EPA Publication Number 202K09001
EPA Contract Number EP-W-08-042
Learner Manual - Module 1
How It All Starts: The Grant Application Process
TRIBAL, U.S. TERRITORIES AND
INSULAR AREAS ADMINISTRATIVE
AND FINANCIAL GUIDANCE
MANUAL FOR ASSISTANCE
AGREEMENTS
"A Nation is a stable, historically developed community of people
who share territory, economic life, distinctive culture, and language.
Office of Environmental Justice, U.S. EPA
U.S. Environmental Protection Agency
Updated August 2013
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Module 1: How It All Starts: The Grant Application Process
This manual was originally developed by the U.S.
Environmental Protection Agency for Tribal Nations,
but content also pertains to U.S. Territories and Insular
Areas. Exception: U.S. Territories and Insular Areas are
treated as states under Part 31 (and also under Part 35,
Subpart A for PPGs, unlike Tribes that are covered
under Subpart B).
Contents
MODULE 1: HOW IT ALL STARTS: THE GRANT APPLICATION PROCESS 3
THE GRANTS MANAGEMENT PROCESS 3
The Manual 3
EPA COOPERATIVE ASSISTANCE AGREEMENTS 4
THE GRANTS APPLICATION PROCESS 9
THE APPLICATION PACKAGE 10
Competitive Grants 10
THE APPLICATION REVIEW AND APPROVAL PROCESS 38
THE TRIBAL NATION AND EPA ROLES 39
ATTACHMENT TO MODULE! 42
Answers to Quizdom Actionpoint Questions 42
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated August 2013
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Module 1: How It All Starts: The Grant Application Process
Module 1: How It All Starts: The Grant Application Process
Tribal, U.S. Territories and
Insular Areas Administrative and
Financial Guidance for
Assistance Agreements
Muduk' i:
[low [I All Starts:
The* Grant Application Process
Terms
Assistance Agreement
Award
Cooperative Agreement
ป:
The Grant Application Process
_ile & Financial System
Requi:
Module Accounting Pdi
and Procedure
Module S: Sourc
ani Purchasing
The Grants Management Process
There are four essential components to the
management of Environmental Protection Agency
(EPA) assistance agreement awards:
Startup - the application and review
process
Management Systems - administrative
and financial system requirements
Financial Systems - accounting policies
and procedures
Closeout - Disadvantaged Business
Enterprise (DBE), monitoring and
closeout requirements
The Manual
The manual contains ten modules explaining how
each process works. It describes Environmental
Protection Agency (EPA) and Tribal Nation roles
and responsibilities.
In this manual, the terms assistance agreement,
cooperative agreement, award, and grant are
used interchangeably meaning federal funds
provided to a Tribal Nation for an agreed upon
purpose.
"Grants" is a universal term for both grant and
cooperative agreement whether the term refers to a
"grant recipient" or "grant award".
Learner Notes
Examples of policies and quotes from
regulations are provided to help learners
develop their own policies. Also note that
examples are fictional; any similarity to
existing entities is purely coincidental.
Eighty percent (80%) of knowledge is knowing
where to find the information.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated August 2013
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Module 1: How It All Starts: The Grant Application Process
EPA Cooperative Assistance
Agreements and Grants
EPA Authorized and Funded to Award Grant
EPA Cooperative Assistance
Agreements
What kinds of grants are available?
EPA offers two types of grants:
1. Non-competitive
2. Competitive
Non-Competitive
Applicants Select Opportunity
Applir.nt. Apply
from EPA headquarters to regional offices and do
not require formal requests for proposals (RFPs).
For more information on non-competitive grants
visit the American Indian Environmental Office
(AIEO) website at
http://www.epa.gov/tribalportal/grantsandfunding/gap.ht
m. For more information on State and Tribal Grants
(STAG) visit
http://www.epa.gov/compliance/state/grants/index.html.
Competitive
Applicants Select Opportunity
Competitive
There are many competitive grants also available to
Tribal Nations. EPA encourages Tribal Nations to
take advantage of more funding opportunities
beyond the familiar non-competitive program
options. This Manual and training program are
designed to help Tribal Nations locate, apply for
competitive grants, and manage all types of
grants.
Non-competitive
Most Tribal Nations are familiar with non-
competitive grants, such as Indian General
Assistance Program (GAP or IGAP) grants to
federally-recognized Tribes and Tribal Consortia
for planning, developing, and establishing
environmental protection programs in Indian
country, as well as for developing and
implementing solid and hazardous waste programs
on Tribal lands. Other common non-competitive
grants are the Multimedia State and Tribal
Assistance Grants offered through the State and
Tribal Grants (STAG) program. These grants help
Tribal Nations build capacity to carry out
compliance assurance activities.
Discussion
How do you get funding?
Have you ever applied for and
received a competitive grant?
Non-competitive grants may constitute as much as
90 percent of a Tribal Nation's budget. Funds flow
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated August 2013
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Module 1: How It All Starts: The Grant Application Process
The Birth of an Idea
For the U.S. Environmental Protection Agency
(EPA) to announce an assistance agreement
iippi'iliiiiilv, KI'A iiiusL:
c Be authorized by law to enter into an agreement to
accomplish;! task or objective.
c 1 lave funds available lo pay for the desired
environmental improvements established in the
law.
How does EPA determine which grants to offer?
In order for the U.S. Environmental Protection
Agency (EPA) to announce an assistance agreement
(i.e., grant) opportunity, it must first:
Be authorized by law to enter into an
agreement to accomplish a task or objective.
Have funds available to pay for the desired
environmental improvements established in
the law.
EPA develops programs to achieve specific
environmental goals. Those programs are funded
by the United States federal government. Specific
funding opportunities are offered to government,
education, public housing, non-profit, and for-
profit organizations as well as small businesses and
individuals. Native American Tribal Governments
and Intertribal Consortia are eligible as government
organizations for many assistance awards. This
manual provides guidance for Tribes eligible for
assistance awards as Federally Recognized Tribal
governments or as eligible Intertribal Consortia. In
some cases, Tribal organizations may be eligible
for assistance awards as non-profit organizations.
EPA provides funding opportunities for limited
periods of time to achieve specific purposes. An
applicant's project must address tasks or objectives
essential to the achievement of an established EPA
goal, like General Assistance Grants (GAP or
IGAP awards).
EPA Funding Announcements
Catalog of Federal
Piimestic Assisl
How does EPA promote competitive assistance
award programs?
After Congress authorizes and appropriates funds
for an assistance agreement program, EPA
Headquarters initiates the program's application
process by listing:
Programs in the Catalog of Federal
Domestic Assistance
Funding opportunity announcements at
Grants.gov
EPA regional program offices receive guidance
information from EPA national headquarters.
Some regional offices mail the funding
announcement to notify potential applicants. The
EPA program office coordinates any mailing of
funding announcements with the EPA Grants
Management Official. These procedures may vary
somewhat by region.
The funding announcement includes specific
instructions on:
Funding availability
Completing work plans and budgets
EPA program partners and contact
information
The deadline for submitting the assistance
agreement application
A good practice is to check the regional website,
check with regional office personnel for updates,
and be vigilant about checking Grants.gov. This
website makes it easy to find competitive grant
opportunities, many of which you may not have
considered before.
A Tribal Nation should regularly check out opportunities at Grants.gov.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated August 2013
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Module 1: How It All Starts: The Grant Application Process
How do we find a grant program that funds our
type of project?
The Catalog of Federal Domestic Assistance
(CFDA) is a government-wide collection of federal
programs, projects, services, and activities that
provide financial assistance or benefits to the
American public. The catalog contains information
about financial and nonfmancial assistance
programs administered by all federal agencies, not
just EPA.
The primary purpose of the catalog is to assist
potential applicants in identifying programs, which
meet specific objectives and list the criteria
required to obtain a grant. You may download a
copy of The Catalog of Federal Domestic
Assistance at https://cfda.svmplicitv.com/.
CFDA Program Descriptions
EPA funding program listings start \\ith number 66.
What kind of information is listed in the CFDA?
The catalog is organized by government agency,
and the EPA's catalog listings start with number
66.
When you have located a potential assistance
program for which you would like to receive more
information, locate the assistance program with
that CFDA number for a full description.
CFDA listings provide information on:
Objectives
Types of assistance
Uses and restrictions
Applicant eligibility
Beneficiary eligibility
Credentials/documentation
Pre-application coordination
Examples of funded projects
Eligibility
Federally recognized Tribal Nations are eligible
for many competitive grants.
Non-federiilly remgnized Trihiil Nut inns are also
eligible for some competitive grants.
Read the applicant eligibility paragraph
very closely.
Only apply to programs for which the Tribal
Nation is eligible.
How do we know if we are eligible for a
program?
Tribal Nations are eligible for many grant
programs. View a list of EPA programs for Tribes
at
http://www.epa.gov/tribalportal/grantsandfunding/topics.
htm.
Both CFDA listings and Grants.gov
announcements contain applicant eligibility
paragraphs explaining who is eligible to apply for
funding under a specific grant program. Tribal
Nations are eligible to apply for some funding
opportunities that are not specifically established
for Tribes. Some of the funding programs may be
restricted to non-profits, hospitals, or institutions of
higher education.
For example, there is a lot of research
money available, but generally universities
are the only applicants eligible. If you have
a research project in mind, EPA suggests
you partner with a university.
A Tribal Nation must read the applicant eligibility
paragraph very closely so that they only apply to
programs for which they are eligible.
Non-federally recognized Tribal nations
are eligible for some grants.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
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Module 1: How It All Starts: The Grant Application Process
Grants.gov
,:
How do we find a specific funding opportunity?
The Internet web site, Grants.gov lists most federal
grant opportunities. The "Advanced Search"
feature allows you to search by eligibility category.
Download an application at Grants.gov in response
to a funding opportunity announcement, complete
the form, gather the application materials, and mail
or email the application package to EPA. Track
your application through the review process on
Grants.gov.
Grants.gov is a website that helps grant applicants
to:
Find grant opportunities
Apply for grants
Track the application through processing
Receive answers to their questions
The funding announcement should contain an
overview, which includes the CFDA number and
other basic information. Eligible applicants need to
follow directions very carefully, as each funding
opportunity is unique. A responsible person,
designated or approved by a Tribal Nation's
governing body, needs to follow the instructions
included in the funding announcement. The
applicant must submit all required documents
within the time frames specified in the Grants.gov
listing. Any questions that arise can be answered
by the EPA contact person listed in the funding
announcement.
Learner Notes
Take a little time to visit http://grants.gov
and do Activity l.a. Activities are located
online at www.petetribal.org. These
exercises will help you to understand what
is presented and find key information later
when it is needed most.
l a final a
Types of Competitive Grants
RFA Request for the Full Application
n No Juuil application is m-cdtxl after st-leeliousmt' mwle.
RFP Request for Proposals
3 RFPsii>(|inrH':ปn initial appik&fton p
= Aflerthe i)|>|>|irniit K praposaliB r^k-
is completed.
RMP Request For Initial Proposals
0 An inilijil !H\ป|ป"*ul b suliniillr'l mid srK-rlrd.
ฐ A linjil pi'i>|Hpsnl is Niiltmillrrl for ji xcroml si'livlion |H'o
Theaetected applicant imiststilnnitu finnlapplicfiUon.
There are three different types of competitive
grants:
1. RFA is a request for the full application.
No final application is needed after
selections are made.
RFP is a request for proposals. RFPs require
an initial application proposal. After the
applicant's proposal is selected a final
application is completed.
RFIP is a request for initial proposals. An
initial proposal is requested, selected
applicants are invited to submit a final
proposal. Final proposals undergo a
second selection process, and the selected
applicant must submit a final application.
CFDA is where you can find out about
general assistance programs.
Grants.gov is where you find out about
specific funding opportunities.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated August 2013
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Module 1: How It All Starts: The Grant Application Process
Select a Grant Opportunity
Accepting an EPA grant legally binds the
recipient to:
I Ise funds in the manner proposed.
' Achieve the objectives listed in the proposal, and
r Comply \viih federal regulations and award "terms
and conditions",
r To the best of their ability uilhin the specified
time period.
Which is the most reliable method for
locating available funding opportunities?
A. Catalog of Federal Domestic Assistance
B. Website "Grants ,gov"
C. Funding announcement received by mail
D. Contacting EPA headquarters or a regional
office
E. All of the above are correct.
.
Reflection
Consider your own situation.
How does your Tribal Nation learn
about available award programs?
Online at CFDA
Online at Grants.gov
Mailed funding announcement
Emailed funding announcement
What are the benefits and
drawbacks to each method?
Which method do you prefer and
why?
How does your Tribal Nation
determine which funding
opportunity to apply for?
Learner Notes
Use the Qwizdom system to answer a
question whenever you see the checkmark
symbol.
How do we know if the Tribal Nation is
eligible to apply?
A. As long as you don't use the money to lobby
government, you are eligible.
B. Check the applicant eligibility paragraph.
C. EPA \\ill contact you if you are not eligible for
an award.
D. Tribal Nations are considered eligible as
nonprofit organizations.
E. All of the above are correct.
The Grants Application Process
< List major costs
!IK|LI>I-|
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Module 1: How It All Starts: The Grant Application Process
The Grants Application Process
How do we get an application kit?
Grants.gov funding announcements are how the
public learns about federal assistance opportunities.
An application kit includes all of the blank forms
an applicant might need to fill out when applying
for a grant.
Some EPA Regional Offices may mail
announcements directly to Tribal Nations. These
mailings come to the Nation as "requests for
proposals and applications" accompanied by
guidance on what is to be included in the
application package. Complete a request form, mail
it to your EPA regional office, and they will mail
you an application kit.
The grant application process and necessary forms
are explained online at
http://www.epa.gov/ogd/forms/forms.htm. Application
kits are available from your EPA regional office or
online at http://www.epa.gov/ogd/AppKit/index.htm.
Sample forms are provided in the Appendix to this
manual.
You will need Internet access to work
effectively with EPA.
Four-fold Process
1. Select an assistance agreement.
2. Oimplele I he required forms.
;{. Write narrative statements that explain the
purpose to which you propose to put the
requested funds.
4. Create a detailed itemized budget for the
proposed project, if required.
How does the grant application process work?
The grant application process requires an applicant
to file official forms. EPA regional offices may
require additional forms. To be considered, a Tribal
Nation must meet the same requirements as any
other applicant. Applications are reviewed
according to the criteria specified in the Grants.gov
funding announcement.
The application process is four-fold:
1. Select an assistance agreement.
2. Complete the required forms.
4.
Write narrative statements that explain the
purpose to which you propose to put the
requested funds.
Create a detailed itemized budget for the
proposed project, if required.
The figure below lists the four components of the
application process and the documentation most
often requested. If applying for a competitive grant,
the SF 424 and narrative work plan may be all that
are required for the competitive process with other
forms requested after you are selected.
The funding opportunity you select may or
may not require these forms.
Read the announcement carefully.
Responsibilities Timeline: Application
What is our role in the application process?
Applying for and administering assistance
agreements requires a Tribal Nation to have
policies and procedures in place to control the
grants application and management processes from
the time of the initial response, to EPA's program
announcement, through the final closeout of an
assistance agreement award. EPA does not
consider applications that arrive after the deadline
listed in the funding announcement.
When applying for awards, written grants
management policies and procedures ensure
compliance with:
Tribal Nation laws or administrative
requirements
Federal laws, regulations, or cost
principles
EPA program objectives
Grant application requirements
"Terms and conditions" after the award is
made
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
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Module 1: How It All Starts: The Grant Application Process
The information presented in this manual includes
policies and procedures Tribal Nations need to
have in place to fully comply with financial and
administrative requirements when applying for
and/or accepting federal funds on any EPA
agreement. (Examples and explanations of policies
and procedures are provided throughout this
Manual and in the Appendix)
Don't let this happen to you.
The Application Package
What goes into an application package for
review?
The application package includes all of the
completed forms that the applicant sends to EPA
when applying for a grant. In order for a Tribal
Nation to receive assistance funds, they must go
through the application process.
Submit application materials on time1.
Submission of Applications
Competitive grants may require submission of
D Two separate application packages for
" Two separate review processes
i. Competitive proposal application and
2. Final application package
Look in the Funding Announcement for a list of
the required components.
What is the most important requirement of EPA's
competitive grant application process?
A. Define the "terms and conditions" of the award.
B. File financial reports.
C. Sign and date official forms.
D. Submit application materials on time.
R. All of the above are corred.
The Grants Application Process
Competitive Grants
You may have to submit two separate application
packages for two separate review processes
(competitive proposal application and final
application package). Competitive grants may
require submission of an initial and a final
application package. Look in the Request for
Proposal (RFP) for a list of the required
components.
Section IV contains proposal format and
content information.
Section V describes the criteria your
application will be evaluated against during
the competitive review process.
The application/proposal review is
conducted (in most cases) by a review panel.
o If selected:
The package will be sent to a
Project Officer and Grants
Specialist for review before the
award is offered.
OR
You may be asked to submit the
final application package to the
Project Officer and/or Grants
Specialist for further review.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
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Module 1: How It All Starts: The Grant Application Process
EPA Headquarters and Regional Offices may
require additional items be included in the
application package. Additional requests are
necessary to accommodate variations in programs
and unique regional situations.
Tribal Nations must fill out the application
prepared by their EPA regional office.
The Application Package:
Typically Required Forms
'Standard Form 424
'Standard Form 424A or C (budget)
^Standard Form 424!! or I") (assurances)
^ K! 'A Ki irm 471 x 1-4
^ Narrative statement or work plan vp.*
^Detailed itemized budget
Which forms will we need?
Each application package contains standard forms
and certificates to be filled out. Forms and
materials required to apply vary from
announcement to announcement, so you should
check the funding announcement for specific
requirements.
Typical items that may be required in an
application for an EPA assistance agreement award
include:
Standard Form (SF) 424
Dun & Bradstreet, Data Universal
Numbering System (DUNS) number
Standard Form (SF) 424A or C (Budget)
Standard Form (SF) 424B or D (Assurances)
EPA Form 4700-4: Pre -award Compliance
Review Report
Narrative statement or work plan
Detailed itemized budget
Other forms may be required by the EPA
regional office, if applicable:
Environmental Impact Statement (EIS) or
Environmental Assess (EA)
Quality assurance narrative statement,
Biographical sketch of key personnel,
optional but recommended
Anti-Lobbying Form, if more than
$100,000 in federal funds are
awarded, required by some regional
offices (no longer required by federal
law)
Components of the work plan will vary
from program to program.
Copy of the negotiated indirect cost rate
agreement (if the Tribal Nation is
using an indirect cost rate)
Key contacts list, optional but highly
recommended
The above components are described in greater
detail in the sections that follow. Application
package examples are provided in the Appendix.
Standard Form 424
Standard Form (SF) 424 is the "face page" of the
EPA Application for Federal Assistance.
Page;}, Section 21 must contain the original
signature of the Tribal Nation's authorized
certifying official.
c Trihal official authorized to enter into legally
binding contracts
SF 424 (continued)
Section 21 must he signed by the Authorized Certifying Official.
What purpose does Standard Form 424 serve?
Standard Form (SF) 424 is the "face page"
(summary) of the EPA application for federal
assistance. SF 424 is a six page document. Page
three (3) must contain the original signature of the
Tribal Nation's authorized certifying official (that
is the Tribal Nation's designated official authorized
to enter into legally binding contracts). Fill in each
section carefully. If a section does not apply to
your project, write NA in the space provided.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
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Module 1: How It All Starts: The Grant Application Process
OMB Number: 4040-0004
Expiration Date: 03/31/3012
Application for Federal Assistance SF-424
* 1. Type of Submission:
r_ Preapplication
|~~ Application
|~ Changed/Corrected Application
* 2. Type of Application:
T New
f~ Continuation
^ Revision
* If Revision, select apprcpria
* Other (Specify)
' 3. Date Received:
4. Applicant Identifier
Sa. Federal Entity Identifier
" 51>- Federal Award Identifier:
State Use Only:
6. Date Received by State:
7. State Application Identifier
8. APPLICANT INFORMATION:
' a. Legal Name:
* b. Employer/Taxpayer tdentrfication Number (BIN/TIN):
' c. Organizational DUNS
d. Address:
"Street!:
Street2:
City:
County:
' State:
Province:
* Country:
' Zip / Postal Code:
e. Organizational Unit:
Department Name:
Div 5 on Nsne:
f. Name and contact information of person to be contacted on matters involving this application:
Title:
Organizational Affiliation:
* Telephone Number:
Figure 1: SF 424 page 1
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Module 1: How It All Starts: The Grant Application Process
Application for Federal Assistance SF-424
9. Type of Applicant 1: Select Applicant Type:
Type of Applicant 2: Select Applicant Type:
Type of Applicant 3: Select Applicant Type:
1 Other (specify):
10. Name of Federal Agency:
11. Catalog of Federal Domestic Assistance Number:
12. Funding Opportunity Number:
Tite:
13, Competition Identification Number:
14. Areas Affected by Project (Cities. Counties, States, etc.):
115. Descriptive Title of Applicant's Project:
Attach supporting documents as specified in agency instructions.
Figure 2: SF 424 page 2
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Module 1: How It All Starts: The Grant Application Process
Application for Federal Assistance SF-424
16. Congressional Districts Of:
* a. Applicant * b. Program/Project
Attach an additional list of Program/Project Congressional Districts if needed.
17, Proposed Project:
* a. Start Date: b. End Date:
18. Estimated Funding ($):
* a. Federal
* b. Applicant
c. State
* d. Local
* e. Other
* f. Program Income
g. TOTAL
* 19. Is Application Subject to Review By State Under Executive Order 12372 Process?
n a- This application was made available to the State under the Executive Order 12372 Process for review on
I b. Program is subject to E.0. 12372 but has not been selected by trie State for review.
f" c. Program is not covered by E.O. 12372.
* 20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.) Applicant Federal Debt Delinquency Explanation
|P Yes r No
21. 'By signing this application, I certify (1) to the statements contained in the list of certifications" and (2) that the statements
herein are true, complete and accurate to the best of my knowledge, I also provide the required assurances" and agree to
comply with any resulting tenns if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may
subject me to criminal, civil, or administrative penalties. (U.S. Code, Title 218. Section 1001)
Q ** I AGREE
** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or agency
specific instructions.
Authorized Representative:
Prefix: * First Name:
Middle Name:
* Last Name:
Suffix:
Title:
* Telephone Number Fax Number:
* Email:
* Signature of Authorized Representative: * Date Signed:
Figures: SF 424 page 3
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Module 1: How It All Starts: The Grant Application Process
Application for Federal Assistance SF-424
' Applicant Federal Debt Delinquency Explanation
The following field should contain an explanation if the Applicant organization is delinquent on any Federal Debt. Maximum number of
characters that can be entered is 4,000. Try and avoid extra spaces and carriage returns to maximize the availability of space.
Figure 4: SF 424 page 4
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Module 1: How It All Starts: The Grant Application Process
Item:
Entry:
Type of Submission: (Required): Select one type of submission in accordance with agency
instructions.
* Pre-application
Application
Changed/Corrected Application - If requested by the agency, check if this submission
is to change or correct a previously submitted application. Unless requested by the
agency, applicants may not use this to submit changes after the closing date.
Type of Application: (Required) Select one type of application in accordance with agency
instructions.
New-An application that is being submitted to an agency for the first time.
Continuation -An extension for an additional funding/budget period for a project
with a projected completion date. This can include renewals.
Revision -Any change in the Federal Government's financial obligation or
contingent liability from an existing obligation. If a revision, enter the appropriate
letter(s). More than one may be selected. If "Other" is selected, please specify in
text box provided.
A. Increase Award
B. Decrease Award
C. Increase Duration
D. Decrease Duration
E. Other (specify)
3.
Date Received: Leave this field blank. This date will be assigned by the Federal agency.
4.
Applicant Identifier: Enter the entity identifier assigned buy the Federal agency, if any, or the
applicant's control number if applicable.
5a.
Federal Entity Identifier: Enter the number assigned to your organization by the Federal
Agency, if any.
5b.
Federal Award Identifier: For new applications leave blank. For a continuation or revision to an
existing award, enter the previously assigned Federal award identifier number. If a
changed/corrected application, enter the Federal Identifier in accordance with agency
instructions.
Date Received by State: Leave this field blank. This date will be assigned by the State, if
applicable.
State Application Identifier: Leave this field blank. This identifier will be assigned by the State,
if applicable.
Applicant Information: Enter the following in accordance with agency instructions:
a. Legal Name: (Required): Enter the legal name of applicant that will undertake the
assistance activity. This is that the organization has registered with the Central
Contractor Registry. Information on registering with CCR may be obtained by visiting
the Grants.gov website.
b. Employer/Taxpayer Number (EIN/TIN): (Required): Enter the Employer or Taxpayer
Identification Number (EIN or TIN) as assigned by the Internal Revenue Service. If your
Figure 5: SF 424 page 5
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated August 2013
Page 16 of 44
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Module 1: How It All Starts: The Grant Application Process
organization is not in the US, enter 44-4444444.
c. Organizational DUNS: (Required) Enter the organization's DUNS or DUNS+4 number
received from Dun and Bradstreet. Information on obtaining a DUNS number may be
obtained by visiting the Grants.gov website.
d. Address: Enter the complete address as follows: Street address (Line 1 required), City
(Required), County, State (Required, if country is US), Province, Country (Required),
Zip/Postal Code (Required, if country is US).
e. Organizational Unit: Enter the name of the primary organizational unit (and
department or division, (if applicable) that will undertake the assistance activity, if
applicable.
f. Name and contact information of person to be contacted on matters involving this
applicant required), organizational affiliation (if affiliated with an organization other
on: Enter the name (First and last name than the applicant organization), telephone
number (Required), fax number, and email address (Required) of the person to contact
on matters related to this application.
9.
Type of Applicant: (Required) Select up to three applicant type(s) in accordance with agency
instructions.
A. State Government
B. County Government
C. City or Township Government
D. Special District Government
E. Regional Organization
F. U.S. Territory or Possession
G. Independent School District
H. Public/State Controlled Institution of Higher Education
I. Indian/Native American Tribal Government (Federally Recognized)
J. Indian/Native American Tribal Government (Other than Federally Recognized)
K. Indian/Native American Tribally Designated Organization
L. Public/Indian Housing Authority
M. Nonprofit
N. Nonprofit
O. Private Institution of Higher Education
P. Individual
Q. For-Profit Organization (Other than Small Business)
R. Small Business
S. Hispanic-serving Institution
T. Historically Black Colleges and Universities (HBCUs)
U. Tribally Controlled Colleges and Universities (TCCUs)
V. Alaska Native and Native Hawaiian Serving Institutions
W. Non-domestic (non-US) Entity
X. Other (specify)
10.
Name Of Federal Agency: (Required) Enter the name of the Federal agency from which
assistance is being requested with this application.
11.
Catalog Of Federal Domestic Assistance Number/Title: Enter the Catalog of Federal Domestic
Assistance number and title of the program under which assistance is requested, as found in
the program announcement, if applicable,
12. Funding Opportunity Number/Title: (Required) Enter the Funding Opportunity Number and
Figure 6: SF 424 page 6
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated August 2013
Page 17 of 44
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Module 1: How It All Starts: The Grant Application Process
title of the opportunity under which assistance is requested, as found in the program
announcement.
13.
Competition Identification Number/Title: Enter the Competition Identification Number and
title of the competition under which assistance is requested, if applicable.
C. Increase Duration D. Decrease Duration E. Other (specify)
14.
Areas Affected By Project: List the areas or entities using the categories (e.g., cities, counties,
states, etc.) specified in agency instructions. Use the continuation sheet to enter additional
areas, if needed.
15.
Descriptive Title of Applicant's Project: (Required) Enter a brief descriptive title of the project.
If appropriate, attach a map showing project location (e.g., construction or real property
projects). For pre-applications, attach a summary description of the project.
16.
Congressional Districts Of: [Required) 16a. Enter the applicant's Congressional District, and
16b. Enter all District(s) affected by the program or project. Enter in the format: 2 characters
State Abbreviation -3 characters District Number, e.g., CA-005 for California 5th district, CA012
for California 12th district, NC-103 for North Carolina's 103rd district. If all congressional
districts in a state are affected, enter "all" for the district number, e.g., MD-all for all
congressional districts in Maryland. If nationwide, i.e. all districts within all states are
affected, enter US-all. If the program/project is outside the US, enter 00-000.
17.
Proposed Project Start and End Dates: (Required) Enter the proposed start date and end date
of the project.
18.
Estimated Funding: (Required) Enter the amount requested or to be contributed during the
first funding/budget period by each contributor. Value of in-kind contributions 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 decreases, enclose the amounts in
parentheses.
19.
Is Application Subject to Review by State Under Executive Order 12372 Process? 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.
Select the appropriate box. If "a." is selected, enter the date the application was submitted to
the State.
20.
Is the Applicant Delinquent on any Federal Debt? (Required) Select the appropriate box. This
question applies to the applicant organization, not the person who signs as the authorized
representative. Categories of debt include: But may not be limited to; delinquent
audit disallowances, loans and taxes. If yes, include an explanation in an attachement.
21.
Authorized Representative: (Required) To be signed and dated by the authorized
representative of the applicant organization. Enter the name (First and last name required) title
(Required), telephone number (Required), fax number, and email address (Required) of the
person authorized to sign for the applicant. A copy of the governing body's authorization for
you to sign this application as the 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.)
Figure 7: SF 424 page 7
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last U pdated August 2013 Page 18 of 44
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Module 1: How It All Starts: The Grant Application Process
The DUNS Number
Request a Dun and Bradstreet
Data Universal Numbering System (DUNS) number
1-866-705-5711-Free
http://fedgov.dnb.com/webform/displavHomePage.do
How do we get the Data Universal Numbering
System (DUNS) number required to complete the
application?
The Dun and Bradstreet (D&B) Data Universal
Numbering System (DUNS) number is an
application requirement from the Office of
Management and Budget (OMB). Assistance
agreement applicants must have a DUNS number.
You can get a DUNS number in two ways:
1. By calling the toll-free DUNS
number request line at 1-866-705-
5711.
Online at http://www.dnb.com/
http: //fedgo v. dnb. com/webform/displavH
omePage.do.
Always check form expiration dates, and check
with EPA if there is a new version!
DUNS on SF 424
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The due date for the application package must be
met for the application to be considered. The dates
and requirements vary for each funding
opportunity, so read the announcement carefully,
and be sure to post before the deadline.
For example: One funding announcement
requires a postmark by midnight on the
specified date. Another funding
announcement requires the application to be
received in the EPA office by 5:00 P.M. on
the due date.
A DUNS number will be issued in one business
day at no cost.
Learner Notes:
Visit the DUNS number registration site
online at
http: //fedgo v. dnb. com/webform/displavHomeP
age, do.
Learner Notes
The Employer/Taxpayer Identification
Number (BIN/TIN) also known as a
Federal Tax Identification Number (FEIN)
is an identification number used by the
Internal Revenue Service to identify a
business, just like a Social Security
Number is used to identify an individual.
The government uses this to keep track of
taxes.
Where do we put the DUNS number on the
application form ?
The revised EPA assistance agreement application,
Standard Form (SF) 424, includes a section for the
DUNS number. Some regional offices may still be
using an older version of the SF 424. If this section
is not provided on your version of the form, as a
temporary procedure, include the DUNS number in
SF 424 Section 5, the application information
address block.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last U pdated August 2013 Page 19 of 44
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Module 1: How It All Starts: The Grant Application Process
Standard Form 424A
Budget Information for non-construction programs
GRANT PROGRAM, FUNCTION OR ACTIVITY
6 Object Class Categories
a. Personnel
b Fringe Benefits
c. Travel
(I Eqiii[iiiiHHl
e Supplies
f Contractual
& Construction
h. Other*
i Totnl Direct Charges (sum of 6a-6H)
j. Indirect charges
k TOTALS (ram of 6i and 6j)
(1)
$12.1.224
$22,540
$23,000
$0.00
$0.00
$0.00
$0.00
$8,098
$178,862
$41,138
$220,000
What is Standard Form 424A ?
Standard Form (SF) 424 A is the budget page of the
EPA application for federal assistance. Requested
funding and/or cost share funds should be shown in
the "new or revised budget" category. (EPA no
longer makes budget adjustments for unobligated
funds-these funds are returned to headquarters
unless an extension is granted.)
Costs are estimated but specific and rounded to the
nearest dollar.
Costs are divided into two parts:
(1) personnel costs and
(2) non-personnel costs.
You may also have a part for (3) indirect
costs.
Costs are divided into two columns
(1) requested and
(2) match (non-federal funds).
Each cost category is detailed with budget
calculations shown on the form.
Tips on writing a grant proposal and examples of
proposed budgets are available online at
http://www.epa.gov/ogd/recipient/tips.htm.
Do not change or add cost categories
contained in the budget after it is approved.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated August 2013
Page 20 of 44
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Module 1: How It All Starts: The Grant Application Process
Table 1: Sample Proposal Budget Summary
BUDGET INFORMATION - Non-Construction Programs OMB Approval No. 0348-0044
SECTION A - BUDGET SUMMARY
Grant Program
Function or Activity
(a)
1. Indian Environmental
General Assistance
Program
2.
3.
4.
5. Totals
Catalog of Federal
Domestic Assistance
Number
(b)
66.926
Estimated Unobligated Funds
Federal
(c)
$0.00
Non-Federal
(d)
$0.00
New or Revised Budget
Federal
(e)
$220,000
$220,000
Non-Federal
(f)
$0.00
Total
(g)
$220,000
$220,000
SECTION B - BUDGET CATEGORIES
6. Object Class Categories
a. Personnel
b. Fringe Benefits
c. Travel
d. Equipment
e. Supplies
f. Contractual
g. Construction
h. Other*
i. Total Direct Charges (sum of6a-6h)
j. Indirect charges
k. TOTALS (sum of6i and 6j)
GRANT PROGRAM, FUNCTION OR ACTIVITY
(1)
$125,224
$22,540
$23,000
$0.00
$0.00
$0.00
$0.00
$8,098
$178,862
$41,138
$220,000
(2)
(3)
(4)
Total
(B)
$125,224
$22,540
$23,000
$0.00
$0.00
$0.00
$0.00
$8,098
$178,862
$41,138
$220,000
7. Program Income
$0.00 1 $0.00 1 $0.00 1 $0.00 1 $0.00
Authorized for Local Reproduction Standard Form 424A (Rev 7-97)
Previous Edition Usable Prescribed by OMB Circular A- 102
! Other costs might include postage, insurance, professional association dues, periodical subscriptions, publications, and similar items not considered equipment or supplies.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013
Page 21 of 44
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Module 1: How It All Starts: The Grant Application Process
SECTION C - NON-FEDERAL RESOURCES
(a)Grant Program
8.
9.
10.
11.
12. Total (SUM OF LINES 8-11)
(b)Applicant
(c)State
(d)Other Sources
(e) TOTALS
SECTION D - FORECASTED CASH NEEDS
13. Federal
14. Non-Federal
IB. TOTAL (sum of lines 13 and 14)
Tola If or 1st Year
$
$
1st Quarter
$
$
2nd Quarter
$
$
4th Quarter
$
$
SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT
(a) Grant Program
16.
17.
18.
19.
20. TOTAL (sum of lines 16-19)
FUTURE FUNDING PERIODS (Years)
(b) First
$
$ 0.00
(c) Second
$
$ 0.00
(d) Third
$
$ 0.00
(e) Fourth
$
$ 0.00
Section F - Other Budget Information
21. Direct Charges 22. Indirect Charges
23. Remarks:
Authorized for Local Reproduction
Figure 5: Standard Form 424A page 2
Standard Form 424A (Rev 4-2012) Page 2
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013
Page 22 of 44
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Module 1: How It All Starts: The Grant Application Process
INSTRUCTIONS FOR THE SF-424A
Public reporting burden for this collection of information is estimated to average 180 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 comment 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 (0348-0044), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND
BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
General Instructions
For continuing grant program applications, submit these
forms before the end of each funding period as required by
the grantor agency. Enter in Columns (c) 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 for this. 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
(i).
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 a 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 each 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 (c) through (g)
For new applications, leave Column (c) 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 supplemental grants and changes to existing grants, do
not use Columns (c) 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).
Line 5 - Show the totals for all columns used.
Section B Budget Categories
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-i - Show the totals of Lines 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 6. For
supplemental grants and changes to grants, the total amount
of the increase or decrease as shown in Columns (l)-(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
Figure 6: Standard Form 424A page 3
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013 Page 23 of 44
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Module 1: How It All Starts: The Grant Application Process
INSTRUCTIONS FOR THE SF-424A (continued)
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
Lines 8-11 Enter amounts of non-Federal resources that will
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 contributions to be made
by the applicant.
Column (c) - 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 State agencies should leave this column blank.
Column (d) - Enter the amount of cash and in-kind
contributions to be made from all other sources.
Column (e) - Enter totals of Columns (b), (c), 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.
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 Lines 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
Line 21 - 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 grant or agency.
Line 22 - Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding 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.
Figure 7: Standard Form 424A page 4
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013 Page 24 of 44
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Module 1: How It All Starts: The Grant Application Process
Standard Forms 424 B, C, and D
SF 4246 Assurances for Non-Construction
Programs
SF 4240 Budget Information for
Construction Programs
SF 4240 Assurances for Construction
Programs
EPA Form 4700-4
KPA Form 4700-4 is the Preaward Compliance
Review Report.
It assures EPA that the award recipient is willing
and able to mm ply with EPA rules and
regulations.
What is Standard Form 4246?
Standard Form (SF) 424B assures the recipient's
project complies with regulation set forth by the
United States Office of Management and Budget.
Learner Notes
When the award becomes official, you
have agreed to comply with all of the
federal regulations listed on the form,
especially 40 CFR 31, 40 CFR 33, and
OMB Circular A-87, negotiate in good
faith with the EPA regional office, write
and follow compliant administrative
and financial policies and procedures,
and do your best to fulfill the terms and
conditions of the agreement.
What is Standard Form 424C?
Standard Form (SF) 424C is the budget
information submitted when the project involves
construction.
What is Standard Form 424D?
Standard Form (SF) 424D assures the recipient's
project complies with regulation set forth by the
United States Office of Management and Budget
when the project involves construction.
What is EPA Form 4700-4?
EPA Form 4700-4 is the Pre-award Compliance
Review Report. Completion of this form indicates
ability and willingness to comply with EPA rules
and regulations on civil rights compliance.
What other forms may be needed?
Some programs require the applicant to submit an
Environmental Assess (EA) and/or Environmental
Impact Statement (EIS). If required, the EPA
Regional Office will provide these forms or
information on how to obtain them.
A list of key contacts should be frequently updated
and kept on file. Copies should be provided to all
Tribal Nation grants management staff. A Contact
Information with Tracking Document and sample
Key Contacts List are provided in the Appendix.
The Grants Application Process
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013 Page 25 of 44
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Module 1: How It All Starts: The Grant Application Process
ASSURANCES - NON-CONSTRUCTION PROGRAMS
OMB Approval No. 0348-0040
Public reporting burden for this collection of information is estimated to average 15 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 (0348-0040), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT
AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
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 agencies may require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1. 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 cost) to ensure proper planning, management
and completion of the project described in this
application.
2. 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
proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
4. Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
5. 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 19 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).
6. 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 sex; (c) Section 504 of the Rehabilitation
Act of 1973, as amended (29 U.S.C. 794), which prohibits
discrimination on the basis of handicaps; (d) the Age
Discrimination Act of 1975, as amended (42 U.S.C. 6101-
6107), which prohibits discrimination of 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
Prevention, Treatment and Rehabilitation 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 VII of the Civil Rights Act of
1968 (42 U.S.C. 3601 et seq.), as amended, relating to
nondiscrimination 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.
7. Will comply, or has already complied, with the requirements
of Titles 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 whose 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, as applicable, with 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.
Previous Edition Usable
Figure 8: Standard Form 424B page 1
Authorized for Local Reproduction
Standard Form 424B (Rev 4-2012)
Prescribed by OMB Circular A-102
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013 Page 26 of 44
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Module 1: How It All Starts: The Grant Application Process
9. Will comply, as applicable, with the provisions of the
Davis-Bacon Act (40 U.S.C. 276a to 276a-7), the
Copeland Act (40 U.S.C. 276c and 18 U.S.C. 874),
and the Contract Work Hours and Safety Standards
Act (40 U.S.C. 327-333), regarding labor standards
for federally-assisted construction subagreement.
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 hazard 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; (c) protection of wetlands pursuant to EO
11990; (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 the Coastal
Zone Management Act of 1972 (16 U.S.C. 1451 et
seq.); (f) conformity of Federal actions to State
(Clean Air) Implementation Plans under Section
176(c) of the Clean 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
will 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-let 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.
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 et seq.) 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 Amendments of 1996 and OMB Circular No. A-133,
"Audits of States, Local Governments, and Non-Profit
Organizations."
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
Standard Form424B (Rev.7-97) Back
Figure 9: Standard Form 424B page
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013 Page 27 of 44
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Module 1: How It All Starts: The Grant Application Process
OMB Approval No. 0348-0041
BUDGET INFORMATION - Construction Programs
NOTE: Certain Federal assistance programs require additional computations to arrive at the Federal share of project costs eligible for participation. If such is the case, you
will be notified.
COST CLASSIFICATION
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
Administrative and legal expenses
Land, structures, rights-of-way, appraisals, etc.
Relocation expenses and payment
Architectural and engineering fees
Other architectural and engineering fees
Project inspection fees
Site work
Demolition and removal
Construction
Equipment
Miscellaneous
SUBTOTAL (sum of lines 1-11)
Contingencies
SUBTOTAL
Project (program) income
TOTAL PROJECT COSTS (subtract #15 from #14)
a. Total Cost
$ .00
.00
.00
.00
.00
.00
.00
.00
.00
.00
.00
0.00
.00
0.00
.00
0.00
b. Costs Not Allowable for
Participation
$ .00
.00
.00
.00
.00
.00
.00
.00
.00
.00
.00
0.00
.00
0.00
.00
0.00
c. Total Allowable Costs
(Columns a-b)
$ 0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
FEDERAL FUNDING
17.
Federal assistance requested, calculate as
follows: Enter eligible costs from line 16c Mult
(Consult Federal agency for Federal percentage
share.)
Enter the resulting Federal share.
ply X %
$ 0.00
Previous Edition Usable
Figure 10: Standard Form 424C page 1
Authorized for Local Reproduction
Standard Form 424C (Rev 4-2012)
Prescribed by OMB Circular A-102
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013
Page 28 of 44
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Module 1: How It All Starts: The Grant Application Process
INSTRUCTIONS FOR THE SF-424C
Public reporting burden for this collection of information is estimated to average 180 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 (0348-0041), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND
BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
This sheet is to be used for the following types of applications: (1) New@ (means a new [previously unfunded] assistance award); (2)
"Continuation" (means funding in a succeeding budget period which stemmed from a prior agreement to fund); and (3) "Revised" (means
any changes in the Federal Government's financial obligations or contingent liability from an existing obligation). If there is no change in
the award amount, there is no need to complete this form. Certain Federal agencies may require only an explanatory letter to affect minor
(no cost) changes. If you have questions, please contact the Federal agency.
Column a. - If this is an application for a "New" project,
enter the total estimated cost of each of the items listed on
lines 1 through 16 (as applicable) under "COST
CLASSIFICATION."
If this application entails a change to an existing award,
enter the eligible amounts approved under the previous
award for the items under "COST CLASSIFICATION."
Column b - If this is an application for a "New" project,
enter that portion of the cost of each item in Column a.
which is not allowable for Federal assistance. Contact the
Federal agency for assistance in determining the
allowability of specific costs.
If this application entails a change to an existing award,
enter the adjustment [+ or (-)] to the previously approved
costs (from column a.) Reflected in this application.
Column - This is the net of lines 1 through 16 in columns
"a." and "b."
Line 1 - Enter estimated amounts needed to cover
administrative expenses. Do not include costs which are
related to the normal functions of government. Allowable
legal costs are generally only those associated with the
purchases of land which is allowable for Federal
participation and certain
services in support of construction of the project.
Line 2 - Enter estimated site and right(s)-of-way
acquisition costs (this includes purchase, lease, and/or
easements).
Line 3 - Enter estimated costs related to relocation
advisory assistance, replacement housing, relocation
payments to displaced persons and businesses, etc.
Line 4 - Enter estimated basic engineering fees related to
construction (this includes start-up services and preparation
of project performance work plan).
Line 5 - Enter estimated engineering costs, such as surveys,
tests, soil borings, etc.
Line 6 - Enter estimated engineering inspection costs.
Line 7 - Enter estimated costs of site preparation and
restoration which are not included in the basic construction
contract.
Line 9 - Enter estimated cost of the construction contract.
Line 10 - Enter estimated cost of office, shop, laboratory,
safety equipment, etc. to be used at the facility. If such costs
are not included in the construction contact.
Line 11 - Enter estimated miscellaneous costs.
Line 12 - Total of items 1 through 11.
Line 13 - Enter estimated contingency cots. (Consult the
Federal agency for the percentage of the estimated
construction costs to use.)
Line 14 - Enter the total of lines 12 and 13.
Line 15 - Enter estimated program income to be earned
during the grant period, e.g., salvaged materials, etc.
Line 16 - Subtract line 15 from line 14.
Line 17 - This block is for the computation of the Federal
share. Multiply the total allowable project costs from line
16, column "c.' by the Federal percentage share (this may
be up to 100 percent: consult Federal agency for Federal
percentage share) and enter the product on line 17.
SF-424C (Rev.7-97) Back
Figure 11: SF 424C, page 2
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013 Page 29 of 44
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Module 1: How It All Starts: The Grant Application Process
OMB Approval No. 0348-0042
ASSURANCES - CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 15 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 (0348-0042), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
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 assistance awarding agencies may require applicants to certify to additional assurances. If such is the case,
you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1. 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.
2. 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 assistance; and will establish a proper accounting
system in accordance with generally accepted accounting
standards or agency directives.
3. Will not dispose of, modify the use of, or change the
terms of the real property title, or other interest in the site
and facilities without permission and instructions from
the awarding agency. Will record the Federal interest in
the title of real property in accordance with awarding
agency directives and will include a covenant in the title
of real property acquired in whole or in part with Federal
assistance funds to assure non-discrimination during the
useful life of the project.
4. Will comply with the requirements of the assistance
awarding agency with regard to the drafting, review and
approval of construction plans and specifications.
5. Will provide and maintain competent and adequate
engineering supervision at the construction site to ensure
that the complete work conforms with the approved plans
and
specifications and will furnish progress reports and such
other information as may be required by the assistance
awarding agency or State.
6. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.
7. Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
8. 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 19 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).
9. Will comply with the Lead-Based Paint Poisoning
Prevention Act (42 U.S.C. 4801 et seq.) which
prohibits the use of lead-based paint in construction or
rehabilitation of residence structures.
10. Will comply with all Federal statutes relating to non-
discrimination. 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 sex; (c) Section 504 of
the Rehabilitation Act of 1973, as amended (29 U.S.C.
794), which prohibits discrimination on 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 Prevention, Treatment and Rehabilitation
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 nondiscrimination 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.
Previous Edition Usable
Authorized for Local Reproduction
Standard Form 424D (Rev.7097)
Prescribed by OMB Circular A-102
Figure 12: SF 424D page 1
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013 Page 30 of 44
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Module 1: How It All Starts: The Grant Application Process
11. Will comply, or has already complied, with the
requirements of Titles 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
whose property is acquired as a result of Federal and
federally assisted programs. These requirements apply
to all interests in real property acquired for project
purposes regardless of Federal participation in
purchases.
12. 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.
13. Will comply, as applicable, with the provision of the
Davis-Bacon Act (40 U.S.C. 276a to 276a-7), the
Copeland Act (40 U.S.C. 276c and 18 U.S.C.874), and
the Contract Work Hours and Safety Standards Act (40
U.S.C. 327-333) regarding labor standards of federally
assisted construction sub-agreements.
14. Will comply 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 hazard 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.
15. 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;
(c) protection of wetlands pursuant to EO 11990; (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 the Coastal Zone
Management Act of 1972 (16 U.S.C. 1451 et seq.); (f)
conformity of Federal actions to State (Clean Air)
Implementation Plans under Section 176(c) of the Clean
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).
16. 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.
17. 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-l et seq.).
18. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit
Act Amendments of 1996 and OMB Circular No. A-
133, "Audits of States, Local Governments, and Non-
Profit Organizations."
19. 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
Previous Edition Usable
Figure 13: SF 424D page 2
Authorized for Local Reproduction
Standard Form 424D (Rev 4-2012) Back
Prescribed by OMB Circular A-102
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013 Page 31 of 44
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Module 1: How It All Starts: The Grant Application Process
Narrative Statement or Work Plan
^Detailed description of components to be funded
"'Estimatedyears or full time equivalents and
amount of work per component
'Commitmentsfor eych component und lime
frames for completion
^ List of outputs and outcomes
Roles and responsibilities of recipient and EPA
Performance evaluation process and reporting
.schedule
Is there a form or required format for the
narrative statement (also known as a work plan)?
There is no standard format for the narrative
statement or work plan in the application. To be
considered for the grant award, it is essential that
the work plan address the requirements in the
funding announcement for cooperative agreements
and grants. Components and the format of the work
plan will vary from program to program. Read the
announcement carefully.
If a specific format is required by EPA on a
particular funding announcement, it will be stated
in the announcement. The work plan is tied to the
detailed budget explaining each point, so develop
the budget first.
The contents of project narratives required in a
funding proposal vary. Some announcements
require very basic information (especially in the
case of a Request for Initial Proposal (RFIP),
which only requires an initial proposal at first).
You will eventually need to include the
information listed below, if you are selected and
asked to submit a final application. You won't
necessarily have to have all of this for the first
proposal submission.
Work plans for EPA programs will most likely
contain the following:
Detailed description of Work Plan
components to be funded under the grant
Estimated work years or Full Time
Equivalents (FTEs) and funding amounts
for each Work Plan component
Work Plan commitments for each Work
Plan component and time frames for their
accomplishment
Performance evaluation process and
reporting schedule for "outputs" and
"outcomes" as defined by EPA Order for
Environmental Results
Roles and responsibilities of the recipient
and EPA in carrying out work plan
commitments
A sample narrative statement or work plan is
provided in the Appendix. The U.S. Environmental
Protection Agency's Policy on Environmental
Results Under EPA Assistance Agreements (EPA
Order 5700.7) is explained at
http://www.epa.gov/ogd/grants/assistance.htmand
available for download at
http://www.epa.gov/ogd/grants/award/5700.7.pdf.
Biographical Sketch
Bii [graphical sketches
of key personnel might
include;
U'urk history und
responsibilities
:'.t.imv agreements
ki/y personnel have
managed
Ix'llcrs nt" support m-
endorsement
An up-to-date
resume may be
used in place of
the biographical
sketch for any or
all of key grant
personnel.
What is a biographical sketch?
Biographical sketches of key personnel might
include:
Education
Work history and responsibilities
Assistance agreements key personnel have
managed
Letters of support or endorsement
An up-to-date resume may be used in place of
the biographical sketch for any or all of the key
personnel for the grant.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
tast Updated April 2013
Page 32 of 44
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Module 1: How It All Starts: The Grant Application Process
FORM Approved By OMB: No. 2030-0020 Expires 12-31-2011.
United States Environmental Protection Agency
Washington, DC 20460
Preaward Compliance Review Report for
All Applicants and Recipients Requesting EPA Financial Assistance
Nole: Read instructions on other side before completing form.
Applicant/Recipient (Name, Address, State, Zip Code).
EPA Project No.
Is the applicant currently receiving EPA assistance? (See * instructions on reverse side)
List all civil rights lawsuits and administrative complaints pending against the applicant/recipient that allege discrimination based on race,
color, national origin, sex, age, or disability. (Do not include employment complaints not covered by 40 C.F.R. Parts 5 and 7. See
instructions on reverse side.)
IV. List all civil rights lawsuits and administrative complaints decided against the applicant/recipient within the last year that allege
discrimination based on race, color, national origin, sex, age, or disability and enclose a copy of all decisions. Please describe all corrective
action taken. (Do not include employment complaints not covered by 40 C.F.R. Parts 5 and 7. See instructions on reverse side.)
List all civil rights compliance reviews of the applicant/recipient conducted by any agency within the last two years and enclose a copy of the
review and any decisions, orders, or agreements based on the review. Please describe any corrective action taken. (40 C.F.R. tj 7.80(c)(3))
VI.* Does the applicant/recipient provide initial and continuing notice that it does not discriminate on the basis of race, color, national origin, sex,
age, or disability in its programs or activities? (40 C.F.R. ง 5.140 and ง 7.95) D Yes HU No
a. Do the methods of notice accommodate those with impaired vision or hearing? Q Yes HU No
b. Is the notice posted in a prominent place in the applicant's offices or facilities or, for education programs and activities, in appropriate
periodicals and other written communications? Q Yes Q] No
c. Does the notice identify a designated civil rights coordinator? L~U Yes HU No
VII.* Does the applicant/recipient maintain demographic data on the race, color, national origin, sex, age, or handicap of the population it serves?
(40 C.F.R. ง 7.85(aป
VIII.* Does the applicant/recipient have a policy/procedure for providing access to services for persons with limited English proficiency?
(40 C.F.R. Part 7, E.G. 13166)
IX.* If the applicant/recipient is an education program or activity, or has 15 or more employees, has it designated an employee to coordinate its
compliance with 40 C.F.R. Parts 5 and 7? Provide the name, title, position, mailing address, e-mail address, fax number, and telephone
number of the designated coordinator.
If the applicant/recipient is an education program or activity, or has 15 or more employees, has it adopted grievance procedures that assure
the prompt and fair resolution of complaints that allege a violation of 40 C.F.R. Pans 5 and 7? Provide a legal citation or Internet address
for. or a copy of. the procedures.
XL Will all new facilities or alterations to existing facilities be designed and constructed to be readily accessible to and usable by persons with
disabilities? Q Yes. If no. explain how a regulatory exception (40 C.F.R. ง 7.70) applies. f_] No
For the Applicant/Recipient
I certify that the statements I have made on this form and all attachments thereto are true, accurate and complete. I acknowledge that any knowingly
false or misleading statement may be punishable by fine or imprisonment or both under applicable law. I assure that I will fully comply with all
applicable civil rights statutes and EPA regulations.
A. Signature of Authorized Official
B. Title of Authorized Official C. Date
For the U.S. Environmental Protection Agency
I have reviewed the information provided by the applicant/recipient and hereby certify that the applicant/recipient has submitted all information
required by 40 C.F.R. Parts 5 and 7; that based on the information submitted, this application satisfies 40 C.F.R. Pans 5 and 7; and that the applicant has
given assurance that it will fully comply with ait applicable civil rights statutes and EPA regulations.
A. Signature of Authorized EPA Official
B. Title of Authorized EPA Official C. Date
EPA Form 4700-4 (Rev. 03/2008). Previous editions are obsolete.
Figure 14: EPA Form 4700-4 Page 1
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013 Page 33 of 44
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Module 1: How It All Starts: The Grant Application Process
Instructions for EPA FORM 4700-4 (Rev. 03/2008)
General
Recipients of Federal financial assistance from the U.S.
Environmental Protection Agency must comply with the
following statutes and regulations.
Title VI of the Civil Rights Acts 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 statute shall not be
construed to authorize action with respect to any employment
practice of any employer, employment agency, or labor
organization (except where the primary objective of the
Federal financial assistance is to 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 thai no
otherwise qualified individual with a disability in the United
States shall solely by reason of disability be excluded from
participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity receiving Federal
financial assistance. Employment discrimination on the basis
of disability is prohibited in all such programs or activities.
The Age 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 Age
Discrimination in Employment Act administered by the Equal
Employment Opportunity Commission.
Title IX of the Education Amendments of 1972 provides that
no person in the United States on the basis of sex shall be
excluded from participation in. be denied the benefits 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.
40 C.F.R. Part 5 implements Title IX of the Education
Amendments of 1972.
40 C.F.R. Part 7 implements Title VI of the Civil Rights Act
of 1964, Section 13 ofthe 1972 Amendments to the Federal
Water Pollution Control Act, and Section 504 of The
Rehabilitation Act of 1973.
The F.xeculive Order 13166 (E.O. 13166) entitled; "Improving
Access to Sen ices for Persons with Limited English
Proficiency" requires Federal agencies work to ensure that
recipients of Federal financial assistance provide meaningful
access to their LEP applicants and beneficiaries.
Items
"Applicant" means any entity that files an application or
unsolicited proposal or otherwise requests EPA assistance. 40
C.F.R. งง5.105, 7.25.
"Recipient" means any entity, other than applicant, which will
actually receive EPA assistance. 40 C.F.R. งง 5.105, 7.25.
"Civil rights lawsuits and administrative complaints" means
any lawsuit or administrative complaint alleging discrimination
on the basis of race, color, national origin, sex, age, or disability
pending or decided against the applicant and/or entity which
actually benefits from the grant, but excluding employment
complaints not covered by 40 C.F.R. Parts 5 and 7. 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.
"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 disability.
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 any
questions. EPA program officials should be contacted for
clarification.
* For applicants who are not current recipients ot'EPA
assistance, questions VI - X are for informational purposes
only, and will not affect applicant grant status. However, if an
applicant is currently receiving EPA assistance, questions VI -
X must be answered. (40 C.F.R. Parts 5 and 7).
"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 the burden estimate, including
suggestions for reducing this burden, to U.S. EPA, Attn:
Collection Strategies Division (MC 2822T), Office of
Information Collection, 1200 Pennsylvania Ave., NW,
Washington, D.C. 20460; and to the Office of Information and
Regulatory Affairs, Office of Management and Budget,
Washington, D.C. 20503.
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 and regulations.
Figure 15: EPA Form 4700-4 Page 2
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
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Module 1: How It All Starts: The Grant Application Process
Jane Snow, Finance Director, is responsible for
maintaining a comprehensive accounts and records
system that provides financial information on a
timely basis. Jane manages all federal grant
budgets for the Tribal Nation. She has served on
the Tribal Council and as a member of the Board of
Directors for the Tribal College. Jane received her
Bachelor's Degree in business, focusing on finance
and accounting, from Fort Belknap College in
Harlem, Montana. Jane supervises three staff
members: an accountant, a secretary, and a file
clerk. Jane has held this position for five years.
Figure 16: Sample Biographical Sketch
What goes into a biographical sketch?
A. Disciplinary actions Liken
B. Family connections within the Tribal Nation
C. Qualifications for the proposed position
I). Salary arid benefits
E. All of the above are correct
The Grants Application Process
What goes in the budget?
A detailed itemized budget is usually required. The
budget details the amount of funding needed to
complete a project. Budgets must align with the
proposed work plan. If not requested with the
initial application, it will most likely be required in
the final application process.
Budget components are explained in Modules 7-8.
Detailed Itemized Budget
The work plan should show how the budget items
relate to the project tasks and outcomes. This
detailed budget then gets transferred to SF 424A,
Parts A-E on the application. A detailed itemized
budget describes expected direct and indirect costs
for the project, such as:
Personnel
Fringe benefits
Travel
Equipment
Supplies
Contractors
Construction
Indirect Cost Rate
Cost of doing
business that eunnol
he directly related to
tile grant, such as:
I'over
Heating/Cooling
Kent
< M'ficc X lanager
Negotiate an
indirect cost rate
before or at the
time of the
application \\ith
y< iur ci igimanl
federal agency.
What is an indirect cost rate?
An indirect cost rate allocates a certain percentage
of awarded funds to indirect costs, which are
expenses of doing business that are not readily
identified with a particular grant, contract, project
function, or activity, but are necessary for the
general operation of the Tribal Nation, such as
heat, light, accounting, and personnel. An indirect
cost rate is negotiated between the Tribal Nation
and their cognizant federal agency.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
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Module 1: How It All Starts: The Grant Application Process
If the Tribal Nation is using an indirect cost rate,
this agreement must be included in the application
package. If the applicant does not have a current
indirect cost rate and wishes to use one, they
should arrange to negotiate an indirect cost rate
with their cognizant federal agency as soon as
possible. This process can take some time to
complete.
Learner Notes
Some Tribal Nations have space cost
allocation plans which pay for heat, power,
and so on. Do you?
Contract
A contract is a mutually binding legal
ivkitit>n.ship obligating the seller to furnish the
supplies or services and the buyer to pay for
them, such as:
Subawards
.lob Conl mels
Consultants
Purchase Orders
be documented to explain the absence of
competition.
If the project requires procurement from a sole-
source provider, then the recipient must notify the
EPA Project Officer before using the non-
competitive proposal purchasing method. The
Project Officer will likely ask for the proposed
contract and related information, including cost
information provided by the bidder and written
justification for the non-competitive method, for
EPA review.
Methods of procurement are explained in 40 CFR
31.36(d), provided in the Appendix.
What is a contract?
A contract includes procurement under a grant or
subgrant. A contract is a mutually binding legal
relationship obligating the seller to furnish the
supplies or services (including construction) and
the buyer to pay for them. It includes all types of
commitments that obligate the government to an
expenditure of appropriated funds and that, except
as otherwise authorized, are in writing. Contracts
include awards and job or task orders (including
purchase orders).
How are contracts itemized?
All contracts included in grant work are required to
have been procured in accordance with
procurement regulations regardless of when the
contract is awarded. Contracts must go through the
bidding process unless the applicant can provide
sole source justification. Sole source justification is
granted when it is determined that there is only one
source reasonably available. The one source must
Learner Notes
The more specific the budget, the less
confusion occurs, and less time is lost after
the award. Practice creating an itemized
budget plan in Activity l.b (online at
www. petetribal. org).
Which items are typically required to be
included in an application for an EPA
competitive assistance agreement award?
A. Standard Forms 4^4, 424A and B or 0 and D
B. EPA Form 4700-4
C. Detailed itemized budget
IX Narrative statement or work plan
E. All of the above are correct.
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
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Module 1: How It All Starts: The Grant Application Process
Sample Itemized Budget
Objectives
Salaries
Amou
Outrei
Cluster
Personnel
Program
Manager
Environmental
Coordinator
Finance
Director
Administrative
Assistant
Subtotal
183,400
110,600
26,250
Fringe
42,182
25,438
6,037
30,045
11,157
173,591
Supplies Other Indirect TOTAL
4,361 33,145 69,760 362,893
240 6,822 44,743 199,000
0 10,125 60,653 276,656
FY10
60,000
9,500
22,450
11,000
102,950
25,978
53,550
0
23,900
3,000
80,450
16,204
Outreach/Air
FY09
FY10
10,000
2,500
9,555
12,000
34,050
7,832
16,450
12,00
31,110
17,000
76,550
17,606
TOTAL
FY09
FY10
11,250
11,250
2,587
15,000
15,000
3,450
140,000
24,000
87,000
69,250
320,250
73,657
Travel
FY09
FY10
Outreach/Air
FY09
FY10
"""""
FY09
FY10
Staff Env
Work
EnvXpt Work
GrntXpt PerD
Facilities
Panelists
Participants
Clusters 3 +
TOTAL
Other
Catesorv
Regist. F
Facilitator
Panel Fees
EnvWrkXpert
EnvWrk
Grant
Food
Beverages
News/Reports
WkS Materials
TOTAL
1,248
1,290
1,414
1,480
2,073
18,880
26,385
FY09
2,160
9,375
4,500
5,300
3,960
22,50
27,545
1,248
1,230
1,182
3,661
FY10
600
3,000
1,000
1,000
5,600
1,470
5,475
4,212
57,864 115,727
6,945
4,212
57,864 115,727 214,793
>utreach/A
FY09
FY10
2,624
2,099
2,099
6,822
TOTAL
FY09
FY10
3,375
6,750
3,375 6,750
2,760
50,092
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
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Module 1: How It All Starts: The Grant Application Process
Application Review and Approval Process
for Competitive Grants
1. Initial applications are submitted.
2. Review panel evaluates and recommends applications
to the selection official.
3. Selection official selects applicants that will be offered
an award.
4. Final applications are submitted (if necessary).
5. Grants Specialist and Project Officer review the
application to ensure compliance before making the
award.
Award documentispackaged with "terms and conditions'1
and senttotheawardrecipient.
The Application Review and Approval
Process
How does EPA manage assistance award
programs?
Every organization has a process for the orderly
flow of their work. EPA has a grants management
process for everything from the original inquiry,
request for assistance application, project
administrative and financial management, and
closeout of an award.
Most management assistance is provided by EPA
regional officials. However, online services are
available with new features added frequently. EPA
is moving all of its online award management
services to Grants.gov.
How does the review process work?
Most competitive grant applications are reviewed
by a team of readers. There are two review
processes for a competitive grant program. One is
during the competitive process, where a review
panel evaluates proposals and ultimately
recommends applications to the selection official.
The selection official selects applicants that will be
offered an award. The applicant must either submit
a final (full) application package, or if the
announcement required a full application to be
submitted initially, they might have to make some
minor modifications. Once the final application is
in, it goes through a second review process by the
Grants Specialist and the Project Officer to ensure
compliance before making the final award.
Which of the following is essential to the
EPA application and review process?
A. Writing narrative statements about the work
plan
B. Selecting an assistance agreement that is right
for you
C. Creating a detailed itemized budget with
indirect cost rate agreement
D. Completing all the required forms
E. All of the above are correct.
The Grants Application Process
List major
costs
Indirectcost
rate
agreement
Funding
announcement
Eligibility
Application kit
Create a
detailed
itemized
budget
Select an
assistance
agreement
SF434
SF424AandB
EPA Form4-oo-4
ElSorEA
Key contacts list
What is required from Tribal Nations when
applying for assistance funding?
Tribal Nations decide if they want to apply for
program funds. Read the funding announcement
for eligibility, restrictions, requirements, and
forms.
When the Tribal Nation decides to apply for a
specific funding award, they complete the
application package. The following items may or
may not be required in the initial application.
Requirement depends on whether the program
offers competitive or non-competitive awards. If
not required in the initial application, it will likely
be required in the final application.
If you are applying for a grant under a non-
competitive program or have already been selected,
you need only complete the one final application,
including the following items:
Standard Form 424 (application)
Standard Form 424A or C (budget)
Standard Form 424B or D (assurances)
Budget detail, work plan and required
certifications
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
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Module 1: How It All Starts: The Grant Application Process
Assurances and EPA Form 4700-4
"Preaward Compliance Review Report for
All Applicants Requesting Federal
Financial Assistance"
Applicants typically send one copy in addition to
the signed original completed assistance agreement
application to the EPA Grants Management
Official responsible for processing the application.
Check with your EPA Regional Office to find out
how they want you to apply.
Modules 2-10 explain the Tribal Nation's role
in greater detail.
Roles and Responsibilities
Grant
Recipient
The Tribal Nation and EPA Roles
What is EPA's role in the grants application
process?
The application process demands active
participation and attention to detail on the part of
many key personnel. Once you are selected for a
competitive award, you will be assigned an EPA
Grants Specialist and Project Officer. Their contact
information is provided on the first page of the
award document and/or in the "terms and
conditions".
EPA regional staff often have more than one set of
responsibilities. Personnel may function in more
than one capacity or position. Roles and
responsibilities vary by region. If for any reason
your grant does not identify a specific person, call
the Regional EPA Office directly, and they will
refer you to the appropriate person.
...
The EPA Grants Management
Official administers the process.
Some GMO duties maybe
delegated to the Grants
Specialist.
EPA Grants
Management
Official
(GMO)
What does the EPA Grants Management Official
do?
The EPA Grants Management Official administers
the process:
Checks the application
Sends a copy to the Project Officer
Reviews the official funding
recommendation from the Project Officer
The review must first be signed by the
appropriate EPA Approval Official
Completes the application review and
finalizes the award process
Some GMO duties may be delegated to the
Grants Specialist (GS).
The Grants Management Official manages the
entire grant process. The GMO is involved in all
administrative functions for the entire grant
process, including monitoring and closeout.
The EPA project officer manages
the work plan components of an
assistance agreement application.
EPA
Project
Officer
(PO)
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
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Page 39 of 44
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Module 1: How It All Starts: The Grant Application Process
What does the EPA Project Officer do?
The EPA Project Officer manages the work plan
components of an assistance agreement
application:
Reviews the completed application and
work plan against EPA'S program
objectives and the guidance issued by
EPA in the Catalog of Federal Domestic
Assistance, Grants.gov, and regional
guidance letter
Negotiates any outstanding work plan
issues with the Tribal Nation
Provides EPA Approval Official with
recommendations on who should receive
funding
Once negotiations are complete, sends an
electronic "Funding Recommendation"
and "Funds Commitment Notice" to the
EPA Grants Management Official
The EPA grants specialist clarifies
administrative and financial
components of the application.
EPA
Grants
Specialist
(GS)
What does the EPA Grants Specialist do?
The EPA Grants Specialist clarifies administrative
and financial components of the application:
Reviews the application and budget for
accuracy as well as regulatory and
administrative requirements
Contacts the EPA official Project Officer
and/or the Tribal Nation for any additional
information, if necessary
Questions?
Problems?
Call your Project Officer!
~
>ject officer and grunts specialist
on the assistance agreement
Reflection
Consider your organization's unique
situation:
Who is your EPA grant
management official?*
Who is your EPA Project Officer?
Who is your EPA Grants
Specialist?*
*Some regions assign part or all of the
GMO responsibilities to a Grants
Specialist.
Learner Notes
You will want to keep track of all the
people involved in each project and their
contact information. A sample Contact
Information and Tracking Document is
provided in the Appendix and in Activity
2.d (www.petetribal.ore.) for keeping
information handy.
Which of the following responsibilities
are usually handled by the EPA Grants
Management Official?
A. Administrative and financial components of the
application and reviews for regulatery
compliance
B. Oversight of the assistance agreement process
C. Review and approval of the work plan
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Last Updated April 2013
Page 40 of 44
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Module 1: How It All Starts: The Grant Application Process
Which of the following responsibilities
are usually handled by the EPA Project
Officer?
A. Administrative andfinancial components of the
application and reviews for regulatory
compliance
B. Oversight of the assistance agreement process
C. Review and approval of the work plan
Which of the following responsibilities
are usually handled by the EPA Grants
Specialist?
A. Administrative andfinancial components of the
application and reviews for regulatory
compliance
B. Oversight of the assistance agreement process
C. Review and approval of the work plan
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
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Module 1: How It All Starts: The Grant Application Process
15
Attachment to Module 1
Answers to Quizdom Actionpoint Questions
Question (bold font indicates correct answer)
Which is the most reliable method for locating available funding
opportunities?
A. Catalog of Federal Domestic Assistance
B. Website "Grants.gov"
C. Funding announcement received by mail
D. Contacting EPA headquarters or a regional office
E. All of the above are correct.
EPA lists available funding opportunities for assistance agreements at Grants.gov. The
site is updated frequently with new opportunities and provides the most accurate
information available. Don't miss your chance by waiting for information to come to
you.
18
How do we know if the Tribal Nation is eligible to apply?
A. As long as you don't use the money to lobby government, you are
eligible.
B. Check the applicant eligibility paragraph.
C. EPA will contact you if you are not eligible for an award.
D. Tribal Nations are considered eligible as nonprofit organizations.
E. All of the above are correct.
The Applicant Eligibility paragraph lists entities eligible for the assistance agreement
award.
25
What is the most important requirement of EPA's competitive grant
application process?
A. Define the "terms and conditions" of the award.
B. File financial reports.
C. Sign and date official forms.
D. Submit application materials on time.
E. All of the above are correct.
All of these are important, however, getting all the materials submitted by the deadline
is the most important requirement of the application process. Only applications
submitted on-time are considered for funding.
41
What goes into a biographical sketch?
A. Disciplinary actions taken
B. Family connections within the Tribal Nation
C. Qualifications for the proposed position
D. Salary and benefits
E. All of the above are correct.
Disciplinary actions, family connections, salary, and benefits should not be included in a
biographical sketch. EPA simply wants to know how qualified the person is for the work
they will be doing.
Last Updated April 2013
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Page 42 of 44
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Module 1: How It All Starts: The Grant Application Process
estion (bold font indicates correct answer)
49
Which items are typically required to be included in an application for an EPA
competitive assistance agreement award?
A. Standard Forms 424, 424A and B or C and D
B. EPA Form 4700-4
C. Detailed itemized budget
D. Narrative statement or work plan
E. All of the above are correct.
The items listed are typically required parts of a complete application package.
SF 424 and the narrative work plan are required for competitive applications.
Once you are selected, the other forms are required in order to actually receive an
award.
53
Which of the following is essential to the EPA application and review
process?
A. Writing narrative statements about the work plan
B. Selecting an assistance agreement that is right for you
C. Creating a detailed itemized budget with indirect cost rate
agreement
D. Completing all the required forms
E. All of the above are correct.
All of these components are necessary for a Tribal Nation to obtain an award.
62
Which of the following responsibilities are usually handled by the EPA Grants
Management Official!
A. Administrative and financial components of the application and
reviews for regulatory compliance
B. Oversight of the assistance agreement process
C. Review and approval of the work plan
The EPA Grants Management Official administers the process:
Checks the application
Sends a copy to the project officer
Reviews the official funding recommendations from the Project Officer that
are signed by the appropriate EPA Approval Official
Completes the application review and finalizes the award process
65
Which of the following responsibilities are usually handled by the EPA Project
Officer?
A. Administrative and financial components of the application and
reviews for regulatory compliance
B. Oversight of the assistance agreement process
C. Review and approval of the work plan
The EPA project officer manages the work plan components of an assistance agreement
application:
Reviews the completed application and work plan against EPA'S program
objectives and the guidance issued by EPA in the Catalog of Federal Domestic
Assistance, Grants.gov, and by the regional office
Negotiates any outstanding work plan issues with the Tribal Nation
Works with EPA Headquarters to decide to award an assistance agreement to
a specific Tribal Nation
Once negotiations are complete, sends a formal decision memorandum and
electronic funding order to the EPA
grants management official
Last Updated April 2013
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Page 43 of 44
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Module 1: How It All Starts: The Grant Application Process
Question (bold font indicates correct ans'
68
Which of the following responsibilities are usually handled by the EPA Grants
Specialist?
A. Administrative and financial components of the application and
reviews for regulatory compliance
B. Oversight of the assistance agreement process
C. Review and approval of the work plan
The EPA grants specialist clarifies administrative and financial components of the
application:
Reviews the application and budget for accuracy as well as regulatory and
administrative requirements
Contacts the EPA official project officer and/or the Tribal Nation for any
additional information, if necessary
Last Updated April 2013
EPA Tribal, U.S. Territories and Insular Areas Administrative and Financial Guidance for Assistance Agreements
Page 44 of 44
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