2009 Request for Initial Proposals for TMDL Grants - Additional Information
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Statutory (Funding) Authority
This funding opportunity is authorized pursuant to §104(b)(3) of the Clean Water Act (CWA).
Assistance agreements awarded under this authority may be used to support the coordination and acceleration of research, investigations, experiments, training, demonstrations, surveys and studies relating to the cause, effects (including health and welfare), extent, prevention, reduction, and elimination of water pollution.
To be considered for funding, a project must consist of activities within the statutory terms of §104(b)(3) of the CWA. These activities relate generally to gathering or transferring information, or advancing the state of knowledge, and accelerating program development for improving water quality in Alaska, Idaho, Oregon, Washington, and tribal lands within EPA Region 10.
Grant proposals must emphasize the “learning” concept as opposed to “fixing” an environmental problem via a well-established method. Examples of eligible research, investigations, studies, training, and demonstration activities may include but are not limited to developing “best practices” for generating data, models, techniques and methods, and training personnel that lead to improved State and Tribal TMDL programs, and disseminating the results of the project so that others can benefit from the knowledge gained.
EPA will not provide funding for “routine” TMDL work that the Agency supports with grants under Section 106 and 319 of the Clean Water Act; production of TMDLs must be an incidental by-product of the activities EPA funds under this competitive announcement.
Demonstration projects must involve new or experimental technologies, methods, or approaches where the results of the projects will be disseminated so that others can benefit from the knowledge gained in the demonstration projects.
Threshold Eligibility Criteria
To be eligible for funding consideration, applicants and proposed projects will need to meet all of the following threshold criteria at the time of their initial proposal submission. Threshold criteria will be applied on a pass/fail basis. Failure to meet any of them will render the initial proposal ineligible; ineligible proposals will not be evaluated or considered. Applicants deemed ineligible for funding consideration as a result of the threshold eligibility review will be notified within 15 calendar days of the ineligibility determination.
Threshold Criterion 1: Geographic location
Proposed projects must take place in Alaska, Idaho, Oregon and/or Washington, or on tribal lands within EPA Region 10.
Threshold Criterion 2: Project Eligibility
Proposed projects must be designed to conduct research, perform studies, conduct experiments or demonstration projects, or offer training to improve state or tribal capacity or arrangement for regional (interstate or state/tribal) coordination of TMDLs in Alaska, Idaho, Oregon and/or Washington or on tribal lands within Region 10. EPA will not provide funding for “routine” TMDL work that the Agency supports with grants under Section 106 and 319 of the Clean Water Act; production of TMDLs must be an incidental by-product of the activities EPA funds under this competitive announcement. Demonstration projects must involve new or experimental technologies, methods, or approaches where the results of the project will be disseminated so that others can benefit from the knowledge gained in the demonstration project.
Threshold Criterion 3: Substantial Compliance
Initial proposals must substantially comply with the submission instructions and requirements set forth in the announcement or else they will be rejected. Initial proposals must be no longer than four pages - pages in excess of this page limitation will not be reviewed.
No more than five projects may be submitted by any one entity. Where more than five projects have been submitted, only the first five projects will be evaluated.
Initial Proposal Submittals: Content and Format
Applicants must use the following format for initial proposal submission(s), and must include the information outlined below in their initial proposals. Initial proposals must be no longer than four pages (8 ½ x 11 inches, single-spaced, minimum font size of 11 point) - pages in excess of this page limitation will not be reviewed. Each proposal can include several individually costed projects or project phases, listed in order of funding priority, with the most important project listed first.
| Project Title |  |
| Funding Amount | (Total amount of federal funding requested.) |
| Project Description(s) |
A. General summary statement of project goal & justification:
Provide a brief description of 1) the need for (and environmental significance of) the project, 2) the proposed project, and 3) the anticipated outputs and environmental outcomes and how they will be measured.
B. Project descriptions:
Characterization of the Issue: Describe the environmental significance of the project (what problem will be addressed by this project) and why it is a priority at this time. Describe the geographic area impacted by the project (waterbodies to be used for the demonstration project etc.) and whether the project will have widespread applicability to other areas of EPA Region 10 or the United States.
Project Plan: Describe the proposed work to be accomplished, including specific tasks, activities, and anticipated outputs/outcomes (quantifiable results) associated with major project components. Include in this section how this project will improve state and tribal TMDL programs in Alaska, Idaho, Oregon and/or Washington. For demonstration projects that involve new or experimental technologies, methods, or approaches, explain how the results of the projects will be disseminated so that others can benefit from the knowledge gained in the demonstration projects.
C. Description of environmental outcomes and plan for tracking and measuring progress towards achieving the expected project outputs and outcomes
Expected Deliverables as Outputs and Outcomes: Provide a description of expected deliverables (such as 1. Quality Assurance Project Plan if project involves sampling or data collection or 2. summary report of research, study, or demonstration and means for disseminating the results) expressed as outputs and environmental outcomes.
Progress Reporting: Explain how progress will be measured and reported
Timeline: Identify timeframes for achieving expected outputs and outcomes
D. Budget: Provide costs for each project or phase broken down into major budget categories.
|
| Applicant Contact | Name, agency, e-mail address, telephone. |
Final Application Submittals
If your initial proposal is selected for further consideration, you will be invited to submit a final application. Further instructions for the submittal of the final application package will be provided to these applicants at the appropriate time. In the final application submittal, applicants will be asked to provide certain information, including:
a. Program Capability Information
Submit a list of federally funded assistance agreements (an assistance agreement is a grant or cooperative agreement and not a federal contract) similar in size, scope and relevance to the proposed project that your organization performed within the last three years (no more than 3 agreements and preferably EPA agreements), and describe (i) how you were technically able to successfully carry out and manage those agreements and (ii) your history of meeting the reporting requirements under those agreements including submitting acceptable final technical reports. EPA will consider the information provided by the applicant and may also consider relevant information from other sources, including information from EPA files and from current and prior Federal agency grantors (e.g., to verify and/or supplement the information provided by the applicant).
If you have no relevant federally funded assistance agreements, please indicate this in the proposal and you will receive a neutral score for this factor. If you do not provide any response for this item, you may receive a score of 0 for this factor.
In addition, provide information on your organizational experience and plan for timely and successfully achieving the objectives of the proposed project, and your staff expertise/ qualifications, staff knowledge, and resources or the ability to obtain them, to successfully achieve the goals of the proposed project.
b. Environmental Results Past Performance
Submit a list of federally funded assistance agreements (an assistance agreement is a grant or cooperative agreement and not a federal contract) that your organization performed within the last three years (no more than 3 agreements and preferably EPA agreements), and describe how you documented and/or reported on whether you were making progress towards achieving the expected results (e.g., outputs and outcomes) under those agreements. If you were not making progress, please indicate whether, and how, you documented why not. EPA will consider the information provided by the applicant and may also consider relevant information from other sources, including information from EPA files and from current and prior Federal agency grantors (e.g., to verify and/or supplement the information provided by the applicant).
If you have no relevant federally funded assistance agreements, please indicate this in the proposal and you will receive a neutral score for this factor. If you do not provide any response for this item, you may receive a score of 0 for this factor.
Evaluation Criteria
Proposals and final applications will be evaluated and scored by reviewers using the criteria listed below. Each initial proposal and final application may receive up to 100 points.
Initial Proposal Evaluation Criteria
Required Content
Under this criterion, reviewers will focus on the degree to which the proposal:
1) describes the environmental significance of the project (what problem will be addressed by this project and why it is a priority at this time),
2) outlines a technically/scientifically sound and appropriate approach,
3) provides clear project goals and measurable objectives,
4) demonstrates an understanding of the environmental issues or problems, and
5) shows level of project development (i.e., readiness of project, technical merit, and expected environmental improvements)(50 points-each item is worth 10 points)
Activities within the Statutory Terms of §104(b)(3) of the Clean Water Act
Under this criterion, reviewers will focus on the degree to which the proposal either
1) conducts research, performs studies, or offers training that advances the state of knowledge of or accelerates TMDL program development OR
2) conducts demonstration projects that involve new or experimental technologies, methods, or approaches (unique, creative or novel approaches to environmental restoration) with widespread applicability to other areas of the State, EPA Region 10 or United States and where the results of the projects will be disseminated so that others can benefit from the knowledge gained in the demonstration projects. (25 points)
Plan for Tracking and Measuring Progress
Under this criterion, the reviewers will evaluate the quality of the applicant's plan for tracking and measuring progress towards achieving the expected outputs and outcomes and the degree to which the proposal contains clear and quantifiable output and outcome measures, a timeline, and a description of the format in which these measurements will be reported. (25 points)
Final Application Review Criteria
Programmatic Capability
Under this factor, the Agency will evaluate the applicants’ technical ability to successfully carry out the proposed project taking into account the applicant's:
1) Past performance in successfully completing and managing federally funded assistance agreements (an assistance agreement is a grant or cooperative agreement and not a federal contract) similar in size, scope, and relevance to the proposed project within the last three years (20 points).
2) History of meeting reporting requirements on federally-funded assistance agreements (an assistance agreement is a grant or cooperative agreement and not a federal contract) performed within the last three years, and submitting acceptable final technical reports under these agreements (20 points).
3) Organizational experience and plan for timely and successful achievement of the project objectives (20 points).
4) Staff expertise/qualifications, staff knowledge, and resources or the ability to obtain them, to successfully achieve the goals of the project (20 points).
In evaluating applicants under this factor the Agency will consider the information provided by the applicant and may also consider relevant information from other sources including agency files and prior/current grantors (e.g., to verify and/or supplement the information supplied by the applicant). Applicants with no relevant or available past performance or reporting history will receive a neutral score for those elements of this factor. (For example, the criterion is worth 20 points, so a neutral rating for an applicant with no past performance reporting history on outcomes and outputs would be 10 points.) Applicants who do not provide any response for this item will receive a score of 0 for this factor.
Environmental Results Past Performance
Under this criterion, applicants will be evaluated based on the extent and quality to which they adequately documented and/or reported on their progress towards achieving the expected results (e.g., outcomes and outputs) under Federal agency assistance agreements (an assistance agreement is a grant or cooperative agreement and not a federal contract) performed within the last three years, and if such progress was not being made, whether the applicant adequately documented and/or reported why not (20 points).
Note: In evaluating applicants under this factor, EPA will consider the information provided by the applicant and may also consider relevant information from other sources, including agency files and prior/current grantors (e.g., to verify and/or supplement the information supplied by the applicant). Applicants with no relevant or available past performance reporting history will receive a neutral score for this factor. Applicants who do not provide any response for this item will receive a score of 0 for this factor.
Measuring Environmental Results: Outputs and Outcomes
Pursuant to EPA Order 5700.7, “Environmental Results under EPA Assistance Agreements,” EPA requires that all grant applicants and recipients adequately address environmental outputs and outcomes.
Outputs and outcomes differ both in their nature, and in how they are measured.
Outputs
The term “output” means an environmental activity, effort, and/or associated work product related to an environmental goal and objective that will be produced or provided over a period of time or by a specified date. Outputs may be quantitative or qualitative but must be measurable during an assistance agreement funding period. Proposals must include a description of project outputs and the way in which recipients will track progress towards the environmental goal throughout the grant period.
TMDL Project Outputs
Expected outputs from projects funded under this solicitation may include, but are not limited to the following:
- New and improved methods for developing TMDLs that will direct best management practices and TMDL implementation.
- Staff trained improved and accelerated TMDL development/implementation methods.
- New tools or innovative techniques for TMDL development that accelerate the production of TMDLs.
- New or innovative approaches to fostering interstate or tribal/state coordination of TMDL development when more than one state/tribe has an interest in a waterbody.
- Application of biological monitoring protocols and biocriteria (including narrative biocriteria) in listing, TMDL development and implementation that lead to improved TMDLS.
Outcomes
The term “outcome” means the result, effect or consequence that will occur from carrying out an environmental program or activity that is related to an environmental or programmatic goal or objective. Outcomes may be environmental, behavioral, health-related or programmatic in nature, but must be quantitative. They may not necessarily be achievable within an assistance agreement funding period. Proposals must include a description of project outcomes resulting from the project outputs.
Short-term outcomes include increased understanding or environmental effectiveness of an approach, fine-tuned and improved use of a demonstrated methodology or technology. Medium-term outcomes include widespread adoption of the demonstrated methodology in Alaska, Idaho, Oregon and/or Washington, improved program development capacity, documented reductions in pollutant loadings to impaired waters. Long-term outcomes resulting in improved water quality include reduced number of impaired waterbodies, and increased number of waters attaining water quality standards.
TMDL Project Outcomes
Expected outcomes from projects funded under this solicitation may include, but are not limited to the following:
- A more advanced state of knowledge among state or tribal personnel involved in developing and implementing TMDLs.
- Improved capacity of state and/or tribal TMDL programs.
- Better coordination among state/tribal TMDL programs in Alaska, Idaho, Oregon, Washington.
- Widespread adoption of a demonstrated new or improved methodology or technology in TMDL programs.
Additional information regarding EPA’s definition of environmental results in terms of “outputs” and “outcomes” can be found here.
Review and Selection Process
Initial Proposals
A panel comprised of EPA Region 10 staff will review initial proposals against the threshold eligibility factors. Those proposals that are deemed eligible will then be evaluated and ranked by the panel against the initial proposal criteria. The panel will then invite the applicants with the highest ranking initial proposals to submit final applications.
Final Applications and Awards
After the evaluation of the initial proposals, EPA will notify those applicants with the highest ranked initial proposals to submit final applications for review. Those applicants will be asked to submit a formal assistance agreement application for funding under CWA §104(b)(3). The applicant will receive further instructions for submitting final applications in accordance with 40 CFR Part 31 (state and local governments) or 40 CFR Part 30 (non-profits and universities) and will also be advised what further information is necessary to be included in the final application package.
EPA Region 10 staff will evaluate each final application based on the final application review criteria described in the announcement and provide funding recommendations to the regional approval official. Final funding recommendations will be made by the regional EPA approval official based on the recommendations and may also take into account the following other factors: geographic distribution of funds and a balanced package of projects. The goal of the process is to select a package of projects that strengthen tribal and/or state TMDL programs throughout Alaska, Oregon, Idaho and Washington.
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