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Frequently Asked Questions (FAQs) on Pollution Prevention Division Grants

Additional Information

EPA Order 5700.7 (PDF) (29 pp, 180 K, About PDF)

EPA's Strategic Plan - Goal 4 addresses Chemicals and Preventing Pollution

The following FAQs were compiled to benefit prospective applicants seeking to apply for grants or cooperative agreements under the Pollution Prevention Division's Grant Programs (CFDA 66.708 and CFDA 66.717).

Requirement to Provide Estimates of Outcomes and To Track Progress for Proposed Grant and Cooperative Agreement Projects Frequently Asked Questions (FAQs)

Why do grantees have to measure?

EPA's Environmental Results Policy (EPA Order 5700.7 (PDF) (29 pp, 180 K, About PDF)) requires applicants to provide qualitative and quantitative estimates of expected outcomes and outputs of project activities in their proposals and a plan for measuring and tracking their progress towards achieving the expected outputs and outcomes. Furthermore, grantees need to provide outcome measures to demonstrate a connection to the Agency's Strategic Plan. Goal 4, objective 4.2 in the Draft FY 2011-2015 EPA Strategic Plan states that EPA will work to conserve and protect natural resources by promoting pollution prevention and the adoption of other stewardship practices by companies, communities, governmental organizations, and individuals.

Why do grantees need to describe how they calculate P2 results?

EPA's Quality Assurance Policy requires grantees to provide environmental data in a clear and understandable fashion. This includes the responsibility to describe the relevance and quality of outcome results, so that these numbers can be understood in a meaningful way. A description of outcome calculations, data collection methods, conversion factors, underlying assumptions, and other relevant information help reveal the nature of the P2 results.

Why are grantees being asked to gather baseline data?

Without gathering preliminary data on current conditions, it is impossible to see any distinct change or to determine if any results were made specifically as a result of the project. Baseline data describes the existing situation, provides relevance to the data you collect, and allows comparisons to be done before and after a project to determine its successes and failures.

Can grantees use P2 measures for their own benefit?

P2 measures should offer value to the grantees by providing sound data for internal and external communication, program evaluation and management decisions.

When should measurement begin?

Measurement is most helpful at key stages of a project's life span: project planning, project implementation, and project completion.

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Planning stage: Baseline information is gathered, objectives are established, and the audience of the project is characterized.

Implementation stage: Progress is tracked to determine if mid-course correction of the project is necessary. Milestones are examined.

Completion stage: Determine if goals were achieved, what worked well, next steps, and future modifications.

How to measure the right thing

The key to measurement is that measurements only have meaning in relation to the question(s) they seek to answer. It is vital to have a clear picture of the objectives and goals of the project before any measurement activity takes place. Ask yourself a few key questions when determining what to measure:

How and what should grantees measure?

Output Measures: Output measures include important activities, work products, or actions taken during the project. Examples include:

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Behavioral Changes: Changes include the things that changed or were modified as a result of your activities. Examples include:

Outcome Measures: Impacts are measures of specific environmental and human health improvements in a defined area. These indicators help measure what impacts the project is having on environmental problems in your project area. Some examples tied to EPA’s strategic plan are:

Why do I need an up-front estimate?

Estimating the outputs and outcomes of proposed activities will allow comparison of efforts and will help in setting up a system to capture actual results of the project(s).

Do all listed grant activities need to be measured?

Not all grant activities need to be measured. Grantees should prioritize and select measurement efforts based on budgetary and time constraints, as well as their programmatic knowledge and experience. The goal is to acquire the most useful outcome measures with available resources.

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How much time and effort should a grantee spend on measurement?

EPA recommends that between 10% and 20% of a project budget be allocated to measurement. These costs should not be included as a line item in your budget projections but should be reflected in your work plan.

What standard of accuracy must measurement efforts achieve?

Measurement activities can meet different standards of accuracy and confidence based on practical considerations. In some instances, P2 assistance efforts may be very specific, resulting in direct and tangible outcome results. In other instances, results may be provided by third parties or based on reasonable assumptions. All these approaches are legitimate as long as the process is clearly expressed.

Will grant proposals with larger outcome numbers be ranked higher than proposals with lower outcome numbers?

While the quantity of outcome results are noted by proposal evaluators, it is the quality and context of the numbers that are of primary importance. In isolation, outcome numbers offer little insight into the success or value of a P2 project. Larger issues such as public health, occupational well-being, ecological impacts, environmental justice, regulatory developments, market conditions, and technological considerations provide the context that help proposal evaluators assess the relevance and importance of expected P2 outcome results.

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Source Reduction Assistance Grant Program Frequently Asked Questions (FAQs)

The following FAQs were compiled to benefit prospective applicants seeking to apply for grants or cooperative agreements under the Source Reduction Assistance Grant Program (EPA-HQ-OPPT-2011-03).

  1. Applicant Eligibility
  2. Eligible Projects
  3. Use of Grant Funding
  4. Submitting a Proposal
  5. Proposal and Application Review Process

A. Applicant Eligibility

Question A.1: Can an individual or small business apply for SRA grant funding? Why not?

No. EPA policy prohibits individuals and small businesses from applying for funding under this grant program.

Question A.2: If I am a private entity, can I partner with an eligible entity to apply for grant funding?

Yes. A partnership may take place between a private entity and an eligible entity. However, only the eligible entity may apply for grant funding. The private entity is not eligible to apply. The eligible entity as the sole applicant will be responsible for submitting the proposal to the applicable EPA Region. If selected for funding the eligible entity will be responsible for overseeing the execution and implementation of the work plan. The private entity may participate on the work plan, and if negotiated with the eligible entity may receive funding to conduct specified work during the project period.

Question A.3: Can I sub-award work to private consultants or private businesses?

Yes. Funding may be used to provide subgrants or subawards, including the use of subawards or subgrants to fund partnerships with private consultants or private businesses, provided the recipient complies with the requirements for subawards or subgrants contained in 40 CFR Parts 30 or 31. The applicant 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 in 40 CFR Parts 30 or 31. The regulations also contain limitations on consultant compensation. The applicant is not required to identify subawardees/subgrantees and/or contractors (including consultants) in his/her proposal/application. However, if the applicant does, the fact that an applicant selected for award has named a specific subawardee/subgrantee, contractor, or consultant in the proposal/application does not relieve the applicant of his/her obligation to comply with subaward/subgrant and/or competitive procurement requirements as appropriate.

The applicant 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.

B. Eligible Projects

Question B.1: The RFP states ".proposals should emphasize the "learning" concept of gathering or transferring information or advancing awareness, as opposed to "fixing" an environmental problem using a well-established method." What if my demonstration project can fix an environmental problem, does that mean it won't be considered for funding?

EPA seeks to fund work plans that carry out or promote pollution prevention (P2)/source reduction, resource conservation projects relating to gathering or transferring information or advancing awareness. Successful work plans will be those that: present innovative project tools; forge creative partnerships that engage and educate communities P2 practices; or augment existing P2 practices by taking a business, community or locality into a new and resourceful direction to benefit human health and the environment.

Demonstrations of P2 practices must involve new or experimental technologies, methods, or approaches, where the results of the project will be disseminated so that others can benefit from the knowledge gained in the demonstration project. A project that is accomplished through the performance of routine, traditional, or established practices, or a project that is simply intended to carry out a task rather than transfer information or advance the state of knowledge, however worthwhile the project might be, is not a demonstration. If your project is truly a demonstration and complies with other eligibility factors then it will be considered for funding.

Question B.2: The RFP states that "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 providing a service." What is EPA interested in funding?

Work plans that involve research, demonstration projects, studies, surveys, training, or tools to prevent or reduce pollutants from entering the air, water or land are the kind of preventive actions that help to limit risks and hazards to human health and the environment. These are the kinds of actions prospective SRA applicants may perform to conduct P2/source reduction, resource conservation work. And these are the kinds of actions the SRA grant program is interested in funding. Alternatively, work plans that involve waste treatment, clean-up, removal/disposal, or recycling by-products that are polluting the air, water, or land and causing environmental and public health concerns are not the kinds of actions that will receive funding under this program. Rather, these actions are better suited for clean-up and recycling initiatives. For more information on recycling and clean-up activities, please visit EPA's Office of Resource Conservation and Recovery website at http://www.epa.gov/epawaste/conserve/rrr/recycle.htm.

Question B.3: Can applications be submitted for demonstration projects?

Yes, provided that the demonstration project will help present a new, innovative technology, method or approach on P2 and the project results will be disseminated widely so that others may benefit from the information. A project that is accomplished through the performance of routine, traditional, or established practices, or a project that is simply intended to carry out a task rather than transfer information or advance the state of knowledge, however worthwhile the project might be, is not a demonstration project as defined under the SRA program.

C. Use of Grant Funding

Question C.1: The solicitation states that each Region may receive up to $130,000 for SRA grants and cooperative agreement funding. My project costs are estimated at $129,000. Can I apply for the maximum allowable grant?

Yes. However, all funding estimates provided in the RFP are subject to Congressional appropriation. Also, under the SRA program the Region has the authority to review proposals and the discretion not to issue any awards.

Question C.2: The RFP notes an applicant may organize their proposal to be considered for partial funding. What is partial funding? How does it work?

When deciding how much SRA funding to award selected applicants, the Region may reserve the right to partially fund proposals by funding discrete activities, portions, or phases of a proposed project. A Region which partially funds a proposal will do so in a manner that will not prejudice any applicant or affect the basis upon which a proposal or a portion thereof was evaluated or selected for award in order to maintain the integrity of the competition, the evaluation and the selection process.

In order to be considered for partial funding, applicants must construct their proposal to show 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.

Question C.3: Can funds be used for a project that will start before the expected award date?

Yes. EPA's regulations allow applicants to incur project costs up to 90 days before EPA officially awards the grant or cooperative agreement. If an applicant incurs costs more than 90 days before the award is released, the EPA Project Officer must alert the Grants Management Office and prepare a written justification to allow those incurred costs.

Question C.4: If EPA funds are used to help develop a toolkit for an industry sector, who owns the toolkit once it is complete?

The recipient will own the toolkit. At the time of the grant closeout, an agreement can be made between EPA and the recipient on future uses and accessibility.

Question C.5: Can we buy new hybrid or electric vehicles using grant dollars to reduce greenhouse gas emissions?

Yes, provided the purchase of the hybrid or electric vehicle is a reasonable and necessary part of the P2 project. Applicants must have strong justification for purchases of hybrid and electric vehicles. The vehicles may not be purchased for personal or routine organizational use.

Question C.6: Can we purchase equipment using SRA funding? What happens to the equipment after the grant is over?

Answer provided for institutions of higher education and nonprofits:

For applicants representing institutions of higher education and nonprofit organizations, equipment may be purchased with grant funding as noted in 40 CFR 30.34 provided the equipment will help to: demonstrate a new, innovative P2 technique, conduct a survey, study or assist in research, investigation, experiments, or training in P2. When the recipient no longer needs the equipment, the equipment may be used for other activities. If the fair market value of the equipment is $5,000 or more, the recipient may retain the equipment for other uses provided that compensation is made to EPA. The amount of compensation will be computed by calculating the percentage of Federal participation in the cost of the project - this will be assessed on the current fair market value of the equipment. If the recipient has no need for the equipment, the recipient will need to submit a formal request to EPA subject to the guidelines provided in 40 CFR 30.34.

Answer provided for states, tribes and local governments:

For applicants representing state tribal and local governments, equipment may be purchased with grant funding as noted in 40 CFR 31.32 provided the equipment will help to demonstrate a new, innovative P2 technique, conduct a survey, study or assist in research, investigation, experiments or training in P2. When the recipient no longer needs the equipment and the fair market value is less than $5,000, the equipment may be kept, sold, or disposed of by the applicant with no further obligation by EPA. If the fair market value of the equipment is $5,000 or more, the recipient may keep or sell the equipment at which point EPA would have the right to proceeds from the sale. The amount of compensation will be computed by calculating the percentage of Federal participation in the cost of the project - this will be assessed on the current fair market value of the equipment. If the recipient has no need for the equipment, the recipient will need to submit a formal request to EPA subject to the guidelines provided in 40 CFR 31.32.

Question C.7: Can we purchase fixtures (e.g., CFLs, solar heaters, clean diesel technologies etc) and retrofit buildings or vehicles using the grant dollars?

Yes, as long as the purchase is reasonable and necessary to: demonstrate a new, innovative technique; conduct a survey, study, or assist in research, investigation, experiments, or training in P2.

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D. Submitting a Proposal

Question D.1: Can I submit a proposal to multiple Regions?

An applicant may submit a proposal to multiple Regions, provided the projects are distinct and separate, and the work takes place in the Region that received the proposal. The applicant may not - submit the same proposal to multiple Regions; submit a proposal that involves more than one Region; or submit a proposal that does not take place in the Region which received the proposal.

Question D.2: If I am located in one Region can I submit a proposal to another Region?

Yes, provided that the project takes place in the Region which received the proposal.

Question D.3: What happens if I submit a proposal that meets EPA's P2 strategic priorities, but does not meet the Regional priority areas for the Region to which I am submitting my application?

All proposals must meet the threshold program requirements provided in the RFP. In the section entitled, "Threshold Program Requirements," proposals must address EPA's P2 strategic priorities and one or more regional priority areas, along with other noted requirements.

E. Proposal and Application Review Process

Question E.1: The grant proposal process can be time consuming. Can you tell me if my project is a good fit for this grant solicitation?

In accordance with EPA's Assistance Agreement Competition Policy (EPA Order 5700.5A1 (PDF) (37 pp, 161.4K, About PDF)), P2 program 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, P2 program staff 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.

Question E.2: How long does the proposal review process usually take?

The proposal review can take between 3-5 weeks.

Question E.3: How will I be notified of EPA's decision?

Applicants that are ineligible to apply for funding or those that have submitted inappropriate proposals will be notified by the Region within 15 calendar days.

Eligible applicants submitting appropriate proposals will be notified by the applicable Region within 5 weeks of the review decision. The notification will either be delivered by e-mail or mail. Selected applicants will be asked to submit application materials (i.e., additional information and applicable grant forms). The Region will notify applicants of final selections usually 60 - 90 days from the date of submitting the proposal. All formal award notices will be issued by EPA's Office of Grants and Debarment.

Question E.4: Can I view the applications that were successful in obtaining funds from past solicitations?

A request to review successful applications needs to be sent via e-mail or by mail to the EPA Region responsible for making the selections.

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