United States
Environmental Protection
Agency
Small And Disadvantaged
Business Utilization
(1230)
EPA 180-B-99-001
January 1999
Doing Business With EPA
Small BusinessMaking A Difference
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FOREWORD
"Doing Business with EPA" is a publication designed to familiarize small, small
disadvantaged, minority women-owned firms, non-profit organizations, Historically Black
Colleges and Universities, and other minority institutions of higher education and socially
and economically disadvantaged entities with the U.S. Environmental Protection Agency's
Procurement Program.
"Doing Business with EPA" has been enhanced and expanded to provide you with a more
comprehensive perspective of EPA. Sections have been added to include information on
grants and assistance agreements, the small business ombudsman's function ad the Small
Business Innovation Research Program. This publication is intended to assist small, small
disadvantaged, women-owned firms, non-profit organizations, Historically Black Colleges
and Universities and other minority institutions and socially and economically
disadvantaged entities seeking to do business with EPA. This guide is issued by the Office
of the Administrator, Office of Small and Disadvantaged Business Utilization (OSDBU).
OSDBU is responsible for the implementation of EPA's activities on behalf of small, small
disadvantaged, women-owned, and minority businesses in accordance with Public Law 95-
507, Public Law 100-656 and Executive Order 12138. As such, EPA's OSDBU is
committed to improving and increasing the involvement of these socioeconomic entities
in the Agency's overall acquisition/financial assistance programs. You can obtain a copy
by at writing to OSDBU, 401 M Street, S.W., (1230), Washington, D.C. 20460 or visit our
Internet Homepage at http://ww.epa.gov/osdbu/pubs.htm.
We hope that this publication will be helpful to you in furthering efforts to do business with
EPA.
Jrown, Director
fice of Small and/Disadvantaged
business Utilization
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ERA'S MISSION
OSDBU'S MISSION (Cont.)
The U.S. Environmental Protection Agency
(EPA) was established as an independent
agency in the Executive Branch of the U.S.
Government, pursuant to Reorganization Plan
No. 3 of 1970, effective December 2, 1990.
EPA was created to enable coordinate effective
Government action on behalf of the
environment. EPA endeavors to achieve
systematized control and abatement of
pollution, by properly administering and
integrating a variety of research, monitoring,
standard-setting, and enforcement activities.
EPA also provides coordination and support for
research and antipollution activities conducted
by State and local governments, private and
public groups, individuals, and educational
institutions. In addition, EPA reinforces efforts
on the part of other Federal agencies to assess
the impact of their operations on the
environment. EPA furnishes written comments
on environmental impact statements and
publishes its findings, especially when the
findings reveal that a proposal is unsatisfactory
from the standpoint of public health, welfare or
environmental treatment. In all, EPA is
designed to serve as the public and advocate
for a safe, habitable environment.
OSDBU'S MISSION
The Office of Small and Disadvantaged
Business Utilization (OSDBU) has responsibility
within the Agency for policy, procedures and
oversight of the implementation of programs
described under Sections 8 and 15 of the Small
Business Act as Amended and Executive
Orders 12073, 12432 and 12138 relating to
preference programs for small, small
disadvantaged, and women-owned businesses
labor surplus area concerns and hazardous
areas.
The Office develops, in collaboration with the
Director of the Office of Acquisition
Management, Director of Grants Administration
Division and other appropriate EPA Program
Officials, programs to stimulate and improve
the involvement of socioeconomic businesses,
HBCU's and other minority institutions of higher
education in the overall Agency's acquisition
process.
The Office is responsible for assuring that
small, small disadvantaged, minority, women-
owned firms, HBCU's and minority institutions
of higher education are given an equitable
opportunity to receive a "fair share" of
subagreements during the procurement phase
of certain types of financial assistance awarded
by the Agency. It develops policies and
procedures to aid small, small disadvantaged
and women-owned entities with the assistance
of the Grants Administration Division, Office of
Acquisition Management, and the Grants
Contracts and General Law Division, Office of
the General Counsel. In addition, OSDBU is
responsible for internal training programs to
enhance the capabilities of socioeconomic
firms. The Office serves as a focal point for
ascertaining programs to help socioeconomic
firms to become more competitive and viable in
procurements awarded under EPA
Environmental Remediation and Clean Up
Programs. The Office also provides assistance
in meeting the Agency's Environmental Justice
goals and Federal assistance through out the
procurement process.
OSDBU serves as an advocate, counselor,
trainer and liaison to the small business
community. The services are administered
through participation in outreach activities
including interagency sponsored conferences,
one-on-one counseling and group training
seminars.
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ACQUISITION AND ASSISTANCE AGREEMENTS
EPA use various acquisition and assistance agreements to implement its
activities. Contracts, grants, cooperative agreements, and purchase orders are
some of the instruments which are negotiated and signed nationwide by EPA.
These instruments provide a variety of commodities and technical assistance
to support the attainment of the Agency's objectives.
It is important to note the distinction between assistance and acquisition for
procurement purposes. Acquisition refers to the obtaining goods and services,
through various types of contracts, for the use or benefit of the Agency.
Acquisition are governed by the Federal Acquisition Regulation (FAR), the EPA
Acquisition Regulation (EPAAR) and the Contracts Management Manual
(CMM). Financial Assistance (grants) refers the to transferring of funds (or
other valuables) from EPA to another party for the implementation of programs
which will contribute to the public good through the furtherance of the
objectives of the EPA Mission. Assistance is governed by U.S. EPA
Regulations contained in 40 CFR Parts 30, 31, and 35.
PREFERENTIAL PROCUREMENT PROGRAMS
Federal agencies are required by law to give preference to certain kinds of
businesses in the awarding of contracts. Certain terms and their meaning must
be understood relative to socioeconomic business development activity.
Small Business. A business qualifies as being small if it, including its
affiliates, is independently owned and operated, is not dominant in the
area of business in which it is bidding on Government contracts, and
qualified as a small business under the criteria and size standards of 13
CFR Part 121R (See FAR 19.102).
Small Disadvantaged Business Concern. A small business concern
that is at least 51 percent unconditionally owned by one or more
individuals who are both socially and economically disadvantaged, or a
publicly owned business that has at least 51 percent of its stock
unconditionally owned by one or more socially and economically
disadvantaged individuals and that has its management and daily
business controlled by one or more such individuals. This term also
means a small business concern that is at least 51 percent
unconditionally owned by an economically disadvantaged Indian Tribe
or Native Hawaiian Organization, or a publicly owned business that has
at least 51 percent of its stock unconditionally owned by one of these «*
entities, that has its management and daily business controlled by
members of an economically disadvantaged Indian Tribe or Native
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Hawaiian organization, and that meets the requirements of 13 CFR 124. (a)
Socially Disadvantaged Individuals. Individuals who have been subjected to racial
or ethnic prejudice or cultural bias because of their identity as a member of a group
without regard to their qualities as individuals, (b) Economically Disadvantaged
Individuals. Socially Disadvantaged Individuals whose ability to compete in the free
enterprise system is impaired due to diminished opportunities to obtain capital and
credit as compared to others in the same line of business who are not socially
disadvantaged. Individuals who represent that they are members of named
groups (Black Americans, Hispanic Americans, Native Americans, Asian-Pacific
Americans) are to be considered socially and economically disadvantaged.
Woman-Owned Small Business Concern. A small business concern: (a) Which
is at least 51 percent owned by one or more women; or, in the case of any publicly
owned business, at least 51 percent of the stock of which is owned by one or more
women; and (b) Whose management and daily business operations are controlled
by one or more women.
Labor Surplus Area. In a geographical area identified by the Department of Labor
in accordance with 20 CFR Part 654, Subpart A, as an area of unemployment or
underemployment or an area of labor surplus.
Labor Surplus Area Concern. A concern that together with its first-tier
subcontractors will perform work substantially in labor surplus areas if the costs
incurred under the contract on account of manufacturing production, or performance
of appropriate services in labor surplus areas exceed 50 percent of the contract
price in the labor surplus areas.
A price evaluation preference is established not in excess of 10 percent for socially
and economically disadvantaged business concerns in unrestricted solicitations.
(FASA Section 7102, Contracting Progress)
Nonmanufacture Rule. A contractor under a small business set-aside or 8(a)
contract shall be a small business under the applicable size standard and shall
provide either its own product or that of another domestic small business
manufacturing or processing concern (see 13 CFR 121.906).
Handicapped Individual. A person who has a physical, mental, or emotional
impairment, defect ailment, disease, or disability of a permanent nature which in any
way limits the selection of any type of employment for which the person would
otherwise be qualified or qualifiable.
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Public or Private Organization for the Handicapped, (a) Is organized under the
laws of the United States or of any State, operated in the interest of handicapped
individuals, the net income of which does not inure in whole or in part of the benefit
of any shareholder or other individual; (b) Complies with any applicable
occupational health and safety standards prescribed by the Secretary of Labor; and
(c) Employs in the production of commodities and in the provision of services,
handicapped individuals for not less than 75 percent of the direct labor required for
the production or provision of the commodities or services.
If your firm qualifies, please forward a copy of your capability statement to OSDBU for
distribution to our program and contracting officers. Your capability statement will also be
helpful in developing a source list for upcom ing acquisitions which could result in increased
business opportunities for your firm. Please mail your capability statement to:
Ms. Trina Porter
Socioeconomic Business Program Officer
Office of Small and Disadvantaged Business Utilization
401 M Street, S.W. (3801R)
Washington, D.C. 20460
Telephone: (202) 564-4322
E-mail: porter.trina@epamail.epa.gov
REGULATIONS GOVERNING EPA ACQUISITIONS
The Federal Acquisition Regulation (FAR) is issued within applicable laws under the joint
authorities of the Administrator of the General Services Administration (GSA), the
Secretary of Defense, and the Administrator for the National Aeronautics and Space
Administration, under the broad policy guidelines of the Administrator for the Office of
Federal Procurement Policy (OFPP). EPA implements and supplements the FAR through
the EPA Acquisition Regulations (EPAAR), Title 48 Chapter. 15.
The FAR is applicable to the Federal civilian agencies and the Department of Defense
(DOD) and is codified in the Code of Federal Regulations, Title 48. Chapter 1. (Federal
Acquisition Regulation (FAR) System).
COMPETITION FOR EPA CONTRACTS
Generally, purchases are made either by sealed bidding or competitive proposals
(negotiation). EPA seeks to obtain full and open competition for the acquisition of supplies
and services necessary to meet its requirements. Suppliers are notified of EPA's
requirements that are expected to exceed $100,000 through announcements in the
"Commerce Business Daily" published by the Department of Commerce. Commerce's
website address can be found on page 13 of this document.
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Sealed bidding is performed in accordance with the FAR, Part 14 as supplemented by
EPAAR, Part 1514. The competitive proposal process (negotiation) is governed by FAR.
PartIS as supplemented by EPAAR, Part 1515.
PURCHASE CARD ACQUISITIONS
The Government's Purchase Card is also called the "Smart Pay Card." The cards are
issued to many government employees under a delegation of procurement authority to
make certain types of routine purchases. The primary usage of the card is for supplies at
or below the $2,500 threshold, which is commonly referred to as the micro-purchases
level. However, agency procurement personnel can use the card up to the level of their
warrants, generally up to $25,000 per purchase.
Each Federal agency was allowed to select from a predetermined pool of vendor banks
for its Smart Pay Card, with November 30, 1998 as the effective date. The EPA award
went to NationsBank and VISA for its purchase card program. Merchants who want
information about accepting Smart Pay Cards should contact NationsBank for assistance.
The NationsBank Customer Service phone number is 1-800-472-1424.
Typical EPA Smart Pay Card purchases include:
»» Computer parts, supplies, training
»* Subscriptions, books and magazines
»» Field equipment, supplies, hardware, rentals
»* Laboratory equipment and supplies
»» Repair services
»* Fax, copier machines
»» Conference room rentals
It is EPA policy to always encourage the selection of small business concerns over large
businesses when making any purchases, including those using the Government Purchase
Card.
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SEALED BIDDING
The Sealed Bidding method of acquisition is used in those instances where time permits
the solicitation, submission, and evaluation of sealed bids. Awards will be made on the
basis of price and price-related factors only; it is not necessary to conduct discussion with
the bidders.
NEGOTIATION METHOD
The negotiation method of acquisition is used in those instances where it is impractical to
obtain the supplies or services by sealed bidding.
SMALL PURCHASES
What Is a Simplified Acquisition?
A simplified acquisition is the purchase of supplies or services valued between $2,500 and
$100,000 for commercial items purchased in accordance with the Test Program for
Commercial Items (see FAR Subpart 13.6)
Simplified Acquisitions Threshold
The simplified acquisitions threshold is $100,000 for the purchase of supplies or services.
The simplified acquisitions threshold for the purchase of commercial items is $5,000,000,
including options. Refer to the Test Program for Certain Commercial Items as described
in FAR Subpart 13.6.
What is a Micro-Purchase?
A micro-purchase is any acquisition of supplies or services (except construction) that does
not exceed $2,500. In the case of a micro-purchase for construction, the acquisition
threshold is limited to $2,000 (See FAR Subpart 2.1).
The use of a Government-wide commercial purchase card is the preferred method to
purchase and pay for micro-purchases. Agency personnel who has individual warrant
authority to use a Government-wide commercial purchase card may make purchases up
to the micro-purchase threshold ($2,500). Purchases may not exceed individual warrant
limitations.
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Acquisitions At or Below the Micro-Purchase Threshold
The micro-purchase threshold is $2,500for supplies or services, except construction. The
micro-purchases at or below the micro-purchase threshold are not limited to small
businesses.
Acquisitions Above the Micro-Purchase Threshold
The micro-purchase threshold is $2,500 for supplies or services, except construction. The
micro-purchase threshold for construction is $2,000. Acquisitions above $2,500 and not
exceeding $100,000 are set-aside for small businesses (see FAR 13.003).
Simplified acquisitions between $10,000 and $25,000 must be displayed in a public place,
including on an electronic bulletin board or any other appropriate electronic means located
at the contracting office where the solicitation is being issued. In addition, requirements
at or above $25,000 must be synopsized in the Commerce Business Daily unless one of
the exceptions in FAR 5.202(a)(1 -15) exist. See FAR 5.201 and FAR 5.203 for additional
information.
What are Simplified Acquisition Procedures?
Simplified acquisition procedures are methods of making purchases of supplies or services
as prescribed in FAR Part 13. The methods include: blanket purchase agreement, fast
payment procedure, imprest fund, purchase order, Government-wide commercial purchase
card (formerly known as bankcard), Test Program for Certain Commercial Items,
Government-wide Agency Contracts (GWACs), and other Agency authorized methods.
Blanket Purchase Agreement
A blanket purchase agreement (BPA) is a simplified method of filling anticipated repetitive
needs for supplies or services by establishing "charge accounts" with qualified sources of
supply. Generally, a BPA should be established with local sources to make individual
purchases effectively, efficiently, and with less paperwork. BPAs shall not exceed
$100,000 over a three year period. BPAs are designed to reduce administrative costs in
acquiring repetitive supplies or services by eliminating the need for issuing individual
purchase orders. See FAR Subpart 13.3 for additional information.
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PRO-NET
The Small Business Administration (SBA) has implemented the PRO-Net System. This
system allows for self registration via the Internet. This system has replaced the
Procurement Automated Source System (PASS). You may register your company at PRO-
Net's website address: www.8asearch.com.
PRO-Net is a virtual one-stop procurement shop for government contracting. The
database is free of charge to Federal and state agencies, and prime and other
contractors. It assists them in locating small business contractors and
subcontractors, as well as partnership opportunities with small businesses.
PRO-Net is an electronic search engine for contracting officers, as well as a
marketing tool and link to procurement opportunities and other important
information for small businesses.
The PRO-Net system currently contains profiles of more than 171,000 small
businesses, including disadvantaged, 8(a) certified and women-owned firms.
Each profile is structured like an executive business summary and includes the
company's products and services, history, references and other information
important to potential contracting entities. A key feature of the system is that
participating firms can continually update their profiles with the most current
information-including new products, services and contract awards.
PRO-Net is an Internet-based system. Participating firms with e-mail addresses
can be sent communications and procurement opportunities electronically.
The PRO-Net system is currently free of charge to all participating small
businesses.
Participating companies with homepages can include a link to their website in their
PRO-Net profile, providing additional information to contracting officers about the
company.
As an electronic gateway, PRO-Net is linked to the Commerce Business Daily,
government agency homepages and other sources of procurement opportunities.
SBA is located at 409 3rd Street, S.W., Washington, D.C. 20416 you may also contact
your nearest District SBA Office with further questions.
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ELECTRONIC SERVICES - EC/EDI
What is Electronic Commerce (EC)?
Electric Commerce (EC) is the paperless exchange of business information, using Electric
Data Interchange (EDI), electronic mail, electronic bulletin boards, electronic funds
transfer, and other similar technologies.
What is Electronic Data Interchange (EDI)?
Electronic Data Interchange (EDI), a major part of Electronic Commerce (EC), is the
computer-to-computer exchange of business data in a standardized format.
What are the major benefits of EDI?
4 Increased business opportunities through wider diffusion of procurement
information;
+ Improved quality through improved record-keeping, fewer errors in data,
reduced processing delays, less reliance on human interpretation of data,
and minimized unproductive time;
Greater competition and reduced prices;
* Savings from reduction of inventories, mailroom sorting/distribution time,
elimination of lost documents, and reduction of postage and other mailing
costs;
* Reduced order time; and
4 Better and more up-to-date information for management decision making.
What is necessary to begin using EDI?
Should you intend to become fully EDI-capable, you will need a personal computer, a
modem, ANSIX12 compliant EDI translation software or access to an EDI translation
service, EDI implementation conventions, and a subscription to a Value Added Network
(VAN).* However, should you opt not to become full EDI-capable, it is possible for you
to exchange EDI transactions with the Government through the use of services provided
by Value Added Service (VAS) providers. Such services (EDI-to-Fax, for example) allow
you to participate in the Government EDI-based acquisition efforts without investing in EDl-
related computer hardware and software.
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Further, you will need to secure the following unique identification numbers for your
business:
^ DUNS number assigned by Dun and Bradstreet, 1-800-333-0505;
%> CAGE code assigned by the Defense Logistics Service Center if you intend to do
business with the Department of Defense; 616-961-4955; if you currently do
business with DOD, you should already have a CAGE code; and
^ Tax Identification Number (TIN) assigned by the Internal Revenue Service, 1 -800-
829-1040.
ELECTRONIC COMMERCE RESOURCES CENTERS (ECRCS)
Atlanta, CA (404) 894-9500 robert.fulton@me.gatech.edu
Bremerton, WA (206) 478-0333 wilson@ctc.com
Cleveland, OH (800) 991-3272 kent.kemmerer@camp.org
Dayton, OH (513)449-6060 jhoman@coole.sinclair.edu
Fairfax, VA (703)691-1507 byoung@ecrc.gmu.edu
Johnstown, PA (800)231-2772 michalec@ctc.com
Oakland, CA (510)748-6850 shaw@ctc.com
Orange, TX (409) 882-3950 pdewitt@ecrc.kbsi.com
Palestine, TX (800) 209-2772 mikelabeau@ptxecrc.com
San Antonio, TX (210)732-1141 butch@saecrc.org
Scranton, NY (800) 572-3272 Iinnm1@lion.uofs.edu
*VAN price and services list can be found on the Internet at:
http://www.state.gov (there is a link to the San Antonio ECRC)
GSA FEDERAL SUPPLY SCHEDULES
Before directly procuring from commercial sources, EPA must determine whether or not
the required supplies or services are available from a Federal Supply Schedule established
by the General Services Administration (GSA). Firms interested in doing business as a
Federal Supply Services Contractor should contact a GSA Business Services Center at
18th & F Streets, N.W., Room 629, Washington, D.C. 20046, they can also be reached
on the Internet at: www.fss.gsa.gov.
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SUBCONTRACTING
For the most part, EPA publishes in the Commerce Business Daily both intended
procurements and awards of procurements. Publishing this information is required by the
Federal Acquisition Regulation (FAR), and it allows U.S. small businesses to identify
business opportunities and potential joint venture and subcontracting partners.
The FAR requires that prime contracts exceeding $500,000 ($1M for construction of public
facility) have a Small Business Subcontracting Plan, if the Contracting Officer has
determined the procurement has components that can be subcontracted, and if the
awardee is other than a small business.
FAR 19.704 and FAR 52.219-9 require the Small Business Subcontracting Plan to express
subcontracting goals in terms of both percentages and dollars for small businesses, for
small disadvantaged businesses, and for women-owned small businesses. The Plan must
also identify the contractor's employee who will administer the Subcontracting Plan, with
details of his/her duties; the procedures the contractor will apply to small businesses, small
disadvantaged businesses, and women-owned small businesses; the assurance that
records will be maintained for review by the contracting agency and the U.S. Small
Business Administration (SBA); and the assurance that FAR-required subcontracting
reports will be submitted to the contracting agency.
The subcontracting reports are used by both the contracting agency and the Federal
Procurement Data Center to measure the contractor's achievement of the subcontracting
goals expressed in the Small Business Subcontracting Plan.
A prime contractor's performance in implementing a Subcontracting Plan and in achieving
goals expressed therein are part of "past performance" evaluations that are considered for
future awards.
COMPETITION ADVOCATE
The EPA fully supports Part 7 of Public Law 98-369, Competition in Contracting Act of
1984. It is the Agency's policy to maximize competition. As such, the Director of the
Office of Acquisition Management (OAM) has appointed an Agency Competition Advocate
who is responsible for dismantling barriers which reduce the opportunity for promoting full
and open competition in the acquisition of products and services by the Agency. Request
for further information concerning Headquarters acquisitions should be addressed to:
Ms. Rosemarie Nance
Competition Advocate
Office of Acquisition Management
401 M Street, S.W. (3801R)
Washington, D.C. 20460
Telephone: (202) 564-4321
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ALTERNATIVE DISPUTES RESOLUTION
The Administrative Dispute Resolution Act of 1990 and the National Performance Review
of 1993 encourage agencies to use Alternative Dispute Resolution (ADR) techniques in
resolving disputes. Executive Order 12979, Agency Procurement Protest, signed October
26, 1995, calls for agency heads to establish administrative procedures for resolving bid
protests at the agency level "as an alternative" to outside protest forums.
Formal litigation of these matters is a long and costly process that often establishes an
adversarial relationship between the Government and the private sector. ADR, on the
other hand, includes a wide range of resolution techniques, tends to be less costly, and is
far more efficient than litigation. It also keeps resolution of the matter within the control of
the disputants. The parties choose the ADR method of resolution; establish the rules of
engagement; determine who will be the decision makers; define the issues; and otherwise
control the entire process.
Some of the ADR techniques that may be used include mediation, fact finding, and
arbitration. Resolution of the matter is approached from a "partnership" standpoint, with
a common goal to preserve the business relationship and avoid the costs and delays so
often experienced in formal litigation. We encourage the use of ADR whenever possible.
UNSOLICITED PROPOSALS
An important method of doing business with EPA is through the submission of relevant
new ideas and concepts in the form of unsolicited proposals. Familiarity with EPA
programs and projects may reveal the existence of a mutual interest. If such mutual
interest exists, submitting an unsolicited proposal may be appropriate. Unsolicited
Proposals should be sent to the Grants Administration Division (GAD) for review and
consideration. The address for GAD is as follows:
Grants Officer
Grants Administration Division
U.S. Environmental Protection Agency
401 M Street, S.W. (3903R)
Washington, D.C. 20460
Telephone: (202) 564-5315
ARCHITECT-ENGINEER
EPA has established an Architect-Engineer Selection Board to support its full range of facilities
and construction management activities. The Board reviews the qualifications of firms
interested in performing architectural or engineering work and related services. The Architect-
Engineer Selection Board maintains a list of qualified firms for various types of projects.
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Firms are encouraged to keep their architect-engineer qualification information current,
preferably on an annual basis. Architect-Engineer requirements are processed in accordance
with FAR Part 36 and EPAAR Part 1536.
COMMERCE BUSINESS DAILY
The EPA synopsizes its contracting requirements in the Commerce Business Daily (CBD).
Every Monday through Friday, the Department of Commerce publishes a list of proposed
Government procurement, subcontracting leads, contract awards, and foreign business
opportunities.
To subscribe to the CBD, you may contact the Superintendent of Documents, U.S.
Government Printing Office, Washington, D.C. 20402, and from field offices of the Department
of Commerce. The CBD also is available at most large Public and Federal Libraries and can
be accessed on the Internet at http://www.govcon.com.
Office of Acquisition Management Organizational Chart
Director
Dr. Betty L. Bailey
(202) 564-4310
Deputy Director
Judy Davis
(202) 564*5020
Policy, Training ,
& Oversight
Division
Ron Kovach
(202) 564-4428
HQs Procurement
Operations Division
John Gherardini
(202) 564-4348
Contracts
Management
Division - RTP
Michael Bower
(919)541-3045
Superfund/RCRA
Regional
Procurement
Operations
Division
Contracts
Management
Division - CINN
Mark Kellerman
(513)487-2026
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ACQUISITION PROFILE
OFFICE OF ACQUISITION MANAGEMENT
WASHINGTON. P.O.
IMMEDIATE OFFICE
The Office of Acquisition Management under the supervision of the Director is responsible
for the policies, procedures, operations and support of the Agency's procurement and
contracts management program, from contract planning through closeout. In addition, it
is responsible for managing and formulating OAM's budget; serving as the Procurement
Executive for the Agency; performing special projects; and managing Office activities. The
Competition Advocate is responsible for reviewing acquisition plans and justifying for other
than full and open competition; reviewing and coordinating protest files; performing
acquisition management reviews in conjunction with PTOD; serving as liaison to the Office
of Small and Disadvantaged Business Utilization to ensure appropriate utilization of
preferential procurement programs in Headquarters procurement operations, and providing
advice to contract operations. The Automation Service Center is responsible for managing
office system hardware and software including Local Area Network (LAN); managing
operational modules of the Integrated Contract Management System (ICMS), Small
Purchase Electronic Data Interchange (SPEDI), Contract Information System (CIS),
Automated Procurement Documentation System (APDS), Contract Delivery Order Tracking
System (CDOTS), and other automated procurement systems; preparing short and long-
term ADP plans; and coordinating ADP-related training.
Policy, Training and Oversight Division
The Director oversees the five service centers within the Policy, Training and Oversight
Division. The immediate office is also responsible for the Division's administrative and
budgetary functions.
Policy Service Center
This Center is responsible for issuing and interpreting Federal and Agency acquisition
regulations and directives (including cost and financial policy); reviewing and
recommending deviations to procurement regulations; managing environmental contracting
issues; representing EPA on the Civilian Agency Acquisition Council; representing EPA on
the DOD Environmental Committee; responding to Freedom of Information Act requests;
providing depository for bid and proposal receipt; distributing solicitations and contract
documents; maintaining standard and optional forms; and managing centralized file room
for official contract files.
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Internal Oversight Service Center
This Center is responsible for implementing the management controls process for the
Division; coordinating FMFIA reporting and guidance for OAM; conducting Acquisition
Management Reviews; conducting pre-award file reviews; maintaining the contractor past
performance system; handling conflict of Interest (COI) issues under all agency contracts,
issuing COI guidance, performing COI reviews, and providing COI training; managing/
coordinating all audit tracking and follow-up; administering the Agency's Government
Purchase Card Program; and coordinating with the Office of Grants and Debarment's
Suspension and Debarment Division.
Acquisition Training Service Center
This Center is responsible for policy and guidance on the Agency Procurement
Professional Program; Contracting Officer Warrant Program; certification of Contracting
Officer Representatives; providing acquisition/contract management training, course
registration, certification, and Contracting Officer Warrants; managing the annual contract
management award program; and coordinating the annual Acquisition Training Conference
and other procurement training sessions.
Financial Analysis Service Center
This Center is responsible for performing financial monitoring reviews; managing direct
cost and contract-specific audits; managing and performing Contractor Purchasing System
Reviews; following-up on all contract cost audits assisting contracting offices with
resolution of specific contract audits; assisting contracting offices and resolution of specific
contract issues, closeouts, settlements, etc.; and coordinating audit issues, audit policies,
and planning for necessary audits with DCAA and EPA's OIG.
Cost and Rate Negotiation Service Center
This Center is responsible for reviewing and approving indirect cost rates; performing
quality assurance reviews of the cost advisory functions; administering Agency cost
accounting standards matters; addressing cross-cutting administrative contracting officer
issues such as accounting billing systems, policies, etc.; performing contract property
administration functions.
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HEADQUARTERS PROCUREMENT OPERATIONS DIVISION
The Director oversees the four service centers within the Headquarters Procurement
Operations Division. The immediate office is also responsible for the Division's
administrative and budgetary functions,
Administrative Contract Service Center
This Center is responsible for placing and managing contracts in support of the Office of
Policy, Planning, and Evaluation; the Global Climate Change Program in the Office of Air
and Radiation; the Office of Administration and Resources Management with the exception
of the Office of Information and Resources Management; and the Office of the Chief
Financial Officer. This Center also processes simplified acquisition actions in support of
these programs and performs contract closeout functions.
Program Contract Service Center
This Center is responsible for placing and managing contracts in support of the Office of
the Administrator; the Office of Prevention, Pesticides, and Toxic Substances; the Office
of International Activities; the Office of Enforcement and Compliance Assurance; the Office
of the Inspector General; and the Office of General Counsel. This Center also processes
simplified acquisition actions in support of these programs and performs contract closeout
functions.
ADP Contract Placement Service Center
This Center is responsible for placing all contracts for ADP equipment, support services,
software development, and other related Information Technology supplies and services for
EPA-wide program offices. In addition, this Service Center processes ADP-related small
purchase actions.
ADP Contract Management Service Center
This Center is responsible for managing contracts for ADP equipment, support services,
software development, and other Information Technology supplies and services for EPA-
wide program offices. In addition, this Service Center performs contract closeout functions.
SUPERFUND/RCRA REGIONAL PROCUREMENT OPERATIONS DIVISION
The Director oversees the four Service Centers within the Superfund/RCRA Procurement
Operations Division. The Director is the Chief of the Contracting Office (CCO) and
responsible for those actions that require CCO approval. The package reviews are
conducted in the appropriate Service Center prior to CCO review. The Director's Office
is also responsible for the Division's administrative and budgetary functions.
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Headquarters Contract Service Center
This Center is responsible for placing and managing OSWER Headquarters contracts
involving policy and regulatory support. The Center is broken into two components. The
Placement Section and the Administrative Contracting Officer (AGO) pilot which is located
in Crystal Gateway.
Removal and Program Support Center
This Center is divided into two teams. The Acquisition Support Team (AST) and the
Infrastructure Support Team (1ST).
The AST is responsible for providing liaison support to the regions and the Office of Solid
Waste and Emergency Response (OSWER) on all matters pertaining to Removal Program
contracts, i.e., ERCS, ERRS and START. The Fee Determination Office (FDO) is
responsible for the removal program contracts which resides within the AST for those
regions not participating in the FDO pilot. In addition, the AST processes the Delegation
of Procurement Authority and warrants for the Agency's Removal Program On-Scene
Coordinators. It is anticipated that AST will place future follow-on removal program
contracts and maintain the staff and information gathering function of the division. The
AST processes all OSWER small purchase requests. Both the AST and 1ST perform
closeout functions for all existing backlog of expired OSWER Superfund contracts.
The 1ST is responsible for providing cost and financial analysis support to the Division and
the regions. (This is the function that was provided by the Washington Cost Advisory
Branch prior to the reorganization). This team is also responsible for audit tracking and
management of preaward audits with the Office of Inspector General (OIG) and Defense
Contract Audit Agency (DCAA). In conjunction with Policy, Training and Oversight Division
(PTOD), the 1ST is responsible for development and dissemination of Superfund/RCRA
contractual guidance and procedures which are of a broad, national concern and cut
across programmatic, regional and interagency lines. The 1ST is also responsible for
coordinating General Accounting Office (GAO) and OIG audit responses and Acquisition
Management Review (AMR) responses. The 1ST provides headquarters Superfund cost
recovery support and also performs management integrity and ethics functions for the
division.
Regional/Remedial Service Center
This Center is responsible for a variety of Superfund and Non-Superfund contract
programs. The Center places Remedial Action (RAC), Regional Oversight (ROC), and
numerous non-Superfund regional support contracts. The RAC contracts are managed
in the regions. However, the ROC and non-Superfund contracts are managed here within
the Center. The Center also provides Fee Determination Official (FDO) services for those
remedial contracts whose region is not participating in the FDO pilot and is the focal point
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for coordinating activities and resolving problems for regional contracting offices. All
regional contracting officer warrants (with the exception of On-Scene Coordinator
warrants), BPAs and regional ratification requests are processed by this Center.
Additionally, the Center is responsible for collecting and reporting the current status of the
regional contracting workload, performance measures, award fee evaluation schedules,
ARCS program management costs and Financial Monitoring Reviews.
Enforcement and Laboratory Analysis Service Center
This Center is responsible for Enforcement, Federal Facilities, and the Contract Laboratory
Program (CLP). This Center is responsible for placing and managing the RCRA
Enforcement and Permitting and Assistance (REPA) contracts, placing regional CERCLA
Enforcement Support Service (ESS) contracts, placing and managing the routine Analytical
Services (RAS) contracts, placing and managing the routine Analytical Support (CLASS)
contracts, the Quality Assurance Technical Support (QATS) contracts which support OERR
and implementating the Alternative Dispute Resolution (ADR) pilot which support OSWER
and OECA.
RESEARCH TRIANGLE PARK. NC
The Director oversees the three Service Centers within the Division and the Small
Business Specialist. The immediate office is also responsible for the Division's
administrative and budgetary functions.
Office of Research and Development Acquisition Service Center
This Center provides complete support for all requirements (excluding ADP) for ORD's
National Health and Environmental Effects Research Lab (NHEERL) and National
Exposure Research Lab (NERL) as well as ORD's Small Business Innovation Research
(SBIR) Program. This support includes acquisition planning, contract placement, contract
administration and contract closeout. The Center also provides simplified acquisition
support to all ORD offices located in RTP, NC.
Office of Air and Radiation Acquisition Service Center
This Center provides complete contracting support for all requirements (excluding ADP)
for the Office of Air and Radiation's Headquarters office and other supported Labs/Centers
of OAR located in RTP. This support includes acquisition planning, contract placement,
contract administration, closeout. The Center also provides simplified acquisition support
to all OAR offices located in RTP, NC.
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Office of Administration and Resources Management Acquisition Service Center
This Center provides complete acquisition and contract management support (excluding
ADP) for the Office of Administration and Resources Management at RTP. This support
includes acquisition planning, contract placement, contract administration, and contract
closeout. The Center also provides simplified acquisition support to all OARM offices
located in RTP, NC.
Request for further information concerning Research Triangle Park acquisitions should be
addressed to the following:
Jerry Dodson
Small and Disadvantaged Business Specialist
Contracts Management Division
U.S. Environmental Protection Agency
Research Triangle Park, NC 27711
Telephone: (919) 541-2249
E-mail: dodson.jerry@epamail.epa.gov
CINCINNATI. OH
The Director oversees the three Service Centers within the Division and the Small
Business Specialist. The immediate office is also responsible for the Division's
administrative and budgetary functions.
Office of Water Acquisition Service Center
This Center provides complete contracting support for all requirements (excluding
simplified acquisitions and ADP) for the entire Office of Water. This support includes
acquisition planning, contract placement, contract administration and contract closeout.
Office of Research and Development Acquisition Service Center
This Center provides complete support for the National Risk Management Lab (Cincinnati
and Ada), the National Health and Environmental Effects Research Lab (Corvallis, Duluth,
Gulf Breeze, and Narragansett), the National Exposure Research Lab (Cincinnati, Las
Vegas, and Athens), and the National Center for Environmental Assessment (Cincinnati).
This support includes acquisition planning, contract placement, contract administration and
contract closeout.
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Specialized Acquisition Service Center
This Center provides complete contracting support for construction/A&E requirements
Agencywide. It also provides complete contracting support for all requirements (except
ADP) for the Office of Management and Administration - Cincinnati, and complete support
for all requirements (except simplified acquisitions and ADP) for the Office of Air (Ann
Arbor). The Office of Solid Waste and Emergency Response (ERD) is also supported.
The support for all customers includes acquisition planning, contract placement, contract
administration, and contract closeout.
Norman White
Small and Disadvantaged Business Specialist
Contracts Management Division
U.S. Environmental Protection Agency
26 West Martin Luther King Drive
Cincinnati, OH 45268
Telephone: (513) 487-2024
E-mail: white.norman@epamail.epa.gov
COMMODITIES AND SERVICES ACQUIRED BY EPA
EPA is designed to serve the public and advocate for a safe, habitable environment. The
Agency seeks qualified small, small disadvantaged, and women-owned businesses to
participate in the acquisition process in support of this mission. Major procurements
includes Automated Data Processing Systems, Hazardous Waste Removal and
Environmental Research. The contract spectrum includes the following:
The types of commodities and services generally acquired by EPA are:
Research and Development
Pollution Abatement and Control
Air Pollution
Water Pollution
Other Pollution
Biomedical
Other Medical
Other Research and Development
Services
Technical Representative Services
Laboratory Testing Services
Other Architect-Engineer Services
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Services (Cont.)
ADP Facility Management Services
ADP Systems Development and Programming Services
Other ADP Services
Maintenance of ADP Equipment
Installation of Computer and Related Equipment
Financial/Auditing Services
Consulting Services
Other Management Services
Air Quality Analyses
Chemical and Biological Studies/Analyses
Environmental Assessments
Environmental Baseline Studies
Environmental Impact Studies
Water Quality Studies
Other Special Studies and Analyses
Quality Assurance Studies and Analyses
Quality Assurance Services
Soil Studies
Cost Benefit Studies
Economic Studies/Analyses
Regulatory Studies
Feasibility Studies
Hazardous Removal Services
Electric Services
Custodial - Janitorial Services
Guard Services
Other Housekeeping
Arts/Graphics Services
Operation of a Warehouse
Printing - Binding Services
Reproduction Services
Technical Writing Services
Other Photo, Printing, Publishing Services
Lease or Rental of Equipment
Vehicle Inspection and Maintenance Program
Lodging or Conference Centers
Scientific and Management Education
Vocational/Technical Training
Other Training
Maintenance, Repair, Rebuilding of Miscellaneous Equipment
Transportation Services
Construction
Additions, Alterations to Real Property
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Supplies and Equipment
Gases (all)
Gas Cylinders
Chemical, Chemical Products
ADP Mainframe
ADP Software
ADP Terminals
Lab Animals
Fuel Oil
Special Industry Equipment
CONTRACT OPPORTUNITIES UNDER SUPERFUND
Five Basic
Categories
Removal Action
Remedial Response
Support Services
Technical Enforcement
Support
Policy, Program
Management &
Administrative
Services
Subcontracting opportunities are available under several
current superfund contracts. The contracts fall into five
basic categories:
Contracts to provide EPA regional offices with (1) technical and management
assistance for the removal action program financed by the Hazardous
Substance Response Trust Fund, the corrective action program financed by
the Underground Storage Tank (UST) Trust Fund, and the oil spill prevention
program underthe clean waste action and (2) cleanup personnel, equipment,
and materials for the removal program and corrective actions financed by the
UST Trust Fund.
Contracts to provide EPA regional offices with technical assistance and
resources for cleanup activities, support of enforcement actions, and
community relations activities.
Contracts to provide special technical support services to EPA regional and
Headquarters personnel. Contracts cover safety and technical training,
demonstration of new or removal technology, laboratory analysis and sample
control, quality assurance, aerial survey and mapping and remote sensing.
Contracts to provide support to EPA Headquarters and regional personnel to
enforce CERCLA and the Resource Conservation and Recovery Act (RCRA).
Headquarters contracts to support formulation of Superfund policy and
implementation, as well as contracts for development and maintenance of
automated data processing (ADP) systems and data handling services at
Headquarters and the regional offices. Listed in the Contracting and
Subcontracting Guide to the Superfund Program (CSGSP) are the
specific contracts currently under the Superfund program. The
contracts listed in each category are those in effect at the date the
Guide was published. As changes or additions are made, substitute
pages will be issued. To receive changes or addition pages, see the
Request Form in the Guide.
If you have any questions regarding the above information, please write to: U.S. EPA, Contracts
Management Center, Office of Emergency and Remedial Response, Solid Waste and Emergency
Response, 401 M Street, S.W. (5203G), Washington, D.C. 20460.
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POINTS OF CONTACT FOR EPA
HEADQUARTERS, REGIONAL, & LABORATORY
PROCUREMENT TELEPHONE DIRECTORY
Environmental Protection Agency
HQ's Procurement Operations Division
Ronald Reagan Building
1300 Pennsylvania Ave., N.W. (3803R)
Washington, D.C. 20044
ADP Contract Placement Service Center
(Ronald Reagan Building)
ADP Contract Management Service Center
(Ronald Reagan Building)
Superfund/RCRA Regional Procurement
Operation Division (Ronald Reagan Building)
Removal & Program Support Service Center
(Ronald Reagan Building)
HQ's Contract Service Center
(Ronald Reagan Building)
Regional/Remedial Service Center
(Ronald Reagan Building)
Enforcement & Laboratory Analysis Service
Higginbotham
(Ronald Reagan Building)
Program Contract Service Center
(Ronald Reagan Building)
Administrative Contract Service Center
(Ronald Reagan Building)
Automation Service Center
(Ronald Reagan Building)
Mr. Tom O'Connell
Phone: (202) 564-4705
Ms. Susan Kantrowitz
Phone:(202)564-4317
Mr. Hiram Wilcox
Phone: (202) 564-4712
Mr. Ron Kovach
Phone: (202)564-4325
Mr. Pat Patterson
Phone: (202)564-4432
Mr. Edward Murphy
Phone: (202)564-4456
Ms. Paige Peck
Phone: (202)564-4712
Ms. Karen
Phone: (202)564-4487
Mr. Tim Farris
Phone: (202)564-4759
Mr. Phil Osborne
Phone: (202)564-4782
Ms. Denny Daniel
Phone: (202)564-4336
REGIONAL
Environmental Protection Agency
Office of Administration & Resource Management
John F. Kennedy Federal Building
One Congress Street
Boston, MA 02203
Region I
Environmental Protection Agency
Office of Policy & Management
290 Broadway
New York, New York 10007-1866
Region II
Mr. Josh Nemzer
Phone: (617)565-3663
Ms. Donna Vizian
Phone: (212)637-3721
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REGIONAL (Cont.)
Environmental Protection Agency
Office of Policy & Management
841 Chestnut Building
Philadelphia, PA 19107
Region III
Environmental Protection Agency
Office of Policy & Management
Atlanta Federal Center
61 Forsyth Street
Atlanta, GA 30303
Region IV
Environmental Protection Agency
Resources Management Division
77 West Jackson Blvd.
Chicago, IL 60604-3590
Region V
Environmental Protection Agency
Resources Branch
First Interstate Bank Tower at Fountain Place
1445 Ross Avenue
Dallas, TX 75202-2733
Region VI
Environmental Protection Agency
Office of Policy & Management
726 Minnesota Avenue
Kansas City, KS 66101
Region VII
Environmental Protection Agency
Grants, Audits & Procurement Office
999 18th Street, Suite 500
Denver, CO 80202-2466
Region VIII
Environmental Protection Agency
Office of Policy & Management
75 Hawthorne Street
San Francisco, CA 94105
Region IX
Environmental Protection Agency
Office of Management Program
1200 Sixth Avenue
Seattle, WA 98101
Region X
Mr. Reed Grimenstein
Phone: (215)566-5301
Mr. Matt Robin
Phone: (404)562-8371
Ms. Pat Bamford
Phone: (312)886-2400
Ms. Brenda Durolen
Phone: (214)655-6510
Ms. Alma Eaves
Phone: (913)551-7212
Mr. Clyde LoSasso
Phone: (303)3126527
Ms. Barbara Bycsek
Phone: (415)744-1626
Ms. Debbie Flood
Phone. (206)553-2722
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LABORATORY
Environmental Protection Agency
Robert S. Kerr Environmental
Research Laboratory
P.O. Box 1198
Ada, OK 74820
Environmental Protection Agency
Central Regional Laboratory
Office of Analytical Services &
Quality Assurance
839 Bestgate Road
Annapolis, MD 21401
Environmental Protection Agency
National Fuel & Vehicle Emissions
Laboratory
2565 Plymouth Road
Ann Arbor, Ml 48105
Environmental Protection Agency
Environmental Research Laboratory
College Station Road
Athens, GA 30303
Environmental Protection Agency
Environmental Research Laboratory
200 - SW 35th Street
Corvallis, OR 97333
Environmental Protection Agency
National Enforcement Investigations Center
P.O. Box25227
Denver Federal Center - Bldg. 53
Denver, CO 80225
U.S. Environmental Protection Agency
Environmental Research Laboratory
6201 Congdon Boulevard
Duluth, MN 55804
U.S. Environmental Protection Agency
Environmental Research Laboratory
Sabine Island
Gulf Breeze, Fl 32561
Ms. Debra Cochran
Phone: (580)436-8517
Ms. Ruth Ann Donovan
Phone: (410)573-2662
Mr. Lee Hazel
Phone: (734)668-4200
Ms. Pam Gunter
Phone: (706)355-8024
Ms. Betty Livingstone
Phone: (541)754-4502
Ms. Yolanda Montez
Phone: (303)236-5111
X218
Ms. Kathy Fuson
Phone: (218)529-5055
Mr. Larry Hodgson
Phone: (850)934-9281
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LABORATORY (Cont.)
U.S. Environmental Protection Agency
Environmental Monitoring Systems Laboratory
944 East Harman - P.O. Box 93478
Las Vegas, NV 89193-3478
U.S. Environmental Protection Agency
National Air & Radiation Environmental Laboratory
540 South Morris Avenue
Montgomery, AL 36115-2601
U.S. Environmental Protection Agency
Environmental Research Laboratory
27 Tarzwell Drive
Narragansett, Rl 02882
U.S. Environmental Protection Agency
Environmental Research Laboratory
Hatfield Marine Science Center
2111 S.E. Marine Science Drive
Newport, OR 97365-5260
U.S. Environmental Protection Agency
303 Methodist Building
11th and Chapline Streets
Wheeling, WV 26003
U.S. Environmental Protection Agency
EMSB - Annapolis Operations Section
2305 Riva Road - Suite 300
Annapolis, MD 21401
Ms. Kim Johnson
Phone: (702)798-2574
Ms. Rose Beasley
Phone: (334)270-3409
Ms. Linda Distesano
Phone: (401)782-3121
Dr. Walt Nelson
Phone: (541)867-4041
Ms. Lora Kociban
Phone: (304)234-0261
Ms. Betty Jeffery
Phone: (410)573-2777
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FINANCIAL ASSISTANCE PROGRAM fGRANTS)
Authority.
EPA's Authority to adopt and implement guidelines for the procurement of supplies, construction,
equipment and services from small, minority and women-owned businesses stems directly from
Executive Orders 11625,12138 and 12432 and applicable Federal laws.
Overview.
EPA awards grants and/or cooperative agreements to States, Tribes, local governments, and
institutions of higher education, hospitals and other non-profit organizations. In rare cases, EPA
is authorized by statute to make awards to profit makers (all of these entities are referred to as
recipients"). It is EPA policy that recipients award a fair share of procurement dollars under their
grants and cooperative agreements to minority and women-owned businesses for supplies,
construction, equipment and services. Pursuant to this policy, recipients and their prime
contractors need to make good faith efforts to award a fair share of contracts, subcontracts and
procurements to small, minority and women-owned businesses primarily through outreach,
recruitment and race/gender neutral activities; at a minimum, fulfillment of six affirmative steps
or positive efforts. See, e.g.. 40 CFR §§31.36(e), 30.44(b) To assist these businesses in
participating in procurements under EPA assistance awards each EPA Regional, Headquarters,
Cincinnati and Research Triangle Park Office has a Minority Business Enterprise and Women's
Business Enterprise (MBE/WBE) Coordinator that can provide information and assistance to
firms interested in doing business under EPA financial assistance programs.
Fair Share Definition.
A fair share or a fair share objective is an amount of funds reasonably commensurate with the
total project funding and the availability of qualified minority business enterprises (MBEs) and
women-owned businesses (WBEs), taking into account experience on EPA-funded projects and
other comparable projects in the area. Availability is a measure of the approximate
representation and capacity of MBEs and WBEs in the relevant labor market and qualified to do
the work in issue, adjusted, as appropriate, to reflect the estimated representation and capacity
of such MBEs and WBEs that would exist in the absence of discrimination. A fair share objective
does not constitute an absolute requirement, but a commitment on the part of the recipient or
prime contractor to make good faith efforts to use MBEs and WBEs to achieve the fair share
objective.
Guidance.
EPA issued a revised edition of its "Guidance for Utilization of Small, Minority and Women's
Business Enterprises in Procurement Under Assistance Agreements" - 6010 in July 1997. This
document is available on the Internet on OSDBU's Website address: http://www.epa.gov/osdbu
and a limited amount of hard copies are available from OSDBU upon request. When performing
contracts under EPA grants and cooperative agreements, you should be aware of applicable
contract provisions contained in 40 CFR Parts 30 and 31, e.g. §§31.36(1) and 30.48.
Databases.
The following website is available to assist grant recipients:
http://www.epa.gov.enviro/html/gics/index.html
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GRANTS ADMINISTRATION DIVISION
The Grants Administration Division (GAD) is the National Program Manager for grants
management. The division is responsible for developing, issuing and implementing policy
for all Agency assistance programs including grants, cooperative agreements, and
interagency agreements. It is also responsible for the review, award, and management
of all EPA Headquarters administered assistance, and for providing quality grants
information. The Division consists of three Branches - a Policy, Information and Training
Branch and two Operation Branches.
The Policy, Information and Training Branch develops, issues, interprets, and implements
policy for all assistance programs; has overall responsibility for grants management officer
and project officer training for the Agency; provides quality information on EPA's
environmental assistance programs and is responsibleforthe administrative management
of the Grants Information Control System, the Agency's central grants database.
The two Grants Operations Branches serve as Grants Management Offices (GMOs) and
award assistance agreements and interagency agreements for all headquarters
administered projects. They are responsible for assuring proper legal and administrative
management from preapplication through closeout. Headquarters awards includes most
research, demonstration, training and fellowship awards and accounts for approximately
10% of the Agency's assistance budget.
EPA's 10 Regional Offices also serve as Grants Management Offices for the award of
assistance agreements and interagency agreements for all Regionally administered
projects and are responsible for assuring proper legal and administrative management
from preapplication through closeout. Regional awards go primarily to State, Tribal and
local governments and account for most of the EPA's assistance dollars. Programs
include the State Revolving Fund/Construction Grants Program averaging about $2 billion
per year in awards, the continuing environmental program grants with annual awards in
excess of $600 million, and Superfund with annual awards of about $80 - $90 million.
If you have any questions regarding grants please contact GAD at (202) 564-5305 or visit
their website at http://www.epa.gov.ogd.gad.htm.
Point of Contacts
Ronald Reagan Building
1300 Pennsylvania Avenue, N.W. (3903R)
Washington, D.C. 20044
Mr. Bruce Feldman Ms. Mildred Lee Mr. Scott McMoran
Policy, Information & Training Branch Grants Operations Branch A Operation Branch B
Phone: (202) 564-5308 Phone: (202) 564-5320 Phone: (202) 564-5376
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ASSISTANCE PROFILE
From a historical perspective, Federal Assistance stems back to the agricultural and land
grants our government offered to States in the late 1800's. However, for our practical
purpose; the organized beginning of EPA Assistance (Grant vs. Cooperative Agreement)
evolved in the mid 1970's.
In the 1970's Congress was concerned over the perceived misuse of assistance
agreements in government. Many agencies were misusing assistance agreements to
circumvent competition and other procurement rules. To address these problems and
develop consistency and uniformity agency-wide, Congress passed the Federal Grant and
Cooperative Agreement Act of 1977. (P.L. 95-224, 31 U.S.C. 6301 etseq.).
This Act does three things:
Establishes Decision Criteria
Distinguishes Between Procurement and Assistance
Distinguishes Between Grants and Cooperative agreements.
For the purpose of understanding EPA assistance and understanding when to use which
award instrument, we will only address the latter 2 points of the Act. Not that the former
point isn't important, but it doesn't directly relate to the subject at hand.
Acquisition (Contract) vs. Assistance (Grant /Cooperative Agreements)
It is very important that when you apply for EPA extramural funds that the award
instrument you are requesting is consistent with the activities in your Workplan or scope
of work. Acquisition is used when the principal purpose of the activities in your Workplan
is to acquire property or services for the direct benefit or use of the Federal Government.
Assistance is used when the principal purpose of the Workplan activities does not directly
benefit the Federal government, but supports and stimulates a public purpose Le.,
assistance helps you carry out a program or project that provides a public benefit. In
contrast, acquisition helps EPA perform its function as an Agency. Being that acquisition
was thoroughly discussed in previous pages, let us focus on Assistance.
How does one determine direct benefit? How does one determine support and stimulation
for a public purpose? The basic difference between a grant and a contract is that a grant
helps you, a contract helps EPA. To determine direct benefit you must ask yourself who
is the direct beneficiary of the proposed project? In some cases EPA will receive what we
call, incidental benefit or use; but you are concerned with direct benefit. When applying
for EPA assistance, you should make it clear in your proposal that you are requesting
assistance from EPA to carry out your project rather than helping EPA conduct its
activities.
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Additional information is contained in EPA Order 5700-1, Policy for Distinguishing between
Assistance and Acquisition, March 22,1994, which can be obtained from the EPA Grants
Administration Division (GAD).
Grant vs. Cooperative Agreement (CA)
Once you have chosen assistance as the proper award mechanism, then you must
determine whether to apply for a grant or a cooperative agreement. In actuality, there are
many similarities. They both look the same, have similar administrative requirements and
are awarded by the same process. However, there is one distinct difference. A grant is
used when there is limited Federal involvement or participation during the performance of
a specific project. A cooperative agreement is used when there is substantial Federal
involvement or participation during the performance of a given project. Hence, the only
difference between the two, is the level of Federal involvement. NOTE: A cost share or
match requirement is not a determinant of involvement, but may merely be a statutory or
regulatory requirement.
EPA Publishes descriptions of its financial assistance programs in the Catalog of Federal
Domestic Assistance, which is available through the Government Printing Office or by
Internet at the website address: aspe.os.dhhs.gov/cfda/index.htm. Questions regarding
EPA's financial assistance programs should be directed to GAD.
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HOW DO I...
APPLY FOR EPA ASSISTANCE...
To apply for EPA Assistance (be it a grant or a cooperative agreement) an applicant must
qualify under the category as an eligible recipient. U.S. EPA makes assistance awards to
State and Local governments, Tribal Governments, Nonprofit Organizations, Colleges and
Universities and others. Some assistance is competitive, some is non-competitive. This
choice is dependent on the specific EPA Program.
If you fall under one of these categories, you need to inquire to see if your project falls in
alignment with the current goals and objectives of U.S. EPA. To obtain this information a
potential applicant can do the following:
1) Check the Code of Federal Domestic Assistance (CDFA) to see if the specific EPA
program of interest has a listing that may give you guidance type information regarding
goals and objectives for that Fiscal Year; or
2) Contact OSDBU so we may connect you with the specific EPA program office that
encompasses the type of environmental activity reflected in your proposed project. Inquire
as to the funding goals of that program and express your interest in obtaining EPA
Assistance. If the project aligns with the program current goals and objectives, request an
EPA Application Kit for Federal Assistance. (See Attached)
APPLICABLE CDFA NUMBERS
66.470 Hardship Grants in Rural Communities
66.500 Consolidated Research Program
66.605 Performance Partnership
66.606 Surveys, Studies & Special Purpose
66.607 All Training & Fellowships
66.651 Sustainable Development Challenge Grants
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PREPARE A PROPER APPLICATION...
When you receive your "Application Kit for Federal Assistance." draw your attention to the
SF-424 Application. This 4 page Application and Assurances are one of the most important
part of applicants submittal.
The face sheet of the SF-424 should always have a Federal and a Non-Federal Share
listed in Section 15 entitled ESTIMATED FUNDING. The amount that you are requesting
from EPA should be displayed under block A. entitled FEDERAL. (See Figure IA) If there
is an applicant contribution based on a cost sharing ratio, it should be displayed in block
B entitled APPLICANT. Note: If matching funds in your application are coming from other
sources, they should be displayed in the appropriate box. (See Figure IB)
15. ESTIMATED FUNDING
a. Federal
b. Applicant
c. State
d. Local
e. Other
f. ProgramJwcome fc,^
g. TOTAL ^ 1?' B
$137,500
$ 7,500
$
$
$
»'Jy*V
: >;&>
'.'(&«
^:
;l'^1".
«;
J?S5- :
(FIGURE 1A)
15. ESTIMATED FU|glN|
a. Feder
b. A
$
$ 3,041
e. Other
$
f. Program Income
g. TOTAL
$145,000
(FIGURE 1B)
32
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Page 2, Section A entitled BUDGET INFORMATION should reflect the Federal and
Non-Federal shares in the appropriate blocks. The total of both should be displayed in the
column entitled TOTAL. Note: If the Non-Federal share consists of more than one source,
the column entitled Non-Federal should reflect the total amount of all these sources.
BUDGET INFORMATION - Non-Construction Programs
Section A - Budget Summary
Estimated Unob. Funds
Grant Program
Function - or
*SMMJ*
(a)
1,
2.
£0-- , ^
4.
5. TOTALS
Cat. Of Federal
Domestic Assist.
Number
(b)
*- i
T =
1 -s ,-v "
Federal
©
:,$ V-'
V
' r ,'
* < "*
$
Non-Federal
*. (dL
*v~
TK';
$
Federal
Ce)
$136,750
$
Non-Faderal
« ...
$7^50:^
$
Total
r - 4BJU^.
$145^Q|i:
$
(FIGURE 1C)
33
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Section B, Column D entitled Budget Categories should reflect the cost attributed to each
object class personnel, fringe, travel, etc. Each object class should include the total
Federal and Non-Federal shares. (See Figure 1 D)
SECTIONS B - BUDGET CATEGORIES
GRANT PROGRAM, FUNCTION OR ACTIVITY
6. Object
Class
Categories
a. Personnel
b. Fringe
c. Travel
d. Equipment
e. Supplies
f. Contractual
g. Construction
h. Other
I. Total Direct Charges
j. Indir. Charges
k. TOTALS
(SUMOF6I& 6j)
7. PROGRAM INCOME
(1)
(2)
(3)
(4)
TOTAL
(5)
$100,000
25,000
5,500
0
0
0
0
10,000
140,000
5,000
145,000
(FIGURE 1D)
34
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In addition to the application; there are a number of CERTIFICATIONS that must be signed
and returned with any application for funding. These certifications are usually a part of our
Application Kit For Federal Assistance: and can also be obtained from your specific EPA
Grants Office. (See Headquarters contacts on pg. 24)
These certifications include Assurances, Debarment and Suspension, Anti-Lobbying,
Civil Rights (SF-4700). There must also be a brief narrative in regard to your most recent
audit. The explanation should include: dates of Audit, Cognizant Federal Agency, and
the date in which the audit was submitted to that Cognizant Federal Agency. The
Cognizant Agency is the Federal agency in which you receive the most Federal funds.
If an applicant is claiming indirect costs, they should have a Current Negotiated Indirect
Cost Rate in place for the rate they are charging. INDIRECT COSTS are defined as
charges that cannot be directly charged to the grant such as space, electricity, etc. This
rate is negotiated between the applicant and their Cognizant Federal Agency. A copy of
your signed Current Negotiated Indirect Cost Rate should be included in your submittal for
assistance.
Prepare a Detailed Budget Narrative...
In conjunction with your application; EPA requests a DETAILED BUDGET NARRATIVE.
The budget narrative is a detailed explanation of costs proposed in the budget categories.
This narrative must be consistent with the costs claimed in each object class on your
application. Like the budget page of the application, this narrative should consist of both
Federal and Non-Federal shares combined.
To assist you in properly constructing your DETAILED BUDGET NARRATIVE reference
the Guide to Preparing Object Class Category Budget Detail (See Figure 1F). This guide
should assist you with the explanation of costs reflected in your application. In conjunction,
a sample detail budget narrative has been included as a reference guide. (See Figure 1G)
35
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Guide to Preparing Object
Class Category Budget Detail
The Standard Form (SF) 424A, Section B - Budget Categories, should be supported in at
least the level of detail described below.
When there is a match or cost-sharing requirement, the provisions of 40 CFR 30.23 or 40
CFR 31.24 must be met. All in-kind contributions used to meet match or cost-sharing-
requirements shall be fully documented and must comply fully with 40 CFR 30.23 or 40
CFR 31.24.
Allowability of all costs are governed by applicable cost principles set forth in 40 CFR 30.27
or 40 CFR 31.22 and applicable OMB Circulars.
Personnel - Line 6a: Identify each type of staff position by job title and the number of
employees in each type of staff position. Enter the annual salary for each type of staff
position, percentage or time assigned to the project and total cost for the budget period.
Do not include costs of consultants or personnel costs of subgrantees or subcontractors.
Fringe Benefits - Line 6b: Enter the total cost of fringe benefits unless treated as part of
an approved indirect cost rate. Provide break-down of amounts and percentages that
comprised fringe benefit costs, such as health insurance, F.I.C.A., retirement insurance,
etc.
Travel - Line 6c: Identify the number and purpose of trips for program activities, e.g..
inspection, monitoring, enforcement, etc., and administrative activities, e.g.. attendance
at specific conferences, meetings, training, etc. Specify the cost for each activity and the
basis for determining the cost. For example, list the number of trips and average cost per
trip based on last year's data or specify the location, duration and estimated cost of
attending an annual conference, based on airfare and applicant per diem rates. Enter the
total cost for travel.
Equipment - Line 6d: Identify each item of equipment to be purchased which has an
estimated acquisition cost of $5,000 or more per unit and a useful life of more than one
year. An applicant may use its own definition of equipment provided that such definition
would at least include all equipment defined above. Enter individual, as well as, total cost
for equipment.
No equipment may be purchased without the expressed approval of U.S. EPA. The
assistance agreement shall indicate the total approved amount of the agreement which
may be expended for equipment. Any equipment purchases proposed after award must
be approved by U.S. EPA in writing.
(FIGURE 1F)
36
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If equipment purchased wholly or in part with assistance agreement funds is to be used
on more than one project/program, acquisition costs or usage fees must be approved and
allocated properly.
Supplies - Line 6e: List all tangible personal property other than "equipment" as defined
above. The budget detail should be as descriptive as possible. Categories of supplies to
be procured, e.g., laboratory supplies or office supplies, are acceptable if items cannot be
reasonably separated. Enter individual, as well as, total cost of supplies.
Contractual - Line 6f: Identify each proposed contract and specify its purpose, nature,
period of performance and estimated cost. Do not include procurement contracts which are
reflected in other object class categories such as equipment, supplies, etc. If funds
allocated to this object class category include proposed expenditures not usually
categorized as services to be procured at the market place, explanatory footnotes must
be included. Enter total cost for contracts.
Construction - Line 6g: Construction costs are generally not allowable in
non-construction assistance programs. U.S. EPA will provide additional guidance upon
request.
Other - Line 6h: List each item of cost in sufficient detail for U.S. EPA to determine its
reasonableness and allowability. Such costs, where applicable, may include, but are not
limited to, insurance, space rental, equipment rental, printing, publication, computer use,
training fees, utilities, telephone, as well as, any cost an applicant customarily identifies as
other costs. Enter individual, as well as, total costs for other.
Total Direct Charges - Line 6i: Show the totals of Lines 6a through 6h.
Indirect Charges - Line 1: Enter the total amount of indirect costs. If indirect charges are
budgeted, indicate the approved rate and its base on line 22 of section F - Other Budget
Information (SF 424A). It is important to note that when indirect costs are budgeted, those
costs included in the indirect cost pool cannot also be charged as direct costs to the
assistance agreement. Finally, include a copy of your current indirect cost agreement
which reflects the approved rate.
37
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Sheet 1
MICHIGAN DEPARTMENT OF NATURAL RESOURCES
UNDERGROUND STORAGE TANK DIVISION
FY-96 COOPERATIVE AGREEMENT-WORK PLAN
FY-96
FTES
PERSONNEL
CLASSIFICATIONS
1 EQA9
1 EQA10
18EQA11
2EQA12
0.96044 EQA13
1 GEO9
4GEO11
27.96044 TOTALS
ANNUAL
RATE
$16.91
$17.29
$20.02
$21.80
$23.83
$16.92
$20.02
(RATE x 2080)
$35,172.80
$35,963.20
$41,641.60
$45.344.00
$49,566.40
$35.193.60
$41,641.60
SALARIES
AND WAGES
$ 35,172.80
$ 35,963.20
$749,548.80
$ 90,688.00
$ 47,605.55
$ 35,193.60
$166,566.40
FRINGE
BENEFITS
$ 13,365.66
$ 13.666.02
$284,828.54
$ 34,461.44
$ 18,090.11
$ 13.373.57
$ 3,295.23
TOTAL
$ 48,538
$ 49,629
$1,034,377
$ 125,149
$ 65,696
$ 48,567
$ 229,862
$1,160,738.00
$441,081.00
TRAVEL
SITE VISITS AND DISTRICT COORDINATORS MEETINGS
MILAGE 20 PERSONS X 64.133X3 DAYS
X 28 WKS X $0.25/Mi
SUPPLIES
4"CASTINGS
1" CASTINGS
1'WELL SCREENS
$20,160.00
$ 2,370.00
$ 6,300.00
$1,601,819
$ 26,935
MISCELLANEOUS FIELD SUPPLIES GLOVES, TYVAC, ICE
CONTRACTUALS
Ml DEPT. OF ATTORNEY GENERAL-LUST LITIGATION
LABORATORY*
COPYING 858 PKTS x $6.993/PKT
TITLE SEARCHES 40 SITES x $200/SITE
WASTE DISPOSAL $30OO/BARRELS X2BARRELSISITE x 13 SITE
GEO-PROB 13 SITES x 4DAYS/SITE x $31 /DAY + ($.65/mi x 243 mi)
DRILL RIG 13 SITES x 3DAYS/SITE x $851 DAY + ($.6421 mi X 243mi)
AUDIT COSTS
0.04% OF GRANT TOTAL
INDIRECT COST
15.38% OF SALARIES AND FRINGE BENEFITS
TOTAL LUST BUDGET FOR FY 96
LABORATORY BREAKDOWN
QUANTITY TEST MATRIX
17
83
200
8260+ SEDIMENT
BETX SEDIMENT
PCISonly SEDIMENT
COST
$143.47
$ 60.00
$226.70
TOTAL
$ 6,324.00
$50.000.00
$52,759.00
$ 6.000.00
$ 8,000.00
$78,000.00
$ 1.770.00
$ 3,471.00
$ 35,154
TOTAL
$ 2,439
$ 4,980
$45,340
$52,759
$ 200,000
$ 844
$ 246,359
$2,111,111
(Figure 1G)
38
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Formulate An Approvalable Workplan...
The WORKPLAN or SCOPE OF WORK is an in-depth description of the activities
proposed in the project. It is usually developed into two parts: I) A history of the problem
and the proposed action; and 2) A statement of work indicating compliance with Regulatory
requirements. This document is probably the single most important portion of your
submittal for EPA Assistance.
In constructing an approvalable Workplan the following criteria must be throughly
addressed:
*Objectives/End products of the project
*Actions/Steps to achieve Outputs/Deliverables
*Estimated cost for all objectives and end products
*Equipment List
*Estimated Work Years
*Time Table or Schedule of the project.
*Geographical Location of the Project
*Reporting
*Key Persons Biographical Sketch(es)(On Research Assistance)
Conclusion
If you follow these easy steps you can enhance the quality of your submittal for EPA
assistance and reduce delays in the realm of processing and reviewing for U.S. EPA.
39
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UNITED STATES
ENVIRONMENTAL
PROTECTION
AGENCY
APPLICATION KIT FOR
ASSISTANCE
January 1998
40
-------
Dear Applicant:
An application kit for submitting a request for Federal Assistance to the Environmental
Protection Agency (EPA) is attached. Please complete all application procedures as
instructed in this kit and refer to the enclosed checklist to ensure your application is
complete prior to submission.
Please consider whether your proposal is for acquisition or assistance. The Federal Grant
and Cooperative Agreement Act requires Federal agencies to use a contract to acquire
property or services that directly benefit the Federal government. A grant or cooperative
agreement must be used to transfer money, property, services, or anything else of value,
that supports or stimulates an activity to accomplish a public purpose of assistance
authorized by Federal statute. The SF-424 is only used for submitting proposals for
Federal assistance.
The direct beneficiary is the determining factor as to whether a proposal is for acquisition
or assistance. If the direct beneficiary is a state or local government or other recipient, and
the purpose of the support or stimulation is authorized by Federal statute, then a grant or
cooperative agreement is the proper legal instrument to use. If the direct beneficiary is
EPA, then a contract is the appropriate legal instrument to use, and an SF-424 is not
appropriate
Please direct questions about completing your application, or general inquiries about EPA's
assistance program, to the Grants Administration Division (GAD) at (202) 564-5305.
Grants Administration Division
41
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TABLE OF CONTENTS
Applicable EPA Regulations and Description 3
Supplemental Information: Application For Federal Assistance 6
(Standard Form 424)
Checklist Of Application Items To Be Submitted 10
Application Receipt Letter 11
Key Contact List 12
SF424 "Application For Federal Assistance"; including Instructions
And Assurances (SF 424A and SF 424B)
Certification Regarding Debarment and Suspension
Certification Regarding Lobbying, Including Disclosure of Lobbying Activities
Preaward Compliance Review Report
MBEWVBE Utilization Under Federal Grants
EPA Mailing Address
42
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ENVIRONMENTAL PROTECTION AGENCY REGULATIONS AND DESCRIPTION
40 CFR Parts 7 and 12 - APPLICABLE TO ALL APPLICANTS
NONDISCRIMINATION IN PROGRAMS RECEIVING FEDERAL ASSISTANCE FROM
THE ENVIRONMENTAL PROTECTION AGENCY
This rule implements statutes which prohibit discrimination on the grounds of race, color;
national origin, sex and handicap.
This rule stipulates that no person shall be excluded from participation in, be denied the
benefits of or be subjected to discrimination under any program or activity receiving EPA
assistance on the basis of race, color, national origin, or on the basis of sex or handicap
in any program or activity receiving EPA assistance.
40 CFR Part 29 - APPLICABLE TO ALL APPLICANTS
INTERGOVERNMENTAL REVIEW OF THE ENVIRONMENTAL PROTECTION AGENCY
PROGRAMS AND ACTIVITIES
These regulations implement Executive Order 12373, "Intergovernmental Review of
Federal Programs". These regulations apply to all EPA programs.
You must contact your State's Single Point of Contact to find out if the program was
selected for coverage by the State process and, if the program was selected, to receive
information about your State's review process requirements and procedures. If you don't
know who your Single Point of Contact is, please call (202) 564-5305.
40 CFR Part 30 - APPLICABLE TO OTHER THAN STATE AND LOCAL
GOVERNMENTAL APPLICANTS
GENERAL REGULATION FOR ASSISTANCE PROGRAMS FOR ALL APPLICANTS
OTHER THAN STATE AND LOCAL GOVERNMENTS
These regulations inform applicants, other than state and local governments, how to apply
for and manage an EPA project, describes EPA involvement in the process, and identifies
recipient's responsibilities.
43
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40 CFR Part 31 - APPLICABLE TO ALL STATE AND LOCAL GOVERNMENT
APPLICANTS
UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE
AGREEMENTS TO STATE AND LOCAL GOVERNMENTS
This part establishes uniform administrative rules for federal grants and cooperative
agreements to State, local and Indian Tribal governments.
40 CFR Part 32 - APPLICABLE TO - ALL APPLICANTS
GOVERNMENT WIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) AND
GOVERNMENT WIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE (GRANTS)
Subpart A - General
Executive Order 12549 provides for a government wide system of nonprocurement (grants
and cooperative agreements) debarment and suspension. A person who is debarred of
suspended is excluded from federal financial and nonfinancial assistance and benefits
under federal programs and activities. Debarment or suspension of a participant in a
program by one agency has government wide effect.
Subpart F - Drug-Free Workplace Requirements (Grants)
The Drug-Free Workplace Act of 1988 requires that all grantees receiving grants from any
federal agency certify to that agency that they will maintain a drug-free workplace, or, in
the case of a grantee who is an individual, certify to the agency that his or her conduct of
grant activity will be drug-free. This government-wide rule implements the statutory
requirements. It directs that grantees take steps to provide a drug-free workplace in
accordance with the Act.
40 CFR Part 34 - APPLICABLE TO ALL APPLICANTS
NEW RESTRICTIONS ON LOBBYING
This interim final rule is in response to section 319 of Public Law 101-121. Section 319
prohibits recipients of Federal contracts, grants, and loans from using appropriated funds
for lobbying the Executive or Legislative Branches of the Federal Government in
connection with a specific contract, grant, or loan.
44
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40 CFR Part 40 - APPLICABLE TO ALL APPLICANTS APPLYING FOR
RESEARCH AND DEMONSTRATION GRANTS
This part establishes mandatory policies and procedures for all EPA research and
demonstration grants. The provisions of this part supplements the EPA general grant
regulations and procedures (40 CFR part 30).
40 CFR Part 45 - APPLICABLE TO ALL APPLICANTS APPLYING FOR
TRAINING ASSISTANCE
This part establishes the -policies and procedures for the award of training assistance by
EPA. Assistance agreements are awarded under this part to support students through
traineeships for occupational and professional training, and to develop career-oriented
personnel qualified to work in occupations involving environmental protection and pollution
abatement, and control.
40 CFR Part 46 - APPLICABLE TO ALL APPLICANTS APPLYING FOR
FELLOWSHIPS
This part establishes the policies and procedures for all Environmental Protection Agency
fellowships. Fellowships awarded under this part are intended to enhance the capability
of State or local agencies responsible for environmental pollution control or other agencies
with similar pollution control responsibilities; provide educational renewal opportunities for
their career oriented personnel to achieve additional knowledge through academic
professional training and to bring new people into the environmental control field.
40 CFR Part 47 - APPLICABLE TO ALL APPLICANTS APPLYING FOR
NATIONAL ENVIRONMENTAL EDUCATION ACT GRANTS AND COOPERATIVE
AGREEMENTS
This part codifies policy and procedures for the award of grants or cooperative agreements
under section 6 of the NEEA. Grants awarded under this part are educational activities and
training activities involving elementary, secondary, and postsecondary students, as such
terms are defined in the State in which they reside, and environmental education
personnel, but does not include technical training activities directed toward environmental
management professionals or activities primarily directed toward the support of
noneducational research and development.
Should you need copies of the above cited regulations please call (202) 564-5305 or you
may access a copy through the World Wide Web at: http://www.epa.gov/ogd/regs.htm.
45
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SUPPLEMENTAL INFORMATION:
APPLICATION FOR FEDERAL ASSISTANCE (STANDARD FORM 424)
Please refer to the SF 424 instructions. The following discusses items that require
additional attention.
Item 5: If the individual you list under "Name and telephone number of the person to be
contacted for matters involving this application", is not the Project Manager, please provide
the Project Manager's name, title, address, telephone number, and facsimile machine
number on the key contact list.
Additionally, please submit a biographical sketch for the Project Manager. The biographical
sketch should include educational and background' information, and other qualifying
experience relevant to the project. Also, list other key personnel engaged in the project,
and detail each person's training or discipline. Identify the Project Manager's other
Projects, and the amount of time that he or she devotes to each project. Provide
employment summaries for the Project Manager and the key personnel. The employment
summaries should include contracts and consultancies; for the present and for the past two
years,
Item 9: List EPA personnel who have provided you with preapplication assistance along
with their telephone number and the program office.
Item 10: List the Catalog of Federal Domestic Assistance (CFDA) Number and Title. If you
do not know the CFDA Number and Title, leave this item blank.
Item 13: The "Start Date" and "Ending Date" should represent the time frame in which the
entire scope of work detailed in the application will be completed, and during which the
recipient may expend or obligate Federal funds.
Item 15: List the estimated funding amounts for the entire project and for each proposed
budget period. The "Estimated Funding" amounts should include the amount requested
from EPA, and your organization's cost sharing amount, if required.
Item 16: Applicants should contact the State Single Point of Contact (SPOC) for Federal
Executive Order 12372 to determine whether the application is subject to the State
intergovernmental review process.
Item 18: The authorized representative listed here will receive an official award agreement
if EPA awards a grant or cooperative agreement in response to your application.
46
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DESCRIPTION OF PROJECT: Include a section which addresses the following.
Objective:
(1) Describe the primary and secondary project objectives.
(2) Identify relevant physical, economic, social, financial, institutional, or other
problems.
(3) Include supporting documentation from concerned interests, other than the
applicant.
(4) Include and footnote relevant data based on planning studies.
Results or benefits expected:
Identify results and benefits that will accrue to the project. Include the benefits that will
accrue to the recipient, the population served, the public, and the environment. For
example, compliance with water quality standards, or ambient air quality standards,
advancements in the state of the art of pollution abatement, etc.
Approach:
(1) Provide a work plan detailing how the scope of work will be accomplished, and detailing
the proposed project. Cite factors that could potentially accelerate or decelerate the work.
Indicate why this approach has been chosen rather than alternative approaches. Describe
any unusual project features such as design or technological innovations, cost or time
reductions, or extraordinary social and community involvement.
(2) Describe all available facilities for carrying out the project.
(3) List all non-Federal funds sources and facilities to be used to perform the proposed
project.
(4) Provide a chronological schedule of accomplishments, progress, and milestones that
are anticipated over the project's duration.
(5) Indicate who will carry out each of the work plan's elements. Include supporting
agencies, consultants, and contractors.
(6) Describe sampling and data collection procedures, analytical methods and methods
to evaluate the project's results.
47
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General Project Information:
(1) Identify the kinds of data to be collected and maintained, and discuss the evaluation
criteria for the project's results. Indicate whether research or demonstration will
involve human subjects or research animals.
(2) Discuss this project's effect on or relationship to work planned, anticipated, or in
process, by the grantee, or Government agencies. Discuss the Federal, state, and local
programs with which the work will be coordinated, and describe the extent and nature of
the coordination.
QUALITY ASSURANCE:
If your project involves environmentally related measurements or data generation, you
must develop and implement quality assurance practices. These practices must sufficiently
produce quality data to adequately meet project objectives, and to minimize data loss due
to uncontrolled conditions or malfunctions. State, local, or Indian tribal government
applicants should refer to EPA regulation 40 CFR 31.45. All other applicants should refer
to EPA regulation 40 CFR 30.54.
BUDGET:
The application includes Standard Form 424A: "Budget Information - Non-Construction
Programs". Please complete only Section B: "Budget Categories", and Section F: "Other
Budget Information" on Standard Form 424A. If you have budgeted indirect costs in
Section B, please attach a copy of your indirect cost rate agreement which has been
negotiated with a cognizant Federal agency. Please indicate under "remarks" in Section
F, that your indirect cost rate is attached.
Guidance for completing a Detailed Budget to Supplement Standard Form 424A
In addition to completing Standard Form 424A, a separate, detailed budget is required.
Please follow the guidelines listed below.
Detailed Itemization of Costs:
Personnel: List all project participants' titles. Indicate the time percentage that each
individual will devote to this project during the entire project period. The budgeted cost
should be derived as follows: multiply each person's time percentage by his or her annual
salary. Indicate this calculation for each personnel member. The sum of each person's
costs should be reflected as total personnel costs. Record total on Standard Form 424A,
Section B, Line A.
48
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Travel: Indicate the budgeted travel's purpose and the destination of each trip and indicate
the number of travelers. Record total on Standard Form 424A, Section B, Line C.
Equipment: Provide a list of equipment to be purchased. Record total on Standard Form
424A, Section B, Line D.
Supplies: Itemize budgeted supplies unless their total represents less than two percent
of total costs. Record total on Standard Form 424A, Section B, Line E.
Contractual: Specify the nature and cost of contractual services. EPA may review the
contracts for personal services before the contracts are executed, to assure that all costs
are reasonable and necessary to the project. Record total on Standard Form 424A,
Section B, Line F.
Construction: If your budget includes construction costs, contact the Grants
Administration Division for additional instructions while completing your application. Record
total on Standard Form 424A, Section B, Line G.
Other: Itemize all costs included here. Include items here which can not be scheduled in
the more specific categories. If you are applying for a training project, the itemization
should include a cost breakdown of trainee tuition and fees, book allowances, stipends,
and travel. Record total on Standard Form 424A, Section B, Line H.
Indirect Costs: Please indicate how indirect charges were calculated for this project, and
remember to attach a copy of your current indirect cost rate agreement. Record total on
standard Form 424A, Section B, Line J. If an organization has not previously established
an indirect cost rate with another Federal Agency, please specify on Standard Form 424A,
Section A Line J.
Program Income: If any income is expected to be generated from this project, insert the
estimated income amount here. Do not add or subtract this amount from the total project
amount. Your detailed direct cost itemization should show this income's nature and source.
Record total on Standard Form 424A, Section B, Line 7.
49
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CHECKLIST OF APPLICATION
ITEMS TO BE SUBMITTED
II SF-424 APPLICATION FOR FEDERAL ASSISTANCE, with original signature, (including Assurances
for Non-construction Programs)
D NUMBER OF COPIES: Original and 2 copies
D ASSURANCES NON-CONSTRUCTION PROGRAMS CERTIFICATION
d DEBARMENT AND SUSPENSION CERTIFICATION
C] CERTIFICATION REGARDING LOBBYING (if over $100,000) and SF LLL if applicable
D EPA FORM 4700-4 PREAWARD COMPLIANCE REVIEW REPORT
d NARRATIVE STATEMENT (WORK PLAN)
D QUALITY ASSURANCE NARRATIVE STATEMENT, if applicable
Ll DETAILED ITEMIZED BUDGET
D COPY OF NEGOTIATED INDIRECT COST RATE AGREEMENT
L! KEY CONTACT LIST
L! BIOGRAPHICAL SKETCH
D APPLICATION RECEIPT LETTER, with your address filled in
D ADDITIONAL INFORMATION TO BE SUBMITTED IF APPLICABLE
(1) If you are submitting your application under the Federal Demonstration Project,
please indicate it in block 11.
(2) If your project requires an Environmental Impact Statement or Environmental
Assessment, or both, please indicate it on a separate sheet of paper.
(3) If your project involves human testing studies, please indicate it on a separate sheet
of paper.
(4) If your project involves animal testing studies, please indicate it on a separate sheet
of paper.
50
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\ UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
I WASHINGTON, D.C. 20460
OFFICE OF
ADMINISTRATION
AND RESOURCES
(MANAGEMENT
Application Receipt Letter
Dear
The U.S. Environmental Protection Agency's Grants Operations Branch has received your
application. The EPA identification number assigned to your project is .
is this project's Grants Specialist. If you have any questions,
please contact your grants specialist at (202) 564-_
Sincerely,
Barbara Rochon
Grants Administration Division
51
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KEY CONTACTS
Authorized Representatives: Original awards and amendments will be sent to this individual for review and acceptance,
unless otherwise indicated.
Name:
Title:
Complete Address:
Phone-Number: Fax:
E-Mail Address:
Payee: Individual authorized to accept payments.
Name:
Title:
Complete Address:
Phone-Number: Fax:
E-Mail Address:
Administrative Contact: Individual from Sponsored Programs Office to contact concerning administrative matters (i.e.,
indirect cost rate computation, rebudgeting requests, etc.)
Name:
Title:
Complete Address:
Phone-Number: Fax:
E-Mail Address:
Project Manager: Individual responsible for the technical completion of the proposed work.
Name:. __
Title:
Complete Address:
Phone-Number: Fax:
E-Mail Address:
52
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INSTRUCTIONS FOR THE SF 424
This is a standard form used by applicants as a required facesheet for preapplications and applications submitted for
Federal assistance. It will be used by Federal agencies to obtain applicant certification that States which have established
a review and comment procedure in response to Executive Order 12372 and have selected the program to be included in
their process, have been given an opportunity to review the applicant's submission.
Item: Entry:
1. Self-explanatory.
2. Date application submitted to Federal agency (or State if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing award,
enter present Federal identifier number. If for a new project,
leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address
of the applicant, and name and telephone number of the person
to contact on matters related to this application.
6. Enter Employer Identification Number (EIN) asassigned by the
Internal Revenue Service.
7 Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s)
in the space(s) provided:
D "New" means a new assistance award.
n "Continuation" means an extension for an additional
funding/budget period fora project with a projected completion
date.
IH "Revision" means any change in the Federal
Government's financial obligation or contingent liability from an
existing obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
Item: Entry:
12. List only the largest political entities affected (e.g., State,
counties, cities).
13. Set-explanatory.
14. List the applicant's Congressional District and any District(s)
affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contribution should be included on appropriate lines as
applicable. If the action will result in a dollar change to an
existing award, indicate only the amount of the change. For
decrease, enclose the amounts in parentheses. If both basic
and supplemental amounts are included, show breakdown on
an attached sheet. For multiple program funding, use totals
and show breakdown using same categories as item 15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories
of debt include delinquent audit disallowances, loans and
taxes.
18. To be signed by the authorized representative of the applicant.
A copy of the governing body's authorization for you to sign
this application as official representative must be on file in the
applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application).
11. Enter a brief descriptive title of the project. If more than one
program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real
property projects),attachamapshowingprojectlocation. For
preapplications, use a separate sheet to provide a summary
description of this project.
SF 424 (REV 4-88)
53
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OMB Approval No. 0348-0043
APPLICATION FOR 2 DATE SUBMITTED
FEDERAL ASSISTANCE
1 Type of Submission: 3. DATE RECEIVED BY STATE
Application Proappllcatton
_ ,_ 4. DATE RECEIVED BY FEDERAL AGENCY
LJ Non-Construction LJ Non-Construction
5. APPLICANT INFORMATION
Legal Name:
Address (give city county, stale, and zip code).
6. EMPLOYER IDENTIFICATION NUMBER (EIN):
nn-nnnnQD
8. TYPE OF APPLICATION:
LJ New D Continuation C3 Revision
If revision, enter appropriate letter(s) in box(es): I I LJ
A. Increase Award B. Decrease Award C. Increase Duration
D. Decrease Duration Other (specify):
10. CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER:
nn-nnn
TITLE:
12. AREAS AFFECTED BY PROJECT fellies, counties, slates, etc).
Applicant Identifier
State Application Identifier
Federal Identifier
Organizational Unit:
Name and telephone number of the person to be contacted on matters involving this application (give area
code)
7 TYPE OF APPLICA
A. State
B County
C. Municipal
D. Township
E. Interstate
F. Intermunicipai
G. Special District
MT: (enter appropriate letter in box) Q
H. Independent School District
I. State Controlled Institution of Higher Learning
J. Private University
K Indian Tribe
L. Individual
M. Profit Organization
N. Other (Specify):
9. NAME OF FEDERAL AGENCY:
1 1 . DESCRIPTIVE TITLE OF APPLICANT'S PROJECT:
13. PROPOSED PROJECT: 14 CONGRESSIONAL DISTRICTS OF:
Start Date Ending Date a. Applicant
b. Project
15 ESTIMATED FUNDING: 16 IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE ORDER 12372 PROCESS?
a. Federal $ .00 a' YES
b. Applicant $ .00
c. State $ .00
d. Local $ .00 b NO
e. Other $ .00
f. Program Income $ .00
THIS PREAPPLICATION/APPLICATION WAS MADE AVAILABLE TO THE STATE EXECUTIVE ORDER
12372 PROCESS FOR REVIEW ON:
DATE
d PROGRAM IS NOT COVERED BY E.O. 12372
LJ OR PROGRAM HAS NOT BEEN SELECTED BY STATE FOR REVIEW
17. IS THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT?
d YES If 'Yes", attach an explanation d NO
g. TOTAL $ .00
18. TO THE BEST OF MY KNOWLEDGE AND BELIEF. ALL DATA IN THIS APPLICATION/preapplication ARE TRUE AND CORRECT, THE DOCUMENT HAS BEEN ONLY AUTHORIZED BY
a. Typed Name of Authorized Representative
b. Title
d Signature of Authorized Representative
c. Telephone Number
e Date Signed
Previous Editions Not Usable
Authorized for Local Reproduction
54
Standard Form 424 (REV 4-88)
Prescribed by OMB Circular A-102
-------
OMB Approval No. 0348-0044
BUDGET INFORMATION - Non-Construction Programs
SECTION A - BUDGET SUMMARY
Grant Program
Function
or Activity
(a)
1.
2.
3.
4.
5. TOTALS
Catalog of Federal
Domestic Assistance
Number
(b)
Estimated Unobligated Funds
Federal
©
$
$
Non-Federal
(d)
$
$
New or Revised Budget
Federal
(e)
$
$
Non-Federal
(f)
$
$
Total
(9)
$
$
SECTION B - BUDGET CATEGORIES
6. Object Class Categories
a. Personnel
b. Fringe Benefits
c. Travel
d. Equipment
e. Supplies
f. Contractual
e. Construction
h. Other
1. Total Direct Charges (sumof 6a -enj
j. Indirect Charges
k. TOTALS (sum of 61 and 6j)
$
^^^^^^^^^^^^^^__>M__^^^^^^^^_
$
^^^^^^^^H
$
-- --^^^^^^ ^^^
$
"
$
7. Program Income
Standard Form 424A (4-98)
55
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SECTION C - NON-FEDERAL RESOURCES
(a) Grant Program
8.
9.
10.
11.
12. TOTALS (sum of lines 8 and 11)
(b) Applicant
$
$
© State
$
$
(d) Other Sources
$
$
(e) TOTALS
$
$
SECTION D - FORECASTED CASH NEEDS
13. Federal
14. Non-Federal
15. TOTAL (sum of lines 13 and 14)
Total for 1st Year
$
$
1st Quarter
$
$
2nd Quarter
$
$
3rd Quarter
$
$
4th Quarter
$
$
SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT
(a) Grant Program
16.
17.
18.
19.
20. TOTALS (sum of lines 16-19)
FUTURE FUNDING PERIOD (Years)
(b) First
$
$
i> Second
$
$
(d) Third
$
$
(e) Fourth
$
$
SECTION F - OTHER BUDGET INFORMATION
(Attach additional Sheets if Necessary)
21. Direct Charges:
23. Remarks
22. Indirect Charges:
Prescribed by OMB Circular A-102
56
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Authorized for Local Reproduction
INSTRUCTIONS FOR THE SF-424A
General Instructions
This form is designed so that application can be made for funds from one or
more grant programs. In preparing the budget, adhere to any existing
Federal grantor agency guidelines which prescribe how and whether
budgeted amounts should be separately shown for different functions or
activities within the program. For some programs, grantor agencies may
require budgets to be separately shown by function or activity. For other
programs, grantor agencies may require breakdown by function or activity.
Sections A, B, C, and D should include budget estimates for the whole
project except when applying for assistance which requires Federal
authorization in annual or other funding period increments. In the latter
case, Sections A, B, C, and D should provide the budget for the first budget
period (usually a year) and Section E should present the need for Federal
assistance in the subsequent budget periods. All applications should
contain a breakdown by the object class categories shown in Lines a-k of
Section B.
Section A. Budget Summary
Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program (Federal
Domestic Assistance Catalog number) and not requiring a functional or
activity breakdown, enter on Line 1 under Column (a) the catalog program
title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget amounts by
multiple functions or activities, enter the name of each activity or function on
each line in Column (a), and enter the catalog number in Column (b). For
applications pertaining to multiple programs where none of the programs
require a breakdown by function or activity, enter the catalog program title
on each line in Column (a) and the respective catalog number on each line
in Column (b).
For applications pertaining to multiple programs where one or more
programs require a breakdown by function or activity, prepare a separate
sheet for ach program requiring the breakdown. Additional sheets should
be used when one form does not provide adequate space for all breakdown
of data required. However, when more than one sheet is used, the first
page should provide the summary totals by programs.
Lines 1-4, Columns © through (g)
For new applications, leave Columns © and (d) blank. For each line entry
in Columns (a) and (b), enter in Columns (e), (f), and (g) the appropriate
amounts of funds needed to support the project for the first funding period
(usually a year).
For continuing grant program applications, submit these forms before the
end of each funding period as required by the grantor agency. Enter in
Columns © and (d) the estimated amounts of funds which will remain
unobligated at the end of the grant funding period only if the Federal grantor
agency. Enter in Columns © and (d) the estimated amounts of funds which
will remain unobligated at the end of the grant funding period only if the
Federal grantor agency instructions provide forthis. Otherwise, leave these
columns blank. Enter in columns (e) and (f) the amounts of funds needed
for the upcoming period. The amount(s) in Column (g) should be the sum
of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not use
Columns © and (d). Enter in Column (e) the amount of the increase or
decrease of Federal funds and enter in Column (f) the amount of the
increase or decrease of non-Federal funds. In Column (g) enter the new
total budgeted amount (Federal and non-Federal) which includes the total
previous authorized budgeted amounts plus or minus, as appropriate, the
amounts shown in Columns (e) and (f). The amount(s) in Column (g) should
not equal the sum of amounts in Columns (e) and (f).
Section B. Budget Categories
Line 5 - Show the totals for all columns used.
In the column headings (1) through (4), enter the titles of the same
programs, functions, and activities shown on Lines 1 -4, Column (a), Section
A. When additional sheets are prepared for Section A, provide similar
column headings on each sheet. For each program, function or activity, fill
in the total requirements for funds (both Federal and non-Federal) by object
class categories.
Line 6a-l Show the totals if cubes 6a to 6h in each column.
Line 6j - Show the amount of indirect cost.
Line 6k - Enter the total of amounts on Lines 6i and 6j For all applications
for new grants and continuation grants the total amount in column (5), Line
6k, should be the same as the total amount shown in Section A, Column (g),
Line 5. For supplemental grants and changes to grants, the total amount of
the increase or decrease as shown in Columns (1)-(4), Line 6k should be
the same as the sum of the amounts in Section A, Columns (e) and (f) on
Line 5.
Line 7 - Enter the estimated amount of income, if any, expected to be
generated from this project. Do not add or subtract this amount from the
total project amount. Show under the program narrative statement the
nature and source of income. The estimated amount of program income
may be considered by the federal grantor agency in determining the total
amount of the grant.
Section C. Non-Federal Resources
Line 8-11 - Enter amounts of non-Federal resources that twill be used on
the grant. If in-kind contributions are included, provide a brief explanation
on a separate sheet.
Column (a) - Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b) - Enter the contribution to be made by the
applicant.
Column © - Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or Sate agency should leave this
column blank.
Column (d) - Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (d) - Enter totals of Columns (b), ©) and (d).
Line 12 - Enter the total for each of Columns (b)-(e). The amount in Column
(e) should be equal to the amount on Line 5, Column (f), Section A.
SF 424 (4-88)
57
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INSTRUCTIONS FOR THE SF-424A (continued)
Section D. Forecasted Cash Needs
Line 13 - Enter the amount of cash needed by quarter from the grantor
agency during the first year.
Line 14 - Enter the amount of cash from all other sources needed by quarter
during the first year.
Line 15 - Enter the totals of amounts on Line 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16 -19 - Enter in Column (a) the same grant program titles shown in
Column (a), Section A. A breakdown by function or activity is not
necessary. For new applications and continuation grant applications, enter
in the proper columns amounts of Federal funds which will be needed to
complete the program or project over the succeeding funding periods
(usually in years). This section need not be completed for revisions
(amendments, changes, or supplements) to funds for the current year of
existing grants.
If more than four lines are needed to list the program titles, submit additional
schedules as necessary.
Line 20 - Enter the total for each of the Columns (b)-(e). When additional
schedules are prepared for this Section, annotate accordingly and show the
overall totals on this line.
Section F. Other Budget Information
Line21 - Use this space to explain amounts for individual direct object-class
cost categories that may appear to be out of the ordinary or to explain the
details as required by the Federal grantor agency.
Line 22 - Enter the type of indirect rate (provisional, predetermined, final or
fixed) that will be in effect during the period, the estimated amount of the
base to which the rate is applied, and the total indirect expense.
Line 23 - Provide any other explanations or comments deemed necessary.
58
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ASSURANCES - NON CONSTRUCTION PROGRAMS
OMB Approval No 03348-0040
Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding agency
Further, certain Federal awarding agenc.es may require applicants to certify to additional assurances If such is the case, you will be "
As the duly authorized representative of the applicant I certify that the applicant:
Has the legal authority to apply for Federal assistance, and the
institutional, managerial and financial capability (including funds
sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the
project described in this application.
Will give the awarding agency, the Comptroller General of the
United States, and if appropriate, the State, through any
authorized representative, access to and the right to examine all
records, books, papers, or documents related to the award; and
will establish a perper accounting system in accordance with
generally accepted accounting standards or agency directives.
Will establish safeguards to prohibit employees from using their
positions for a purpose that constitutes or presents the
appearance for personal or organizational conflict of interest, or
personal gain.
Will initiate and complete the work within the applicable time
frame after receipt of approval of the awarding agency.
Will comply with the Intergovernmental Personnel Act of 1970 (42
U.S.C. §§ 4728-4763) relating to prescribed standards for merit
systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 C.F.R. 900, Subpart
F).
Will comply with all Federal statutes relating to nondiscrimination.
These include but are not limited to: (a) Title VI of the Civil Rights
Act of 1964 (P.L 88-352) which prohibits discrimination on the
basis of race, color or national origin; (b) Title IX of the Education
Amendments of 1972 as amended (20 U.S.C. §§ 1681 -1683, and
1685-1686), which prohibits discrimination on the basis of sec; ©
Section 504 of the Rehabilitation Act of 1973, as crimination of
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. §§ 6101-6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the
comprehensive Alcohol Abuse and Alcoholism Reinvention,
Treatment and Rehabilitiation Act of 1970 (P.L. 91-616), as
amended, relating to nondiscrimination on the basis of alcohol
abuse or alcoholism; (g) §§ 523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as
amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. § 3601 et seq.), as amended, relating to non-
discrimination in the sale, rental or financing of housing; (I) any
other nondiscrimination provisions in the specific statute(s) under
which application for Federal assistance is being made; and (j)
the requirements of any other nondiscrimination statute(s) which
may apply to the application.
Will comply, or has already complied, with the requirements of
Title II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
who property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in
real property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply with the provisions of the Hatch Act (5 U.S.C. §§
1501-1508 and 7324-7328) which limit the political activities of
employees whose principal employment activities are funded in
whole or in part with Federal funds.
9. Will comply, asapplicable, with the provisions of the Davis-Bacon
Act (40 U.S.C. §§ 276a to 276a-7), the Copeland Act (40 U.S.C.
§§327-333), regarding labor standards for federally assisted
construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection
Act of 1973 (P.L. 93-234) which requires recipients in a special
flood hazardous area to participate in the program and to
purchase flood insurance if the total cost of insurable
construction and acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive
Order (EO) 11514; (b) notification of violating facilities pursuant
to EO 11738; © protection of wetlands pursuant to E011990, (d)
evaluation of flood hazards in flood plains in accordance with EO
11988; (e) assurance of project consistency with the approved
State management program developed under Costal Zone
Management Act of 1972 (16 U.S.C. §§ 1451 et seq.); (f)
conformity of Federal actions to State (Clear Air) Implementation
Plans under Section 176© of the Clear Air Act of 1955, as
amended (42 U.S.C. § 7401 et seq.); (g) protection of
underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended, (P.L. 93-523); and (h) protection
of endangered species under the Endangered Species Act of
1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. §§ 1271 et seq.) Related to protecting components or
potential components of the national wild and scenic rivers
system..
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and
protection of historic properties), and the Archaeological and
Historic Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of human
subjects involved in research, development, and related activities
supported by this award of assistance.
59
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15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L.
89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention Act
(42 U.S.C. §§4801 etseq.) which prohibits the use of lead based
paint in construction or rehabilitation of residence structures.
17. Will cause to be performed the required financial and compliance
audits in accordance with the Single Audit Act of 1984.
18. Will comply with all applicable requirements of all other Federal
laws, executive orders, regulations and policies governing this
program..
Signature of Authorized Certifying Official
Title
Applicant Organization
Date Submitted
SF 424B (4-88) Back
60
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EPA Project Control Number
United States Environmental Protection Agency
Washington, DC 20460
Certification Regarding
Debarment, Suspension, and Other Responsibility it/lasers
The prospective participant certifies to the best of its knowledge and belief that it and the
principals:
(a) Are not presently debarred, suspended, proposed for debarment declared ineligible,
or voluntarily excluded from covered transactions by any Federal department or
agency;
(b) Have not within a three year period preceding this proposal been convicted ov or
had a civil judgement rendered against them for commission of fraud or a crininr.l
offense in connection with obtaining, attempting to obtain, or pe.rforrning a public
(Federal, State, or local) transaction or contract under 2 public transaction:
violation of Federal or State antitrust statutes or commission of embezzlement, theft,
forgery, bribery, falsification or destruction of records, mailing falsa strtomants, or
receiving stolen property:
(c) Are not presently indicted for or otherwise criminally or civilly charged by a
government entity (Federal, State, or local) with commission of any ov t! ,Q offenses
enumerated in paragraph (1)(b) of this certification; and
(d) Have not within a three-year period preceding this application/proposai had one or
more public transactions (Federal, State, or local) terminated for cause or default.
I understand that a false statement on this certification may be grounds for rejection of this
proposal or termination of the award. In addition, under 18 USC Sec. 1001, a false
statement may result in a fine of up to $10,000 or imprisonment for up to 5 years, or both.
Typed Name & Title of Authorized Representative
Signature of Authorized Representative Date
C-l I am unable to certify to the above statements. My explanation is attached.
EPA Form 5700-49 (11-88)
61
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Instructions
Under Executive Order 12549, an individual or organization debarred or excluded from
participation in Federal assistance or benefit programs may not receive any assistance
award under a Federal program or a subagreement thereunder for $25,000 or more.
Accordingly, each prospective recipient of an EPA grant, loan, or cooperative agreement
and any contract or subagreement participant thereunder must complete the attached
certification or provide an explanation why they cannot For further details, see 40 CFR
32.510, Participants' responsibilities, in the attached regulation.
Where To Submit:
The prospective EPA grant, loan, or cooperative agreement recipient must return the
signed certification or explanation with its application to the appropriate EPA Headquarters
or Regional office, as required in the application instructions.
A prospective prime contractor must submit a completed certification or explanation to the
individual or organization awarding the contract.
Each prospective subcontractor must submit a completed certification or explanation to the
prime contractor for the project.
How To Obtain Forms:
EPA includes the certification form, instructions, and a copy of its implementing regulation
(40 CFR Part 32) in each application Mt Applicants may reproduce these materials as
needed and provide them to their prospective prime contractor, who, in turn may reproduce
and provide them to prospective subcontractors.
Additional copies/assistance may be requested from:
Suspension and Debarment Division
Grants Administration Division (3903R)
U.S. Environmental Protection Agency
401 M Street, SW
Room 51288
Washington, DC 20460
Telephone: (202) 564-5305
EPA Form 5700-49 (11-88)
62
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EPA PROJECT CONTROL NUMBER
CERTIFICATION REGARDING LOBBYING
CERTIFICATION FOR CONTACTS. GRANTS. LOANS. AND COOPERATIVE
AGREEMENTS
The Undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to-influence an officer or
employee of any agency., a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering into
of any cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid
to any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, or an employee of a Member of Congress in connection
with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form-LLL, '"Disclosure Form to Report Lobbying," in
accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included
in the award of documents for all subawards at all tiers (including subcontracts, subgrants,
and contracts under grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352, Title 31,
U.S. Code. Any person who fails to file the required certification shall be subject to a civil
penalty of not less than $10,000 and not more than $100,000 for each such failure.
TYPED NAME & TITLE OF AUTHORIZED REPRESENTATIVE
SIGNATURE OF AUTHORIZED REPRESENTATIVE DATE
63
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INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the importing entity, whether subawarded or once Federal recipient at the initiation or receipt
of a covered Federal action, or a material change to a previous film & pumunt to tide 31 U-S.C. section 1352. The filing of a form it's
required for each payment of, agreement to make payment to any lobbing entity for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with a covered Federal action. Use the SF-LLL-A Continuation Sheet for additional information if the space on the form is
inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published
by the Office of management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a
covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report, if this is a follow up report caused by a material change to the information
previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted
report by this reporting entity for this covered Federal action.
4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if known. Chick the
appropriate classification of the reporting entity that designates it is. or expects to be. a prime or subaward recipient, identify
the tier of the subawardee. e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to
subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, city, state and zip code
of the prime Federal recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment.. Include at least one organizational level below
agency name, if known. 'For example. Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If kn enter dw full catalog of Federal
Domestic Assistance (CFDA) number for grants, cooperative agreements, laws, and loan commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action kkntified in item I (e.g.. Request for
Proposal (RFP) number Invitation for Bid (IFS) number grant announcement number: the contract, grant, or loan award number
the application/proposal control number assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001"
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal
amount of the award/loan commitment for the prime entity identified in item 4 or 5
10. (a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in item
4 to influence the covered Federal action.
(b) Enter the full names of the individual(s) performing services, and include full address if different from 10 W. Enter Last Name,
First Name, and Middle initial (Ml).
11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying entity
(item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this
is a material change report, enter the cumulative amount of payment made or planned to be made.
12. Check the appropriate box(es)~ Check all boxes that apply. If payment is made through an in4rind contribution, specify the nature
and value of the in-kind payment.
13. Check the appropriate box(es). Check all boxes that apply, if other, specify nature.
14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform, and
the-date(s) of any services rendered, include all preparatory and related activity, not Just time spent in actual contact with Federal
officials. Identify the Federal official(s) or employee(s) contacted or the officer(s) ernployet(s). or Member(s) of Congress that
were contacted.
15. Check whether or not a SF-LLL-A Continuation Sheet(s) is attached.
16. The certifying official shall sign and date the form, print his/her name, title and telephone number
Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection
of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions
for reducing this burden to the Office of Management and Budget. Paperwork Reduction Project (0348-0046), Washington, D.C. 20503.
Approval by
0348-0044
64
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DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(See reverse for public burden disclosure)
1. Type of Federal Action: 2. Status of Federal Action:
D a. contract D a. bid/offer/application
b. grant b. Initial award
c. cooperative agreement c. post-award
d. loan
e. loan guarantee
f. loan insurance
4. Name and Address of Reporting Entity:
Cl Prime D Subawardee
Tier . if known:
Congressional District, if known:
6. Federal Department/Agency
8. Federal Action Number, if known:
10. a. Name and Address of Lobbying Entity
(If individual, last name, first name, Ml):
3. Report Type:
n a. initial filing
b. material change
For Material Change Only:
year quarter
date of last report
5. If Reporting Entity in No. 4 is Subawardee.
Prime:
Congressional District, if known:
Enter Name and Address of
7. Federal Program Name/Description:
CFDA Number, if applicable:
9. Award Amount, if known:
$
b. Individuals Performing Services (including address if different from No. 10a)
(Last name, first name, Ml):
(attach continuation sheet(s) SF-LLL-A, if necessary)
1 1 . Amount Of Payment (check all that apply):
$ D actual D planned
1 2. Form of Payment (check ail that apply):
D a. cash
n b. in-kind specify: nature
value
13. Type of Payment (check an that apply):
D a. retainer
D b. one-time fee
n c. commission
D d. contingent fee
D e. deferred
d f. other: specify:
14. Brief Description of Services Performed or to be Performed and Date(s) of Service, including officers), employee(s), or Member(s) contacted
for Payment Indicated in Item 1 1 :
(attached continuation sheet(s) SF-LLL-A, if necessary)
15. Continuation Sheet(s) SF-LLL-A attached: Q Yes E No
1 6. Information requested through the form Is authorized by code 31 U.S.C.
section 1352. This disclosure of lobbing activities Is a material representation
of the fact upon which reliance was placed by the tier above when this
transaction was made or entered Into. This disclosure Is required pursuants
to 31 U.S.C. 1352. This Information will be reported to the Congress semi-
annually and will be available for public Inspection. Any person who falls to
file the required disclosure shall be subject to a civil penalty of not less that
$10,000 and not more than $100,000 for each such failure.
Signature:
Print Name:
Title:
Telephone No.:
Federal Use Only:
Date:
Authorized for Local Reproduction
Standard Form - LLL
0348-0044
65
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DISCLOSURE OF LOBBYING ACTIVITIES
CONTINUATION SHEET
Reporting Entity: Page of_
Authorized for Local Reproduction
66
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j?*"*^ UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
/
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Instructions
General
Recipients of Federal financial assistance from the U.S. Environmental
Protection Agency must comply with the following statutes.
Title V1 of the Civil Rights Act of 1964 provides that no person in the
United States shall, on the grounds of race, color, or national origin, be
excluded from participation in, be denied the benefits of, or be subjected
to discrimination under any program or activity receiving Federal
financial assistance. The Act goes on to explain that the title shall not be
construed to authorize action with respect to any employment practice
or any employer, employment agency, or labor organization (except
where the primary objective of the Federal financial assistance is to be
provide employment).
Section 13 of the 1972 Amendments to the Federal Water Pollution
Control Act provides that no person in the United States shall on the
ground of sex, be excluded from participation in, be denied the benefits
of, or be subjected to discrimination under the Federal Water Pollution
Control Act, as amended. Employment discrimination on the basis of
sex is prohibited in all such programs or activities.
Section 504 of the Rehabilitation Act of 1973 provides that no otherwise
qualified handicapped individual shall solely by reason of handicap be
excluded from participation in, be denied the benefit of or be subjected
to discrimination under any program or activity receiving Federal finance
assistance. Employment discrimination on the basis of handicap is
prohibited in all such programs or activities.
The Agency Discrimination Act of 1975 provides that no person on the
basis of age shall be excluded from participation under any program or
activity receiving Federal financial assistance. Employment
discrimination is not covered. Age discrimination in employment is
prohibited by the Agency Discrimination in Employment Act
administered by the Equal Employment Opportunity Commission.
Title IX of the Education Amendments of 1972 provides that no person
on the basis of sex shall be excluded from participation in, be denied the
benefit of, or be subjected to discrimination under any education
program or activity receiving Federal financial assistance. Employment
discrimination on the basis of sex is prohibited in all such education
programs or activities. Note: an education program or activity is not
limited to only those conducted by a formal institution.
The information on this form is required to enable the U.S.
Environmental Protection Agency to determine whether applicants and
prospective recipients are developing projects, programs and activities
on a nondiscriminatory basis as required by the above statutes.
Submit this form with the original and required copies of applications,
requests for extensions, requests for increase of funds, etc. Updates
of information are all that are required after the initial application
submission.
If any item is not relevant to the project for which assistance is
requested, write "NA: for "Not Applicable".
In the event applicant is uncertain about how to answer certain
questions, EPA program officials should be contacted for clarification.
Items
1A. "Applicant" means any entity that flies an application or
unsolicited proposal or otherwise requests EPA assistance.
1B. "Recipient" means any entity, other than applicant, which will
actually receive EPA assistance.
1C. Self-explanatory.
II. Self-explanatory.
III. "Civil rights lawsuits" meansany lawsuit or compliant alleging
discrimination on the basis of race, color, national origin, sex,
age or handicap pending against the applicant and/or entity
which actually benefits from the grant. For example, if a city
is the named applicant but the grant will actually benefit the
Department of Sewage, civil rights lawsuits involving both the
city and the Department of Sewage should be listed.
IV. "Civil rights compliance review" means any review assessing
the applicant's and/or recipient's compliance with laws
prohibiting discrimination on the basis of race, color, national
origin, sex, age or handicap. If any part of the review covered
the entity which will actually benefit from the grant, it should
be listed.
V. Self-explanatory.
VI. The word "community refers to the area under the applicant's
and/or recipient's jurisdiction. The "community" might be a
university or laboratory campus, or a community within a
large city. If there is a significant disparity between minority
and nonminority population to receive serve, not otherwise
satisfactorily explained, the Regional office may require a
map which indicates the minority and non-minority population
served by this project, program or activity.
VII. This information is required so that reviewers may determine
if a disparity in the proposed provision of services will exist in
the event the application is approved for funding. Give
population of recipient's jurisdiction, broken out by categories
as specified.
VIII. Self-explanatory.
IX. "Jurisdiction" means the geographical area over which
applicant has the authority to provide service.
X. Self-explanatory.
"Burden Disclosure Statement"
EPA estimates public reporting burden for the preparation of this form to average 30 minutes
per response This estimate includes the time for reviewing instructions, gathering and
maintaining the data needed, and completing and reviewing the form. Send comments
regarding this burden estimate or any other aspect of this collection of information, including
suggestions for reducing the burden, to US Environmental Protection Agency, Chief,
Information Policy Branch (PM-223). 401 M Street S.W., Washington, D.C. 20460; and to
the Paperwork Reduction Project, Office of Information and Regulatory Affairs, Office of
Management and Budget, Washington, D.C. 20503.
EPA FORM 4700-4 (Rev. 1/90) Reverse
68
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PREAWARD COMPLIANCE REVIEW REPORT FOR ALL
APPLICANTS REQUESTING FEDERAL FINANCIAL
ASSISTANCE
If you have any questions regarding this form, please contact the appropriate person for
your region, listed below:
Region 1
Region II
CT
ME
MA
NH
Rl
VT
NJ
NY
PR
V1
Region III DE
DC
MD
PA
VA
WV
Region IV AL
FL
GA
KY
MS
NC
SC
Region IV IL
IN
Ml
MN
OH
Wl
Region VI AR
LA
NM
OK
TX
Region V IA
KS
MO
NE
Region VIII CO
MT
ND
SO
UT
WY
Region IX AZ
CA
HI
NV
AS
GU
Region X AK
ID
OR
WA
EEO Officers
Region I
Region II
Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
James Younger
Dana Williams
Cynthia Burrows
Rafael Santamaria
Robert Thayer
Nellie Roblez
Joe Solis
Bobby Hodges
Rebecca Tudisco
Cecilia Contreras
(617) 565-3427
(212)637-3531
(215)566-5326
(404)562-8312
(312)353-5138
(214)665-6505
(913)551-7203
(303)312-6782
(415)744-1699
(206) 553-2899
69
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RETURN COMPLETED APPLICATION TO:
OFFICIAL MAILING ADDRESS:
U.S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF GRANTS AND DEBARMENT
401 M. STREET, SW(3903R)
ROOM 51288 WASHINGTON, D.C. 20460
COURIER MAILING ADDRESS:
U.S. ENVIRONMENTAL PROTECTION AGENCY
1300 PENNSYLVANIA AVENUE, NW (3903R)
FIFTH FLOOR, ROOM 51288
WASHINGTON, D.C. 20004
70
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REGIONAL REQUIREMENTS
The Regional Offices and certain laboratories located throughout the country are
authorized to make small purchases of supplies, equipment and services not in excess of
$25,000; purchases from the GSA schedules; and construction up to a maximum of
$2,000. Small purchases and other simplified purchases are conducted in accordance with
the FAR Part 13 as supplemented by EPAAR Part 1513. Other Regional Office contracts
are awarded by the Headquarters Contracting Office, the Cincinnati Contracts
Management Division, and Research Triangle Park Contracts Operation. Construction in
excess of $2,000 is acquired by the Cincinnati Contracts Management Division.
EPA SMALL AND DISADVANTAGED BUSINESS UTILIZATION OFFICERS
(MBE/WBE COORDINATORS)
REGION I
U.S. Environmental Protection Agency
John F. Kennedy Federal Building
One Congress Street
Boston, MA 02203
Mr. James Younger
Phone: (617) 918-1069
Ms. Sharon Mo/den
Phone: (617) 918-1062
REGION II
U.S. Environmental Protection Agency
290 Broadway - 27th Floor
New York, NY 10007-1866
Mr. Otto Salamon
Phone: (212) 637-3417
REGION III
U.S. Environmental Protection Agency
1650 Arch Street
Philadelphia, PA 19103-2029
Ms. Romona McQueen
Phone: (215) 814-5155
REGION IV
U.S. Environmental Protection Agency
Atlanta Federal Center
61 Forsyth Street
Atlanta, GA 30303-3104
Ms. Brenda Banks
Phone: (404) 562-8420
Ms. Dorothy Dimsdale
Phone: (404) 562-8398
71
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MBE/WBE COORDINATORS (Cont.)
REGION V Mr. Robert Richardson
U.S. Environmental Protection Agency Phone: (312) 353-5677
77 West Jackson Boulevard (M-14J)
Chicago, IL 60604-3507
jlSfafe: IL IN. Ml. MN. OH. Wl
REGION VI Ms. Debora N. Bradford
U.S. Environmental Protection Agency Phone: (214) 665-7406
First Interstate Bank Tower at Fountain Place
1445 Ross Avenue, 12th Floor, Suite 1200
Dallas, TX 75202-2733
\\State: AR. LA. MM. OK. TX lj
REGION VII Mr. Pradip Dalai
U.S. Environmental Protection Agency Phone: (913) 551-7454
726 Minnesota Avenue
Kansas City, KS 661 01
\\State: IA. KS MO: NE
REGION VIII Mr. Maurice Velasquez
U.S. Environmental Protection Agency Phone: (303) 312-6862
999 18th Street, Suite 500
Denver, CO 80202-2405
\\State: CO MT. ND SD.UT. WY \\
REGION IX Mr. Joe Ochab
U.S. Environmental Protection Agency Phone: (415) 744-1628
75 Hawthorne Street (P-22)
San Francisco, CA 94105
\\State: AZ. CA. HI. NV. AS
REGION X Ms. Marie L. McPeak
U.S. Environmental Protection Agency Phone: (206) 553-2894
1200 Sixth Avenue (MD-140)
Seattle, WA 981 01
|lSfafe;
AK. ID OR. WA
72
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MBE/WBE COORDINATORS (Cont.)
HEADQUARTERS Mr. Lupe Saldana
U.S. Environmental Protection Agency Phone: (202) 564-5353
1300 Pennsylvania Avenue, N.W. (3903R)
Washington, D.C. 20004
CINCINNATI fjir. Norman White
U.S. Environmental Protection Agency Phone: (513) 487-2024
26 West Martin Luther King Drive
Cincinnati, OH 45268
NORTH CAROLINA &Jr. Jerry Dodson
U.S. Environmental Protection Agency Phone: (919) 541-2249
Research Triangle Park, NC 27711
73
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United States Office of Research and Development
Environmental Protection Agency Washington, O.C. 20460
EPA's Small Business Innovation
Research (SBIR) Program
The U.S. Environmental Protection Agency (EPA) is one of 10
federal agencies that participate int eh SBIR Program established by
the Small Business Innovation Development Act of 1982. The
purpose of this Act was to strengthen the role of small businesses in
federally funded R & D and help develop a stronger national base for
technical innovation. A small business is defined as a for profit
organization with no more than 500 employees. In addition, the
small business must be independently owned and operated, not
dominant in the field of operation in which it is proposing, and have
its principal place business located in the United States. Joint
ventures and limited partnerships are eligible for SBIR awards,
provided the entity created qualifies as a small business.
EPA issues annual solicitations for Phase I and Phase II research
proposals from science and technology-based firms. Under Phase
I, the scientific merit and technical feasibility of the proposed concept
is investigated. EPA awards firm-fixed-price Phase I contracts of up
to $70,000 and the period of performance for these contracts is
typically 6 moths. Through this phased approach to SBIR funding,
EPA can determine whether the research idea, often on high-risk
advanced concepts, is technically feasible, whether the firm can do
high-quality research, and whether sufficient progress has been
made to justify a larger Phase II effort. The Phase I report also
serves as a basis for follow-on commitment discussions.
Phase II contracts are limited to small businesses that have
successfully completed their Phase I contracts. The objective of
Phase II is to further develop the concept proven feasible in Phase
I. Competitive awards are based on the results of Phase I and the
scientific and technical merit and commercialization potential of the
Phase II proposal. Under Phase li, EPA can award contracts of up
to $225,000 and the period of performance is typically 1 to 2 years.
The goal of Phase II is to complete the R & D required to
commercialize the technology or product.
The next Phase I solicitation will open in August or September 1998.
For additional information on EPA's SBIR Program, please contact
Dr. Jim Gallup at (202) 564-6823 or Marshall Dick at (202) 564-6828,
or visit the National Center for Environmental Research and Quality
Assurance Website at:
Http://www.epa.gov/ncerqa (Click on small business)
74
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OFFICE OF POLICY
July 1998
MEMORANDUM
SUBJECT: Update on Recent Small Business Activities at the U.S. EPA
Karen V. Brown, Small Business Ombudsman
Office Of Policy (original signed)
FROM:
TO: Persons Interested in Small Business Environmental Issues
We receive thousands of calls from small businesses each year seeking
information and help on environmental regulations. All inquiries and requests can
be handled anonymously regardless of their content.
Our office tries hard to lessen the burden of regulations on small
businesses and make them more understandable as they are being formulated.
However, we are not always successful when dealing with serious, complex
issues. Therefore, if you heed help in interpreting and complying with the
requirements, call us or write me; we can provide you information and help and
point you in the right direction. You can help yourself and the environment by call
our telephone Hotline number, 1-800-368-5888 or writing me, Karen V. Brown,
Small Business Ombudsman, U.S. EPA, 401 M Street, S.W., (2131), Washington,
D.C. 20460.
We look forward to hearing from you, you and you.
75
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Small Business Ombudsman Functions
EPA's Office of the Small Business Ombudsman (OSBO)
performs the following functions:
> Provides a convenient way for small businesses to
access EPA;
> Facilitates communications between the small
business community and EPA;
> Investigates and resolves disputes with EPA; and
> Works with EPA personnel to increase their
understanding of small businesses in development
and enforcement of environmental regulations.
76
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STATE SMALL BUSINESS ASSISTANCE PROGRAMS
Small Business Special Needs:
Congress recognized the particular problems that many small businesses would have in dealing with the 1990
Clean Air Act Amendments complex requirements. A typical small business employs fewer than 50 people and is the
only business operated by the owner. It is the corner dry cleaner, the "mom and pop' bakery, the auto body repair shop
gasoline service station, the machine, tool and dye company, or one of host of other local business establishments'
Many have been in the same family and neighborhood for generations.
Air pollution control regulation may seem very complex to many small businesses. Many may not be able to
afford to hire lawyers or environmental specialists to interpret and comply with all the requirements they may be
responsible for in the new Act. Most may be hard pressed to inform themselves about the most basic requirements and
deadlines of the control programs that will affect them, let alone the more complicated issues they are going to have to
address to control air emissions, such as:
The types of pollutants their company emits that are subject to the Act's requirements;
The methods they can use to estimate emissions for a permit applications;
Types of control technologies that are best and least costly for controlling specific production process
or chemical substance they use to make goods and services; and
Process or substance substitutes they can use to prevent or reduce emissions.
State Lead for Providing Small Business Assistance:
The 1990 Clean Air Act Amendments gives each state government the lead in developing and implementing a
Small Business Technical and Environmental Compliance Assistance Program as part of legally enforceable state
implementation plans.
The Act's Definition of a Small Business:
The Act establishes certain criteria that a company must meet to qualify for assistance as a small business. It
must be a small business as defined in the Small Business Act which generally means that it is an independently owned
and operated concern that is not dominant in its field. The business must be owned by a person who employs 100 or
fewer individuals, and cannot be a major stationary source of either a primary urban (so called "criteria") pollutant or toxic
air pollutant. It cannot, in fact, emit 50 tons or more of a single pollutant a year, or more than 75 tons of all regulated
pollutants. State governments can modify some of these requirements provided that the particular source does not emit
more than 100 tons a year of all regulated pollutants.
Federal Oversight and Support:
EPA will be providing several forms of guidance and assistance to these state assistance programs for the full
duration of the Act.
» Federal Guidelines: EPA published final guidelines for states to draw upon to develop their assistance
programs. The Agency has approved each state compliance and assistance program to ensure that it meets
the Act's requirements.
» Oversight and Monitoring: The EPA Small Business Ombudsman oversees and monitors all state assistance
programs and makes periodic reports to Congress on each state's progress. Among other things, the EPA
Ombudsman determines how well the state programs are working and makes sure the information and
assistance the states provide is understandable to the layman.
> Technical Assistance and Research: EPA shares information and research that it has developed nationally
with each state assistance and compliance program. States are able to receive technical assistance through
several EPA Centers and Hotlines. These Centers and Hotlines provide a broad range of assistance including
information concerning the Clean Air Act requirements, control technology data, pollution prevention methods
and alternatives, emission measurement methods, air pollution monitoring devices, and prevention of accidental
releases of toxic chemicals into the environment.
77
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COMPONENTS OF AN OVERALL STATE ASSISTANCE PROGRAM
By November, 1992, each state was required to develop a plan for implementing a Small Business Stationary Source
Technical and Environmental Compliance Assistance Program. Congress envisioned that these programs would be in place before
small businesses begin to feel the direct effects or deadlines of the Act.
Each state program is required to include three components: (1) appointment of a state small business ombudsman; (2)
establishment of a comprehensive small business assistance program; and, (3) appointment of a seven-member state compliance
advisory panel.
1. State Ombudsman: The first component is the State Ombudsman who acts as the small business
community representative in matters that affect it under the Clean Air Act. Other responsibilities of the
State Ombudsman could be to:
Review and provide comments and recommendations to EPA and state/local air pollution control
authorities regarding the development and implement of regulations that impact small businesses;
Help disseminate information about upcoming air regulations, control requirements, and other pertinent
matters to small businesses;
Refer small businesses to the appropriate specialists in state government and elsewhere for help with
particular needs (e.g., available control technologies and operating permit requirements); and,
Conduct studies to evaluate the effects of the act on state and local economies, and on small businesses
generally.
2. Small Business Assistance Program (SBAP): The second component of the overall state program is the Small
Business Assistance Program which is the technical and administrative support component within the state
government. The SBAP staff has access to air quality experts, technically proficient engineers, scientists and
managers, and environmental specialists who provide support and technical assistance needed by small
businesses to comply with the Act's requirements. Related responsibilities include:
Informing businesses of all requirements in the Clean Air Act that apply to them and the dates these
requirements will apply;
Helping small businesses deal with specific technical, administrative and compliance problems;
Disseminating up-to-date information about the Clean Air Act to the small business community, including
easy to understand public information materials; and,
Referring small businesses to environmental auditors who can evaluate how effective a company's work
practices, monitoring procedures, and record-keeping are for complying with applicable e clean air
requirements.
3. State Compliance Advisory Panel: The third component of the overall state assistance program consists
of a seven-member sfate compliance advisory panel in each state of determining the overall effectiveness of
the sate SBAP. Four of these members must be small business owners or representatives selected by the
state legislature; the governor of each state selects two other members to represent the "general public" The
seventh member is chosen by the head of the state agency responsible for issuing operating permits.
The State compliance advisory panels reviews and renders advisory opinions on the effectiveness of the state SBAP, and
makes periodic progress reports to EPA's Small Business Ombudsman concerning compliance of the small business program with
other pertinent federal regulations. The compliance advisory panels also makes certain that information affecting small business
is written in a style that is clear and understandable.
TYPES OF BUSINESSES SUBJECT TO AIR POLLUTION CONTROLS
This is a general list of the typical kinds of small type businesses affected by one or more of the air pollution control programs under the 1990
Clean Air Act Amendments. All small businesses should consult their sate pollution contort agency for more specific details about the control s that will
be required int heir area.
Agricultural Chemical Applicators Furniture Manufactures Newspapers
Asphalt Manufacturers Furniture Repairs Pest Control Operators
Asphalt Applicators Gasoline Services Stations Photo Finishing Laboratories
Auto Body Shops General Contractors Printing Shops
Bakeries Hospitals Refrigerator/Air Conditioning
Distilleries Laboratories Service and Repair
Dry Cleaners Lawnmower Repair Shops Tax Paving Applicators
Foundries Lumber Mills Textile Mills
Metal Finishers Wood Finishers
78
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JULY 1998 CLEAN AIR ACT
SMALL BUSINESS OMBUDSMEN AND TECHNICAL ASSISTANCE DIRECTORS
tv;4^ fwte - *
AL
AK
AZ
AZ
MARICOPA COUNTY
AR
CA
CA
(SCAQMO)
CO
CT
DE
DC
FL
GA
HI
ID
IL
IA
IN
KS
KY
LA
MA
MD
ME
Ml
MN
MO
MS
^ 3V»J»^P"*^^*^^a^*W -^
Blake Roper
David VMggtemorth
Richard Potto
Robert Graham
James Schooning
LaRondaBowen
Cathy HeaH
Tracy Babbidge
George Petigout
Carol Baker
Etea Bishop
Marvin Lowry
Doug McRoberts
Don Squires
Linda King
Maggie McShane
Janet Neff
Rose Marie VMmoth
(To be appointed)
John Mitchell
Ron Dyer
Dana Cote
Charlie Kennedy
BradKetcher
Jesse Thompson
, ;v wwwe
(334)213-4308
(N) (800) 533-2336
(907) 269-7582
(S) (800) 510-2332
(602) 207-4337
(S) (800) 234-5677/x4337
(501) 682-0708
(916)323-6791
(S) (800) 272-4572
(909) 396-3235
(N) (800) 886-7689
(303) 692-2034
(S) (800) 886-7689
(860) 424-3382
(302)739-6400
(202) 645-6093/X3082
(850)488-0114
(S) (800) 722-7457
(404) 362-2656
(208) 373-0497
(271)785-1625
(515) 242-4761
(S) (BOO) 358-5510
(317) 232-8958
(S) (800) 451-6027
(913) 296-0669
(N) (800) 357-6087
(502) 564-2150/X128
(N) (800) 926-81 11
(504) 922-3252
(S) (800) 256-1488
(410)631-3003
(S) (800) 633-6101/x3003
(207) 287-4152
(S) (800) 789-9802
(517) 335-1847
(612)297-8615
(S) (800) 985-4247
(573) 751-3222
(601)961-5171
(N) (800) 725-61 12
' , --TBBiAttftrfNt >:-";"
James Moore
Scott Lylle
Gregory Workman
Peter Venturini
Natalia Porche
Nick Mefedis
Glen Daraskevteh
Olivia Achuko
TomLeDew
Anita Dorsey-word
Robert Tarn
(VACANT)
MarkEnstrom
John Konefes
Cheri Storms
Frank Orzutak
Gregg Copley
Vic Tompkins
George Frantz
Brian Kavanah
Dave Fiedler
Troy Johnson
Byron Shaw, Jr.
:M$:^ PHONE ;:'e^
(334) 271-7861
(N) (800) 533-2336
(907) 269-7571
(S) (800) 510-2332
(602) 207-4337
(S) (800) 234-5677/X4337
(916)445-0650
(909) 396-3218
(N) (800) 388-2121
(303) 692-3218
(N) (800) 333-7798
(860) 424-3545
(202) 645-6093/X3071
(850) 488-1344
(404) 362-4842
(800) 586-4200
(208) 373-0298
(217) 524-0169
(319) 273-2079
(S) (800) 422-3109
(317) 233-1041
(S) (800) 578-451 -6027
(785) 864-3978
(S) (800) 5784898
(606)257-1311
(N) (800) 562-2327
(504) 765-2453
(S) (800) 259-2890
(617) 727-3260/X631
(207) 287-6188
(S) (800) 789-9802
(517) 373-0607
(N) (800) 662-9278
(612) 296-7767
(N) (800) 662-9278
(573)526-5352
(N) (800) 361^827
79
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JULY 1998 CLEAN AIR ACT
SMALL BUSINESS OMBUDSMEN AND TECHNICAL ASSISTANCE DIRECTORS
STATE
MT
NE
NV
NH
NJ
NM
NY
NC
ND
01
OK
OR
PA
PR
Rl
SC
SD
TN
TX
UT
VT
VA
VI
WA
VW
Wl
WY
OMBUDSMAN
Mark Lambrecht
Dan Eddingerworth
Marcia Mantey
Rudolph Cartier
John Serkies
Robert Horwitz
Doreen Monteteone
Edythe McKinney
Jeff Burgess
Mark Shanahan
Steve Thompson
Paul Bumet
Greg Czamecki
Roger Green
Donna Gultedge
Joe Nadenicek
Ernest Blankenship
Tamra Shae-Oatman
Tamara Wharton
John Daniel
Leighton Pratt
Kenneth Shaw
Hampton Rothwell
Dan Clarkennedy
t ^ ^ PWQWB
(406) 444-3075
(N) (800) 433-8773
(402) 471-3413
(702) 687-4670/X3162
(S) (800) 992-09007x4670
(603) 271-1379
(609) 633-7308
(N) (800) 643-6090
(SOS) 827-9685
(N) (800) 810-7227/X157
(212) 803-2282
(N) (800) 782-8369/X157
(919) 733-0823
(N) (800) 886-7689
(701) 328-5153
(S) (800) 755-1625
(614) 728-3540
(405) 271-8056
(503) 229-5776
(S) (800) 452-4011
(717) 772-0951
(401) 277-2771
(803) 734-5909
(605) 773-3151
(N) (800) 819-9001
(615) 532-0731
(512) 239-1062
(N) (800) 447-2827
(801) 536-4231
(804)698-4311
(S) (800) 592-5482
(360) 407-7018
(304) 558-1213
(S) (800) 982-2474
(608) 267-0313
(307) 777-7388
* - TECH.ASST.CHR. /
Warren Norton
Janet Goodman
Rudolph Cartier
Chuck McCarty
Cecilia Williams
Marian Mudar
Fin Johnson
Tom Bachman
Rick Carteski
AlwinNing
Jill Inahara
Cecily Beall
Francisco Claudio
Pam Annarummo
Rose Stencil
Bryan Gustafson
Linda Sadler
Bridget Pohac
Frances Bernards
Judy Mirro
Richard Rasmussen
Marylyn Stapteton
Fred Durham
Pam Christenson
Charles Raffetson
; ^Z'yl fHONE >(
(406) 444-5281
(N) (800) 433-8773
(702) 687-4670/X3164
(S) (800) 992-0900/X4670
(603) 271-1979
(609) 292-3600
(505) 827-0042
(N) (800) 879-3421
(518) 457-9229
(S) (800) 755-1625
(919) 733-0824
(S) (800) 780-7227
(701) 328-5188
(S) (800) 755-1625
(614) 728-1742
(405) 871-1400
(503) 229-6147
(S) (800) 452-4011
(215) 656-8709
(N) (800) 722-4343
(809) 767-8071
(401) 277-6822/X7204
(S) (800) 253-2674
(803) 734-2765
(605) 773-3351
(615) 532-0779
(N) (BOO) 734-3619
(512) 239-1056
(N) (800) 447-2827
(802) 241-3745
(N) (800) 270-4440
(802) 241-3745
(804)698-4398
(S) (800) 592-5482
(340) 777-4577
(304)558-1217
(S) (800) 982-2474
(608) 267-9214
(N) (800) 435-7287
(307) 777-7347
Note: (S) = State (N) = National
80
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STATE POLLUTION PREVENTION TECHNICAL ASSISTANCE PROGRAMS
Region 1
US EPA Region 1
Kira Jacobs
Phone:(617)565-1155
Fax: (617)656-4939
Connecticut DEP
Mary Sherwin
Phone: (860) 424-3297
Fax: (860) 566-4924
Maine DEP
Ann Pistel
Phone: (207)287-2811
Fax: (207) 287-2814
Massachusetts DEP OTA
Rick Reibstein
Phone:(617)792-3260
Fax: (617) 727-2754
MA STEP Program
Pual Richards
Phone. (617) 727-9800
Fax: (617) 727-2754
Toxics Use Reduction Institute
Janet Clark
Phone: (508) 934-3275
Fax: (508) 934-3050
New Hampshire DES
Stephanie D'Agostino
Phone:(603)271-6398
Rhode Island DEM
Richard Enander
Phone: (401) 277-3434
Fax: (401) 277-2591
Narragansett Bay Commission
James McCaughey
Phone: (401) 277-3434
Fax: (401) 277-2591
Vermont ANR
Gary Gulka
Phone: (802) 241-3629
NEWMOA
Terri Goldberg
Phone:(617)367-8558
Fax: (617)367-0449
Region 2
US EPA Region 2
Evan Stamataky
Phone:(212)637-4003
Fax: (212) 637-3771
New Jersey DEP
Jeanne Herb
Phone: (609) 777-0518
Fax: (609) 292-1816
NJTAP
Laura Battista
Phone: (973) 596-5864
Fax: (973) 596-6367
New York State DEC - P2 Unit
John lanotti
Phone: (518) 457-2553
Fax: (518) 457-2570
New York State EFC
Marian Mudar
Phone:(518)457-9135
Fax: (518) 485-8494
Region 6
US EPA Region 6
Eli Martinez
Phone:(214)665-2119
Fax (214) 665-7446
Puerto Rico Environment
Carlos Gonzales
Phone: (809) 765-7517x381
Fax: (809) 765-6853
Region 3
US EPA Region 3
Jeff Burke
Phone:(215)566-2761
Fax: (215) 566-2782
Delaware DNR
Andrea Kreiner
Phone: (302) 739-3822
Fax: (302) 739-6242
MD Department of Environment
Laura Armstrong
Phone: (410)631-4419
Fax: (410)631-4477
PA Department of Environment
Meredith Hill
Phone:(717)783-0540
Fax: (717)787-8926
PA Technical Assistance
Jack Gido
Phone: (814) 865-0427
Fax: (814) 865-5909
Virginia DEQ
Sharon K Baxter
Phone: (804) 698-4344
Fax: (804) 698-4277
West Virginia DEP-OWR
Leroy Gilbert
Phone: (304) 484-6269
Fax: (304) 558-2780
Region 4
US EPA Region 4
Bernie Hayes
Phone: (404) 562-9430
Fax: (404) 562-9066
Alabama DEM - P2 Unit
Gary Ellis
Phone: (334) 213-4303
Fax: (334) 213-4399
Florida DEP - P2 Program
Julie Abcanan
Phone:(850)921-9227
Fax: (880) 921-8061
Georgia DNR - P2AD
Jancie Hatcher
Phone:(404)651-5120
Fax: (404)651-5130
Kentucky DEP
Vicki Pettus
Phone: (502) 564-6716
Kentucky P2 Center
Donald Douglass
Phone: (502) 852-0965
Fax: (502) 852-0964
Mississippi DEQ
Thomas E. Whitten
Phone:(601)961-5171
North Carolina DEHNR
Gary Hunt
Phone (919) 715-6500
Fax: (919)715-6794
KSU - P2 Institute
Sherry Davis
Phone: (785) 532-6501
Fax: (785) 532-6952
Federal contact on State P2 Programs - Christopher Kent (202) 260-3480 - 7/1/98
This list will be updated and maintained on the EPA P2 Home Page ffi www.epa.gov/p2
South Carolina DHEC
Robert Burgess
Phone (803) 734-4761
Fax: (803) 734-9934
Tennessee DEC
Angle Prtcock
Phone (615) 532-0760
Region 5
US EPA Region 5
Phone: (312) 353-4669
Fax: (312) 353-4788
Illinois EPA
Kenvin Greene
Phone:(217)782-8700
Fax: (217)782-9142
Illlonls Wste Management
Gary Miller
Phone:(217)333-8942
Fax: (217)333-8944
Indiana DEM
Tom Neltner
Phone:(317)232-8172
Fax: (317)233-5627
Indiana Clean Manufacturing Tech & Safe
Materials Institute
Lynn A. Corson
Phone: (765) 463-4749
Fax (765) 463-3795
Michigan DEQ
Marcia Horan
Phone:(517)373-9122
Fax: (517) 335-4729
Minnesota OEA
Stacy Stinson
Phone:(612)215-0296
Fax: (612) 297-8709
Minnesota (MN TAP)
Cindy McComas
Phone:(612)627-4556
Fax: (612) 627-4769
MN Pollution Control Agency
Al Innes
Phone: (612)296-7330
Fax: (612)297-8676
Minnesota Technology Inc.
Kenvin O'Donnell
Phone:(612)672-3446
Fax: (612)497-8475
Ohio EPA
Anthony Sasson
Phone: (614) 644-2810
Fax: (614)728-1245
University of Wisconsin
Tom Sasson
Phone (608) 262-0936
Fax: (608) 262-6250
National Farmstead Program
Liz Nevers
Phone: (608) 265-2774
Fax (608) 265-2775
Wisconsin DNR
Lynn Persson
Phone: (608) 267-3763
Fax: (608) 267-0496
CA Toxic Substance Control
Kathy Barwick
Phone:(916)322-1815
Fax. (916) 327-4494
81
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STATE POLLUTION PREVENTION TECHNICAL ASSISTANCE PROGRAMS
Arkansas IDC
Alford Drinkvrater
Phone: (501) 882-7325
Fax: (501) 882-2703
Louisiana DEQ
Gary Johnson
Phone: (504) 765-0739
Fax: (504) 765-0742
Louisiana TAP
University of New Orleans
Phone: (504) 286-6305
Fax: (504) 286-5586
New Mexico ED
Patricia Gallagher
Phone: (505) 827-0677
Fax: (505) 827-2836
Oklahoma DEQ
Dianne Wilkms
Phone: (405) 271-1400
Fax: (405)271-1317
Texas NRCC
Ken Zarker
Phone:(512)239-3145
Fax: (512)239-3165
Gulf Coast Haz. Subs.Research
Margaret Ayoock
Phone: (409) 880-8897
Fax: (409) 880-1837
TX Manuf. Assistance Center
Conrad Soltero
Phone:(915)747-5930
Fax: (915)747-5437
Lower Colorado River Authority
Charles Urdy
Phone: (512) 473-3200
Fax: (512) 473-4066
Region 7
US EPA Region 7
Marc Matthews
Phone:(913)551-7515
Fax: (913) 551-7065
Iowa DNR
Brian Tormey
Phone:(515)281-8927
Fax: (515)281-8895
Iowa Waste Reduction Center
John L Konefes
Phone: (319) 273-2079
Fax: (319) 273-2926
lowaDED
Linda King
Phone:(515)242-4761
Fax: (515) 242-6338
Missouri DNR-TAP
Becky Shannon
Phone: (573) 526-6627
Fax: (573) 526-5808
Nebraska Business Development Center
Rick Voder
Phone:(402)472-1183
Fax: (402) 472-3363
Nebraska DEQ, Office of P2
Ben Hammerschmidt
Phone: (402) 471-6988
Fax: (402) 471-2909
Region 8
US EPA Region 8
Linda Walters
Phone: (303) 312-6385
Fax: (303) 312-6741
Colorado DHE
Pary Burmap
Phone: (303) 692-3009
Fax: (303) 782-4969
Montana P2 Program
Michael P. Vogel
Phone: (406) 994-3451
Fax: (406) 994-5417
North Dakota Department of Health
Jeffrey L. Burgess
Phone:(701)328-5150
Fax: (701)328-5200
South Dakota DENR
Dennis Clarke
Phone: (605) 773-4216
Fax: (605) 773-4068
Utah DEO
Sonja Wallace
Phone: (801) 536-4474
Fax: (801)536-4401
Wyoming DEQ
Patricia Jordan
Phone: (307) 777-6105
Fax: (307) 777-5973
Region 9
US EPA Region 9
BUI Wilson
Phone: (415) 744-2192
Fax: (415) 744-1796
California EPA
Terri Cronin
8800 Cal Center Drive
Sacramento, CA 95826
Kansas DHE
Janet Neff
Phone: (785) 296-0669
Fax: (785) 296-3266
UCLA P2 Center
Billy Romain
Phone: (310) 206-3906
Fax: (310) 206-3906
Hawaii Department of Hearth
Marlyn Aguilar
Phone: (808) 586-4373
Fax: (808) 586-7509
Nevada SB Development Center
Kevin Dick
Phone: (702) 689-6677
Fax: (702) 889-6689
Region 10
US EPA Region 10
Carolyn Gangmark
Phone: (206) 553-4072
Fax: (206) 553-8338
Alaska DEC
Marianne See
Phone: (907) 269-7586
Fax: (907) 269-7600
Idaho DEQ
Katie Sewell
Phone: (208) 373-0465
Fax: (208) 373-0502
Oregon DEQ
Marianne Fhzgerald
Phone: (503) 229-6457
Fax: (503) 229-5850
Washington DEC
Thomas Eaton
Phone: (360) 407-6086
Fax: (360) 407-5715
Pacific NW P2 Resource Center
Madeline Sten
Phone:(206)223-1151
Fax: (206)223-1165
Washington State University
Carol Reisenberg
Phone:(509)335-1576
Fax: (509) 335-0949
Arizona DEQ
Sandra Eberhardt
Phone: (602) 207-4210
Fax: (602) 207-2602
California Energy Commission
David Jones
Phone: (916) 654-4554
Federal contact on State P2 Programs - Christopher Kent (202) 260-3480 - 7(1/98
This list will be updated and maintained on the EPA P2 Home Page @ www.epa.gov/p2
82
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Toll Free
(800) 368-5888
WHERE TO CALL FOR MORE INFORMATION AND HELP
SMALL BUSINESS OMBUDSMAN
Local and DC Area T.D.D.
(202) 260-1211 (202) 260-1258
lnternet-http://www.epa.gov/sbo/
Fax
(202) 401-2302
OTHER EPA HOTLINES
« CenterforEnv. Research Information (513) 569-7562
National Center for Environmental (800)490-9198
Publications and Information
Indoor Air Quality Info. Clearinghouse (800)438-4318
EPA Energy Star. (888)782-7937
Clean Air Tech. Center (919)541-0800
Mobile Sources (Emissions) (734)214-4333
Emission Measurement Center (919)541-0200
Stratospheric Ozone Information (800)296-1996
Acid Rain (emiss. training, auctions, info.)...(202) 564-9620
Safe Drinking Water (public water (800)426-4791
supply, technical and regulatory issues)
Waste Water/Small Flows (800)426-8301
Clearinghouse (WV Univ.)
Watershed Info. Resource System (800)726-5253
Water Resource Center (202)260-7786
Wetlands Information (800)832-7828
Pollution Prevention Info. Clearinghouse (202) 260-1023
National Solid and Hazardous Waste (800)262-7937
Ombudsman
Solid and Hazardous Waste (RCRA) (800)424-9361
Superfund (CERCLA), and (703)412-9810
Underground Storage Tanks (LIST)
Emergency Planning & Community (800)535-0202
Right to Know Title III (EPCRA)
Toxic Substances Control Act (202)554-1404
(TSCA) & Asbestos Information
Officeof Pesticide Program (703)305-5446
Registration Div. (Ombudsman)
Antimicrobial Ombudsman (703)308-6214
Bio-Pesticide Staff Assist
National Pesticide Tetecomm. Network (800)858-7378
EPA Waste Wife/Waste Reduction (800)372-9473
Brownsfiekte (888)795-4684
Officeof Environmental Justice (800)962-6415
Office Pollution Prevention Toxics (202)260-2983
(OPPT) Small Business Liaison
Region
Chemical Emergency Preparedness (202)260-7952
and Prevention Office CEPPO Small Business Liaison
National Center for Environmental (800)490-9194
Research for Small Business innovation Research
(SBIR) Information Center Enter 3 after the prompt)
OTHER HOTLINES OR OTHER HELP LINES
Recycling Hotline (800)253-2687
National Technical Information (800)553-6847
Service (NTIS) (703)605-6000
National Response Center/US Coast (800)424-8802
for reporting oil spills and hazardous
substance releases (202)267-2675
Department of Energy (DOE)-National (800)423-1363
Alternative Fuels Hotline
Energy-efficiency & Renewable Energy (800) 363-3732
Clearinghouse (Operated by the DOE) for inquiries
on energy related matters)
DOT-TransportationofHaz. Mater (800)467-4922
CHEMTRECCenterforNON- (800)262-8200
Emergency Services (operated by the Chemical
Manufacturers Association-Health & Safety)
Electric Magnetic Fields Information (800)363-2383
(800)643-4794
Centerfor Energy SEnv.Mgmt (703)250-5900
Courses on ISO 9000/14000
National Lead Information Center (800)424-5323
(General Information) (800)532-3394
Small BusinessAdministration (800)827-5722
Occupational Safety & Health Admin (800)321-6742
(OSHA) (Worker Safety Referral Svcs.)
American Lung Association (800)586-4822
(Connects to local State Chapter)
Consumer Product Safety Comm (800)638-2772
Radon (Nat'l. Safety Council) (800)767-7236
INFOTERRA/USA(EPAEFC.) (202)2605917
Government Printing Office (202)512-1800
m REGIONAL SMALL BUSINESS UAISONS
i
ii
in
IV
V
VI
VII
VIII
IX
X
CT, ME, MA, NH, Rl, VT
NJ, NY, PR, VI
DE, DC, MD, PA, VA, WV
AL, FL, GA, KY, MS, NC, SC, TN
IL, IN, Ml, MN, OH, Wl
AR, LA, NM, OK, TX
IA, KS, MO, NE
CO, MT, ND, SD, UT, WY
AZ, CA, HI, NV, AS, GU
AK, ID, OR, WA
EPA SMALL BUSINESS OMBUDSMAN
DwightPeavey (617)565-3230
OttoSalamon (212)637-3417
DavidBiro (800) 228-8711/(215) 566-5563
Annette Hill (404)562-8287
GlynisZywicki (312)886-4571
Patty Senna (800)887-6063/(214)665-7178
Charles Henstey (913)551-7519
RobLaidlaw (303)312-7064
Frederick Leif (415)744-1017
Lauri Hennessey (206)553-1138
July 1998
83
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OFFICE OF SMALL AND DISADVANTAGEO BUSINESS UTILIZATION (OSDBU) DIRECTORS
FROM
MAJOR FEDERAL EXECUTIVE PROCUREMENT AGENCIES
The OSDBUs offer small business information on procurement opportunities, guidance on procurement procedures and
identification on both prime and subcontracting opportunities.
AGRICULTURE DEPARTMENT
14th & Independence Ave., SW
1323 South Building
Washington, D.C. 20250-9400
Director: Ms. Sharron Harris
Phone:(202)720-7117
FAX: (202) 720-3001
AIR FORCE DEPARTMENT
The Pentagon, #5E271
Washington, D.C. 20330-1060
Director: Mr. Anthony DeLuca
Phone:(703)697-1950
FAX: (703) 614-9266
ARMY DEPARTMENT
The Pentagon, #2A712
Washington, D.C. 20310-0106
Director: Ms. Tracey Pinson
Phone: (703) 697-7753/2868
FAX: (703) 693-3898
COMMERCE DEPARTMENT
14th&ConstitutionAve., NW,#H6411
Washington, D.C. 20230
Director: Mr. Michael Keane
Phone:(202)482-1472
FAX: (202) 482-0501
DEFENSE DEPARTMENT
The Pentagon, #2A340
Washington, D.C. 20301-3061
Director: Mr. Robert Neal, Jr.
Phone:(703)614-1151
FAX: (703) 693-7014
DEFENSE LOGISTICS AGENCY
8725 John J. Kingman Road
ATTN: DDAS Suite 2533
Ft. Behroir, VA 22060-6221
Director: Mr. Lloyd Alderman
Phone: (703) 767-1650
FAX: (703) 767-1670
EDUCA TION DEPARTMENT
600 Independence Ave., SW
#3120 (FOB #3)
Washington, D.C. 20202-0521
Director: Ms. Viola Sanchez
Phone: (202) 708-9820
FAX: (202) 401-6477
ENERGY DEPARTMENT
1000Independence Ave., SW, # R45-058
Washington, D.C. 20585
Director: Ms. Cortis Moody
Phone: (202) 586-7377
FAX: (202) 586-5488
ENVIRONMENTAL PROTECTION AGENCY
401 M Street, SW, (1230C)
Washington, D.C. 20460
Director: Ms. Jeanette L. Brown
Phone:(703)305-7777
FAX: (703) 305-6606
GENERAL SERVICES ADMINISTRATION
18th &F Street, NW, #517D
Washington, D.C. 20405
Director: Ms. Dietra Ford
Phone:(202)501-1021
FAX: (202) 208-5938
HEALTH A HUMAN SERVICES
200 Independence Ave., SW, #517D
Washington, D.C. 20201
Director: Mr. Vert Zanders
Phone: (202) 690-7300
FAX: (202) 690-8772
HOUSING & URBAN DEVELOPMENT
451 7th Street, SW, #3130
Washington, D.C. 20410
Director: Mr. Casmir Bonkuwski
Phone:(202)708-1428
FAX: (202) 708-7642
INTERIOR DEPARTMENT
1849 C Street, NW, #2727
Washington, D.C. 20240
Director: Mr. Ralph Rausch
Phone: (202) 208-3493
FAX: (202) 208-5048
JUSTICE DEPARTMENT
1331 Pennsylvania Ave., NW, #1010
National Place (The Shops)
Washington, D.C. 20530
Director: Mr. Ken Bryan
Phone:(202)616-0521
FAX: (202) 616-1717
LABOR DEPARTMENT
200 Constitution Ave., NW, # C2318
Washington, D.C. 20210
Director: Ms. June Robinson "
Phone:(202)219-9148
FAX: (202) 219-9167
NATIONAL AERONAUTICS A
SPACE ADMINISTRA TION
300 E Street, SW, (K), #9K70
Washington, D.C. 20546
Director: Mr. Ralph Thomas, III
Phone: (202) 358-2088
FAX: (202) 358-3261
NAVY DEPARTMENT
2211 Jefferson Davis Highway
Crystal Plaza Building 5, #120
Arlington, VA 22244-5102
Director: Mr. Don Hathaway
Phone: (703) 602-2700
FAX: (703) 602-2477
STA TE DEPARTMENT
1700 North Lynn St, (SA-6), #633
Rosslyn, VA 22209
Director: Mr. Durie White
Phone: (703) 875-6824
FAX: (703) 875-6825
TRANSPORTATION
DEPARTMENT
400 7th Street, SW, #9414
Washington, D.C. 20590
Director: Ms. Luz Hopewell
Phone: (202) 366-1930
FAX: (202) 366-7228
TREASURY DEPARTMENT
1500 Pennsylvania Ave., NW,
#6100 Annex
Washington, D.C. 20220
Director: Mr. T.J. Garcia
Phone: (202) 622-0530
FAX: (202) 622-4963
VETERANS AFFAIRS
DEPARTMENT
801 I Street, NW
OSDBU005SB,#1213
Washington, D.C. 20420
Director: Mr. Scott Denniston
Phone:(202)565-8124
FAX: (202) 565-8156
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