Application Guide

RD-WEP-AppGuideTAT_SWM_FY2017.pdf

Technical Assistance Program - 7 CFR 1775

Application Guide

OMB: 0572-0112

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United States Department of Agriculture
Rural Development, Rural Utilities Service

Application Guide
for

Technical Assistance and Training
and
Solid Waste Management
Grant Programs
Fiscal Year 2017

**This application guide has been updated with new guidelines
and procedures, marked in red. Please read each section
thoroughly.
The U.S. Department of Agriculture (USDA) prohibits discrimination in all its programs and activities on the basis of race,
color, national origin, sex, religion, age, disability, political beliefs, sexual orientation, and marital or family status. (Not
all prohibited bases apply to all programs.) Persons with disabilities who require alternative means for communication of
program information (Braille, large print, audiotape, etc.) should contact USDA’s TARGET Center at (202) 720-2600
(voice and TDD).
To file a complaint of discrimination write, USDA, Director, Office of Civil Rights, Room 326-W, Whitten Building, 14th and
Independence Avenue, SW, Washington, DC 20250-9410 or call (202) 720-5964 (voice or TDD). USDA is an equal
opportunity provider and employer.

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SECTION 1: THE TECHNICAL ASSISTANCE AND TRAINING GRANT
PROGRAM ................................................................................................................ 1
1.1 Introduction ....................................................................................................................... 1
1.2 Authorization..................................................................................................................... 1
1.3 Available funding for FY 2017......................................................................................... 2
1.4 TAT Program Contacts .................................................................................................... 2
1.5 TAT Resources on the Web ............................................................................................. 2
SECTION 2: GENERAL CONSIDERATIONS FOR A TAT GRANT ......................... 2
2.1 Eligible Organizations ...................................................................................................... 2
2.2 Eligible Grant Purposes ................................................................................................... 3
2.3 Ineligible Grant Purposes................................................................................................. 3
2.4 Security Requirements ..................................................................................................... 4
SECTION 3: APPLICATION SUBMISSION PROCESS ........................................... 4
3.1 Two Ways of Filing Applications..................................................................................... 4
3.2 DUNS Number Requirement ........................................................................................... 4
3.3 Paper Applications ............................................................................................................ 5
3.4 Electronic Applications .................................................................................................... 5
3.5 Deadlines for Grant Applications .................................................................................... 6
SECTION 4: REQUIREMENTS FOR A COMPLETED GRANT ................................ 6
4.1 Preparing the Application ................................................................................................ 6
4.2 Required Forms ................................................................................................................ 7
4.3 Project Proposal ................................................................................................................ 7
1. Project Summary ...........................................................................................................................................7
2. Needs Assessment .........................................................................................................................................7
3. Project Goals and Objectives .........................................................................................................................7
4. Project Narrative ............................................................................................................................................8
5. Work Plan ......................................................................................................................................................8
6. Budget and Budget Justification ....................................................................................................................8
7. Area(s) to be Served ......................................................................................................................................8

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8. Summary of Experience.................................................................................................................................9
9. Evaluation Method(s) ....................................................................................................................................9
10. Duration of Project/Service .........................................................................................................................9
11. Sustainability ...............................................................................................................................................9

4.4 Required Information Not Found on Standard Application Forms ............................ 9
1. Evidence of Legal Existence..........................................................................................................................9
2. List of Directors and Officers .......................................................................................................................9
3. IRS Tax exempt Status ..................................................................................................................................9
4. Debarment and Suspension Rules ..................................................................................................................9
5. Drug-free Workplace Requirements ..............................................................................................................9
6. Audit ............................................................................................................................................................ 10
7. Financial statements..................................................................................................................................... 10
8. Other Organizational Documents ................................................................................................................ 10

4.5 Optional Information Not Found on Standard Application Forms ........................... 10
SECTION 5: APPLICATION REVIEW PROCESS .................................................. 10
5.1 Receipt Acknowledgment ............................................................................................... 10
5.2 Evaluating the Application............................................................................................. 10
5.3 Scoring Criteria ............................................................................................................... 11
5.4 Application Selection ...................................................................................................... 13
5.5 Possible RUS Actions on the Application ..................................................................... 14
5.6 Appeals Process ............................................................................................................... 14
Appendix—Rules and Regulations...................................................................................... 14
SECTION 6: THE SWM GRANT PROGRAM ......................................................... 15
6.1 Introduction ..................................................................................................................... 15
6.2 Authorization................................................................................................................... 15
6.3 Available funding for FY 2017....................................................................................... 15
6.4 SWM Program Contacts ................................................................................................ 16
6.5 SWM Resources on the Web .......................................................................................... 16
Visit us on the web at www.rd.usda.gov/programs-services/water-waste-disposal-loangrant-program ....................................................................................................................... 16
SECTION 7: GENERAL CONSIDERATIONS FOR A SWM GRANT ..................... 16

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7.1 Eligible Organizations .................................................................................................... 16
7.2 Eligible Grant Purposes ................................................................................................. 17
7.3 Ineligible Grant Purposes............................................................................................... 17
7.4 Security Requirements ................................................................................................... 18
SECTION 8: APPLICATION SUBMISSION PROCESS ......................................... 18
8.1 Two Ways of Filing Applications................................................................................... 18
8.2 DUNS Number Requirement ......................................................................................... 18
8.3 Paper Applications .......................................................................................................... 18
8.4 Electronic Applications .................................................................................................. 19
8.5 Deadlines for Grant Applications .................................................................................. 19
SECTION 9: REQUIREMENTS FOR A COMPLETED GRANT .............................. 20
9.1 Preparing the Application .............................................................................................. 20
9.2 Required Forms .............................................................................................................. 20
9.3 Project Proposal .............................................................................................................. 21
1. Project Summary ......................................................................................................................................... 21
2. Needs Assessment ....................................................................................................................................... 21
3. Project Goals and Objectives ....................................................................................................................... 21
4. Project Narrative .......................................................................................................................................... 21
5. Work Plan ................................................................................................................................................... 22
6. Budget and Budget Justification .................................................................................................................. 22
7. Area(s) to be Served .................................................................................................................................... 22
8. Summary of Experience............................................................................................................................... 22
9. Evaluation Method(s) .................................................................................................................................. 23
10. Duration of Project/Service ....................................................................................................................... 23
11. Sustainability ............................................................................................................................................. 23

9.4 Required Information Not Found on Standard Application Forms .......................... 23
1. Evidence of Legal Existence........................................................................................................................ 23
2. List of Directors and Officers ...................................................................................................................... 23
3. IRS Tax Exempt Status ................................................................................................................................ 23
4. Debarment and Suspension Rules ................................................................................................................ 23
5. Drug-Free Workplace Requirements ........................................................................................................... 23
6. Audit ............................................................................................................................................................ 24
7. Financial Statements .................................................................................................................................... 24
8. Other Organizational Documents ................................................................................................................ 24

9.5 Optional Information Not Found on Standard Application Forms ........................... 24

-iv-

SECTION 10: APPLICATION REVIEW PROCESS ................................................ 24
10.1 Receipt Acknowledgment ............................................................................................. 24
10.2 Evaluating the Application........................................................................................... 24
10.3 Scoring Criteria ............................................................................................................. 25
10.4 Application Selection .................................................................................................... 27
10.5 Possible RUS Actions on the Application ................................................................... 27
10.6 Appeals Process ............................................................................................................. 27
Appendix—Rules and Regulations...................................................................................... 28

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The information requested in these guidelines is being collected and used by the Rural
Utilities Service (RUS) to determine eligibility for grants and to meet reporting requirements.
According to the Paperwork Reduction Act, as amended, no persons are required to respond
to a collection of information unless it displays a valid Office of Management and Budget
(OMB) control number. The valid OMB control number for this information collection is
0572-0112. Public burden reporting for this collection of information is estimated to be three
hours 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 the collection of
information, including suggestions for reducing this burden, to the following addresses:
Program Development and Regulatory Analysis
Rural Development, Rural Utilities Service
U.S. Department of Agriculture
1400 Independence Ave., SW
Stop 1522, Room 5168 South Building
Washington, DC 20250-1522
and to the
Office of Management and Budget
Paperwork Reduction Project (0572-0000)
Washington, DC 20503
PLEASE DO NOT SEND COMPLETED FORMS TO THE ABOVE ADDRESSES

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Section 1: The Technical Assistance and Training Grant Program
1.1 Introduction
Drinking water systems are basic and vital to both health and economic development. With
dependable water facilities, rural communities can attract families and businesses that will
invest in the community and improve the quality of life for all residents. Without dependable
water facilities, the communities cannot sustain economic development.
RUS supports the sound development of rural communities and the growth of our economy
without endangering the environment. RUS provides financial and technical assistance to
help communities bring safe drinking water and sanitary, environmentally sound waste
disposal facilities to rural Americans in greatest need.

The Technical Assistance and Training (TAT) Grant Program has been established to assist
communities with water or wastewater systems through free technical assistance and/or
training provided by the grant recipients. Qualified private non-profit organizations will
receive TAT grant funds to identify and evaluate solutions to water and waste disposal
problems in rural areas, assist applicants in preparing applications for water and waste grants
made at the State level offices, and improve operation and maintenance of existing water and
waste disposal facilities in rural areas.
In this guide, you will find information to help you:
•
•
•

Assess your eligibility for RUS grant assistance
Understand how and when to apply
Create a successful application

1.2 Authorization
The Consolidated Farm and Rural Development Act (CONACT) authorizes the TAT and
Solid Waste Management (SWM) programs. Section 306 of 7 U.S.C. 1926, Under the
CONACT, Section 306(a)(14)(A) authorizes the TAT Grant Program (see 7 U.S.C. 1926(a),
as amended). Section 310B authorizes the SWM Grant Program (see
7 U.S.C. 1932(b)).
The regulation implementing the TAT and SWM programs is found at 7 Code of Federal
Regulations (CFR) 1775, Technical Assistance and Training Grants. Should any differences
result in the interpretation of these guidelines and 7 CFR 1775, the regulation will take
precedence over information contained in this guide. This guide is to be used in conjunction
with 7 CFR 1775.

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1.3 Available funding for FY 2017
The amount available for Fiscal Year 2017 will be determined when the budget is approved
by Congress.

1.4 TAT Program Contacts
The Water and Environmental Programs (WEP) staff will administer the TAT Program. We
encourage you to contact the WEP staff early in the application process with any questions or
ideas concerning your proposal. The staff will answer your questions about the application
process and program requirements.
Telephone: 202.720.9589
Fax: 202.690.0649
Email: [email protected]

1.5 TAT Resources on the Web
Visit our website: http://www.rd.usda.gov/programs-services/water-waste-disposal-technicalassistance-training-grants

Section 2: General Considerations for a TAT Grant
2.1 Eligible Organizations
An organization is eligible to receive a TAT grant if it:
a. Is a private, non-profit organization that has tax-exempt status from the U.S. Internal
Revenue Service (IRS);
b. Is legally established and located within one of the following:
•
•
•
•

a state within the United States
the District of Columbia
the Commonwealth of Puerto Rico
a United States territory

c. Has the legal capacity and authority to carry out the grant purpose;
d. Has a proven record of successfully providing technical assistance and/or training to
rural areas;

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e. Has capitalization acceptable to the Agency, and is composed of at least 51 percent of
the outstanding interest or membership being citizens of the United States or
individuals who reside in the United States after being legally admitted for permanent
residence;
f. Has no delinquent debt to the federal government or no outstanding judgments to
repay a federal debt;
g. Demonstrates that it possesses the financial, technical, and managerial capability to
comply with federal and State laws and requirements.
h. Contracts with a nonaffiliated organization for not more than 49 percent of the grant
to provide the proposed assistance.

2.2 Eligible Grant Purposes
The following activities are authorized under the TAT statute:
Grant funds must be used to capitalize a TAT program for the purpose of:
a. Identifying and evaluating solutions to water problems of associations in rural areas
relating to source, storage, treatment, or distribution;
b. Identifying and evaluating solutions to waste problems of associations in rural areas
relating to collection, treatment, or disposal;
c. Assisting associations in the preparation of water and/or waste loan and/or grant
applications;
d. Providing technical assistance and/or training to association personnel that will
improve the management, operation and maintenance of water and waste disposal
facilities; or
e. Paying expenses associated with providing technical assistance and/or training
authorized in (a) – (d).

2.3 Ineligible Grant Purposes
Grant funds may not be used to pay any of the following:
a. Duplicate current services, or replace or substitute support normally provided by
other means, such as those performed by an association’s consultant in developing a
project, including feasibility, design, and cost estimates.
b. Fund political or lobbying activities.
c. Purchase real estate or vehicles, improve or renovate office space, or repair and
maintain privately owned property.
d. Pay the costs for construction, improvement, rehabilitation, modification or operation
and maintenance of water, wastewater, and solid waste disposal facilities.
e. Construct or furnish a building.

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f. Intervene in the federal regulatory or adjudicatory proceedings.
g. Sue the federal government or any other government entities.
h. Pay for technical assistance which duplicates assistance provided to implement an
action plan funded by the Forest Service (FS) under the National Forest-Dependent
Rural Communities Economic Diversification Act (7 U.S.C. 6601 note) for five
continuous years from the date of grant approval by the FS. To avoid duplicate
assistance, coordinate with the Rural Development state office and the Forest Service
before submitting an application.
i. Pay for any other costs that are not allowable under 2 CFR 200, Subpart E, “Cost
Principles.”

2.4 Security Requirements
A grant agreement will be executed between the Non-Federal Entity (formerly known as
Grantee) and the Agency.

Section 3: Application Submission Process
3.1 Two Ways of Filing Applications
You may file an application in either electronic or paper format. File an application
electronically through www.grants.gov the official federal government grants website. Send
or deliver paper applications by the U.S. Postal Service (USPS) or courier delivery services
to the RUS receipt point. RUS will not accept applications by fax or email.

3.2 DUNS Number Requirement
Whether you file a paper or an electronic application, you will need a Dun and Bradstreet
(D&B) Data Universal Numbering System (DUNS) number. You must provide your DUNS
number on the SF-424, “Application for Federal Assistance.”
To verify that your organization has a DUNS number or to receive one at no cost, call the
dedicated toll-free request line at 1.866.705.5711 or go to www.dnb.com. You will need the
following pieces of information when requesting a DUNS number:









Legal name
Headquarters name and address of the organization
Doing business as (dba) or other name by which the organization is commonly
recognized
Physical address
Mailing address (if separate from headquarters and/or physical address)
Telephone number
Contact name and title
Number of employees at the physical location
4

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3.3 Paper Applications
Mail or ensure delivery of an original paper application (no stamped, photocopied, or
initialed signatures) and two copies by the deadline date of December 31, 2016.
If your grant application will service only one state, please forward your application to your
local USDA Rural Development Office. The address and contact information for each
state’s USDA Rural Development Office can be accessed at www.rd.usda.gov/contactus/state-offices.
If the grant application will service more than one state, please forward the application to:
Assistant Administrator
Water and Environmental Programs
Rural Development, Rural Utilities Service
United States Department of Agriculture
1400 Independence Avenue, SW
STOP 1548, Room 5145 South
Washington, DC 20250-1548
The application and any materials sent with it become federal records by law and cannot be
returned to you.

3.4 Electronic Applications
You may file an electronic application at www.grants.gov.
You must be registered with Grants.gov before you can submit a grant application. If you
have not used Grants.gov before, you will need to register with the System for Award
Management (SAM). You will need a D&B DUNS number to access or register at any of the
services. The registration processes may take several business days to complete. Follow the
instructions at Grants.gov for registering and submitting an electronic application. RUS may
request original signatures on electronically submitted documents later.
SAM registers your organization and stores your organizational information, which allows
Grants.gov to use it to verify your identity. You may register online at www.sam.gov.
Submit all electronic documents using one of the following formats:




Excel
Word
PDF

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3.5 Deadlines for Grant Applications
Applications may be filed starting on October 1, 2016 and must be received by close of
business or postmarked by midnight (EST) December 31, 2016. Applications may also
be hand-delivered to the state office by close of business on December 31, 2016.
Applications received after midnight on December 31 will NOT be considered in that
year’s review and will be returned to the applicant.
Paper applications must show proof of mailing or shipping consisting of one of the
following:
• A legibly dated U.S. Postal Service (USPS) postmark
• A legible mail receipt with the date of mailing stamped by the USPS
• A dated shipping label, invoice, or receipt from a commercial carrier
Note: Packages arriving at USDA via the USPS are irradiated,
which can damage the contents. RUS encourages you to consider the
impact of this procedure in selecting your application delivery method.
Also, if there is a disruption in mail delivery service, we strongly
encourage you to submit applications via express mail or commercial
delivery to our office.

Section 4: Requirements for a Completed Grant
4.1 Preparing the Application
To be considered for support, you must be an eligible entity and must submit a complete
application by the deadline date. You should consult the cost principles and general
administrative requirements for grants pertaining to their organizational type in order to
prepare the budget and complete other parts of the application. You also must demonstrate
compliance (or intent to comply), through certification or other means, with a number of
public policy requirements.

Completed Application
1.
2.
3.
4.
5.

Standard application forms
A proposal
A work plan
A budget and budget justification
Evidence of legal existence and
legal authority
6. A list of directors and officers
7. Other specified information

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4.2 Required Forms
Applicants must complete and submit the following forms to apply for a TAT grant:
•
•
•
•
•
•
•
•
•
•
•

Standard Form 424, “Application for Federal Assistance – Non-construction”
Standard Form 424A, “Budget Information—Non-Construction Programs”
Standard Form 424B, “Assurances—Non-Construction Programs”
Standard Form LLL, “Disclosure of Lobbying Activity”
Form RD 400-1, “Equal Opportunity Agreement”
Form RD 400-4, “Assurance Agreement” (Under Title VI, Civil Rights Act of 1964)
Form AD 1047, “Certification Regarding Debarment, Suspension, and Other
Responsibility Matters - Primary Covered Transaction”
Form AD 1048, “Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion – Lower Tier Covered Transactions”
Form AD 1049, “Certification Regarding Drug-free Workplace Requirements”
Form AD 3030, “Representations Regarding Felony Conviction and Tax Delinquent
Status for Corporate Applicants”
Other required supporting forms/information as listed in 7 CFR 1775.10 (c) and (d)

4.3 Project Proposal
The project proposal should outline the project in sufficient detail to provide the reader with
a complete understanding of how the proposed project will work. Explain what your project
will accomplish by utilizing the grant funds. Demonstrate the feasibility of the proposed
project in meeting the objectives of this grant program. Proposals should be no more than
20 pages single sided using a font size of 12 points (Times New Roman font style
preferred). The proposal should cover the following elements:
1. Project Summary
Present a brief project overview. Explain the purpose of the project, how it relates to RUS’
purposes, how you will carry out the project, what the project will produce, and who will
direct it.
2. Needs Assessment
Describe why the project/service is necessary. Demonstrate that eligible entities need grant
funds. Quantify the number of prospective communities or provide statistical or narrative
evidence that a sufficient number of communities will exist to justify the grant award.
Describe the service area, including population and median household income (MHI).
Address the community needs.
3. Project Goals and Objectives
Clearly state your project goals. Your objectives should clearly describe the goals and be
concrete and specific enough to be quantitative or observable. They should also be feasible
and relate to the purpose of the project.

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4. Project Narrative
The narrative should cover in more detail the items briefly described in the Project Summary.
It should establish the basis for any claims that you have substantial expertise in providing
effective Technical Assistance and Trainings. In describing what the project will achieve,
you should tell the reader if it also will have broader influence. The narrative should address
the following points:
•

Document your ability to administer TAT in accordance with the provisions of 7 CFR
1775.

•

Document that, to establish the TAT, you can commit financial resources your
organization controls. This documentation should describe the sources of funds other
than the TAT grant that will be used to pay your operational costs and provide
financial assistance for projects.

•

Demonstrate that you have secured commitments of significant financial support from
other funding sources, if appropriate.

5. Work Plan
The work plan must describe the tasks and activities that will be accomplished with available
resources during the grant period. It must show the work you plan to do to achieve the
anticipated outcomes, goals, and objectives set out for the TAT Program. The plan must
include:
•

The benefits of the technical assistance and/or training.

•

Brief description of how the service will be provided and whether currently employed
personnel or contracted personnel will be used.

6. Budget and Budget Justification
The written justification for projected costs should explain how budget figures were
determined for each category. It should indicate which costs are to be covered by grant funds
and which costs will be met by your organization or other organizations. The justification
should account for all expenditures discussed in the narrative. It should reflect appropriate
cost-sharing contributions. The budget justification should explain the budget and
accounting system proposed or in place. The administrative costs for operating the budget
should be expressed as a percentage of the overall budget. The budget justification should
provide specific budget figures, rounding off figures to the nearest dollar. Applicants should
consult 2 CFR 200, Subpart E “Cost Principles,” for information about appropriate costs for
each budget category.
7. Area(s) to be Served
Describe the areas to be served, including population, non-metropolitan median household
income information, and the name of association(s) or type of association(s) that will be
served. Also describe the method used to select the association(s) that will receive the
service.

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8. Summary of Experience
Give a brief summary of experience of the applicant to provide the proposed service. More
details, including experience of key staff members, resumes, and person(s) providing the
technical assistance and/or training, may be included in an appendix.
9. Evaluation Method(s)
Describe the evaluation method(s) to determine if objective(s) or the proposed activity is
being accomplished.
10. Duration of Project/Service
Briefly describe the duration of the project or service, and the estimated time from grant
approval to beginning of project or service, not to exceed 12 months. The grant period
begins October 1 of each year and ends September 30 of the following year.
11. Sustainability
Briefly describe the plans for increased self-sustainability for the project/service in future
years, including how the project will be sustained in the future without federal award.
12. Administrative Points – Only include if the applicant would like to be considered for
administrative points on the factors listed in Section 5.3.

4.4 Required Information Not Found on Standard Application Forms
In addition to completing the standard application forms, you must submit supplementary
materials:
1. Evidence of Legal Existence
Demonstrate that your organization is legally recognized under state and federal law.
Satisfactory documentation includes but is not limited to, certificates from the Secretary of
State, or copies of state statutes or laws establishing your organization. Letters from the IRS
awarding tax-exempt status are not considered adequate evidence.
2. List of Directors and Officers
Submit a certified list of directors and officers with their respective terms.
3. IRS Tax exempt Status
Submit evidence of tax exempt status from the IRS.
4. Debarment and Suspension Rules
You must disclose debarment and suspension information required in accordance with 2 CFR
417 “Nonprocurement Debarment and Suspension,” if it applies.
5. Drug-free Workplace Requirements
You must identify all of your organization’s known workplaces by including the actual
address of buildings (or parts of buildings) or other sites where work under the award takes

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place. Workplace identification is required under the drug-free workplace requirements in
accordance with 2 CFR PART 421 “Requirements for Drug-Free Workplace” (Financial
Assistance).
6. Audit
Submit the most recent audit of your organization.
7. Financial statements
Submit the following financial statements:
•

Balance sheets, income statements, and cash flow statements for the last three years.
If the applicant organization has been formed less than three years, the financial
statements should be submitted for the periods from inception to the present including
pro forma balance sheet at start-up and for at least three additional years.

8. Other Organizational Documents
If contracting with an affiliated organization, please provide the contract and/or legal
documents that illustrate the affiliation between the contractor and your organization. For
further information, contact the WEP staff at 202.720.9589.

4.5 Optional Information Not Found on Standard Application Forms
You may present additional information to support and describe your plan for achieving the
grant objectives. The information may be regarded as essential for understanding and
evaluating the project such as letters of support, resolutions, policies, etc. The supplements
may be presented in appendices to the proposal.

Section 5: Application Review Process
5.1 Receipt Acknowledgment
RUS will acknowledge the application’s receipt by letter within 30 days of receiving your
application. Your application will be reviewed for completeness to determine if you included
all of the items required. If your application is incomplete or ineligible, RUS will return it to
you with an explanation.

5.2 Evaluating the Application
A review team, composed of at least two members, will independently evaluate all
applications and proposals. They will make overall recommendations based on factors such
as eligibility, clarity, detailed information, application completeness, and conformity to
application requirements. They will score the applications based on criteria in the next
section.

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5.3 Scoring Criteria
All applications that are complete and eligible will be ranked competitively based on the
following scoring criteria, in accordance with RUS Guide 1775-2:
1

8
9

Applicant Status: National Organization
Multi-State Organization
State/Area Organization
Applicant experience at developing and implementing
successful technical assistance and/or training
programs:
More than 10 years
Six to ten years
Up to five years
Applicant resources – organizational staff versus
contract personnel to carry out the technical assistance
and/or training:
At least 75% staff
50% to 75% staff
Less than 50% staff * (See Regulatory Requirement)
Population of proposed area(s) to be served:
Less than 2,500
Less than 5,500
5,500 or more
MHI of proposed area(s) to be served:
Less than 80% of the SNMHI (State Non-metropolitan
Median Household Income)
80% to 100% of the SNMHI
More than 100% of the SNMHI
Project Duration:
Projects providing technical assistance and/or training
that accomplish the objective within a 12 month or less
time frame
Over 12 months
Needs Assessment - The problem/issue(s) being
addressed is clearly defined, supported by data, and
addresses the need.
Goals and objectives are clearly defined, tied to the
need as defined in the work plan, and are measurable.
Work plan - Clearly articulates a well thought out
approach to accomplishing objectives; clearly
identifies who will be served by project.
Actual assistance provided:

10 points
5 points
2 points

5 points
2 points
0 points

10 points
5 points
Ineligible
Up to 15 points
Up to 10 points
0 points
Up to 10 points
Up to 5 points
0 points
5 points

0 points
Up to 15 points

Up to 15 points
Up to 40 points

The Technical Assistance Grant Programs Application Guide, FY 2017

Applicant is providing “hands on” technical assistance
and/or training primarily to water and waste systems
managers/operators.
Applicant is providing technical assistance primarily
through the distribution of educational materials and
other outreach methods.
Applicant is providing technical assistance through a
demonstration project.
Evaluation methods are, specific to the activity, clearly
defined, measurable, with expected project outcomes.
In-Kind Support:
Demonstrated commitment of non-federal resources of
more than 25% of total budget.
Demonstrated commitment of non-federal resources
10- 25% of total budget.
Less than 10% of non-federal resources.
Sustainability: Applicant demonstrates ability to
sustain project without federal award using a thorough
financial analysis to include: cash on hand, projected
revenues, outside source contributions, and show a
steady increase to sustainability within 5 years.
Administrator Discretion: RUS Administrator may
provide additional points based on the following
factors: geographic, economic, agency priority
issues.**

11
12

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Up to 20 points
or
Up to 10 points
or
Up to 5 points
Up to 20 points

10 points
5 points
0 points
Up to 10 points

Up to 15 points

* 7 CFR 1775. 35 Eligibility - (e) (3) Applicants may contract with a nonaffiliated organization
for not more than 49 percent of the grant to provide the proposed assistance. The Water and
Environmental Program’s definition of an affiliated organization is as follows:
1) In corporate law and taxes, an affiliate is a company that is related to another company,
usually by being in the position of a member or a subordinate role (must be verified by
organizational documentation). Two companies may be affiliated if one company has control
over the other or if both are controlled by a third company, and
2) One corporation can be affiliated with another corporation by shareholdings, by holding a
minority interest, or one corporation might be a subsidiary of another.

**Administrative Points – In order to be considered for Administrative
Points the applicant’s work plan must include a separate section titled
“Administrative Points”. In this section, the TAT applicant will address
the following factors:
•

Directs technical assistance to Priority 1 or 2 colonia communities.
o Priority 1 : Colonia communities NOT served by a public water and/or
wastewater facility and a health hazard is present.

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o Priority 2: Colonia residents NOT served by a public water system or
wastewater disposal system; or colonias residents with an existing onsite
wastewater treatment system that is not adequate.
Directs technical assistance to areas which lack running water, flush toilets, and
modern sewage disposal systems, and areas which have open sewers and high rates of
disease caused by poor sanitation.
Facilitate Workshop in a Box: Sustainable Management of Rural and Small System
Workshops. The workshops must utilize the two key tools: The Rural and Small
Systems Guidebook to Sustainable Utility Management and Workshop in a Box:
Sustainable Management of Rural and Small Systems Workshops. Tools and
resources can be found at www.rd.usda.gov/programs-services/services/sustainablemanagement-tools.
o To qualify for the administrative points in this category, applicant must meet
the minimum requirements:
 National Applicant – 2 Workshops per state (50 total) for the grant
period.
 Multistate Applicant – 2 Workshops per state for the grant period.
 Single State Applicant – 2 Workshops for the grant period.

The administrative points will be awarded solely on the aforementioned factors, up to
15 points.

5.4 Application Selection
RUS will rank all qualifying applications by their final score. Applications will be selected
for funding, based on the highest scores and the availability of funding for TAT grants. Each
applicant will be notified in writing of whether or not the application has been selected
for funding.
Note: Applicants selected for funding must have an active registration with current
information in SAM. The Non-Federal Entity must maintain the currency of your
information in the SAM until you submit the final financial report required under this
award and all grants funds under this award have been disbursed or de-obligated,
whichever is later. This requires that you review and update the information at least
annually after the initial registration, and more frequently if required by changes in
your information or another award term. Recipients can register online at
www.sam.gov. You as the recipient may not make a sub-award to an entity unless the
entity has provided its D&B DUNS number to you. Sub-recipients with sub-awards of
$25,000 or more must also have and maintain a current SAM registration. You as the
recipient must report each first tier sub-awards of $25,000 or more in non-Recovery Act
funds to www.fsrs.gov no later than the end of the month following the month the
obligation was made.

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5.5 Possible RUS Actions on the Application
In making its decision about your application, RUS may determine that your application is:
•
•
•
•

Eligible and selected for funding,
Eligible but offered fewer funds than requested,
Eligible but not selected for funding, or
Ineligible for the grant.

5.6 Appeals Process
In accordance with 7 CFR Part 1900, subpart B, you generally have the right to appeal
adverse decisions. Some adverse decisions cannot be appealed. For example, if you are
denied RUS funding due to a lack of funds available for the grant program, this decision
cannot be appealed.
However, you may make a request to the National Appeals Division (NAD) to review the
accuracy of our finding that the decision cannot be appealed. The appeal must be submitted
within the proper timeframe, in writing and filed at the appropriate regional office, which can
be found at www.nad.usda.gov/about_nad or 703.305.1166.

Appendix—Rules and Regulations
These rules and regulations have been mentioned throughout the text of the guidelines, but
are listed in one place for easy reference. The Code of Federal Regulation is located at
www.ecfr.gov/cgi-bin/ECFR?page=browse.







7 CFR 1775 “Technical Assistance and Training Grant Program”
2 CFR 417 “Nonprocurement Debarment and Suspension”
2 CFR 421 “Requirements for Drug-free Workplace” (Financial Assistance)
7 CFR 1900, subpart B, “Adverse Decisions and Administrative Appeals”
2 CFR 400 “Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards”
2 CFR 200 “Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards”

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Section 6: The Solid Waste Management Grant (SWM) Program
6.1 Introduction
Solid Waste Management systems are basic and vital to both health and economic
development. With dependable facilities, rural communities can attract families and
businesses that will invest in the community and improve the quality of life for all residents.
Without dependable facilities, the communities cannot sustain economic development.
RUS supports the sound development of rural communities and the growth of our economy
without endangering the environment. RUS provides financial and technical assistance to
help communities bring environmentally sound waste disposal facilities to rural Americans in
greatest need.
The SWM Grant Program has been established to assist communities through free technical
assistance and/or training provided by the grant recipients. Qualified organizations will
receive SWM grant funds to reduce or eliminate pollution of water resources in rural areas,
and improve planning and management of solid waste sites in rural areas.
In this guide, you will find information to help you
•
•
•

Assess your eligibility for RUS grant assistance
Understand how and when to apply
Create a successful application

6.2 Authorization
On November 2, 1987, the Farmers Home Administration (FmHA) (predecessor of RUS)
published 7 CFR 1942, subpart J, SWM Grants, as a final rule in the Federal Register (52 FR
41950) implementing a new grant program. On February 5, 1992, FmHA published 7 CFR
1942, subpart J, SWM Grants, as a final rule in the Federal Register (57 FR 4357) revising
the regulation to implement another new grant program. In 1994, when RUS assumed the
functions of the Water and Waste Disposal programs from the former FmHA and the Rural
Development Administration (RDA), RUS changed the SWM and SWM grants regulations
from 7 CFR 1942, subpart J, to 7 CFR 1775.
Should any differences result in the interpretation of these guidelines and 7 CFR Part 1775,
the regulation will take precedence over information contained in this guide. This guide is to
be used in conjunction with 7 CFR Part 1775.

6.3 Available funding for FY 2017
The amount available for Fiscal Year 2017 will be determined when the budget is approved
by Congress.

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6.4 SWM Program Contacts
WEP staff will administer the SWM Program. We encourage you to contact WEP staff early
in the application process with any questions or ideas concerning your proposal. Staff will
answer your questions about the application process and program requirements.
Telephone: 202.720.9589
Fax: 202.690.0649
Email: [email protected]

6.5 SWM Resources on the Web
Visit us on the web at http://www.rd.usda.gov/programs-services/solid-waste-managementgrants.

Section 7: General Considerations for a SWM Grant
7.1 Eligible Organizations
An organization is eligible to receive a SWM grant if it:
a. Is a private, non-profit organization that has tax-exempt status from the IRS;
b. Is a public body;
c. Is a federally acknowledged or state-recognized Native American tribe or group;
d. Is an academic institution;
e. Is legally established and located within one of the following:
•
•
•
•

a state within the United States
the District of Columbia
the Commonwealth of Puerto Rico
a United States territory

f. Has the legal capacity and authority to carry out the grant purpose;
g. Has a proven record of successfully providing technical assistance and/or training to
rural areas;
h. Has capitalization acceptable to the Agency, and is composed of at least 51 percent of
the outstanding interest or membership being citizens of the United States or
individuals who reside in the United States after being legally admitted for permanent
residence;

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i. Has no delinquent debt to the federal government or no outstanding judgments to
repay a federal debt;
j. Demonstrates that it possesses the financial, technical, and managerial capability to
comply with federal and state laws and requirements.
k. Contracts with a nonaffiliated organization for not more than 49 percent of the grant
to provide the proposed assistance.

7.2 Eligible Grant Purposes
The following activities are authorized under the SWM statute:
Grant funds must be used to capitalize a SWM program for the purpose of:
a. Evaluating current landfill conditions to determine threats to water resources.
b. Providing technical assistance and/or training to enhance operator skills in the
operation and maintenance of active landfills.
c. Providing technical assistance and/or training to help communities reduce the solid
waste stream.
d. Providing technical assistance and/or training for operators of landfills which are
closed or will be closed in the near future with the development and implementation
of closure plans, future land use plans, safety and maintenance planning, and closure
scheduling within permit requirements.

7.3 Ineligible Grant Purposes
Grant funds may not be used to pay any of the following:
a. Recruit applications for the Agency’s water and waste loan and/or any loan and/or
grant program;
b. Duplicate current services, or replace or substitute support normally provided by
other means, such as those performed by an association’s consultant in developing a
project, including feasibility, design, and cost estimates.
c. Fund political or lobbying activities.
d. Purchase real estate or vehicles, improve or renovate office space, or repair and
maintain privately owned property.
e. Pay the costs for construction, improvement, rehabilitation, modification or operation
and maintenance of water, wastewater, and solid waste disposal facilities.
f. Construct or furnish a building.
g. Intervene in the federal regulatory or adjudicatory proceedings.
h. Sue the federal government or any other government entities.
i. Pay for technical assistance which duplicates assistance provided to implement an
action plan funded by the Forest Service (FS) under the National Forest-Dependent
Rural Communities Economic Diversification Act (7 U.S.C. 6601 note) for five
continuous years from the date of grant approval by the FS. To avoid duplicate

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assistance, coordinate with the Rural Development state office and the Forest Service
before submitting an application.
j. Pay for any other costs that are not allowable under 2 CFR 200, Subpart E, “Cost
Principles.”

7.4 Security Requirements
A grant agreement will be executed between the Non-Federal Entity (formerly known as
Grantee) and the Agency.

Section 8: Application Submission Process
8.1 Two Ways of Filing Applications
You may file an application in either electronic or paper format. File an application
electronically through www.grants.gov, the official federal government grants website. Send
or deliver paper applications by the U.S. Postal Service (USPS) or courier delivery services
to the RUS receipt point. RUS will not accept applications by fax or e-mail.

8.2 DUNS Number Requirement
Whether you file a paper or an electronic application, you will need a D&B DUNS number.
You must provide your DUNS number on the SF-424, “Application for Federal Assistance.”
To verify that your organization has a DUNS number or to receive one at no cost, call the
dedicated toll-free request line at 1.866.705.5711 or access the website www.dnb.com. You
will need the following pieces of information when requesting a DUNS number:









8.3 Paper Applications
Mail or ensure delivery of an original paper application (no stamped, photocopied, or
initialed signatures) and two copies by the deadline date of December 31, 2016.

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If your grant application will service only one state, please forward your application to your
local USDA Rural Development office. The address and contact information for each
state’s USDA Rural Development Office can be accessed at www.rd.usda.gov/contactus/state-offices.
If the grant application will service more than one state, please forward the application to:
Assistant Administrator
Water and Environmental Programs
Rural Development, Rural Utilities Service
United States Department of Agriculture
1400 Independence Avenue, S.W.
STOP 1548, Room 5145 South
Washington, DC 20250-1548
The application and any materials sent with it become federal records by law and cannot be
returned to you.

8.4 Electronic Applications
You may file an electronic application at http://www.grants.gov/
You must be registered with Grants.gov before you can submit a grant application. If you
have not used Grants.gov before, you will need to register with SAM. You will need a D&B
DUNS number to access or register at any of the services. The registration processes may
take several business days to complete. Follow the instructions at Grants.gov for registering
and submitting an electronic application. RUS may request original signatures on
electronically submitted documents later.
SAM registers your organization, housing your organizational information and allowing
Grants.gov to use it to verify your identity. You may register online at: http://www.sam.gov.
All electronic documents must be submitted using one of the following formats:




Excel
Word
PDF

8.5 Deadlines for Grant Applications
All applications may be filed starting on October 1, 2016 and must be received by close
of business or postmarked by midnight December 31, 2016. Applications may be handdelivered to the state office by close of business December 31, postmarked, or timestamped electronically by the filing deadline of midnight (Eastern Time) December 31
to be considered submitted on time. Applications received after midnight on December
31 will NOT be considered in that year’s review and will be returned to the applicant.

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Paper applications must show proof of mailing or shipping consisting of one of the
following:
• A legibly dated U.S. Postal Service (USPS) postmark
• A legible mail receipt with the date of mailing stamped by the USPS
• A dated shipping label, invoice, or receipt from a commercial carrier
Note: Packages arriving at USDA via the USPS are irradiated,
which can damage the contents. RUS encourages you to consider the
impact of this procedure in selecting your application delivery method.
Also, if there is a disruption in mail delivery service, we strongly
encourage you to submit applications via express mail or commercial
delivery to our office.

Section 9: Requirements for a Completed Grant
9.1 Preparing the Application
To be considered for support, you must be an eligible entity and must submit a complete
application by the deadline date. You should consult the cost principles and general
administrative requirements for grants pertaining to their organizational type in order to
prepare the budget and complete other parts of the application. You also must demonstrate
compliance (or intent to comply), through certification or other means, with a number of
public policy requirements.

Completed Application
1.
2.
3.
4.
5.

Standard application forms
A proposal
A work plan
A budget and budget justification
Evidence of legal existence and
legal authority
6. A list of directors and officers
7. Other specified information

9.2 Required Forms
Applicants must complete and submit the following forms to apply for a SWM grant:
•
•
•

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•
•
•
•
•
•
•
•

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Standard Form LLL, “Disclosure of Lobbying Activity”
Form RD 400-1, “Equal Opportunity Agreement”
Form RD 400-4, “Assurance Agreement” (Under Title VI, Civil Rights Act of 1964)
Form AD 1047, “Certification Regarding Debarment, Suspension, and Other
Responsibility Matters - Primary Covered Transaction”
Form AD 1048, “Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion – Lower Tier Covered Transactions”
Form AD 1049, “Certification Regarding Drug-free Workplace Requirements”
Form AD 3030, “Representations Regarding Felony Conviction and Tax Delinquent
Status for Corporate Applicants”
Other required supporting forms/information as listed in 7 CFR 1775.10 (c) and (d)

9.3 Project Proposal
The project proposal should outline the project in sufficient detail to provide the reader with
a complete understanding of how the proposed project will work. Explain what your project
will accomplish utilizing the grant funds. Demonstrate the feasibility of the proposed project
in meeting the objectives of this grant program. Proposals should be no more than 20 pages
single sided using a font size of 12 points (Times New Roman font style preferred). The
proposal should cover the following elements:
1. Project Summary
Present a brief project overview. Explain the purpose of the project, how it relates to RUS’
purposes, how you will carry out the project, what the project will produce, and who will
direct it.
2. Needs Assessment
Describe why the project is necessary. Demonstrate that eligible entities need grant funds.
Quantify the number of prospective communities or provide statistical or narrative evidence
that a sufficient number of communities will exist to justify the grant award. Describe the
service area, including population and Median Household Income (MHI). Address the
community needs.
3. Project Goals and Objectives
Clearly state your project goals. Your objectives should clearly describe the goals and be
concrete and specific enough to be quantitative or observable. They should also be feasible
and relate to the purpose of the project.
4. Project Narrative
The narrative should cover in more detail the items briefly described in the Project Summary.
It should establish the basis for any claims that you have substantial expertise in providing
effective Solid Waste Management technical assistance and/or training. In describing what
the project will achieve, you should tell the reader if it also will have broader influence. The
narrative should address the following points:

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•

Document your ability to administer SWM in accordance with the provisions of 7
CFR 1775.

•

Document that, to establish a SWM, project you can commit financial resources your
organization controls. This documentation should describe the sources of funds other
than the SWM grant that will be used to pay your operational costs and provide
financial assistance for projects.

•

Demonstrate that you have secured commitments of significant financial support from
other funding sources, if appropriate.

The benefits of the technical assistance and/or training.

•

Brief description of how the service will be provided and whether currently employed
personnel or contracted personnel will be used.

6. Budget and Budget Justification
The written justification for projected costs should explain how budget figures were
determined for each category. It should indicate which costs are to be covered by grant funds
and which costs will be met by your organization or other organizations. The justification
should account for all expenditures discussed in the narrative. It should reflect appropriate
cost-sharing contributions. The budget justification should explain the budget and
accounting system proposed or in place. The administrative costs for operating the budget
should be expressed as a percentage of the overall budget. The budget justification should
provide specific budget figures, rounding off figures to the nearest dollar. Applicants should
consult 2 CFR Part 200, Subpart E, “Cost Principles,” for information about appropriate costs
for each budget category.
7. Area(s) to be Served
Describe the areas to be served, including population, non-metropolitan median household
income information, and the name of association(s) or type of association(s) that will be
served. Also describe the method used to select the association(s) that will receive the
service.
8. Summary of Experience
Give a brief summary of experience of the applicant to provide the proposed service. More
details, including experience of key staff members, resumes, and person(s) providing the
technical assistance and/or training, may be included in an appendix.

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9. Evaluation Method(s)
Describe the evaluation method(s) to determine if objective(s) or the proposed activity is
being accomplished.
10. Duration of Project/Service
Briefly describe the duration of the project or service, and the estimated time from grant
approval to beginning of project or service, not to exceed 12 months. The grant period
begins October 1 of each year and ends September 30 of the following year.
11. Sustainability
Briefly describe the plans for increased self-sustainability for the project/service in future
years, including how the project will be sustained in the future without federal award.
12. Administrative Points
To be considered for administrative points the applicant should discuss the factors outlined at
the end of Section 10.3.

9.4 Required Information Not Found on Standard Application Forms
In addition to completing the standard application forms, you must submit supplementary
materials:
1. Evidence of Legal Existence
Demonstrate that your organization is legally recognized under State and Federal law.
Satisfactory documentation includes but is not limited to, certificates from the Secretary of
State, or copies of state statutes or laws establishing your organization. Letters from the IRS
awarding tax-exempt status are not considered adequate evidence.
2. List of Directors and Officers
Submit a certified list of directors and officers with their respective terms.
3. IRS Tax Exempt Status
Submit evidence of tax exempt status from the IRS.
4. Debarment and Suspension Rules
You must disclose debarment and suspension information required in accordance with 2 CFR
417, “Nonprocurement Debarment and Suspension,” if it applies.
5. Drug-Free Workplace Requirements
You must identify all of your organization’s known workplaces by including the actual
address of buildings (or parts of buildings) or other sites where work under the award takes
place. Workplace identification is required under the drug-free workplace requirements in
accordance with 2 CFR 421 “Requirements for Drug-Free Workplace.” (Financial
Assistance).

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6. Audit
Submit the most recent audit of your organization.
7. Financial Statements
Submit the following financial statements:
•

9.5 Optional Information Not Found on Standard Application Forms
You may present additional information to support and describe your plan for achieving the
grant objectives. The information may be regarded as essential for understanding and
evaluating the project such as letters of support, resolutions, policies, etc. The supplements
may be presented in appendices to the proposal.

Section 10: Application Review Process
10.1 Receipt Acknowledgment
RUS will acknowledge the application’s receipt by letter within 30 days of receiving your
application. Your application will be reviewed for completeness to determine if you included
all of the items required. If your application is incomplete or ineligible, RUS will return it to
you with an explanation.

10.2 Evaluating the Application
A review team, composed of at least two members, will independently evaluate all
applications and proposals. They will make overall recommendations based on factors such
as eligibility, clarity, detailed information, application completeness, and conformity to
application requirements. They will score the applications based on criteria in the next
section.

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10.3 Scoring Criteria
All applications that are complete and eligible will be ranked competitively based on the
following scoring criteria, in accordance with RUS Guide 1775-2:
1

8
9

Applicant Status: National Organization
Public Body
Non-profit Organization
Applicant experience at developing and implementing
successful technical assistance and/or training
programs:
More than 10 years
Six to ten years
Up to five years
Applicant resources – organizational staff versus
contract personnel to carry out the technical assistance
and/or training:
At least 75% staff
50% to 75% staff
Less than 50% staff* (See Regulatory Requirement)
Population of proposed area(s) to be served:
Less than 2,500
Less than 5,500
5,500 or more
MHI of proposed area(s) to be served:
Less than 80% of the SNMHI (State Non-metropolitan
Median Household Income)
80% to 100% of the SNMHI
More than 100% of the SNMHI
Project Duration:
Projects providing technical assistance and/or training
that accomplish the objective within a 12 month or less
time frame
Over 12 months
Needs Assessment - The problem/issue(s) being
addressed is clearly defined, supported by data, and
addresses the need.
Goals and objectives are clearly defined, tied to the
need as defined in the work plan, and are measurable.
Work plan - Clearly articulates a well thought out
approach to accomplishing objectives; clearly
identifies who will be served by project.
Actual assistance provided:

10 points
5 points
2 points

5 points
2 points
0 points

10 points
5 points
Ineligible
Up to 15 points
Up to 10 points
0 points
Up to 10 points
Up to 5 points
0 points
5 points

0 points
Up to 15 points

Up to 15 points
Up to 40 points

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Applicant is providing “hands on” technical assistance
and/or training primarily to solid waste management
systems managers/operators.
Applicant is providing technical assistance primarily
through the distribution of educational materials and
other outreach methods.
Applicant is providing technical assistance through a
demonstration project.
Evaluation methods are specific to the activity, clearly
defined, measurable, with expected project outcomes.
In-Kind Support:
Demonstrated commitment of non-federal resources of
more than 25% of total budget.
Demonstrated commitment of non-federal resources
10- 25% of total budget.
Less than 10% of non-federal resources.
Sustainability: Applicant demonstrates ability to
sustain project without federal award using a thorough
financial analysis to include: cash on hand, projected
revenues, outside source contributions, and show a
steady increase to sustainability within 5 years.
Administrator Discretion: RUS Administrator may
provide additional points based on the following
factors: geographic, economic, agency priority
issues.**

11
12

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Up to 20 points
or
Up to 10 points
or
Up to 5 points
Up to 20 points

10 points
5 points
0 points
Up to 10 points

Up to 15 points

* 7 CFR 1775. 65 Eligibility - (e) (3) Applicants may contract with a nonaffiliated organization
for not more than 49 percent of the grant to provide the proposed assistance. The Water and
Environmental Program’s definition of an affiliated organization is as follows:
1) In corporate law and taxes, an affiliate is a company that is related to another company,
usually by being in the position of a member or a subordinate role (must be verified by
organizational documentation). Two companies may be affiliated if one company has control
over the other or if both are controlled by a third company, and
2) One corporation can be affiliated with another corporation by shareholdings, by holding a
minority interest, or one corporation might be a subsidiary of another.

**Administrative Points – In order to be considered for Administrative
Points the applicant’s work plan must include a separate section titled:
“Administrative Points”. In this section the SWM applicant will address the
following factors:
•

Work plans that direct technical assistance to the smallest communities with the
lowest incomes, with an emphasis on areas where at least 20 percent of the population
is living in poverty, according to the American Community Survey data by census
tracts;

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•

Work plans that establish a household hazardous waste (HHW) collection program
that emphasize the collection of heavy metal sources such as batteries and consumer
electronics in order to reduce contaminants in water resources; and/or

•

Work plans that establish composting programs and emphasize reducing food loss
and waste in order to divert food waste from landfills, improve overall food security,
and secure our nations natural resources. Composting programs should include the
collection of compostable materials from food, yard and/or paper waste.

The administrative points will be awarded solely on the aforementioned factors, up to
15 points.

10.4 Application Selection
RUS will rank all qualifying applications by their final score. Applications will be selected
for funding, based on the highest scores and the availability of funding for SWM grants.
Each applicant will be notified in writing of whether or not the application has been
selected for funding.
Note: Applicants selected for funding must have an active registration with current
information in SAM. The Non-Federal Entity must maintain the currency of your
information in the SAM until you submit the final financial report required under this
award and all grants funds under this award have been disbursed or de-obligated,
whichever is later. This requires that you review and update the information at least
annually after the initial registration, and more frequently if required by changes in
your information or another award term. Recipients can register online at
www.sam.gov. You as the recipient may not make a sub-award to an entity unless the
entity has provided its D&B DUNS number to you. Sub-recipients with sub-awards of
$25,000 or more must also have and maintain a current SAM registration. You as the
recipient must report each first tier sub-awards of $25,000 or more in non-Recovery Act
funds to http://www.fsrs.gov no later than the end of the month following the month the
obligation was made.

10.5 Possible RUS Actions on the Application
In making its decision about your application, RUS may determine that your application is:
•
•
•
•

Eligible and selected for funding,
Eligible but offered fewer funds than requested,
Eligible but not selected for funding, or
Ineligible for the grant.

10.6 Appeals Process
In accordance with 7 CFR 1900, subpart B, you generally have the right to appeal adverse
decisions. Some adverse decisions cannot be appealed. For example, if you are denied RUS

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funding due to a lack of funds available for the grant program, this decision cannot be
appealed.
However, you may make a request to NAD to review the accuracy of our finding that the
decision cannot be appealed. The appeal must be submitted within the proper timeframe, in
writing and filed at the appropriate regional office, which can be found at
www.nad.usda.gov/about_nad or 703.305.1166.

Appendix—Rules and Regulations
These rules and regulations have been mentioned throughout the text of the guidelines, but
are listed in one place for easy reference. The Code of Federal Regulations is located at
www.ecfr.gov/cgi-bin/ECFR?page=browse.
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7 CFR 1775 “Solid Waste Management Grant Program”
2 CFR 417 “Nonprocurement Debarment and Suspension”
2 CFR 421 “Requirements for Drug-free Workplace” (Financial Assistance)
7 CFR 1900, subpart B, “Adverse Decisions and Administrative Appeals”
2 CFR 200, “Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards”
2 CFR 400, “Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards”

File Type	application/pdf
Author	Wyn Francis
File Modified	2016-09-29
File Created	2016-09-29