Application Guide

ApplicationGuideTAT_SWMGrants_FY20.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 2020
This application guide has been updated with new guidelines and procedures,
marked in red. Please read each section thoroughly.
In accordance with Federal civil rights law and U.S. Department of Agriculture (USDA)
civil rights regulations and policies, the USDA, its Agencies, offices, and employees, and
institutions participating in or administering USDA programs are prohibited from
discriminating based on race, color, national origin, religion, sex, gender identity
(including gender expression), sexual orientation, disability, age, marital status,
family/parental status, income derived from a public assistance program, political beliefs,
or reprisal or retaliation for prior civil rights activity, in any program or activity
conducted or funded by USDA (not all bases apply to all programs). Remedies and
complaint filing deadlines vary by program or incident.
Persons with disabilities who require alternative means of communication for program
information (e.g., Braille, large print, audiotape, American Sign Language, etc.) should
contact the responsible Agency or USDA's TARGET Center at (202) 720-2600 (voice and
TTY) or contact USDA through the Federal Relay Service at (800) 877-8339. Additionally,
program information may be made available in languages other than English.

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To file a program discrimination complaint, complete the USDA Program Discrimination
Complaint Form, AD-3027, found online at How to File a Program Discrimination
Complaint and at any USDA office or write a letter addressed to USDA and provide in the
letter all of the information requested in the form. To request a copy of the complaint
form, call (866) 632-9992. Submit your completed form or letter to USDA by: (1) mail: U.S.
Department of Agriculture, Office of the Assistant Secretary for Civil Rights, 1400
Independence Avenue, SW, Washington, D.C. 20250-9410; (2) fax: (202) 690-7442; or (3)
email: [email protected].
USDA is an equal opportunity provider, employer, and lender.

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Table of Contents
SECTION 1: THE TECHNICAL ASSISTANCE AND TRAINING GRANT
PROGRAM ................................................................................................................ 1
1.1 Introduction ................................................................................................................................................................................ 1
1.2 Authorization .............................................................................................................................................................................. 1
1.3 Available funding for FY 2020 ............................................................................................................................................. 1

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 ................................................................................................................................................................... 4
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 ................................................................................................................................................................. 8
3. Project Goals and Objectives ............................................................................................................................................. 8
4. Project Narrative .................................................................................................................................................................... 8
5. Work Plan .................................................................................................................................................................................. 8
6. Budget and Budget Justification ...................................................................................................................................... 8
7. Area(s) to be Served ............................................................................................................................................................. 9

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

11. Sustainability ........................................................................................................................................................................ 9
12. Administrative Points ....................................................................................................................................................... 9

4.4 Required Information Not Found on Standard Application Forms .................................................................... 9

3. IRS Tax exempt Status .......................................................................................................................................................10
4. Debarment and Suspension Rules ................................................................................................................................10
5. Drug-free Workplace Requirements ...........................................................................................................................10

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 ................................................................................. 11
5.1 Receipt Acknowledgment....................................................................................................................................................11

5.2 Evaluating the Application ..................................................................................................................................................11
5.3 Scoring Criteria ........................................................................................................................................................................11
5.4 Application Selection .............................................................................................................................................................15
5.5 Possible RUS Actions on the Application ......................................................................................................................15
5.6 Appeals Process .......................................................................................................................................................................15
Appendix—Rules and Regulations ...................................................................................................................................16

Section 6: The Solid Waste Management Grant (SWM) Program ................................ 17
6.1 Introduction ..............................................................................................................................................................................17
6.2 Authorization ............................................................................................................................................................................17
6.3 Available funding for FY 20 ................................................................................................................................................17

6.4 SWM Program Contacts .......................................................................................................................................................17

Section 7: General Considerations for a SWM Grant ........................................................ 18
7.1 Eligible Organizations ...........................................................................................................................................................18
7.2 Eligible Grant Purposes ........................................................................................................................................................19
7.3 Ineligible Grant Purposes ....................................................................................................................................................19

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7.4 Security Requirements .........................................................................................................................................................20

Section 8: Application Submission Process ......................................................................... 20
8.1 Two Ways of Filing Applications ......................................................................................................................................20
8.2 DUNS Number Requirement ..............................................................................................................................................20

8.3 Paper Applications .................................................................................................................................................................20
8.4 Electronic Applications ........................................................................................................................................................21
8.5 Deadlines for Grant Applications .....................................................................................................................................22

Section 9: Requirements for a Completed Grant ............................................................... 22
9.1 Preparing the Application ...................................................................................................................................................22

9.2 Required Forms .......................................................................................................................................................................23
9.3 Project Proposal ......................................................................................................................................................................23
1. Project Summary ..................................................................................................................................................................23
2. Needs Assessment ...............................................................................................................................................................24
3. Project Goals and Objectives ...........................................................................................................................................24

4. Project Narrative ..................................................................................................................................................................24
5. Work Plan ...............................................................................................................................................................................24
6. Budget and Budget Justification ....................................................................................................................................24
7. Area(s) to be Served ...........................................................................................................................................................25
8. Summary of Experience ....................................................................................................................................................25

9. Evaluation Method(s) ........................................................................................................................................................25
10. Duration of Project/Service..........................................................................................................................................25

11. Sustainability ......................................................................................................................................................................25
12. Administrative Points ....................................................................................................................................................25

9.4 Required Information Not Found on Standard Application Forms ..................................................................25

1. Evidence of Legal Existence ............................................................................................................................................25
2. List of Directors and Officers ..........................................................................................................................................26
3. IRS Tax Exempt Status .......................................................................................................................................................26
4. Debarment and Suspension Rules ................................................................................................................................26
5. Drug-Free Workplace Requirements ..........................................................................................................................26

6. Audit ..........................................................................................................................................................................................26
7. Financial Statements ..........................................................................................................................................................26
8. Other Organizational Documents .................................................................................................................................26

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9.5 Optional Information Not Found on Standard Application Forms ...................................................................26

Section 10: Application Review Process ............................................................................... 27
10.1 Receipt Acknowledgment .................................................................................................................................................27
10.2 Evaluating the Application ...............................................................................................................................................27
10.3 Scoring Criteria .....................................................................................................................................................................27

10.4 Application Selection ..........................................................................................................................................................30
10.5 Possible RUS Actions on the Application ...................................................................................................................31
10.6 Appeals Process ....................................................................................................................................................................31
Appendix—Rules and Regulations .........................................................................................................................................31

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:
U.S. Department of Agriculture

Program Development and Regulatory Analysis
Rural Development, Rural Utilities Service
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.
1.3 Available funding for FY 2020

The amount available for Fiscal Year 2020 will be determined when the budget is
approved by Congress.
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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: 202.720.9635
Fax: 202.690.0649

Email: [email protected]

1.5 TAT Resources online

Program information is available on the internet at:
https://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;

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.
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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.

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.
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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 https://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 Data Universal
Numbering System (DUNS) number. You must provide your DUNS number on the SF424, “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 http://www.dnb.com.
You will need the following pieces of information when requesting a DUNS number:





Legal name







Physical address

Headquarters name and address of the organization

Doing business as (dba) or other name by which the organization is commonly
recognized
Mailing address (if separate from headquarters and/or physical address)
Telephone number

Contact name and title

Number of employees at the physical location

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, 2019.

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
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each state’s USDA Rural Development Office can be accessed at
https://www.rd.usda.gov/contact-us/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. 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.
3.4 Electronic Applications
You may file an electronic application at https://www.grants.gov.

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Submit all electronic documents using one of the following formats:





Excel

Word
PDF

3.5 Deadlines for Grant Applications
Applications may be filed between October 1, 2019, and December 31, 2019.
Applications that are hand-delivered to the state office must be received by close of
business on December 31, 2019. Applications that are mailed must be postmarked by
the filing deadline of 11:59 p.m. (Eastern Time) December 31, 2019. Applications
submitted through Grants.gov must be submitted by 11:59 p.m. (Eastern Time)
December 31, 2019. Applications received after these times will NOT be considered in
that year’s review and will be returned to the applicant. Applications will not be
accepted via fax or electronic mail. If the submission deadline falls on Saturday, Sunday,
or a federal holiday, the application is due the next business day.

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.

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4.2 Required Forms
Applicants must complete and submit the following forms to apply for a TAT grant.
Note: Some forms may be available via www.sam.gov, however, all forms are required
regardless of the method of submittal:









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 1049, “Certification Regarding Drug-free Workplace Requirements”




Form AD 1048, “Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion – Lower Tier Covered Transactions”
Form AD 3030, “Representations Regarding Felony Conviction and Tax
Delinquent Status for Corporate Applicants,” if applicable

Form AD-3031, “Assurance Regarding Felony Conviction or Tax Delinquent
Status for Corporate Applicant,” if applicable

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.
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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 name of communities to be served,
population and median household income (MHI). Address the specific needs of the
proposed service area.
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 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
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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 as defined by 7 CFR 1775, §1775.2. 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.
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 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
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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 current 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 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, 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 202.720.9635.
4.5 Additional 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.

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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.
5.3 Scoring Criteria

All applications that are complete and eligible will be ranked competitively based on the
following scoring criteria, in accordance with the information contained in this
Application Guide:
Criteria Criteria
No.

Points

10 points

Project Area: National Organization
Multi-State Organization
State/Area Organization

Applicant experience at developing and
implementing successful technical assistance
and/or training programs similar to proposed
project:

2 points

More than ten years

5 points

Up to five years

1 point

Six to ten years
3

5 points

2 points

Applicant resources – use of grant funds for
grantee’s staff versus contract personnel to
carry out the technical assistance and/or
training:
At least 75% staff

10 points

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Criteria Criteria
No.

Points

Between 50% and 74.99% staff
4

Less than 50% staff * (See Regulatory
Requirement)

Population of proposed area(s) to be served
(based on 2010 census):

Up to 15 points

5,500 or more

0 points

Up to 10 points

MHI of proposed area(s) to be served (based on
the American Community Survey data from 5year period of 2006-2010):
Less than 80% of the SNMHI (State Nonmetropolitan Median Household Income)

Up to 10 points

More than 100% of the SNMHI

0 points

80% to 100% of the SNMHI
6

7
8
9
10

Ineligible

Less than 2,500
Less than 5,500

5 points

Project Duration:

Up to 5 points

Projects providing technical assistance and/or
training that accomplish the objective within a
12 month or less time frame

5 points

Needs Assessment - The problem/issue(s)
being addressed is clearly defined, supported
by data, and addresses the need.

Up to 15 points

Over 12 months

0 points

Goals and objectives are clearly defined, tied to
the need as defined in the work plan, and are
measurable.

Up to 15 points

Work plan - Clearly articulates a well thought
out approach to accomplishing objectives;
clearly identifies who will be served by project.

Actual assistance provided. (Projects using
multiple methods may receive a maximum total
score of 20 points for this criterion):
12

Up to 40 points

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The Technical Assistance Grant Programs Application Guide, FY 2020

Criteria Criteria
No.

Points

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.
11
12

Applicant is providing technical assistance
through an evaluation project.

Evaluation methods are, specific to the activity,
clearly defined, measurable, with expected
project outcomes.
In-Kind Support:

Up to 20 points
or

Up to 10 points
or

Up to 5 points

Up to 20 points

Demonstrated commitment of non-federal
resources of more than 25% of total budget.

10 points

Less than 10% of non-federal resources.

0 points

Demonstrated commitment of non-federal
resources 10- 25% of total budget.
13

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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.
Administrator Discretion: RUS Administrator
may provide additional points based on the
following factors: geographic, economic, agency
priority issues.**

5 points

Up to 10 points

Up to 30 points

* 7 CFR 1775. 35(e)(3) Eligibility - 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
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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:
•

Direct technical assistance to Priority 1 or 2 Colonia communities. (4 points)
o Priority 1: Colonia communities NOT served by a public water and/or wastewater
facility and a health hazard is present.
o Priority 2: Colonia residents NOT served by a public water system or wastewater
disposal system; or Colonia residents with an existing onsite wastewater treatment
system that is not adequate.

• Direct 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. (4 points)
• Direct technical assistance to projects located in Substantially Underserved Trust
Areas. (4 points)
• Direct technical assistance to projects located in Opportunity Zones. Assistance
should described be in detail, list opportunity zones that will be affected, and how
projects will provide measurable results in helping rural communities build robust and
sustainable economies. (4 points)
• Direct technical assistance to rural water/wastewater utilities’ efforts to develop the
existing operator workforce and/or plan for and develop new operators to enter the
workforce. (4 points)
• Direct technical assistance to project development for rural water/wastewater utilities
that have developed action plans using the Workshop in a Box - Sustainable Management
of Rural and Small System tools: The Rural and Small Systems Guidebook to Sustainable
Utility Management and Workshop in a Box. Tools and resources can be found at
www.rd.usda.gov/programs-services/services/sustainable-management-tools. (4 points)
o To qualify for the administrative points in this category, applicants must meet the
minimum requirements:
 National Applicant – develop at least 25 projects for the grant period.
 Multistate Applicant – develop at least 5 projects for the grant period.
 Single State Applicant – develop at least 1 project for the grant period.
• Direct technical assistance to address the contamination of drinking water and surface
water supplies by emerging contaminants, including per‐ and polyfluoroalkyl substances.
(6 points)
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The administrative points will be awarded solely on the aforementioned factors,
up to 30 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. The Agency reserves the right to make no grant awards if all applications are
incomplete and/or score below 65 points. Each applicant will be notified via email
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 the System for Award Management (SAM). The recipient must maintain
the currency of your information in SAM until you submit the final financial report
required under this award and all grant 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 DUNS number to you. Sub-recipients with subawards 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.
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
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submitted within the proper timeframe, in writing and filed at the appropriate regional
office, which can be found at https://www.nad.usda.gov/content/file-appeal or
703.305.1151.
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, subpart C, “Technical Assistance and Training Grant Program”



2 CFR 200 “Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards”

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”

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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 solid waste disposal 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

The Solid Waste Management Grant program is authorized by Section 310B of the
Consolidated Farm and Rural Development Act. The regulation governing this program
is 7 CFR Part 1775.
Should any differences result in the interpretation of the guidelines in this Application
Guide 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 2020

The amount available for Fiscal Year 2020 will be determined when the budget is
approved by Congress.
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 concerning your proposal. Staff will
answer your questions about the application process and program requirements.
Telephone: 202.253.0504

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Email: [email protected]

6.5 SWM Resources Online

Program information is available on the internet at
https://www.rd.usda.gov/programs-services/solid-waste-management-grants.

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;
i.

Has no delinquent debt to the federal government or no outstanding
judgments to repay a federal debt;

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.
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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.

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.
Pay for any other costs that are not allowable under 2 CFR 200, Subpart E,
“Cost Principles.”
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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 point of contact. RUS will not accept applications by fax or e-mail.
Detailed information on submission requirements is found in items 8.3 - 8.5 of this
document.
8.2 DUNS Number Requirement

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:





Legal name







Physical address

Headquarters name and address of the organization

Doing business as (dba) or other name by which the organization is commonly
recognized
Mailing address (if separate from headquarters and/or physical address)
Telephone number

Contact name and title

Number of employees at the physical location

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, 2019.

If your grant application will service only one state, please forward your application to
the local USDA Rural Development office. The address and contact information for
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each state’s USDA Rural Development offices can be accessed at
www.rd.usda.gov/contact-us/state-offices.

If the grant application will service more than one state, please forward the
application to:
USDA Rural Development, Rural Utilities Service
Attention: Penny Douglas

103 Cherokee Boulevard, Suite 217
Chattanooga, TN 37405

The application and any materials sent with it become federal records by law
and cannot be returned to you. Paper applications that are mailed must show proof of
mailing or shipping by the deadline, 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, or

•

A dated shipping label, invoice, or receipt from a commercial carrier

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 the System for Award
Management (SAM). You will need a DUNS number (See item 8.2 above) 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. If system errors or technical difficulties occur, use the customer
support resources available at the Grants.gov website.
All electronic documents must be submitted using one of the following formats.
Documents submitted in any other format will not be accessible to RUS, and the application
will be considered incomplete.





Excel

Word
PDF

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8.5 Deadlines for Grant Applications
Applications may be filed between October 1, 2019, and December 31, 2019.
Applications that are hand-delivered to the state office must be received by close of
business on December 31, 2019. Applications that are mailed must be postmarked by
the filing deadline of 11:59 p.m. (Eastern Time) December 31, 2019. Applications
submitted through Grants.gov must be submitted by 11:59 p.m. (Eastern Time)
December 31, 2019. Applications received after these times will NOT be considered in
that year’s review and will be returned to the applicant. Applications will not be
accepted via fax or electronic mail. If the submission deadline falls on Saturday, Sunday,
or a federal holiday, the application is due the next business day.

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.

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9.2 Required Forms
Applicants must complete and submit the following forms to apply for a SWM grant.
Note: Some forms may be available via www.sam.gov, however, all forms are required
regardless of the method of submittal:








Standard Form 424, “Application for Federal Assistance – Non-construction”




Form AD 1047, “Certification Regarding Debarment, Suspension, and Other
Responsibility Matters - Primary Covered Transaction”




Form AD 1049, “Certification Regarding Drug-free Workplace Requirements”




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-3031, “Assurance Regarding Felony Conviction or Tax Delinquent
Status for Corporate Applicant,” if applicable

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’s purposes, how you will carry out the project, what the project will produce, and
who will direct it.
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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 name of communities to be served,
population and Median Household Income (MHI). Address the specific needs of the
proposed service area.
3. Project Goals and Objectives

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:
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.
5. Work Plan




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

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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, as defined by 7 CFR 1775, §1775.2. Also describe the method used
to select the association(s) that will receive the service.
8. Summary of Experience

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
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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 current 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).
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, 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.
9.5 Additional Information Not Found on Standard Application Forms

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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

Points

Project Area:

Multi-State

10 points

Single State

Applicant experience at developing and
implementing successful technical assistance
and/or training programs similar to proposed
project:
More than ten years

5 points

Up to five years

1 point

Six to ten years
3

5 points

2 points

Applicant resources – use of grant funds for
grantee’s staff versus contract personnel to
carry out the technical assistance and/or
training:
At least 75% staff

Between 50% and 74.99% staff
27

10 points
5 points

The Technical Assistance Grant Programs Application Guide, FY 2020

Criteria Criteria
No.

Points

Less than 50% staff* (See Regulatory
Requirement)

Ineligible

Less than 2,500

Up to 15 points

5,500 or more

0 points

Population of proposed area(s) to be served
(based on the 2010 Census):
Less than 5,500

1775-2

Up to 10 points

MHI of proposed area(s) to be served (based on
the American Community Survey data from 5year period of 2006-2010):

Less than 80% of the SNMHI (State Non- Up to 10 points
metropolitan Median Household Income)
80% to 100% of the SNMHI

7
8
9
10

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

Up to 5 points
0 points
5 points
0 points

Needs Assessment - The problem/issue(s) being Up to 15 points
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 (Projects using
multiple methods may receive a maximum total
score of 20 points for this criterion):
28

Up to 15 points
Up to 40 points

The Technical Assistance Grant Programs Application Guide, FY 2020

Criteria Criteria
No.

Points

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.
11
12

Applicant is providing technical
assistance through an evaluation project.

Evaluation methods are specific to the activity,
clearly defined, measurable, with expected
project outcomes.
In-Kind Support:

Up to 20 points
or

Up to 10 points
or

Up to 5 points

Up to 20 points

Demonstrated commitment of nonfederal resources of more than 25% of
total budget.

10 points

Less than 10% of non-federal resources.

0 points

Demonstrated commitment of nonfederal resources 10- 25% of total
budget.
13

1775-2

5 points

Up to 10 points

Up to 30 points

* 7 CFR 1775. 65(e) (3), Eligibility - 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 Programs’ 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
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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:




Proposals 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; and/or directs technical assistance to projects located in
Opportunity Zones where projects should provide measurable results in helping
rural communities build robust and sustainable economies; and/or directs
technical assistance to projects located in Substantially Underserved Trust
Areas. 5 points
and/or

Proposals 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. 5 points
and/or

Proposals that request less than $100,000 in grant funds, or that direct technical
assistance and/or training to problems related to landfill safety or reduction of
the solid waste stream through reuse. 15 points
and/or

Proposals that establish programs to address contaminants associated with solid
waste systems, including per‐ and polyfluoroalkyl substances. 5 points

The administrative points will be awarded solely on the aforementioned factors,
up to 30 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. The Agency reserves the right to make no grant awards if all applications are
incomplete and/or score below 65 points. Each applicant will be notified via email of
whether or not the application has been selected for funding.
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Note: Applicants selected for funding must have an active registration with current
information in the System for Award Management (SAM). The recipient must maintain
the currency of your information in SAM until you submit the final financial report
required under this award and all grant 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 https://www.sam.gov. You as the recipient may not make a subaward to an entity unless the entity has provided its Data Universal Numbering System
(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:

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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 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
https://www.nad.usda.gov/content/file-appeal or 703.305.1151.

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 http://www.ecfr.gov/cgi-bin/ECFR?page=browse.

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7 CFR 1775, subpart D, “Solid Waste Management Grant Program”
2 CFR 417, “Nonprocurement Debarment and Suspension”
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2 CFR 421, “Requirements for Drug-free Workplace” (Financial Assistance)

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2 CFR 400, “Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards”

7 CFR 1900, subpart B, “Adverse Decisions and Administrative Appeals”

2 CFR 200, “Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards”

File Type	application/pdf
Author	Wyn Francis
File Modified	2019-12-09
File Created	2019-12-09