Questions and Answers: SWIFR Grants for Tribes and Intertribal Consortia

2024 Notice of Funding Opportunity

Updated on 11/4/2024

The following are formal Agency responses to questions and comments received regarding the Solid Waste Infrastructure for Recycling (SWIFR) Grants for Tribes and Intertribal Consortia, funding opportunity number EPA-I-OLEM-ORCR-24-06. We will update this list of questions and answers as we receive questions about the funding opportunity.

Stay Updated

Check our NOFO webpage for updates.

On this page:

If you have additional questions, you can email SWIFRTribal@epa.gov.

Summary of Major Changes Between Rounds of Funding

What are some of the major changes between the 2024 Notice of Funding Opportunity (NOFO) (EPA-I-OLEM-ORCR-24-06) and the 2022 NOFO (EPA-I-OLEM-ORCR-23-07)?

Read a summary of some important changes to the 2024 NOFO below. This list does not include every change that EPA made. Be sure to read the current NOFO carefully, click on all of the links to the guidance documents, and comply with all instructions it contains.

1. The new NOFO adds to the list of allowable and clarifies the list of ineligible activities.

Added allowed activities: education and outreach, in conjunction with eligible recycling activities or as a standalone project. Food preprocessing is only eligible when paired with recycling activities.
Ineligible activities: constructing, improving or operating landfills; incineration; burn units; waste-to-energy (except anaerobic digestion); chemical and thermal recycling; biofuels; and environmental cleanup. Food preprocessing is only eligible when paired with recycling activities.

2. The new NOFO specifies that intertribal consortia should submit documentation demonstrating 1) the existence of the partnership between Indian Tribal governments, and 2) authorization of the consortium by all its members to apply for and receive the grant.

3. The new NOFO does not allow cost sharing. Please refer to Section III.B.

4. The new NOFO updates the information about Tribal procurement requirements, to align with the updated Uniform Grants Guidance that took effect October 1, 2024. Please refer to Section III.D.

5. Certain evaluation criteria have been updated.

Round 1 included two evaluation criteria that have been removed: Project Sustainability and Project Replicability.
In Round 2, EPA revised the “Impactful Approaches and Solutions” evaluation criterion.
EPA updated the language and scoring for other evaluation criteria.
Please refer to Section V.A for more information.

6. EPA has developed downloadable resources that are available on our website. These optional resources can aid applicants in developing the following submission documents:

Summary Information Cover Letter.
Narrative Proposal.
Budget Table and Description.
Milestones Template.
Helpful Tips and Reminders Checklist.
You can download these resources from EPA’s webpage.

7. The new NOFO clarifies that applicants should not submit additional materials beyond those that are requested in Section IV.D. Additional materials (such as references/works cited, letters of support, staff CV/resumes, solid waste master plans, engineering reports, or feasibility studies) will not be reviewed.

8. The new NOFO further emphasizes grantee requirements.

Build America, Buy America Act (BABA): Please refer to Section VI.F.
Davis-Bacon Act: Please refer to Section VI.G.
National Environmental Protection Act (NEPA): Please refer to Section VI.H.
Quality Assurance Project Plans (QAPPs): Please refer to Section VI.J.
Paperwork Reduction Act: Please refer to Section I.H.
Outputs and outcomes: Please refer to Section I.H.

9. EPA added two additional “Other Factors” to the Final Selection Process considerations.

“Shovel-Ready” Projects – EPA may consider projects where pre-planning, permitting, environmental compliance, and bids have already been completed, such that the project can begin implementation in six to 12 months, when making final selections.
Expenditure of Existing Grant Funds – EPA may consider prioritizing applicants that have not previously received SWIFR cooperative agreements, or those that previously received SWIFR cooperative agreements and have disbursed at least 25% of the funding for each SWIFR cooperative agreement they have with EPA by January 15, 2025.
Please refer to Section V.B for more information.

Eligible Activities

1. My project has an education component as well as an infrastructure component. Is it eligible under the Solid Waste Infrastructure for Recycling Grants for Tribes and Intertribal Consortia funding opportunity?

Yes, projects that have an education component and an infrastructure component are eligible. Also, projects that have only an education component are eligible. Further, projects that only have an infrastructure component are eligible. Carefully review Section I.D: Program Vision and Goals, and Section I.E: Scope of Work for information on the vision of the program and the scope of work in the Notice of Funding Opportunity (NOFO).

An applicant for a Solid Waste Infrastructure for Recycling Grants for Tribes and Intertribal Consortia project that seeks to achieve the objective, “Establish, increase, or expand materials management infrastructure…,” may propose a project that has both an infrastructure construction/improvement and educational component.

We indicate in Section I.E of the SWIFR NOFO that “. . . Education and outreach activities relating to post-consumer materials management” are eligible for funding.

2. Are projects related to the recycling of household hazardous (HHW) waste eligible? For example, would a project that would establish a HHW collection facility be eligible?

Yes, a project involving household hazardous waste (such as batteries and electronics) recycling is eligible under this funding opportunity. A HHW collection facility to collect municipal solid waste (MSW) considered as Hazardous Materials is an eligible activity provided you can demonstrate the HHW can be recycled.

3. My project serves communities that cross more than one EPA region. May I still apply for these grants?

Yes. While the EPA anticipates making at least one award per EPA region, it will consider applications from organizations that serve multiple EPA regions.

4. Can I use grant funding to pay for projects already underway (i.e., reimbursement)?

It depends on when your organization incurred the costs for the projects. Costs incurred more than 90 days prior to award require specific approval of an EPA award official as provided at Title 2 of the Code of Federal Regulations (CFR) Part 1500.9. Under 2 CFR Part 200.458 pre-award costs must be incurred “…pursuant to the negotiation and in anticipation of the federal award where such costs are necessary for efficient and timely performance of the scope of work.” EPA interprets this provision to require that eligible pre-award costs be incurred after applicants for competitive funding receive notification of selection. Our anticipated announcement of SWIFR selections is now in September of 2025 and any costs incurred prior to an applicant receiving notification of selection would not be approved by an EPA award official.

If costs were incurred up to 90 days prior to the award (but after EPA has notified the applicant of selection), under 2 CFR Part 1500.9, EPA may reimburse successful SWIFR applicants for eligible pre-award costs even if the applicant did not request prior approval to incur pre-award costs provided the costs are eligible and allowable.

For example, costs for contracts (including consultants) are allowable only if the contract was entered into in a manner that complies with the competitive procurement provisions of EPA’s grant regulations (Procurement Standards in 2 CFR Part 200). Construction contracts must comply with Davis Bacon prevailing wage requirements and Build America Buy America domestic preference requirements. Fees paid to individual consultants must comply with 2 CFR Part 1500.10 to be allowable costs.

Selected applicants must include the pre-award costs in their final budget and workplan submitted to EPA and provide the date the pre-award costs were incurred. For more information, please see EPA’s term and condition on pre-award costs.

Please note that applicants incur pre-award at their own risk and that EPA is not obligated to reimburse applicants for pre-award costs that are not included in the workplan, and budget EPA approves. EPA has no obligation to reimburse unsuccessful applicants for pre-award costs. Selected applicants should discuss pre-award costs with their EPA Project Officer.

5. Are projects focusing on biosolids eligible for grant funding?

It depends. A project that is only focused on a wastewater treatment biosolids recycling would not be eligible. However, a project incorporating MSW in addition to biosolids, such as a food waste co-digestion project, would be eligible.

6. Is purchasing a tire shredder an allowable activity?

Purchasing a tire shredder is an allowable activity under the program for tire recycling as long as the shredded tires were not then placed in a landfill (including use as landfill cover), or incineration activities. Please note, the following activities are not eligible for funding under this solicitation: activities that focus on the constructing, improving or operating landfills; incineration; burn units; waste-to-energy (except anaerobic digestion); chemical and thermal recycling; biofuels; and environmental cleanup.

7. Is land acquisition an eligible expense?

Land acquisition is an eligible cost. Although as provided in 2 CFR Part 200.311(a) title to the property upon acquisition vests with the recipient, the regulations contain detailed coverage at 2 CFR Part 200.311(c) on the disposition actions EPA is authorized to direct the recipient to take when the real property is no longer needed for the originally authorized purpose. Additionally, under 2 CFR Part 200.316, EPA’s practice is to require recipients to record a lien to provide notice that the “. . . real property has been acquired or improved with a federal award and that use and disposition conditions apply to the property.”

8. Can funding be applied to personnel as well as building cost? For example, will the grant support hiring a person to manage new infrastructure created as a part of the project?

Personnel is an eligible expense for this grant program. In the application, the applicant must address how the employee would help achieve one or more of the objectives in Section I.E: Scope of Work:

Develop or update plans focused on encouraging environmentally sound post-consumer materials management such as source reduction (e.g., repair clinics, reuse centers), collection, storage, transportation, composting, recycling, and/or markets for recyclables;
Develop, strengthen, and/or implement comprehensive data collection efforts that demonstrate progress towards the National Recycling Goal and Food Loss and Waste Reduction Goal;
Establish, increase, or expand materials management infrastructure, such as facilities for reuse, recycling or composting; collection and storage bins for recyclable or organic material, purchasing and maintaining equipment or supplies such as scales, crushers, balers, and sorting equipment, trucks, forklifts, and safety equipment)
Establish or identify end-markets for the use of recycled materials; or
Demonstrate an increase in the diversion recycling rate, and/or quality of materials collected.

As stated in the NOFO (Section IV.E.b.v: Budget and Expenditure of Awarded Grant Funds), grant funds can be used for reasonable and allocable personnel costs for the grant period, which is up to three years. That can include paying an existing salary or hiring a new employee.

If no personnel costs are identified in the budget, the recipient remains responsible for reporting, overseeing any contracts (including consultant contracts), or subawards entered into under the assistance agreement and for managing any equipment and supplies which are acquired or leased. EPA staff may ask recipients for a written explanation of how the award will be managed in the absence of charges for personnel costs.

For additional information on the personnel and fringe benefits section of the budget for EPA grants, please refer to Section II: Personnel and Fringe Benefits of EPA’s Interim General Budget Development Guidance for Applicants and Recipients of EPA Financial Assistance.

9. My project involves construction, should I use the SF-424C form instead of the SF-424A form?

No. Please use the SF-424A form. Please refer to (Section IV.E.b.v: Budget and Expenditure of Awarded Grant Funds) of the NOFO for information on categorizing construction costs. For additional information on completing SF-424A form, please utilize this resource (pdf)(221 KB).

10. Can I include in my grant application costs for operations and maintenance (O&M) for existing equipment, or eligible equipment that I wish to purchase as part of the grant?

Yes. Reasonable costs for Operations and Maintenance (O&M) for existing equipment, or eligible equipment (including vehicles) that you will purchase as part of the grant is eligible. For instance, operations can include personnel costs for the salaries, wages, and allowable incentive compensation for those individuals who are employees of the recipient organization who will perform work directly for the project.

Examples of maintenance can be in the form of a service contract during the performance period of the grant, or through the purchase of extended coverage that extends past the performance period of the grant.

11. Is recycling abandoned vehicles or other vehicle-like equipment eligible for funding? Can SWIFR funding be used to purchase equipment to collect, process, and/or backhaul vehicles that are destined for recycling?

Yes. Abandoned vehicles are considered in the scope of the SWIFR grants and SWIFR funding may be used to purchase equipment to collect, process, and/or backhaul vehicles such as cars, boats, trucks, snowmobiles, ATVs, etc., and/or to conduct the collection, processing, and/or backhauling of vehicles that are destined for recovery, recycling, reuse, repair, or refurbishment.

As with all activities being funded by EPA grants, receiving a grant does not release an applicant from complying with relevant federal, state, Tribal, and local regulations and policies. Examples of materials for which relevant regulations exist and should be considered include, but are not limited to, used oil, tires, batteries, and mercury switches. Applicants are encouraged to consult the practices recommended in these two documents:

12. Can SWIFR grants fund Biodiesel plant infrastructure and equipment for processing food waste?

Yes, processing fats, oils, and grease food waste would be included in the scope of the NOFO. As stated in Section I.A: Background, "Materials and waste streams considered under this announcement include: municipal solid waste (MSW), including plastics, organics, paper, metal, glass, etc., electronic waste, batteries, and construction and demolition (C&D) debris. In addition, materials and waste streams considered include the management pathways of source reduction, reuse, sending materials to material recovery facilities, composting, industrial uses (e.g., rendering, anaerobic digestion), and feeding animals."

Please ensure that your application clearly addresses one or more of the objectives in Section I.E: Scope of Work in the NOFO.

13. Are waste compactors and roll-off containers used for the management of non-recyclable materials destined for a landfill eligible for funding under this funding opportunity?

No, the purchase of waste compactors and roll-off containers used for the management of non-recyclable materials destined for a landfill are not eligible activities under this funding opportunity.

This funding opportunity will provide funds for Tribes and intertribal consortia to develop or update plans focused on encouraging environmentally sound post-consumer materials management; establish, increase, or expand materials management infrastructure, utilize funds for equipment and construction related costs as part of their implementation plans, and identify, establish, or improve end-markets for the use of recycled materials. Materials and waste streams considered under this announcement include: municipal solid waste (MSW), including plastics, organics, paper, metal, glass, etc., electronic waste, batteries, and construction and demolition (C&D) debris. The following activities are not eligible for funding under this solicitation: constructing, improving or operating landfills; incineration; burn units; waste-to-energy (except anaerobic digestion); chemical and thermal recycling; biofuels; and environmental cleanup. Food preprocessing is only eligible when paired with recycling activities. Refer to Section I.E: Scope of Work in the NOFO for more details on eligible and ineligible activities.

14. Can SWIFR funds be used to deconstruct or demolish a historic barn on Tribal property? We will reuse barn materials to restore this barn for continued use. We are also considering creating a “how to renovate a barn” document to improve replicability for others.

Projects eligible for funding under this Notice of Funding Opportunity must address one or more of the objectives listed in Section I.E: Scope of Work of the NOFO. Activities to reduce, reuse, and recycle building materials including deconstruction (dismantling buildings for reuse and recycling) and construction and demolition debris recycling projects and equipment are examples of eligible activities.

Therefore, if the primary purpose of the proposed project is to reuse and recycle materials from the deconstruction or demolition of the building, these activities would be eligible. A project that is solely focused on demolition (which generally does not preserve materials in a condition suitable for reuse or recycling) does not address the objectives of this NOFO and would not be eligible.

Finally, while costs would be allowable for deconstruction and recycling of building materials, these funds may not be used for the purchase of new materials to renovate and make a building new, unless the new building addresses one of the objectives in Section I.E: Scope of Work. For example, planning and construction of facilities for food recovery, reuse, recycling, composting, or anaerobic digestion would be allowable.

15. Can SWIFR funds be used to purchase and install a sump to collect wastewater and other undesirable liquids expunged from bailing recyclable materials?

The purchase of equipment for purposes of improving post-consumer materials management is an eligible activity under this grant. Please be sure that your equipment purchase supports the objectives in Section I.E: Scope of Work of the NOFO.

Note that applicants must address environmental outputs and outcomes from their projects (Section I.H. Measuring Environmental Results: Outputs and Outcomes) for any project proposed.

16. Can SWIFR funding be used to purchase used recycling equipment, such as used balers, shredders, and excavators?

Yes, used recycling equipment can be considered for funding.

17. Can SWIFR funds be used for maintenance or updating older trash trucks?

It depends. If the older trash trucks are being updated for continued use as collection and transport vehicles for waste destined for a landfill or waste-to-energy facility, this activity would not be eligible for funding.

Updating the older trash trucks to collect and transport materials destined for recycling, and thus improving post-consumer materials management is an eligible activity under this grant.

Proposed projects must meet one or more of the objectives in Section I.E: Scope of Work of the NOFO.

18. Can SWIFR fund composting programs and equipment?

Yes. SWIFR can fund composting programs and equipment. Please refer to Section I.E: Scope of Work for more information on acceptable waste streams and project objectives.

19. Which cost categories should we put costs for operations and maintenance of equipment, including fuel costs for our recycling trucks?

That depends on what kinds of operations and maintenance your application proposes and how you propose to do those operations and maintenance activities. Listed below are a few possible scenarios but may not be fully inclusive of all the scenarios for operations and maintenance.

If the applicant plans to use its own employees are doing the operations and maintenance, put those costs in the “Personnel” category.
If the applicant plans to contracting out the operations and maintenance, including taking the vehicles to a commercial shop for ongoing maintenance, put those costs in the “Contractual” category.
If the applicant plans to buy fuel for vehicles as part of ongoing operations, the fuel should be characterized in the “Supplies” category.

20. Is paying for travel (gas mileage) associated with collection of recyclables or compost collection at Tribal residences and transporting recyclables to a recycling center off-reservation for processing or to a community garden on Tribal Lands an eligible expense?

Yes. Gas mileage for the collection and the transportation of materials for recycling or composting is an allowable expense. Please include the anticipated amount for mileage reimbursement in the “Travel” category of your budget. Refer to 2 CFR Part 200.475 and EPA’s Interim General Budget Development Guidance for applicants and Recipients of EPA Financial Assistance for additional guidance.

Travel expenses may include costs such as gas mileage, per diem, estimated number of trips, and the number of travelers involved with the collection and/or transportation of materials for recycling or composting. These expenses will be accounted for under different budget categories depending on who is providing the services:

If an applicant contracts for these services, the travel costs should be included in contractor’s price for procurement and would be captured in the budget in the “Contractual” category.
If a Tribal employee is using their own vehicle, this could be reimbursement of a travel cost, and would be captured in the “Travel” category.

21. Using grant funds, may grantees purchase small incentives for participants in project activities, such as gift cards, food, a recycling bin for contest winners, etc.?

Yes, reasonable costs for gift cards and similar incentives for program participation are allowable under EPA’s Guidance on Participant Support Costs (pdf)(188 KB).

Please note that where Participant Support Costs would be placed in your budget depends on the items being purchased. Generally, items like gift cards and meal vouchers would be characterized in the “Other” cost category since the incentives are provided directly to the program participant.

If the applicant intends to provide food to participants in community meetings, the food would be characterized under the:

“Contractual” cost category if an applicant intends to hire a caterer to supply the food.
“Supplies” cost category if the applicant intends to go to a store to directly purchase the food for the meeting.
“Other” cost category if the meeting venue provides the food as part of the lease for the facility.

If an applicant intends to purchase recycling bins for community members as participant support costs, the bins would be characterized under the:

“Contractual” cost category if the bins are being purchased by a contractor.
“Supplies” cost category if the applicant will directly purchase the bins (and the cost of the bins is less than $10,000 per bin).

22. How is “landfill” defined for this funding opportunity?

“Landfill” means an area of land or an excavation in which wastes are placed for permanent disposal, and that is not a land application unit, surface impoundment, injection well, or waste pile. (Refer to Title of the Code of Federal Regulations in Section 257.2 “Landfill”).

23. How is “incineration” defined for this funding opportunity?

“Incineration” is the process of burning solid waste for the purpose of reducing the volume of the waste by removing combustible matter. (Refer to 40 CFR Section 60.51(a)).

24. How is “burn unit” defined for this funding opportunity?

A “burn unit” is used to reduce the volume of household trash disposed of in rural landfills by burning it in a metal container designed for hot combustion. (Visit the Alaska Department of Environmental Conservation’s webpage on solid waste burn units.)

25. How is “waste-to-energy” defined for this funding opportunity?

“Waste-to-energy” is the conversion of non-recyclable waste materials into usable heat, electricity, or fuel through a variety of processes, including combustion, gasification, pyrolization, anaerobic digestion, and landfill gas recovery. This process is often called energy recovery. (Visit EPA’s webpage on energy recovery from MSW). Note that for this funding opportunity, anaerobic digestion is eligible for funding.

26. How is “chemical and thermal recycling” defined for this funding opportunity?

Chemical and thermal processing refers to several different chemical, thermal, and/or catalytic technologies including dissolution, purification, enzymatic depolymerization, glycolysis, pyrolysis, and gasification that purify or break down plastic. The thermal processes range from thermal decomposition in an environment absence of oxygen (commonly referred to as pyrolysis) to a gasification process in an oxygen-starved environment (Check out "State of Practice for Emerging Waste Conversion Technologies").

27. How is “biofuel” defined for this funding opportunity?

“Biofuel” means fuel derived from renewable biomass. (Refer to 7 CFR Section 4288.102 “Biofuel”).

28. How is “environmental cleanup” defined for this funding opportunity?

“Environmental cleanup” (also called “remediation”) refers to actions taken to respond to a hazardous material release or threat of a release that could affect human health and the environment (e.g., removal of pollution or contaminants from soil, groundwater, sediment or surface water). (Visit EPA’s webpage on cleanups).

29. How is “food preprocessing” defined for this funding opportunity?

“Food preprocessing” refers to technologies that either reduce the weight and volume of food or break down and liquify the food waste to the point that it can be sent directly into the existing municipal sewage system (“down the drain”) or captured in a vessel that can be transported to an anaerobic digestion facility. These technologies include grinders, biodigesters (which biologically treat food waste under aerobic conditions), pulpers, dehydrators, and aerobic in-vessel units. (Check out "Emerging Issues in Food Waste Management: Commercial Pre-Processing Technologies").

Surveys

1. How would marketing pieces that drive people to a specific website, for example, intersect with "information collection?” For instance, could we direct people to a website that allows them to sign up for a newsletter? I want to make sure if we have some sort of a "Join our mailing list" component to that, we are not putting ourselves in a negative position. The hope would be that we can engage our folks using a mailing list and help to provide very economical future communication.

Eligible projects under this solicitation must address one or more of the objectives found in Section I.E: Scope of Work of the NOFO. Based on the information you provided, collecting information for a mailing list that supports one or more of these objectives would generally not trigger the Paperwork Reduction Act, as long as the sign-up process does not involve the collection of information beyond that which is “necessary to ensure proper transmission” of the information. It cannot, for example, also include questions intended to collect demographic information.

Please refer to this excerpt from OMB’s 2010 Guidance on Social Media (pdf)(83.4 KB):

Electronic subscriptions to agency notifications or publications.

OMB does not consider mailing addresses collected for agency mailing lists to be information subject to the PRA. Similarly, an agency is not collecting information when it collects email addresses for agency updates, alerts, publications, or email subscription services; mobile phone numbers for text notification lists; or addresses for RSS feeds, which allow individuals to customize and subscribe to updates from websites.

If, however, the agency requests a member of the public to provide additional information (e.g., age, sex, race/ethnicity, employment, or citizenship status) beyond what is necessary to ensure proper transmission of responses, the collection of that additional information is covered under the PRA. As with non-electronic mailing lists, the use of email lists to survey subscribers (about, for example, satisfaction with government program design) is an information collection under the PRA.

If an agency authorizes website users to share content, such as “send to a friend” using a web form, this authorization is not covered by the PRA unless the agency collects the “friend’s” email address or username to use it for some purpose other than sharing the content selected by the sender. Agencies should provide notice to users on the web form if they intend to retain email addresses for future use.

2. Can cooperative agreement recipients conduct surveys with EPA grant funds?

It depends. Cooperative agreement recipients cannot ask 10 or more individuals identical questions using a survey developed or administered with funds available under this NOFO as indicated in Section III.E: Ineligible Costs or Activities and Other Considerations. Reasonable costs for analyzing and publishing the information collected through a survey developed with non-federal funds are allowable to the extent authorized in the EPA approved budget for this agreement.

3. Why may I not use grant funding to collect information from 10 or more individuals?

The prohibited activities language is referencing the OMB regulations implementing the Paperwork Reduction Act. A survey or other information collection of identical information from 10 or more parties will not be eligible under this funding opportunity because EPA funding will be in the form of a cooperative agreement. OMB’s regulations implementing the Paperwork Reduction Act, 5 CFR Part 1320.3(d), provide that EPA is considered a sponsor of information collections under a cooperative agreement. The process for EPA to obtain OMB approval for information collections is lengthy and resource intensive. This restriction on eligibility applies to both the applicant and any contractors or subaward recipients supported with EPA funding as well. Note that as indicated in the RFA you may use other funds for the development and administration of the survey and EPA funds may be used for analysis and publication of the results.

Build America, Buy America (BABA)

1. We are looking at proposing to use SWIFR funds to build a new recycling facility to house balers and baled materials while we await shipping them. Is there anything specific that we need to be asking our contractors for to ensure we are meeting the BABA requirements when asking them to give us a proposal for the construction costs? I would assume BABA requirements would alter the cost of construction depending on material availability and thus would need to be addressed in the initial cost proposals now.

Grantees should ask for a certification or other assertion that the supplied product is “Produced in the United States” in accordance with the definition of that term in section 70912(6) of the Infrastructure Investment and Jobs Act. It will be the manufacturer’s responsibility to determine whether the product meets that definition. Grantees will be able to rely upon that certification.

Please note that it is likely that any equipment and potential supplies that that are integral to the waste management system would be subject to BABA. Please take this into account when developing your budget estimates for your application.

Please refer to Section VI.F: Build America, Buy America of the NOFO, for more information.

2. Will the EPA provide product specific waivers prior to the notification of selection for award consideration?

No. The EPA will address further BABA compliance with selected applicants as part of the negotiation of the selectees’ final workplan and budget. Applicants should be aware that a waiver is not guaranteed and should make appropriate considerations when preparing budget information.

Davis-Bacon Act

1. Do Davis-Bacon Related Act prevailing wage requirements apply to SWIFR cooperative agreements?

Yes. As provided in 33 U.S.C. 4282(e) EPA must ensure that “. . . all laborers and mechanics employed on projects funded directly, or assisted in whole or in part, by a [SWIFR grant] be paid wages at rates not less than those prevailing on projects of a character similar in the locality as determined by the Secretary of Labor in accordance with [the Davis-Bacon Act]”. The Davis-Bacon Act applies to contractors and subcontractors performing work on federally funded or assisted construction contracts in excess of $2,000.

2. How can we determine if Davis-Bacon prevailing wage requirements apply to a construction project that is partially funded with SWIFR grant funds?

As provided in 33 U.S.C. 4282(e) EPA must ensure that “. . . all laborers and mechanics employed on projects funded directly, or assisted in whole or in part, by a [SWIFR grant] be paid wages at rates not less than those prevailing on projects of a character similar in the locality as determined by the Secretary of Labor in accordance with [the Davis Bacon Act]”. Emphasis added.

EPA will follow the Department of Labor’s “purpose, time and place” test for determining whether Davis Bacon compliance is required for construction projects that are funded “in part” by a SWIFR grant. Below is an excerpt from DOL guidance for the American Recovery and Reinvestment Act of 2009 (ARRA) which contained prevailing wage language virtually identical to 33 U.S.C. 4282(e):

. . .the Department’s longstanding view [is] that a project consists of all construction necessary to complete the building or work regardless of the number of contracts involved so long as all contracts awarded are closely related in purpose, time and place. The use of the phrase “projects funded directly by or assisted in whole or in part” in the ARRA labor standard provision precludes the intentional splitting of ARRA projects into separate and smaller contracts to avoid Davis-Bacon coverage on some portion of a larger project, particularly where the activities are integrally and proximately related to the whole. However, that does not suggest that Davis-Bacon coverage of an ARRA project lasts in perpetuity. There are many situations in which major construction activities are clearly undertaken in segregable phases that are distinct in purpose, time, or place. While the Federal agency must examine every situation independently, the general guidelines that define “project” for Davis-Bacon coverage purposes as contracts that are related in purpose, time, and place should govern in most instances.

3. Does this mean that if the Davis-Bacon Act applies to my construction project, and I’m using the SWIFR grants for part of that project, that the prevailing wage requirements would now apply to the entire project?

That depends on the outcome of the Department of Labor’s “purpose, time and place” test as mentioned in the question above. It could mean that the prevailing wage requirements do apply to the entire project. However, as noted above, the federal agency [EPA] must examine every situation independently.

National Environmental Policy Act

1. What kind of construction activities would trigger NEPA?

The SWIFR grants are subject to compliance with NEPA. The level of NEPA review required for a proposed action will vary depending on the potential for significant environmental effects. For the SWIFR grants, it is anticipated that construction activities may require a Categorical Exclusion (CATEX) determination or may be covered under SWIFR’s Programmatic Environmental Assessment (PEA).

EPA will address further NEPA compliance with selected applicants as part of the negotiation of the selectee’ final workplan and budget. The activities that would likely trigger NEPA include activities categorized as “Construction,” as defined in EPA’s Interim General Budget Development Guidance for Applicants and Recipients of EPA Financial Assistance. The term “Construction” means the erection, alteration, or repair (including dredging, excavating, and painting) of buildings, structures, or other improvements to real property, and activities in response to a release or a threat of a release of a hazardous substance into the environment, or activities to prevent the introduction of a hazardous substance into a water supply. Additionally, if part of an equipment purchase involves installation activities, such as requiring construction or earth disturbing activities or modification to a facility, a NEPA review may also need to be done.

2. What happens if EPA has not yet done the NEPA review for my project? Does that mean my grant will be delayed?

Potentially. The EPA will need to complete the environmental review under NEPA before it can award the grant. The EPA will review the proposed action to determine if it is eligible for coverage under a categorical exclusion or if it requires the preparation of an environmental assessment. The timing for completing the environmental review will vary under each proposed action, such as whether consultation may be required under the National Historic Preservation Act or Endangered Species Act, etc. Depending on the project, EPA may award grants with incremental funding using a phased approach for projects that involve both construction and non-construction activities, such as for projects that may require planning and design activities before construction can occur.

General

1. Does my project need to report on all or just some of the outputs and outcomes listed in Section I.H: Measuring and Reporting Environmental Results: Outputs and Outcomes?

EPA encourages applicants to discuss all of the environmental outputs and outcomes in their Project Narrative Attachment. Successful applicants that receive grants must report on all of the measures listed in Section I.H, even if the anticipated result is “0” or “not applicable.” All outputs and outcomes listed in Section I.H must be discussed in the Project Narrative Attachment to receive full points for evaluation criterion 3 (refer to Section V.A: Evaluation Criteria).

2. What should I consider as the maximum period of performance of these grants?

As stated in Section II.F: What is the project period for awards resulting from this solicitation? in the NOFO, the estimated start date for projects resulting from this solicitation is March 2026. All project activities must be completed within the negotiated project performance period of three years. Actual start and end dates may be negotiated after selection. Please refer to the previous question on pre-award costs as well.

3. How will grant funds be disbursed?

Grant funds will be obligated by EPA once awards are made. Recipients must draw funds from the Automated Standard Application for Payments (ASAP) system for the minimum amounts needed for actual and immediate cash requirements to pay employees, contractors, subrecipients or to satisfy other obligations for allowable costs under this assistance agreement. The timing and amounts of the drawdowns must be as close as administratively feasible to actual disbursements of EPA funds but recipient must disburse substantially all of the drawn down funds within 5 business days of receiving payment from EPA. For additional information, please refer to EPA's General Terms and Conditions relating to ASAP.

4. Where can I learn more about SAM.gov registration, UEI numbers, and/or Grants.gov registration?

Please review Section IV.B: Submission Information of the NOFO. Also, review the Grants.gov Support webpage or the Sam.gov Contact webpage. You will be able to live chat or call an expert who will be able to help you with your issue.

5. Can the grant money be used to cover a salary for up to three years of the project period?

Yes, as stated in the NOFO (Section IV.E.b.v: Budget and Expenditure of Awarded Grant Funds), grant funds can be used for reasonable and allocable personnel costs for the grant period, which is up to three years. That can include paying an existing salary or hiring a new employee.

6. Can projects be less than $100,000 or more than $1,500,000? Is there any flexibility there?

No, the absolute minimum is $100,000 and absolute maximum is $1,500,000. Grant applications with award requests below $100,000 or above $1,500,000 will not meet threshold eligibility criterion 3 in Section III.C: Threshold Eligibility Criteria, and thus will not be considered.

7. May grantees use these funding opportunities as matching funds for other federal grant funding opportunities?

The EPA puts no prohibitions on using these funds to match other funding opportunities other than the general requirement in 2 CFR Part 200.306(b)(5) for authorization in a federal statute to use funds from one federal grant to meet cost share requirements for another federal grant. The SWIFR statute does not provide that authorization. Grantees should check with the federal agency requiring matching funds to determine whether this funding opportunity can be used for a cost share under that agency’s funding opportunity.

8. Is the EPA making only one award per region?

Not necessarily, but as stated in Section II.B. Funding Structure of the NOFO, the EPA anticipates making at least one award per EPA region, depending on the quantity and quality of applications received, and other applicable considerations. Multiple awards per region may be made.

9. Can I use GAP grant funding to prepare my application for this NOFO?

It depends on the nature of the project. Please refer to Section 6. Proposal Costs, of the Office of Grants and Debarment (OGD) Guidance on Selected Items of Cost for Recipients.

As provided in 2 CFR Part 200.460, proposal preparation costs are normally covered by recipients’ indirect cost rates. However, directly charging proposal preparation costs is allowable for Tribes applying for GAP grants subject to limitations and requirements in the EPA Guidance on Selected Items of Cost and approval by an EPA Grants Official (i.e., a Regional Grants Management Officer or Award Official). To qualify for direct charging of proposal costs, the recipient must provide EPA with assurance that its indirect cost rate calculations do not include the same costs that will be charged directly. Proposal preparation costs must not exceed 5% of the total budget.

10. Our Tribe would like to move a Solid Waste position and associated work that is currently funded under the Indian Environmental General Assistance Program (GAP) program, and instead fund it through a SWIFR grant, if awarded. We would use this SWIFR funded position to complete recycling and sorting to increase and improve our Tribe’s management infrastructure. We would then re-allocate the GAP funds to work on another one of our long-term environment concerns.

What you propose is permissible provided your Tribe or intertribal consortia requests and obtains approval from EPA’s Grants Management Officer for an amendment to the GAP agreement. The amendment would revise the scope of work and budget for the GAP agreement to reflect that the Solid Waste position and associated work will be funded under the SWIFR grant. Our main concern would be to ensure that your Tribe or intertribal consortia does not charge two EPA assistance agreement for the same costs and that there is no duplication of effort on the GAP and SWIFR agreements. In Section III. C. Threshold Eligibility Criteria of the NOFO, the fourth criteria states "Funds awarded under this NOFO may not be used to carry out the same activities that are already funded or in the process of being funded under other EPA financial assistance programs such as the Indian General Assistance Program, Tribal Hazardous Waste Management Grant Program, and the Tribal Response Program Grants or financial assistance applicants receive from other Federal agencies. Applicants must provide a statement that their proposed project(s) does not duplicate other Federally funded grants. Duplicate activities will not be considered for funding under this opportunity."

By removing the work from GAP altogether the project(s) would not duplicate other Federally funded grants received.

11. Our current indirect cost rate is expired; however, we have submitted a newly requested rate to BIA and are awaiting approval. Can we submit a budget with our expired negotiated indirect cost rate?

No. You should submit the rate you requested BIA to approve in your budget. However, if your application is successful and BIA has not approved your requested rate by the time EPA plans to award the funding you will not be able to drawdown indirect costs until the new rate is approved or you obtain a regulatory exception. Note that if BIA approves a lower rate than you requested you will have to adjust the budget to reflect the lower indirect cost rate. Please refer to the “Use of Expired Rate” guidance (pdf)(255 KB). You may submit your application with the proposed rate. Providing supporting documentation will support the rate included in your budget. We also recommend that you request that BIA approve your proposed indirect cost rate on an expedited basis.

12. Where in the budget and budget description would I place the costs for registration to attend a training or a conference?

We assume that this question relates to attendance at training or a conference by employees of a recipient of EPA funds. EPA’s Interim General Budget Development Guidance for Applicants and Recipients of EPA Financial Assistance (pdf)(591 KB) provides information on training costs.

On pages 26-27; #3 of this guide states that “Costs for training courses for recipient employees (e.g., instructional services) provided by third parties would be classified as contractual although any travel costs for the employees would be categorized as travel.” Costs for training recipient employees in skills necessary to carry out the EPA funded projects, including training conferences, are allowable as provided in 2 CFR Part 200.473.

The cost of registration fees for attending a conference that does not involve training, unless attending that conference was necessary and reasonable for performance of the EPA funded project, would not be allowable. EPA would need more information on the purpose of the conference to advise further.

13. Are progress reports required?

Yes. In the Notice of Funding Opportunity, Section VI.K: Reporting Requirements, Quarterly progress reports and a final technical report will be required. The quarterly progress reports will be submitted to the EPA Project Officer within thirty days after each reporting period. Quarterly reports shall cover: work status, work progress, difficulties encountered, preliminary data results, a statement of activity anticipated during the subsequent reporting period; a discussion of expenditures along with a comparison of the percentage of the project completed to the project schedule and an explanation of significant discrepancies; how program income is being used, if applicable; and any changes of key personnel concerned with the project.

At the close of the grant, the successful applicant will submit a final technical report to the EPA Project Officer within 120 calendar days of completion of the period of performance. The final technical report shall include a summary of the project or activity, advances or goals achieved, and costs of the project or activity. In addition, the final technical report should discuss the problems, successes, and lessons learned during the project period.

14. Can you explain the difference between threshold criteria and evaluation criteria?

Threshold eligibility criteria (NOFO Section III.C: Threshold Eligibility Criteria) are the minimum criteria that applicants must satisfy for their application to be considered eligible. For this funding opportunity there are seven Threshold Criteria. Evaluation criteria (NOFO Section V.A: Evaluation Criteria) are the criteria used to rate and score the application. For this funding opportunity there are five Evaluation Criteria.

15. Can you say a little more about Threshold Criterion 4 on duplicate activities?

Funds awarded under this RFA may not be used to carry out the same activities that are already funded or in the process of being funded under other EPA financial assistance programs such as the Indian General Assistance Program, Tribal Hazardous Waste Management Grant Program, and the Tribal Response Program Grants or financial assistance applicants receive from other Federal agencies. For example, if a Tribe or intertribal consortium already has a grant covering compost equipment, they cannot also receive a grant from SWIFR for the same composting equipment. Duplicate activities will not be considered for funding under this opportunity. Our main concern would be to ensure that your Tribe or intertribal consortia does not charge two EPA assistance agreement for the same costs and that there is no duplication of effort using federal funds.

16. Which EPA Solicitation Clauses apply to this funding opportunity?

This NOFO was released on September 16, 2024, and will close after June 14, 2024. Therefore, the solicitation clauses applicable to this funding opportunity are the clauses published on June 14, 2024.

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