agency's 2006-2011 Strategic Plan are located in Goal 5: Objective 5. 2: Improve Environmental Performance Through Pollution Prevention and the Adoption of Other Stewardship Practices, Sub-Objective 5. 2. 1 Prevent Pollution and Promote Environmental Stewardship by Business, Government and the Public. SRA proposals must note a commitment to and work towards the following five long-term goals of EPA's Pollution Prevention Program.

    Strategic Targets:

    1. By 2011, reduce 4. 5 billion pounds of hazardous materials cumulatively compared to the 2000 baseline of 44 million pounds reduced.

    2. By 2011, reduce, conserve, or offset 31. 5 trillion British Thermal Units (BTUs) cumulatively compared to the 2002 baseline of 0 BTUs reduced, conserved, or offset.

    3. By 2011, reduce water use by 19 billion gallons cumulatively compared to the 2000 baseline of 220 million gallons reduced.

    4. By 2011, save $791. 9 million through pollution prevention improvements in business, institutional, and governmental costs cumulatively compared to the 2002 baseline of $0. 0 saved.

    For more information, go to http://www.epa.gov/ocfopage/plan/2006/goal_5.pdf and scroll to page 129.

  10. Past Performance: Applicants are required to describe their past performance regarding grant management/performance and compliance with reporting requirements. To do so, the applicant must submit a list of Federally-funded agreements (assistance agreements include Federal grants and cooperative agreements, but not Federal contracts) similar in size, scope and relevance to the proposed project that they performed within the last three years (no more than 5 agreements, and preferably EPA agreements), and address the three items listed below for each such agreement.
  1. Experience Managing Grants: Describe the applicant's past performance in completing and managing the agreements;
  2. Experience Meeting Reporting Requirements: Describe the applicant's history of meeting reporting requirements under the agreements including submission offinal technical reports; and,
  3. Experience Reporting Expected Results: Describe whether the applicant adequately documented and/or reported on achieving the expected results (e. g. , outcomes and outputs) under the agreements. If such progress was notmade, indicate whether and how the applicant documented and/or reported why not.

Note: Applicants with no relevant or available past performance or reporting history will receive a neutral score for these factors in accordance with the evaluation process in Section V.

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C. Region-Specific Priorities: The following regional priorities are provided to highlight specific environmental issues/projects/programs of interest to the Regions participating in this announcement. Proposal activities must relate to research, investigations, experiments, training, demonstrations of new or innovative techniques, surveys and/or studies. When submitting proposals, applicants must apply to the Region(s) where they plan to conduct the project (refer to Section IV, Part A on how to submit a proposal). For a list of States and/or territories represented by the participating Regions, please refer to Section VII. Note: Any projects under this announcement proposed to be performed in Region 8 will be rejected.

Region 1

Region 2 

Region 3

Region 4

Region 5 

Region 6     

Region 7 

Region 9

Region 10      

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II. Award Information. EPA will issue SRA awards in the form of grants and/or cooperative agreements. If a cooperative agreement is awarded, the degree of involvement by the EPA will be determined by the Region(s).

EPA anticipates having up to approximately $130,000 available per region (for Regions 1, 2, 3, 4, 5, 6, 7, 9 and 10) to fund source reduction/pollution prevention and/or resource conservation projects during FY 2009 - FY 2010. All of the forgoing estimates are subject to the availability of appropriations. EPA anticipates awards will be in the range of $10,000 - $130,000. EPA estimates it will receive approximately 150 grant proposals and issue approximately 30 awards. In addition, EPA reserves the right to make additional awards under this announcement, consistent with Agency policy, if additional funding becomes available after the original selections. Any additional selections for awards will be made no later than six months from the date of the original selections.

A. Partial Funding: In appropriate circumstances, EPA reserves the right to partially fund proposals by funding discrete activities, portions, or phases of the proposed project. If EPA decides to partially fund a proposal, it will do so in a manner that does not prejudice any applicants or affect the basis upon which the proposal, or portion thereof, was evaluated and selected for award, and that maintains the integrity of the competition and the evaluation/selection process.

Note: In order to be considered for partial funding, proposals must have clearly delineated activities or phases with separate budget estimates for each activity/phase of the project. All awards will be consistent with the applicable EPA regulations and policies.

EPA reserves the right to reject all proposals and issue no awards under this announcement, or issue fewer awards than anticipated.

B. Funding Restrictions: Award funds may only be used for the purposes set forth in the assistance agreement and must be consistent with one or more of the statutory authorities listed in Section I. B. 3. Award funds may not be used for matching funds for other Federal assistance agreements, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, the funds may not be used to sue the Federal government or any other government entity. All costs identified in the budget must conform to applicable Federal cost principles contained in OMB Circular A-87; A-122; and A-21, as appropriate. EPA will subtract proposed ineligible costs from the final approved budget.

C. Type of Assistance Instrument: EPA will fund selected proposals in the form of grants and/or cooperative agreements. EPA will award cooperative agreements for those projects in which it expects to have substantial technical interaction with the recipient throughout the performance of the project. For such projects, EPA may review and approve project phases, review and approve substantive terms of subgrants and contracts, collaborate with the recipient on the scope of work and mode of operation of the project, closely monitor the recipient's performance, approve any proposed changes to the Work Plan and/or budget, approve qualifications of key personnel, and review and comment on reports prepared under the assistance agreement. EPA will not be substantially involved in the performance of grants.

D. Proper use of SRA Award Funds: To ensure the proper use of award funds, the following requirements must be followed:

1. Subgrants and Subawards: EPA will award funds to one eligible applicant as the recipient even if other eligible applicants are named as partners or co-applicants or members of a coalition or consortium. The recipient is accountable to EPA for the proper expenditure of funds.

Funding may be used to provide subgrants or subawards of financial assistance, which includes using subawards or subgrants to fund partnerships, provided the recipient complies with applicable requirements for subawards or subgrants including those contained in 40 CFRParts 30 or 31, as appropriate. Applicants must compete contracts for services and products, including consultant contracts, and conduct cost and price analyses, to the extent required by the procurement provisions of the regulations at 40 CFR Parts 30 or 31, as appropriate. The regulations also contain limitations on consultant compensation. Applicants are not required to identify subawardees/subgrantees and/or contractors (including consultants) in their proposal/application. However, if they do, the fact that an applicant selected for award has named a specific subawardee/subgrantee, contractor, or consultant in the proposal/application EPA selects for funding does not relieve the applicant of its obligations to comply with subaward/subgrant and/or competitive procurement requirements as appropriate.

Note: Applicants may not award sole source contracts to consulting, engineering or other firms assisting applicants with the proposal solely based on the firm's role in preparing the proposal/application.

Successful applicants cannot use subgrants or subawards to avoid requirements in EPA grant regulations for competitive procurement by using these instruments to acquire commercial services or products from for-profit organizations to carry out its assistance agreement. The nature of the transaction between the recipient and the subawardee or subgrantee must be consistent with the standards for distinguishing between vendor transactions and subrecipient assistance under Subpart B Section . 210 of OMB Circular A-133, and the definitions of subaward at 40 CFR 30. 2(ff) or subgrant at 40 CFR 31. 3, as applicable. EPA will not be a party to these transactions. Applicants acquiring commercial goods or services must comply with the competitive procurement standards in 40 CFR Part 30 or 40 CFR Part 31. 36 and cannot use a subaward/subgrant as the funding mechanism.

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III. Eligibility Information: Eligible applicants include 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 districts, incorporated non-profit organizations (other than institutions of higher education), public and private institutions of higher education, community-based grassroots organizations, and Indian Tribes and Intertribal Consortia.

Individuals, for-profit businesses andnon-profit 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 ineligible to apply for funding.

A. Threshold Program Requirements: Proposals must meet the Threshold Program Requirements identified below (as well as the cost match requirements described below) to be considered for funding. Proposals that fail to meet all of the requirements will be rejected.

EPA will notify applicants within 15 calendar days of ineligibility:

  1. Projects must apply the criteria for P2/Source Reduction (Section I. B. 2).

  2. Projects must be for no more than 2 years (Section I. B. 6).

  3. Projects must align with EPA's Strategic Plan (Section I. B. 9).

  4. Projects must address at least one of the Regional Priorities that apply to the Region where the applicant will perform the project (Section I. C). Projects proposed in EPA Region 8 will not be considered for funding.

  5. Threshold Submission Requirements:

    1. Proposals must substantially comply with the proposal submission instructions and requirements set forth in Section IV of this announcement or else they will be rejected. However, where a page limit is expressed in Section IV with respect to the Narrative Proposal (10 pages), pages in excess of the page limit will not be reviewed.

    2. Proposals must be received by the Region(s) as specified in Section IV of this announcement, on or before the proposal submission deadline provided in Section IV. A of this announcement. Applicants are responsible for ensuring that their proposal reaches the Region(s) by the submission deadline.

    3. Proposals received after the submission deadline will be considered late and returned to the sender without further consideration unless the applicant can clearly demonstrate that it was late due to EPA mishandling. For hard copy and e-mailed submissions, where Section IV requires proposal receipt by a specific person/office by the submission deadline, receipt by an agency mailroom is not sufficient. Applicants should confirm receipt of their proposal with the applicable Region(s) noted in Section VII of this announcement as soon as possible after the submission deadline-failure to do so may result in your proposal not being reviewed.

B. Cost Sharing and Matching Requirements: EPA requires the applicant to provide a minimum 5% match, as part of the total allowable project cost, in order to receive an award. For example, the Federal government will provide 95% of the total allowable cost of the project and the recipient will provide the remaining 5%. The match may be issued in the form of cash and/or in-kind contributions, e. g. , donated services, charges for real property and equipment or the value of goods and services directly benefiting the EPA funded project. Proposals which do not describe how the 5% match requirement will be met will not be reviewed or considered for funding.

Note: Insular area applicants in the U. S. Virgin Islands, American Samoa, Guam and the Northern Mariana Islands are advised to contact the applicable regional P2 contact in EPA Region 2 or 9 to determine if cost share requirements will be waived in all or in part, as authorized by the Omnibus Territories Act of 1977, as amended, 48 U. S. C. Section 1469a. Refer to Section VII to locate the applicable Region(s).

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IV. Proposal Submission Information: The grant application process is a two-step process involving a grant proposal package, followed by an application package. First, the applicant submits a proposal package that includes the following items: a Cover Page, a Narrative Proposal, an SF 424 form, Letters of Support, and Key Contact information. In Section D below instructions are provided for preparing each item and accessing the forms. Eligible proposals that merit further consideration based on the criteria provided in Section V will advance to the second phase.

Under the second phase, the applicant will be contacted by the Region(s) and asked to submit an application package. Only those applicants who are asked to complete an application package will be considered for an SRA award. Application packages include additional Federal forms and supporting documentation. An application package should not be submitted at this time.

The following section provides important information on the submission deadline, the two types of proposal submission methods to use (hard copy or electronic), the format of the proposal, and the content to include in the proposal.

A. Submission Date: To be considered for funding, hard copy and electronic proposals must be received by the appropriate Region(s) listed in Section VII by Tuesday, May 26, 2009. Proposals received after the deadline will not be considered for funding (refer to Section IV for additional submission information).

B. Proposal Submission Methods: Applicants may choose to submit proposals in

one of two ways. If applying with a hard copy submission, please follow the instructions under "Hard Copy Submission" (refer to Section IV. E below). If applying electronically via e-mail, please follow the instructions in Section IV. F below.

C. Proposal Length and Format: Narrative Proposals as described in Section D. 3 below

must be no more than 10 single spaced pages (i. e. , a page equals one side). Proposals longer than 10 pages will only be reviewed up to the page limit. Proposals must be readable in PDF, MS Word or Word Perfect WP6/7/8 for Windows in English.

D. Proposal Package Content: The proposal package contains the Cover Page, Federal Assistance form (SF-424), Narrative Proposal, Letters of Support, and Key Contact information. The page limit applies to the Narrative Proposal only.

  1. Cover Page: The Cover Page contains the following information:
    1. Grant Program title;
    2. Funding opportunity number of this announcement;
    3. Title of proposal;
    4. Short description of proposal;
    5. Total funding of project and requested funding of project; and,
    6. Applicant's contact information (i. e. , name of applicant, name of organization, mailing address, phone number, fax number, and e-mail address).

    Attachment A provides a sample cover page. The Cover Page does not count toward the page limit requirement.

  2. Application for Federal Assistance (SF-424): To download the form go to http://www.epa.gov/ogd/AppKit/form/SF424.pdf. When filling out form SF-424, applicants are required to provide a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number. Applicants may obtain a DUNS number by calling the toll-free DUNS number request line at 1-866-705-5711. Alternatively, applicants may also request a DUNS number online by going to http://fedgov.dnb.com/webform and following the instructions for a grant.

  3. Narrative Proposal: The Narrative Proposal includes parts a and b below.
    The Narrative Proposal is subject to the proposal page limit described above.

    1. Project Narrative: The Project Narrative must address how the proposal meets the Threshold Program Requirements described in Section III. A, and must also include information addressing the Programmatic Capability (Section I. B. 4) and Past Performance requirements (Section I. B. 10) in order to receive an evaluation score as described in Section V.

    2. Work Plan: The Work Plan addresses the strategy, environmental measures,financial aspects, and timeframe of the proposed project(s) as described below and in Section I. B. 8:

      1. Project Strategy: Describe the following elements of the project(s):

        1. The environmental and health issue(s) defining the project(s), and note how the project(s) will address one or more of the regional priorities (this applies to the Region(s) where the applicant is proposing to perform the project) (Section I. C); and,

        2. The target audience of the project.

      2. Environmental Measures: Applicants will need to provide the following information:

        1. Provide qualitative and quantitative estimates of expected outcomes and outputs of project activities in the Work Plan. (Refer to Section I. B. 7 for examples of outcomes and outputs);

        2. Describe relevant data collection methods (e. g. , surveys, pre/post tests, participant reporting arrangements);

        3. Provide numeric estimates of expected pollution prevention results per project;

        4. Provide a description of equations, factors and assumptions used to calculate the estimated pollution prevention results; and,

        5. Provide a plan for tracking the applicant's progress towards achieving the expected project outcomes and outputs (Section I. B. 7).

        Note: For proposals that include more than one project, measurement information must be provided for one or more of the proposed projects. For general guidance, refer to Pre-proposal Assistance on Environmental Measurement (Section IV. I). Applicants may also reference Attachment B to measure and document estimates on outcomes.

      3. Budget Detail: The budget must comply with the 5% CostSharing and Matching Requirements (Sections I. B. 5 and III. C). The budget must also reflect the resources needed to pay for measurement and reporting activities. In some cases this may require 10- 20% of the proposed budget. For an example of a detailed budget, refer to Attachment D.

        1. Management Fees: When formulating a budgetapplicants may not include management fees or similar charges in excess of the direct costs and indirect costs at the rate approved by their audit agency, or at the rate provided for in the terms of the assistance agreement negotiated with EPA. The term "management fees or similar charges" refers to expenses added to the direct costs in order to accumulate and reserve funds for ongoing business expenses, unforeseen liabilities, or for other similar costs that are not allowable under EPA grants or cooperative agreements. Management fees or similar charges may not be used to improve or expand the project funded under the grant or cooperative agreement, except to the extent authorized as a direct cost of carrying out the Work Plan.

        2. Compensation for Consultants: The use of EPAfinancial assistance compensation for consultants is limited to the daily equivalent of the rate paid to Federal employees at the ES-IV level (refer to 40 CFR Sections 30. 27 (b) and 31. 36 (j)).

      4. Project Timeline: A project timeline of no more than two years(Section I. B. 6) should reflect key project tasks and deliverables as well as the data collection activities that capture environmental results (Section I. B. 7). For an example of a Project Timeline, refer to Attachment C.

        Note: The applicant must also make sure the narrative proposal addresses all of the evaluation criteria identified in Section V to the extent they are not otherwise addressed above.

  4.  Letters of Support: Please include Letters of Support as part of the grant proposal. Letters of Support do not count toward the page limit requirement.

    Note: Under this competition, EPA will only consider Letters of Support. Letters of Recommendation will not be reviewed or evaluated. For clarification, a Letter of Recommendation is a document offering general approval of the activity. A letter of Support specifies the services that a grant partner will provide to fulfill the proposed grant work plan activities.

  5.  EPA Form 5700-54, Key Contacts Form: To download the form go to www.epa.gov/ogd/forms/forms.htm. You are asked to identify the key personnel who will file and manage the paperwork, fund the project(s) and direct the Work Plan. The form does not count toward the page limit requirement.

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E. Hard Copy Submission: Applicants choosing to submit their proposal package by hard copy must send two complete copies of it to the appropriate Region(s) listed in Section VII. EPA strongly recommends that applicants use overnight delivery service or courier service as regular mail may be subject to unforeseeable delays. Proposals received after the submission date as noted in Section IV. A will not be evaluated or considered for funding. Proposals must be prepared in accordance with Sections IV. C and D.

Note: For hard copy proposals only: Applicants are encouraged to send an e-mail to the Regional P2 Coordinator (listed in Section VII) as notification that a hard copy proposal was submitted.

F.  Electronic Submission: E-mail submissions must be submitted to the applicable Region(s) noted in Section VII and be received by the submission deadline stated in Section IV. A of this announcement. All required documents listed in Section IV. D of the announcement must be attached to the e-mail as separate Adobe PDF files. Please note that if you choose to submit your materials via e-mail, you are accepting all risks attendant to e-mail submission including server delays and transmission difficulties. E-mail submissions exceeding 15MB will experience transmission delays which will affect when they are received by the Agency. For these size submissions, applicants should submit their application materials via hardcopy or else they may be received late and not considered for funding. Applicants submitting their application materials through e-mail should confirm receipt of the materials with the applicable Region(s) as soon as possible after submission.

G. Other Submission Requirements:

  1.  Confidential Business Information: By submitting an application in response to this solicitation, the applicant grants the EPA permission to make limited disclosures of the application to technical reviewers both within and outside the Agency for the express purpose of assisting the Agency with evaluating the application. Information from a pending or unsuccessful application will be kept confidential to the fullest extent allowed under law; information from a successful application may be publicly disclosed to the extent permitted by law.

    In accordance with 40 CFR 2. 203, applicants may claim all or a portion of their application/proposal package as confidential business information. EPA will evaluate confidentiality claims in accordance with 40 CFR Part 2. Applicants must clearly mark applications/proposals or portions thereof that they claim as confidential. If no claim of confidentiality is made, EPA is not required to make the inquiry to the applicant otherwise required by 40 CFR 2. 204(c)(2) prior to disclosure. However, competitive proposals/applications are considered confidential and protected from disclosure prior to the completion of the competitive selection process.

  2. Federal Requirements: If an applicant's proposal is preliminarily selected forFederal funding during the initial review process, the applicant will be contacted by the Region and instructed to submit required application forms. All application forms must be filled out in their entirety, prior to being considered for an award (refer to 40 CFR 30. 12 and 31. 10). In addition, successful applicants will be required to certify that they have not been debarred or suspended from participation in Federal assistance awards in accordance with 40 CFR Part 32.

  3. Intergovernmental Review: This grant program is eligible for coverage under E. O. 12372, "Intergovernmental Review of Federal Programs. "An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review. If the applicant does not know who their single point of contact is, they are advised to 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 at http://www.whitehouse.gov/omb/grants/spoc.html. Federally-recognized Tribal governments are not required to comply with this procedure.

H. Pre-proposal/Application Assistance and Proper Communication with Applicants: In accordance with EPA's Assistance Agreement Competition Policy (EPA Order 5700. 5A1), [5] EPA staff may not meet with individual applicants to discuss draft proposals, provide informal comments on draft proposals, or provide advice to applicants on how to respond to ranking criteria. Applicants are responsible for the contents of their proposals and applications. However, consistent with the provisions in the announcement, EPA will respond to questions from applicants regarding threshold eligibility criteria, administrative issues related to the submission of the proposal, and requests for clarification about the announcement.

I.  Pre-proposal Assistance on Environmental Measurement: EPA has prepared a set of written questions and answers on environmental measurement to help applicants understand why preparing, documenting and reporting environmental measurement data (outcomes and outputs) is important to their work; what things to measure; how to measure; and how EPA will evaluate measurement work. The questions and answers may also be used to augment information provided under Attachment D - Guidance for Submitting Expected P2 Outcome Information.

Applicants are strongly encouraged to use the questions and answers as a resource when preparing their proposals. To view, go to (http://www.epa.gov/p2/pubs/grants/2008rfpqa.htm) Q&As on the Requirements to Provide Estimates of Outcomes for Proposed Grant and Cooperative Agreement Projects to Track Progress.

J. Consideration of an Applicant's Proposed Subawardees/Subgrantees and/or Contractors During the Evaluation Process: Section V of the announcement describes the evaluation criteria and evaluation process that will be used by EPA to make selections under this announcement. During this evaluation, except for those criteria that relate to the applicant's own qualifications (i. e. , past performance and reporting history), the review panel may consider, as appropriate and relevant, the qualifications, expertise, and experience of:

  1. An applicant's named subawardees/subgrantees identified in the proposal/application if the applicant demonstrates in the proposal/application that if it receives an award that the subaward/subgrant will be properly awarded consistent with the applicable regulations in 40 CFR Parts 30 or 31. For example, applicants must not use subawards/subgrants to obtain commercial services or products from for profit firms or individual consultants; and

  2. An applicant's named contractor(s), including consultants, identified in the proposal/application if the applicant demonstrates in its proposal/application that the contractor(s) was selected in compliance with the competitive Procurement Standards in 40 CFR Part 30 or 40 CFR 31. 36 as appropriate. For example, an applicant must demonstrate that it selected the contractor(s) competitively or that a proper non-competitive sole-source award consistent with the regulations will be made to the contractor(s), that efforts were made to provide small and disadvantaged businesses with opportunities to compete, and that some form of cost or price analysis was conducted. EPA may not accept sole source justifications for contracts for services or products that are otherwise readily available in the commercial marketplace.

    Note: EPA will not consider the qualifications, experience, and expertise of named subawardees/subgrantees and/or named contractor(s) during the proposal/application evaluation process unless the applicant complies with these requirements.

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V. Application Review Information: This section describes the process and criteria for evaluating proposals that pass the threshold eligibility review described in Section III. EPA will only evaluate proposals from eligible applicants that meet the Threshold Eligibility requirements in Section III.

A. Evaluation Criteria: Proposals will be evaluated based on the criteria below. Proposals can receive a maximum score of 100 as stated below. Each criterion includes a cross-reference to the section of this announcement that is relevant to that criterion:

  1. Programmatic Capability and Past Performance [30 points]

    1. Programmatic Capability (Section I. B. 4): Proposals will be evaluated based on the extent and quality to which the applicant clearly describes their organizational experience and resources to perform and support the successful completion of the proposed project(s). This includes their experience achieving project objectives, degree of participation in the National Pollution Prevention Results Data System (Section I. B. 4. a) and staff qualifications (Section I. B. 4. b.) [16 points]

    2. Past Performance (Section I. B. 10): Proposals will be evaluated based on the factors described in Section I. B. 10 including the extent and quality to which the applicant demonstrates it has successfully performed and managed Federally-funded assistance agreements (Federal grants and cooperative agreements and not contracts) of similar size, scope and relevance to the proposed project within the last three years and complied with reporting requirements under these agreement including submission of acceptable final technical reports. Also, EPA will evaluate the extent to which the applicant adequately documented or reported on whether it was achieving the expected results under prior grants as identified in Section I. B. 10. [14 points]

      Note: In evaluating applicants under this factor, EPA will consider the information provided by the applicant and may also consider relevant information from other sources including agency files and prior/current grantors (e. g. , to verify and/or supplement the information supplied by the applicant). Applicants with no relevant or available past performance reporting history must indicate this in the proposal and they will receive a neutral score for this factor [7 points]
  2. Work Plan [70 points]

    1. Project Strategy (Section I. B. 3): The Project Strategy should be a realistic and thoughtful plan that promotes pollution prevention. EPA will consider the following criteria: [30 Points - broken out below]

      1. Environmental and/or Public Health Concerns

        • How well does the project strategy address one or more of the regional priorities listed in Section I. C?

        • How well does the project strategy define and address the environment and/or public health concerns, based on relevant environmental, economic, technical, scientific and social circumstances? [15 Points]

      2. Target Audience

        • How well has the target audience been identified and defined?

        • How well does the project strategy target a business, academic institution, or community?

        • How well will the business, academic institution or community benefit from P2 technical assistance being proposed (especially for those businesses and communities for whom a lack of information is an impediment to source reduction)?

        • How well is the target audience prepared to apply P2 technical assistance and implement source reduction practices? [15 Points]

    2. Environmental Measures (Section I. B. 7 and 8): EPA will evaluate the extent and quality to which the Work Plan presents numeric estimates of expected pollution prevention results (outcomes and outputs) and describes a pragmatic effort to collect, calculate, and report pollution prevention measures. Also, to be evaluated will be the applicant's plan for tracking and measuring its progress towards achieving the expected project outcomes and outputs [20 points]

    3. Budget Detail (Section I. B. 8. d): EPA will evaluate the extent to which the detailed budget presents estimated costs for each budget object class, broken down by project and funding source. Reviewers will also evaluate the detailed budget based on the extent to which the costs are reasonable and necessary. Note that the detailed budget must comply with cost share requirements (Section I. B. 5) and must indicate the cost of environmental measurement activities (Section I. B. 7). [10 points]

    4. Project Timeline: EPA will evaluate the extent to which the project timeline reflects key project tasks and deliverables as well as the data collection and evaluationactivities supporting environmental outcome measures (Section I. B. 7. a). Project schedules can be no longer than two years (Section I. B. 6). [10 points]

B. Review and Selection Process:

  1. Review Process: Eligible proposals will be reviewed by the EPA Regional review panel. The review panel will be composed of EPA Regional P2 program staff and may include staff from other Regional program offices who may be able to offer technical expertise to the evaluation process. The evaluation process will be based on the evaluation criteria and scoring provided in Section V above. Each Region will draft evaluation forms to score and provide comments on the evaluations. The highest ranked proposals from each Region that merit further consideration will proceed to the next phase and will be asked to submit a full application package. When the Region determines that a proposal merits further consideration the applicant will be contacted by the Regional P2 Coordinator and instructed to submit a full grant application package.

  2. Selection Process: Following EPA's evaluation of proposals, all applicants will be notified regarding their status. The highest ranked proposals from each Region will be recommended for funding and a listing of those proposals will be forwarded to the appropriate Regional Division Director or Senior Executive Service (SES) equivalent for review. In making this decision, the Regional Division Director (or SES equivalent) will consider the evaluation rankings and may consider geographic diversity. Upon review, the applicants with the highest ranked proposals will receive written requests from EPA to submit full application packages. Final applications and forms will be requested, as necessary, from those eligible entities whose proposal has been successfully evaluated and preliminarily recommended for award. Those entities will be provided with instructions and a due date for submittal of the final application package. EPA anticipates that requests for application packages will be made by August 31, 2009.

  3. Selection Official: Complete application packages will be selected for funding by the Regional Division Director (or SES equivalent) in the Region. Selections will receive final concurrence by the Pollution Prevention Division Director in EPA Headquarters. EPA anticipates that final funding decisions will be made by October 30, 2009.

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VI. Award Administration Information:

A. Award Announcements: After applications have been reviewed and evaluated, applicants will be notified by the Region(s) regarding the outcome of their submittal, usually 60 - 90 days from the date of submission.

B. Dispute Resolution Process: Assistance agreement competition-related disputes will be resolved in accordance with the dispute resolution procedures published in 70 FR (Federal Register) 3629, 3630 ( January 26, 2005) which can be found at http://www.epa.gov/ogd/competition/resolution.htm. Copies of these procedures may be requested by contacting the appropriate Region listed in Section VII.

C. Administrative Requirements:

  1. Award Management: Awards issued in FY 2009 will be managed by the appropriate Region(s).

  2. Non-profit administrative capability: Non-profit applicants that are recommended for funding under this announcement are subject to pre-award administrative capability reviews consistent with Section 8b, 8c and 9d of EPA Order 5700. 8 - Policy on Assessing Capabilities of Non-Profit Applicants for Managing Assistance Awards (http://www.epa.gov/ogd/grants/award/5700_8.pdf). In addition, non-profit applicants that qualify for funding may, depending on the size of the award, be required to fill out and submit to the Grants Management Office the Administrative Capabilities Form, with supporting documents, contained in Appendix A of EPA Order 5700. 8.

  3. Quality Assurance and Quality Control (QA/QC): Certain quality assurance and/or quality control (QA/QC) and peer review requirements are applicable to the collection of environmental data. Environmental data are any measurements or information that describe environmental processes, location, or conditions; ecological or health effects and consequences; or the performance of environmental technology. Environmental data also include information collected directly from measurements, produced from models, and obtained from other sources such as data bases or published literature. Regulations pertaining to QA/QC requirements can be found in 40 CFR 30. 54 and 31. 45. Additional guidance can be found at http://www.epa.gov/quality/qa_docs.html#noeparqt.

    Applicants should allow sufficient time and resources to set up a Quality Management System for their proposed projects. If your organization does not have a Quality Management System in place, one must be developed. A Quality Management System would be the mechanism for managing the quality of environmental data collection, generation and use. To build a Quality Management System the applicant needs to develop a Quality Management Plan (QMP). A QMP is a document that describes the applicant's overall organization or program in terms of the organizational structure, policy and procedures, functional responsibilities of management and staff, lines of authority, and required interfaces for those planning, implementing, documenting, and assessing all activities conducted.

    For projects that produce environmental data, applicants will be required to develop a project-specific Quality Assurance Project Plan (QAPP) or functional equivalent. A QAPP is a document that describes project-specific information on quality assurance, quality control, and other technical activities that must be implemented to ensure that the results of the work performed will satisfy the stated performance criteria. A QAPP must be submitted and approved by EPA.

    Applicants for the FY 2009 Source Reduction Assistance Grant Program are not required to submit a QAPP as part of the application package, but may be required at time of award. Each grant award will contain a condition establishing a deadline for the grantee to submit acceptable quality assurance documentation to EPA.

  4. Audits: Periodic audits should 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 OMB Circular No. A‑133, "Audits of States, Local Governments, and Nonprofit Organizations," non-federal entities that receive financial assistance of $500,000 or more within the State's fiscal year shall have an audit made for that year. State agencies that receive less than $500,000 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.

  5. 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 posed as a result of an audit, related records should be retained until the matter is completely resolved.

  6. Computers: Recipients who use SRA award funds to purchase desktop computers, or notebook computers must specify that such equipment is an Electronic Product Environmental Assessment Tool (EPEAT)-registered product with a rating of "bronze" or better. This specification requirement is consistent with EPA's role in the Federal Electronics Challenge. For more information, go to http://www.epa.gov/fec.

  7. Exchange Network: Applicants should be aware that EPA, States, Tribes and territories are working together to develop the National Environmental Information Exchange Network, a secure, Internet and standards-based way to support electronic data reporting, sharing, and integration of both regulatory and non-regulatory environmental data. States, Tribes and territories that exchange data with each other or with EPA, should make the Exchange Network and the Agency's connection to it, the Central Data Exchange (CDX), the standard way they exchange data and should phase out any legacy methods they used previously. More information on the Exchange Network is available at http://www.exchangenetwork.net.

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VII. Agency Contacts: For further information, please contact the appropriate EPA Regional P2 Program Coordinator.

State

EPA REGIONAL P2 PROGRAM COORDINATOR

Region 1
CT, MA, ME, NH, RI, VT

Robert Guillemin - Pollution Prevention Coordinator
1 Congress Street Suite 1100 (SPP)
Boston, MA 02114-2023
Phone: 617-918-1814
E-mail: guillemin. robert@epa. gov
Website: http://www.epa.gov/region1/assistance/p2/index.html

Region 2
NJ, NY, PR, VI

Alex Peck - Pollution Prevention Coordinator
290 Broadway, 25th Floor (PSPMMB)
New York, NY 10007-1866
Phone: 212-637-3758
E-mail address: peck. alex@epa. gov
Website: http://www.epa.gov/region02/p2/grants.htm

Region 3

DC, DE, MD, PA, VA, WV

Mindee Osno - Pollution Prevention Coordinator
1650 Arch Street (3EA40)
Philadelphia, PA 19103-2029
Phone: 215-814-2074
E-mail: osno. mindee@epa. gov
Website: http://www.epa.gov/region03/grants/grantopp.htm

Region 4
AL , FL, GA, KY, MS, NC, SC, TN

Suganthi Simon - Pollution Prevention Coordinator
61 Forsyth Street SW
Atlanta, GA 30303
Phone: 404-562-9384
E-mail: simon. suganthi@epa. gov
Website: http://wrrc.p2pays.org/P2GrantInfo.asp

Region 5
IL, IN, OH, MI, MN, WI

Phil Kaplan - Pollution Prevention Coordinator
77 West Jackson Boulevard (LM-7J)
Chicago, IL 60604-3590
Phone: 312-353-4669
E-mail: kaplan. phil@epa. gov
Website: www.epa.gov/reg5rcra/wptdiv/p2pages/

Region 6
AR, LA, NM, OK, TX

David Bond - Pollution Prevention Coordinator
1445 Ross Avenue, Suite 1200 (6EN-XP)
Dallas, TX 75202
Phone: 214-665-6431
E-mail: bond. david@epa. gov
Website: http://www.epa.gov/region06/6en/xp/enxp2d.htm

Region 7
IA, KS, MO, NE

Marcus Rivas - Pollution Prevention Coordinator
901 N. 15th Street (ARTD/SWPP)
Kansas City, KS 66101
Phone: 913- 551-7669
E-mail: rivas. marcus@epa. gov
Website: http://www.epa.gov/region07/economics/r7_grant_opportunities.htm

Region 9
AZ, CA, HI, NV, AS, GU

Jessica Counts-Arnold - Pollution Prevention Coordinator
75 Hawthorne Street (WST-7)
San Francisco, CA 94105
Phone: 415-972-3288
E-mail: counts-arnold. jessica@epa. gov
Website: http://www.epa.gov/region09/funding/funding-sources/index.html

Region 10
AK, ID, OR, WA

Carolyn Gangmark - Pollution Prevention Coordinator
1200 Sixth Avenue Suite 900 (OEA-095)
Seattle, WA 98101
Phone: 206-553-4072
E-mail: gangmark. carolyn@epa. gov
Website: http://yosemite.epa.gov/r10/HOMEPAGE.NSF/Information/Grants

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Attachment A

Sample Cover Page

[Grant Program Title]FY 09 Source Reduction Assistance Grant Program
[Funding Opportunity Number]EPA-HQ-OPPT-09-08

[Title] Groundwater Guardian Green Sites Expansion (GGGS)

[Short Description - no more than 300 characters]

Project will use pollution prevention at the source. It will document, calculate, and publicly recognize the environmental outcomes of reducing the use of fertilizer, pesticide, and water and of effectively managing sources of pollution.

[Project funding]
Total Project Funding: $46,804
Requested Funding: $39,804

[Applicant's Contact Information]
Name: Jane Doe
Address: 1200 Pennslyvania Ave, N. W.
Washington, D. C. 20460
Tel: (222) 222-2222
Fax: (222) 222-2222
Email: doe. jane@aol.com
[Contact information should include a primary contact,
the person responsible for implementing the grant project
and if desired an administrative contact, the person
responsible for submitting the grant proposal]

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Attachment B

Guidance for Submitting Expected P2 Outcome Information

I. Introduction: Sections I. B. 7 and 8 of the RFP describe why and how applicants must provide quantitative estimates of expected outcomes and outputs of project activities in their proposals. To assist applicants with P2 measurement requirements, Section II of this guidance provides a description of what to include in the grant proposal and provides a sample explanation of how to present the information. Section III provides a description of how to calculate expected outcome results, and Section IV provides background information describing P2 outcome categories, data collection methods and a procedure for calculating expected P2 outcomes.

II. Description of Expected P2 Measurement Information: To meet measurement requirements, the proposal should include at least one P2 project that results in numeric P2 outcomes within the project's timeframe. The proposal should include the following measurement elements (items 1- 4 listed below) for each P2 project that is expected to be measured for numeric outcome results.

A. Measurement Elements - the necessary components to include in the proposal:

  1. Project Overview: A short list of the project's characteristics, which include the:

    • Project title;

    • Outputs;

    • Behavioral Measures;

    • Partners; and,

    • Target Sector

  2. Data Collection: A description of the relevant data collection methods, e. g. , surveys, pre/post tests, the participant reporting arrangements, etc.

  3. Expected P2 Outcomes: Numeric estimates of expected pollution prevention outcomes per project.

  4. Calculation of Expected Outcome Results: A description of the equations, and methodologies used to calculate the estimated pollution prevention results.

B. Documenting Information - how to present information on measurement elements.

  1. Project Overview: The Project Overview section provides a "snap shot" of the proposed project by providing brief responses in the following five areas:

    • Project Title;

    • Outputs;

    • Behavioral Measures;

    • Partners; and,

    • Target Sector

    A sample explanation is provided below:

    • Project title: Green Hotels Program;

    • Outputs: The project will organize 5 three-hour workshops followed by on-siteenvironmental audits and technical assistance for up to 10 participating facilities;

    • Behavioral Measures: Number of workshop attendees that join the Green Hotel Program;

    • Partners: State Hotel and Motel Association, State Visitors and Tourist Bureau; and,

    • Sectors: Hotel and hospitality businesses

  2. Data Collection: By writing a short description of the data collection method, applicants take a proactive approach towards measurement by selecting the most appropriate data collection tool(s) and thinking through the logistics of the measurement process. As described in Section II. A, Background Information for Expected P2 Outcomes below, data collection tools include surveys (mail, fax, email, Internet, and phone) and observed data (on-site revisits, pre/post tests, and reviews of self-reported data).

  3. Note: The steps to institute measurement (i. e. , measurement planning, data collection, data analysis and reporting) should also be reflected in the Budget Detail and the Project Timeline. A sample explanation is provided below.

    Data Collection Description: The data collection effort for the Green Hotel Project will begin with a pre/post survey conducted at each of the projects five workshops. The survey will assess the change in the level of environmental awareness of workshop participants and collect baseline facility information. P2 outcome measures will be collected as part of a voluntary program in which participating hotels will receive technical assistance from P2 staff and, in return, provide self-reported data for pounds of pollution prevented, energy and water conserved, and dollars saved.

  4. Expected P2 Outcomes: The following table is a sample showing how to present expected P2 outcome information in an acceptable format. As illustrated in the table, the "Green Hotels Project" expects to yield numeric P2 outcomes from the listed "P2 Efforts. "The number of "Pounds of Pollutants Reduced" is totaled in column (g). The underlying calculation for each expected outcome is described below in Section D, "Calculation of Expected Outcome Results. "

    Note: Refer to Section II. B below for criteria of the outcome categories, including pounds of pollution prevented, millions of BTUs (mBTUs) conserved, gallons of water conserved, and dollars saved.

Table 1  Estimated P2 Outcomes for the Green Hotels Project

Pounds of Hazardous Materials Reduced

Resources Conserved
and Dollars Saved

(a)

P2 Efforts

(b) Haz. Inputs

(c)

Haz Waste.

(d)

Air Poll.

(e)

Waste Water

(f)

Total Lbs

(g)

Solid Waste

(h)

mBTUs

(In FY 2010 MMTC02e)

(i)

Gallons

(j)

Dollars

1. Water conservation

50,000

$6,844

2. Green cleaning

500

3. Organic lawn care

200

4. Efficient Lighting

170

Total:

500

200

170

50,000

$6,844

III. Calculating Expected Outcome Results

A. Preparing calculations of expected outcome results - Proposals will need to include the following information: underlying assumptions, factors, and the logic used to calculate the expected project outcomes. The sample explanations that follow cover the first two P2 efforts listed in Table 1 above (i. e. , water conservation and green cleaning).

  1. Water Conservation: Four workshops will reach an expected audience of 50 hotels. Of these, 5 hotels, representing approximately 500 bed spaces, are expected to adopt water efficiency practices within two years. A typical U. S. hotel uses 100 gallons of water per day per occupied room (water used for toilet, bathing, hygiene and laundry). Assuming a 50 percent occupancy rate, the 5 participating hotels use approximately 9,125,000 gallons of water per year. New water-efficient shower and faucet fixtures combined with an "Eco Linen" program are expected to result in a savings of 15 percent or 1,368,750 gallons conserved per year. With water and sewer rates at approximately $5. 00 per 1,000 gallons, the estimated cost savings are $6,844.

  2.  Green Cleaning: It is expected that a total of five hotels will provide self-reported data on the amount of cleaning products that are converted to environmentally preferable cleaners. It is estimated that, on average, each hotel room requires the use of two pounds of cleaning products per year for a total annual usage of 1,000 pounds for 500 rooms. It is expected that the participating hotels will convert half of their cleaning products to green cleaners within two years. Furthermore, assuming 50 percent occupancy rate, it is expected that a shift to green cleaners will result in 250 pounds of in-product source reduction per year.

IV. Background Information for Expected P2 Outcomes: The three sections that follow describe P2 outcome categories, data collection methods, and provide a process for calculating expected P2 outcomes.

A.     Description of Data Collection Methods

  1. Pre/Post-Test: Before conducting the pollution prevention assistance activity (e. g. , workshops, training sessions), consider testing attendee knowledge of the subject you plan to cover. At the end of the assistance activity, retest the participants to determine changes in understanding of the materials presented. Similarly, you can assess behavioral practices at the facility before a workshop and practices reported in a follow-up survey to identify changes made. Pre/post-tests can also help you improve your pollution prevention assistance materials by revealing areas where key messages did not come across.

  2. Telephone Survey: A telephone survey is a standard set of questions asked to potential respondents over the telephone. These surveys, used alone or in combination with mail or online surveys allow you to ask follow-up or clarifying questions, potentially resulting in better data than a mailed survey. Telephone surveys work best if the list of potential respondents is a manageable number (e. g. , less than 50 respondents). To reduce costs, some regions have hired college students to make the call-backs.

  3. Mail/Email/Fax Survey: A mail, email, or fax survey is a set of questions sent to potential respondents with a request that they voluntarily respond. These surveys enable you to reach a large number of potential respondents, and may be the best option where there are more than 50 recipients. However, mail/email/fax surveys can provide ambiguous results, since it is not easy to immediately follow up and clarify unclear, conflicting, or unexpected responses. Similarly, a limited level of detail is obtained, as respondents will generally not spend the time to write long answers to open-ended questions.

  4. Online Survey: An online survey is a set of questions posted on a Web site or list server. These surveys have the potential to reach a large number of respondents. For surveys on Web sites, you can reach users that might otherwise be unknown to you. Many respondents like online surveys because they can respond at their convenience and they do not need to worry about losing a survey or mailing it back. As with mail surveys, however, the online survey may provide only limited detail as respondents might not want to spend time typing in a longer response. In addition, without follow-up, there is potential for ambiguity or conflicting results, as with the mail survey.

    Note: Pre/post-tests, telephone surveys, mail/email/fax surveys, and online surveys are exempt from the Paperwork Reduction Act (PRA) if administered under a grant agreement. However, the PRA is applicable if administered as part of a cooperative agreement with EPA.

  5. On-site Revisit: Onsite revisits involve returning to facilities that previously received an assistance visit. Revisiting facilities can provide excellent data since you can use direct observation to make assessments and because facilities are likely to spend the necessary time to answer questions while you are on site. In addition, the revisit itself might spur additional compliance assistance or pollution prevention activities.

  6. Self-Reported Data: Facilities may provide self-reported data that sheds light on their environmental performance. This could include in-house data such as energy and water bills, material and waste management receipts, permits, and Toxic Release Inventory (TRI) forms. Facilities may also supply source reduction information as part of a voluntary environmental program, such as an annual pollution prevention awards program, an ongoing environmental recognition program, or other voluntary partnerships.

B.      Description of the P2 Outcome Categories

Applicants are encouraged to use the reporting format (refer to Table 1 above) for expected P2 outcome measures. As outlined below, the use of this format clearly identifies the key measurement categories that meet EPA's measurement and reporting needs.

  1. P2 Efforts [column (a)]: lists the source reduction activities that are expected to yield P2 outcome results. For grants with multiple projects, at least one project must be included. In the example listed above, a "Green Hotels Program" conducts four P2 activities that exhibit expected outcome measures.

  2. Pounds of Hazardous Materials Reduced: The four categories that comprise "Hazardous Materials Reduced" are described below. Column (f) sums the total pounds of pollutants prevented. Reductions are achieved through source reduction efforts, including in-process recycling. Measurements are expressed in pounds/year.

    • Hazardous Inputs and Wastes [columns (b & c)]: The measure for hazardous inputs and waste refers to state and/or Federally-listed hazardous wastes or toxic wastes meeting the criteria for ignitability, toxicity, corrosiveness or reactivity. This could include hazardous materials used as process inputs (chemical ingredients, paints, and solvents), hazardous products applied to land (such as pesticides and nutrients not applied, etc) and hazardous wastes. Excluded: non-hazardous waste (solid waste, construction debris, packaging, paper, glass and aluminum cans).

    • Air Pollutants [column (d)]: The measure for air pollutants are considered to include the release of any of the following: toxic air emissions (this includes CAA 112b hazardous air pollutants (HAPs), Toxic Release Inventory (TRI), and others), nitrogen oxides (NOx), sulfur oxides (SOx), particulate matter (PM) and Volatile Organic Compounds (VOCs). This criterion takes in account pollutants to air, including NOx and SOx from boilers, but excludes NOx or SOx from utilities (due to cap and trade limitations).

    • Waste Water [column (e)]: "Waste Water" refers to include biochemical oxygen demand (BOD), chemical oxygen demand (COD), toxics, nutrients, non-filterable total suspended solids (TSS), contaminants in storm water and pathogens discharged to sewer systems, septic systems, injection wells, and ground water. Pounds of waste water are calculated by estimating the quantity of contaminant rather than the quantity of water.

    • Total pounds [column f]: The number of total pounds accumulated from the P2 efforts noted in the table refers to water conservation, green cleaning, organic lawn care and efficient lighting.

  3. Resources Conserved and Dollars Saved: The four categories that comprise "Resources Conserved and Dollars Saved" are described below.

    • Solid Waste [column g]: Solid waste refers to non-liquid, non-soluble materials ranging from municipal garbage to industrial wastes, including sewage sludge, agricultural refuse, demolition wastes, packaging, and mining residues.

    • mBTUs [column (h)]: This column refers to mBTUs reduced, conserved, or offset through source reduction efforts.

    • MMTCO2e [column (h)]: This column refers to Million Metric Tons of Carbon Dioxide Equivalent. For additional information on metrics for expressing greenhouse gas emissions, please go to: http://www.epa.gov/OMS/climate/420f05002.htm

    • Gallons [column (i)]: This column lists the reduction in gallons of incoming raw water from outside sources through the implementation of P2 activity. Reductions can occur for operations, facility use and grounds maintenance.

      Note: If you expect reductions in pounds of hazardous materials from practices that reduce wastewater, gallons of wastewater reduced can equal gallons of water saved.

    • Dollars [column (j)]: This column lists the financial savings in dollars derived from the outcome of implementing a P2 activity (including materials, labor, energy, machinery, administrative, waste management, or other process costs).

      Note: EPA will be issuing a P2 cost calculator that can be used by the grantees to calculate these benefits.

C. Calculation of Pollution Prevention Outcomes

The following steps can be followed to estimate expected pollution prevention outcomes.

  1. Establish a Baseline: Baseline performance information represents the current status of the target audience or sector and provides a frame of reference for measuring the success of the intended pollution prevention project. Baseline information can be expressed in terms of the amount of pollution generated over a period of time (e. g. , pounds of pollution per year); the amount of material, products, water, and/or energy used over a given time (e. g. , kW hours consumed per year); andamount of dollars spent over a given time (e. g. , dollars spent per year). Baseline information can be established by: 1) using relevant databases, records, reports, and studies; 2) surveying the facility or target audience; and, 3) using pre-existing baseline information.

    Here are some examples:

    • A manufacturer generates about 4,000 gallons/month of oil wastewater from washing operations used to clean machined, metal parts for a cost of $0. 40/gallon; and

    • On average, hospitals use between 250 and 400 gallons of water per day per bed.

  2. Determine the Efficiency of the P2 Effort: Identify the expected source reduction benefit of the P2 practice, product or technology. This benefit should be expressed in terms of pollution reduced, energy saved, water conserved, and costs avoided. This efficiency factor should come from reliable sources or sound analysis.

    Here are some examples:
    • High-solid auto body paints reduce VOC emissions by up to 75 percent;

    • Manufacturing one ton of office paper with 100 percent recycled contents can save nearly 3,000 kilowatt hours when compared to the manufacture of virgin paper;

    • ENERGY STAR qualified transformer can save $100-300 each year at an electricity rate of $0. 075 cents per kWh;

    • Ergonomic high volume, low pressure (HVLP) guns result in paint savings of up to 50 percent over conventional air spray guns, and savings of 35 percent over conventional HVLP guns; and,

    • Ultrafiltration (UF) membrane technology can reduce the volume of oily wastewater by at least 80 percent by separating out clean water from the oily solution.
  3. Estimate the Degree of Impact: Estimate the degree to which the P2 objectives will be implemented by the target audience. First, gauge the percentage of expected participation. Second, determine the degree to which participants will adopt P2 suggestions.

    Here are some examples:
    • If representatives from 30 marinas attend a workshop, 10 marinas are expected to implement suggested P2 practices within a two-year period. Of these, half are expected to install a high-efficiency spray gun for painting operations; and

    • Six of the ten facilities participating in an environmental management system (EMS) user-group are expected to complete their EMS by the end of the year.

    Note: By identifying the target audience's performance baseline, the expected efficiency of the P2 Effort, and the degree of impact, you will have all the elements to estimate expected P2 outcomes.

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ATTACHMENT C

Project Timeline Samples

The following sample of timelines offer different approaches for documenting a schedule of major project activities and milestones. Please note that timelines also need to account for measurement tasks, including: measurement planning, data collection efforts, and data analysis and reporting (refer to Section I. B. 9).

Sample 1

Timeline for Multiple Projects

Project

Oct

Nov

Dec

Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Sep

Greening the Government

X

X

X

X

X

X

X

X

X

X

X

X

Partnership Activities

X

X

X

X

Mercury Collection

X

X

X

X

Pollution Reduction

Measurement

X

X

X

X

X

X

Prepare Reports

X

X

Measurement

X

X

X

X

X

X

Sample 2

Milestone Table

Task by Objective

Oct

Nov

Dec

Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Sep

Objective 1

Task 1

Livestock Industry Assistance

Designand implement management plans

Objective 2

Task 1

Initiate P2 measurement strategy

Objective 2

Task 2

Collect data from participants

Objective 2

Task 2

Analyze data

Objective 3

Task 1

Present findings at national conference

Objective 4

Task 1

Prepare interim and final reports

Sample 3

Activity Timeline

Oct

Nov

Dec

Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Sep

Pre-workshop testing

Workshop

Post-workshop testing

Analyze data

On-site technical assistance

Collect and analyze data

Piloting to old companies

Piloting to new companies

Measurement Planning

Data collection and analysis

Prepare progress report

Prepare Final Report

Sample 4

Interim Report
Summary of Deliverables and Activities

Task

Timeline

Status

General

a. Advisory Committee Conference Calls

Monthly

Ongoing

b. Progress Reports

Quarterly

Ongoing

Task 1: Education and Outreach

a. Develop Outreach Strategy

October - November 2009

Completed

b. Develop & Disseminate Outreach Materials

November 2009 - June 2010

Ongoing

c. Develop & Pilot Industry Mentoring Program

November 2009 - December 2009

Ongoing

Task 2: On-Site Outreach

a. Conduct 10 onsite visits

June 2010 - June 2011

Ongoing

b. Mail P2 suggestions

July 2010 - August 2010

Ongoing

c. Conduct follow-up calls

October 2010 - April 2011

Pending

d. Compile survey data and metrics

October 2010 - August 2011

Pending

Task 3: Measurement and Reporting

a. Plan measurement strategy

October 2009

Completed

b. Mid-year report

March 15, 2010

Pending

c. Analyze Output and Outcome Measures

September 2010 - November 2011

Pending

b. Prepare Final Report

November - December 2011

Pending

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Attachment D

Budget Detail Guidance and Example

Applicants must provide a detailed cost justification for the estimated budget amounts reflected in Section B of the SF-424A application form. The Budget Detail allows the EPA project officer to determine if the costs are reasonable and necessary. To comply with Cost Sharing and Matching Requirements, the itemized budget must indicate the project costs paid by the applicant, EPA, and/or other partners. A description of Object Class Categories and a sample budget has been provided below.

Description of Object Class Categories

Personnel: Indicate salaries and wages, by job title, of all individuals who will be supplemented with the grant funds.

Fringe Benefits: Indicate all mandated and voluntary benefits to be supplemented with the grantfunds.

Travel: Indicate the number of individuals traveling, destination of travel, number of trips, and reason for travel.

Equipment: EPA regulation and policy define equipment as tangible, non-expendable personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit (40 CFR 31. 3). The figure of $5,000 would represent the total cost of the equipment purchase or of the lease). Note that not all funding programs allow for the purchase of equipment and some programs encourage leasing rather than purchasing equipment. If your project requires the purchase of equipment, you are encouraged to check with the Regional Pollution Prevention contact prior to submitting your proposal to ensure that the equipment purchases are allowable.

Supplies: Indicate any items, other than equipment, that will be purchased to support the project.

Contractual: Indicate any proposed contractual items that are reasonable and necessary to carry out the project's objectives.

Other: Indicate general (miscellaneous) expenses necessary to carry out the objectives stated in the workplan.

Total Direct Charges: Summary of all costs associated with each line item category.

Indirect Costs: Organization must provide documentation of a federally approved indirect cost rate (percentage) reflective of proposed project/grant period. Applicant should indicate if organization is in negotiations with appropriate federal agency to obtain a new rate.

Total amount of funds requested from EPA and total match: Add direct and indirect costs.

Total cost of project: Add the total amount requested from EPA and the total amount of funds provided as a match for an overall project cost.

Measurement: The category of "measurement" is not an Object Class Category; nonetheless, grant conditions require the inclusion of a short description of applicable measurement costs to complete the budget detail. A sample description has been included at the bottom of the following Example Budget.

Sample of Budget Detail

Line Item

Detailed Description

EPAFunds

Match Funds

Total

Personnel

Project Manager @ $15/hr x 40hrs/wk x12 weeks

Project Assistant @ $10/hr x 20hrs/wk x 12 weeks.

$7,200

$2,400

$9,600

$0

$0

$0

$9,600

Fringe Benefits

Health Insurance-

1 FTE @ $35/month x 12/months

Dental - 1 FTE @ $40/mo x 12/months

$420

$480

$900

$0

$0

$0

$900

Travel

Site Visit to XYZ Watershed

Local Travel Mileage - 1000 miles x $0. 36

Meeting with project partners

Air Fare for 1 person to Denver

Per diem for 2 days @$40/day for 1 person

Hotel for 1 night for 1 person

$0

$250

$80

$75

$405

$360

$0

$0

$0

$360

$765

Equipment

$0

$0

$0

Supplies

100 pamphlets for community members @ $2 each

Computer equipment

$200

$0

$200

$0

$1000

$1,000

$1,200

Contractual

Training for 50 people @ $100 each

Water sample testing - 20 samples @ $75 each

$5,000

$0

$5,000

$0

$1,500

$1,500

$6,500

Other

Office needs (postage, phone, fax, etc. )

$150

$150

$300

Total Direct Charges

$16,255

$3,010

$19,265

Indirect Charges

10% of Personnel salary

$960

$0

$960

Grand Total

$17,215

$3,010

$20,225

Measurement: Expenditures to measure P2 outcomes include personnel costs of $500 to write and administer a survey and compile survey results. This includes time for the Project Manager ($15/hr x 20 hrs = $300) and the Project Assistant ($10/hr x 20hrs = $200).



[1] All of the forgoing estimates are subject to the availability of appropriations. The fiscal year represents October 1, 2008 - September 30, 2009.

[2] All of the forgoing estimates are subject to the availability of appropriations. The fiscal year represents October 1, 2008 - September 30, 2009.

[3] EPA Order 5700. 7, Environmental Results Under Assistance Agreements - http://www.epa.gov/ogd/grants/award/5700.7.pdf.

[4] Attachment D provides a sample of an itemized budget. EPA will consider partial funding in appropriate circumstances, for more information on partial funding, please refer to Section II A.

[5] EPA Order 5700. 5A1 - http://www.epa.gov/ogd/competition/5700_5A1.pdf.  

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