fy-2016-exchange-network-grant-solicitation-notice.pdf

Fiscal Year 2016 National Environmental Information Exchange Network Grant

Program

Solicitation Notice

U.S. Environmental Protection Agency Office of Environmental Information

Office of Information Collection Information Exchange and Services Division Information Exchange Partnership Branch

Stakeholder Review Draft July 31, 2015

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Fiscal Year 2016 National Environmental Information Exchange Network Grant Program Solicitation Notice

Table of Contents

I. Funding Opportunity Description

I-A. Background

I-B. Grant Program Funding History and Results

I-C. Assistance Activities

I-D. Environmental Results Supported by Assistance Activities

I-E. Program Priorities

II. Award Information

II-A. General Information

II-B. Types of Assistance

II-C. Funding Restrictions

III. Eligibility Information

III-A. Eligible Applicants

III-B. Threshold Criteria for Funding Goals

III-C. Eligibility Criteria for Partnership Applications

III-D. Cost Sharing or Matching

IV. Application and Submission Information

IV-A. Submission Date and Time

IV-B. Intergovernmental Review

IV-C. Partnership Agreements IV-D. Additional Provisions for Applicants Incorporated Into the Solicitation

V. Application Review Information

V-A. Evaluation Criteria

V-B. Review and Selection Process

V-C. Anticipated Award Dates

VI. Award Administration Information

VI-A. Award Notices

VI-B. Administration and National Policy Requirements

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VI-C. Reporting

VI-D. Dispute Resolution Provision

VI-E. Unliquidated Obligations

VI-F. Additional Provisions for Applicants Incorporated Into the Solicitation

VII. Agency Contacts

Appendices

Appendix A: Suggested Exchange Network Data Exchange Activities ........................................................ A-1 Appendix B: Virtual Exchange Services ........................................................................................................ B-1 Appendix C: Shared CROMERR Services ..................................................................................................... C-1 Appendix D: Enterprise Identity Management ...............................................................................................D-1 Appendix E: Detailed Instructions for Submitting Applications ................................................................... E-1 Appendix F: Sample Project Goals, Outputs and Outcomes .......................................................................... F-1 Appendix G: Contracts and Subawards........................................................................................................... G-1 Appendix H: Checklist of Documents to Submit............................................................................................ H-1 Appendix I: Quality Assurance Reporting Form ............................................................................................. I-1 Appendix J: Reusability: RCS and ENDS ...................................................................................................... J-1 Appendix K: How to Register in RCS ........................................................................................................... K-1 Appendix L: Definitions ................................................................................................................................. L-1

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Fiscal Year 2016 National Environmental Information Exchange Network Grant Program Solicitation Notice

Overview Information Agency Name and Office: U.S. Environmental Protection Agency (EPA), Office of Environmental Information (OEI)

Funding Opportunity Title: FY 2016 National Environmental Information Exchange Network Grant Program

Announcement Type: Availability of Funding Solicitation

Notice Funding Opportunity Number: EPA-OEI-16-01

Catalog of Federal Domestic Assistance (CFDA) Number: 66.608

Dates: November 13, 2015 - Deadline for submitting applications to EPA

July 31, 2016 - Expected Award of FY 2016 Exchange Network Grants

I. Funding Opportunity Description The Environmental Information Exchange Network (Exchange Network, Network or EN) is a partner-inspired, developed, implemented and governed information network. It facilitates environmental data sharing among EPA, states, tribes and territories. The EN uses a standards-based approach that allows partners to exchange data over the Internet regardless of the specific information technology used. This replaces the need to perform complex and expensive data transformations to move data between systems or to share data on paper, discs or other media or via email. Partners share electronic data more easily and at a lower cost, and environmental decision makers are able to use the data to make timely decisions. More information about the Exchange Network is available at www.exchangenetwork.net.

The Exchange Network Grant Program provides funding for projects that develop the Network and enable timely, on-demand access to environmental data through innovative technologies, improved support systems, and expanded collaboration using shared tools and services.

In FY 2016, the Exchange Network Grant Program continues to focus on implementing Phase 2 of the EN as described in the priorities section (I-E). Additionally, EPA encourages applicants to propose projects that align with the principles of E-Enterprise for the Environment. E-Enterprise is a joint initiative among EPA, states, and tribes to integrate and streamline the way government protects the environment and human health. More information about E-Enterprise is available at www2.epa.gov/e-enterprise.

I-A. Background EPA and its state, tribal, and territorial partners continue to expand the Exchange Network. Building upon the success of the Network’s Phase 1, EPA and its partners are guided by the Exchange Network’s Phase 2 implementation plan,1 which the Exchange Network Leadership Council (ENLC) approved in spring 2013.

1 Available online at:

http://www.exchangenetwork.net/wp-content/uploads/2011/07/Phase_2_Implementation_Plan.pdf http://www.exchangenetwork.net/ http://www.exchangenetwork.net/wp-content/uploads/2011/07/Phase_2_Implementation_Plan.pdf

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The Phase 2 implementation plan contains the following four goals:

1. The Exchange Network Becomes Increasingly Usable, Efficient and Sustainable;

2. The Exchange Network Becomes Increasingly Relevant and Valuable to a Broadening Community of Partners and Consumers;

3. The Exchange Network Enables Better Decisions Through Timely, Accessible and Useful

Environmental Information; and

4. The Exchange Network and its Partners Have Adequate Resources for Implementation, Operations and Maintenance.

Transitioning from a paradigm dominated by state/tribal reporting to EPA, Phase 2 emphasizes data exchanges among partners as well as making data readily available and more usable for communities of interest and the public. EPA established the 2016 funding priorities with these goals in mind. The priorities directly support Phase 2’s goals 1 through 3. Successful growth and use of the Network is the surest way to sustain resource availability in the future (goal 4).

E-Enterprise Alignment: The E-Enterprise for the Environment (E-Enterprise) strategy is EPA’s preeminent joint governance initiative. Under the direction established by this strategy, the Agency and its co-regulator partners are developing a seamless environmental data connection among partners, streamlining programs and applying advanced technology across agencies and programs. The goal is to make business processes more efficient and effective, to enhance services to the regulated community and the public and to improve environmental results over the next five to 10 years.2 The E-Enterprise FY 2015 Annual Action Plan3 for EPA’s Partnerships Cross Agency Strategy4 calls for identifying activities in FY 2016 grant workplans, National Environmental Performance Partnership agreements, and processes, projects and/or programs that will be aligned with E-Enterprise goals.5

The FY 2016 President's Budget requests State and Tribal Assistance Grants (STAG) funding for E- Enterprise. As of the publication date for this Solicitation, Congress has not appropriated E-Enterprise funding and EPA has not identified other sources of funding to award grants for E-Enterprise activities.

EPA cannot solicit grant applications for E-Enterprise activities without expectation that the funds will become available. This Solicitation is not for E-Enterprise activities.

The Exchange Network, however, provides much of the technology that underpins E-Enterprise. This includes data publishing and transport capabilities as well as a variety of shared services that enable more efficient operations and more seamless user experiences. EPA, therefore, encourages applicants to develop project proposals that advance the goals of the Exchange Network and demonstrate close alignment with the

2 General E-Enterprise information is at: http://www2.epa.gov/e-enterprise and http://www.exchangenetwork.net/e-enterprise/.

3 See “A New Era of State, Local, Tribal, and International Partnerships: Fiscal Year 2015 Annual Action Plan at:

http://www2.epa.gov/sites/production/files/2015-02/documents/partnerships-action-plan-fy15.pdf.

4 The Cross-Agency Strategies are part of FY 2014-2018 EPA Strategic Plan, available at:

http://www2.epa.gov/planandbudget/fy-2015-cross-agency-strategies-action-plans.

5 See “About E-Enterprise for the Environment” at: http://www2.epa.gov/e-enterprise/about-e-enterpriseenvironment.

-5-principles of E-Enterprise. These projects will enhance the accessibility and usability of environmental information, improve efficiency, reduce agency and regulated community burden, modernize program operations and business processes, and reach across organizational boundaries.

I-B. Grant Program Funding History and Results FY 2016 is the fifteenth year EPA will award Exchange Network grants. From FY 2002 through FY 2015, EPA has provided approximately $200 million for state, tribal and territorial awards and associated program support through the grant program. As of May 2014, all 50 states, 74 tribes and 5 territories have received Exchange Network grants6.

I-C. Assistance Activities This Solicitation Notice requests that states, tribes, inter-tribal consortia, and territories submit applications with goal(s) that support the Exchange Network priorities in Section I-E and in Appendix A. Applicants may propose projects that include activities other than those listed as examples, provided they are consistent with EN priorities and conform to Exchange Network technologies, services and specifications.

EPA will determine the eligibility of each applicant (see Section III-A). EPA will then evaluate applications from eligible applicants based on the evaluation criteria in Section V. Applicants are responsible for reading and complying with the instructions and criteria described in this Notice.

I-D. Environmental Results Supported by Assistance Activities EPA’s mission is to protect human health and the environment. Timely access to information supports strong environmental decision-making and better enables EPA, with its state and tribal partners, to carry out that mission.

It is EPA policy to link work supported by assistance agreements directly to the Agency’s mission and Strategic Plan. Applications under this Solicitation must clearly demonstrate support for the Cross-Agency Strategy of the EPA 2014-2018 Strategic Plan, “Launching a New Era of State, Tribal, Local, and International Partnerships.”7 Grant applications, assistance agreements, and work plans must have outcomes that lead to or are instrumental in achieving environmental results that support the Agency’s mission and Strategic Plan goals.

Goals, Outputs, Outcomes and Environmental Results Exchange Network grant proposals must include goals, outputs and outcomes. In EPA grant terminology, a goal is a self-contained project (e.g., implementing WQX, implementing an electronic reporting system using shared CROMERR services). This differs from the more common definition of goal – a desired end.

An Exchange Network grant proposal must list one or more goals.

A goal will have outputs, which are intermediate accomplishments necessary to achieve the goal. Examples include completion of a schema or testing a flow. Outcomes are the direct effects of the project. Examples include supporting better decision-making by building data access for environmental professionals and the

6 For descriptions of previously awarded Exchange Network Grants, please see:

http://www.epa.gov/exchangenetwork/grants/index.html 7 EPA’s 2014-2018 Strategic Plan can be found at: http://www2.epa.gov/planandbudget/fy-2014-2018-strategic-plan http://www.epa.gov/exchangenetwork/grants/index.html http://www2.epa.gov/planandbudget/fy-2014-2018-strategic-plan

-6-public or facilitating environmentally sound, place-based decision-making through the inclusion of quality locational data.

EPA recognizes that Exchange Network projects do not produce direct environmental results. Application evaluations, therefore, will focus on the major technical and non-technical outputs and outcomes. Each proposed goal should have at least one outcome that will lead to or be instrumental in achieving an environmental result.

In developing a project plan, an applicant must ensure that:

Each goal results in a major deliverable, such as a sustained data flow;

It lists and schedules each major output that leads to achieving a goal; and Each goal has at least one outcome that leads to environmental results.

Figure 1-1 presents examples of goals, outputs and outcomes.

Figure 1-1: Examples of Goals, Outputs and Outcomes

Figure 1-2 presents an example excerpt from an Exchange Network project narrative that shows the relationship of goals, outputs and outcomes that lead to environmental results.

Examples of Goals:

Implementation of a production data flow such as WXQ Automated publishing of data to a web site reusing existing Exchange Network web services or other web APIs

Examples of Project Outputs:

Development of schema Development of Web services and other web APIs that enable data publishing Establishment of new interagency processes, advanced monitoring systems, portals, or shared services Issuance of Requests for Proposals (RFPs)

Examples of Project Outcomes:

Improving the timeliness and accuracy of environmental data Reducing burden and costs associated with data management and reporting Increasing access to environmental data from program systems or real-time environmental data from advanced monitoring systems Supporting better decision-making by building data access for environmental professionals and the public Facilitating place-based decision-making through the inclusion of quality locational data which transcend jurisdictional boundaries Achieving operational efficiencies and reducing burden for regulated entities and citizens through shared services

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Figure 1-2: Exchange Network Project Example

Goal 1:

Electronic Notice of Intent (eNOI) and eForms

Goal 1 Outcome(s)

1. Increases availability of timely, high quality data to other Exchange Network Partners, which will improve environmental decision-making.

2. Increases efficiency of review and process notice of intent applications, thus reallocating program implementation resources to other environmental priorities.

Output Scheduled Date

1.1 Design and develop Microsoft.Net Web forms/ pages

for each NOI. January 2017

1.2 Design and develop eForms to TEMPO

automated data migrations. February 2017

1.3 TEMPO administrative review and technical

review automation and quality verification routines. March 2017

1.4 Create and Implement GIS active data layers. December 2017

1.5 Create and implement ICIS-NPDES XML data

flows, flow data using State Node to Exchange Network Node.

December 2017

I-E. Program Priorities EPA expects projects supported by an Exchange Network assistance agreement will improve the accessibility and usability of high-quality environmental data from public and private sector sources. The Agency also encourages applicants to develop project proposals that advance the Network’s Phase 2 goals that demonstrate close alignment with E-Enterprise principles.

Where applicable, EPA encourages applicants to integrate registry services (e.g., Facilities Registry Service, Substance Registry Service) into applications to enhance data quality. Examples include using lookup and correction services to validate or fix erroneous data in online forms for e-reporting projects and using the Facility Linkage Application (Facility Registry System data quality tool) to reconcile and correct facility data.

EPA categorizes Exchange Network grant priorities into two tiers: Tier 1 priorities consist of Phase 2 activities; Tier 2 priorities consist of implementing nine of the original 10 priority data exchanges as well as the remainder of Exchange Network related activities. Under evaluation criterion 3, Relevancy to Exchange Network Priorities, as described in Section V-A (evaluation criteria), proposals that include at least one Tier 1 goal are eligible to receive 40 points. Proposals that include at least one Tier 2 goal but no Tier 1 goal are eligible to receive 30 points.

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It is important to note that EPA looks for four elements in a proposal’s project narrative. The applicant must:

1. Define each goal (e.g., publishing air quality data);

2. Explain how each goal meets programmatic or administrative business needs;

3. Describe how it plans to implement the project, demonstrating that it has a technical understanding of the work it is proposing to perform; and

4. Explain how the project enhances data sharing and data availability among Exchange Network partners, providing value to both the applicant and network partners.

In order to meet evaluation criterion 3 and to receive full points, the application must include these elements clearly. It is not sufficient merely to repeat the terminology used in this Notice.

EPA and its partners have built the Network on a foundation of common data standards, formats and trading partner agreements for sharing data.

As part of this standardization, grantees must use approved data standards to develop Exchange Network products and services. In most cases, EPA has incorporated the data standards into the major systems and data flows; these data standards can simply be re-used. For detailed information on each ENLC-approved standard, please refer to the Exchange Network website at http://www.exchangenetwork.net/data-standards/.

A separate document (located on the same website) assists applicants to understand how these standards are implemented within the specific EPA systems. Please note that, in some cases, applicants may need to identify areas for new data standardization. If so, applications should identify the data standards needed and request funding to develop them.

Furthermore, applicants must search in the Exchange Network Discovery Service (ENDS) or resources in the EPA Reusable Components Service (RCS) for information on existing tools and services before developing and deploying a new product. Applicants that develop and deploy new products are required to register data flows and web services in ENDS and to register tools, applications, schemas and other reusable components in RCS.

Please note that no funds will be available for the following activities:

Development and deployment of partner nodes – Instead, EPA makes available and encourages all applicants to request funds to configure/use the Agency’s new Virtual Exchange Services (i.e., virtual node);

Operations and maintenance of flows, including minor updates to schema for an existing flow; and Enhancements to existing data flows, including but not limited to, new data elements, expanded geographic scope and addition of historical data. EPA does not consider the following to be enhancements and will fund these activities: implementing the data element changes identified in Appendix A of the proposed NPDES electronic reporting rule, new RCRAinfo modules and new classes of UIC wells.

Tier 1 Exchange Network Activities Data access projects:

In FY 2016, the Exchange Network community will be fully engaged in Phase 2 development efforts, especially those related to the development of reusable and discoverable (or reuse of existing) tools and applications that deliver automated access to environmental data, such as:

Desktop, laptop and tablet/smartphone applications that provide access to and analyze/display environmental data;

http://www.exchangenetwork.net/data-standards/

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Websites that provide users access to data sets and a range of analytical and display tools; and Dashboards that provide real time program status information to senior program managers and executives;

Applicants should consider opportunities to share data across programs within their organization, across agencies within a state or tribe, or with EPA. EPA is especially interested in applications/websites that support cross-program data integration and support more efficient environmental business processes such as permit writing, compliance inspections, cross-jurisdictional data comparisons analyses or integration.

Applicants should also consider opportunities to build applications/websites that support EPA’s open data and transparency goals and that serve interested non-governmental organizations, research institutions, other communities of interest and the public.

Choosing the appropriate technology approach for a data access project is one of the key decisions in preparing a grant application. To date, Exchange Network partners have used Exchange Network Node or Node Client software primarily to submit or publish data via Simple Object Access Protocol (SOAP)-compliant web services8. Exchange Network partners use web services and standard data formats to electronically report, share, and integrate regulatory and non-regulatory environmental information. These technologies have also powered mobile and desktop applications, supported more efficient business processes, and facilitated implementation of EPA's Open Data Policy9.

Nodes and Node Clients executing SOAP-compliant web services are important tools for EN partners, particularly in support of secure reporting to EPA data systems. With Phase 2’s emphasis on data access and usability, however, the ENLC and the Network Technology Board (NTB) are actively embracing additional approaches to web service development that complement traditional Node-based services.

These additional approaches include Representational State Transfer (RESTful) web services, other types of Web Application Programming Interfaces or WebAPIs, and other shared services (e.g., virtual exchange services). A Web API is a tool that allows a website to communicate with another website; it passes the instruction or request from one to the other and returns the requested information. A RESTful web service, a subset of web APIs, is a simple way of requesting and receiving data between a device (e.g., desktop, tablet, smartphone) and a server. In its simplest form, a RESTful web service can be a URL (web address) that points to data on a website.

RESTful Web services and other web APIs offer partners simpler and more flexible alternatives to the Node-SOAP web service model for meeting certain business needs, such as lightweight data publishing and mobile application development. They provide additional tools to broaden inter- and intra-partner data sharing and meet transparency and open data goals.

The project narrative should explain how the project and technology choice (e.g., SOAP vs. RESTful services) meet the applicant’s business needs and how the project complies with Exchange Network guidance and standards. Applicants should review NTB-developed guidance and standards for an explanation of RESTful Web services, APIs and other options available for building EN-compliant services10.

8 http://www.exchangenetwork.net/exchange-network-products/ 9 http://www.epa.gov/digitalstrategy/pdf/EPA_OpenDataPolicy_ImplementationPlan_2013Nov26.pdf 10 http://www.exchangenetwork.net/rest-guidance/ http://www.epa.gov/digitalstrategy/pdf/EPA_OpenDataPolicy_ImplementationPlan_2013Nov26.pdf

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Grantees should make data available in eXtensible Markup Language (XML) format or, as business needs dictate, another machine-readable format such as JavaScript Object Notation (JSON) or Comma Separated Values (CSV or flat file). Additionally, the data should be of regional and/or national interest. Example datasets of interest include institutional controls at contamination sites, data on cleanup sites, data sets of national significance to tribes (such as open dumps), Underground Storage Tank data, and data that support environmental management of multi-state or regional airsheds, watersheds, and water bodies of priority concern (such as the Great Lakes or Chesapeake Bay). See appendix A for more detail on specific project opportunities. Information on the Network’s technical standards and design guidance are available on the Exchange Network website (http://www.exchangenetwork.net/knowledge-base).

Other types of Tier 1 projects include:

Implementing Virtual Exchange Services. Applicants should transition from locally installed nodes to the EPA-hosted Virtual Exchange Services and/or create data publishing services and new data flows using Virtual Exchange Services. Appendix B provides a detailed description of Virtual Exchange Services and suggested implementation activities.

Shared CROMERR Services and Components. Applicants will design systems that use one or more EPA Shared CROMERR Services to reduce or eliminate redundant development by partners, reduce future operations and maintenance costs and streamline CROMERR Technical Review Committee (TRC) application reviews. Appendix C provides a detailed description of the Shared CROMERR Services.

eReporting Collaborative Opportunity. A partnership proposal that builds an eReporting system integrating one or more Shared CROMERR Services. Applicants must commit to flow data to EPA using the Exchange Network, providing a complete end-to-end electronic reporting solution for environmental data. An example of an e-reporting grant proposal is to develop and host a web-based solution for members of the regulated community to apply for their permit coverage or submit their compliance reports, then transfer the data to EPA’s ICIS-NPDES system electronically either directly or from the agency’s NPDES database. Under this priority, a partnership could develop a system for consolidated air emissions reporting with the data reported to the National Emissions Inventory via the Exchange Network.

Enterprise Identity Management Integration Collaborative Opportunity: EPA is seeking partnerships proposals to work with EPA on the evaluation, design, testing and implementation of an identity management model that extends the existing Exchange Network identity services. This identity management model would enable users of Exchange Network partner systems (e.g., industries using an e-reporting system) to authenticate once and then access other partners' systems using the same identity without having to authenticate a second time. Partner grantees would participate on a joint integrated project team, provide technical expertise and alternatives, propose implementations that meet existing opens standards for identity management and identify other implications of enterprise identity management such as compliance with CROMERR requirements. (See Appendix D for a detailed explanation of enterprise identity management.)

Field Data Collection Collaborative Pilots: Develop mobile applications built on technology neutral services that leverage Facility Registry System (FRS) and Substance Registry Service (SRS) API’s for field data collection, review and correction of locations, sub-facility features, facility details, and substance identities. Through cooperative agreements, pilot partners will work with EPA to develop standard data templates and data formats.

Law and Regulation Registry Collaborative Pilot: Cooperative agreement proposal to gather and share information regarding state and tribal environmental laws/regulations and how they correspond http://www.exchangenetwork.net/knowledge-base

-11-to federal statutes and EPA regulations. This pilot should focus on a single environmental program and develop the capability for industry, other communities and the public to identify how that program and its associated laws and regulations link to specific facilities, substances, and environmental events. For example, a facility owner could use this registry and its discovery services to identify the federal and state laws and regulations with which it may have to comply. EPA intends this pilot to be a proof of concept for designing an approach for building a national system that could consist of a single comprehensive registry or interconnected registries.

Collaborative Tribal Capacity-Building Opportunity. Tribal governments and inter-tribal consortia applicants are eligible to apply for capacity building grants that enhance environmental programs on tribal lands and a tribe’s ability to share environmental data electronically with EN partners. Collaborative capacity building proposals must include multiple tribes and identify tribes with existing capacity that can serve as mentors. Proposals must identify outputs that result in the increased ability to share environmental information electronically with EPA or other EN partners (for example, developing a backend database for a priority data system). To serve as a mentor for a capacity building application, a tribe must be either report or publish data for one or more EPA programs using its own node or Virtual Exchange Services. Furthermore, a proposal must include a commitment letter from the mentor tribe. Collaborative capacity building proposals may include funding requests for mentor tribe personnel costs and travel.

Program-specific Tier 1 projects include:

New EPA Reporting Data Flows. Applications will include goals to implement data flows that enable Exchange Network reporting to the following EPA data systems:

• Integrated Compliance Information System – Air (ICIS-Air), which replaces the Air

Facility System or AFS;

• Safe Drinking Water Information System (SDWIS) Prime;

• Electronic Notice of Intent (eNOI) flow to Integrated Compliance Information System –

National Pollutant Discharge Elimination System (ICIS-NPDES);

• eManifest

• Radon and

• Assessment TMDL Tracking & ImplementatioN System (ATTAINS)

NPDES eReporting Rule Data Requirements Opportunity: A partnership proposal that adds and changes the existing ICIS-NPDES XML schema to prepare for the new NPDES eReporting Rule when it becomes final. Individual project goals include: modifying the applicants’ NPDES database systems to accommodate the data reporting requirements under Appendix A of the Rule, funding modifications to existing Exchange Network ICIS-NPDES plugins and mapping tables, and submitting data to EPA’s ICIS-NPDES system electronically from the agency’s NPDES database.

Collaborative Opportunity: An application consisting of multiple state, territorial and tribal partners sharing drinking water data with and among other state, tribal, territorial, and federal agencies/organizations using RESTful Web services that consume SDWIS Prime data. Adding functionality to the Compliance Monitoring Data Portal (CMDP - anticipated first release date Q3 2016) to address additional features requested by states, submitting laboratories and utilities.

Continuous Water Quality Monitoring Collaborative Opportunity. Continuous water quality monitoring (monitoring performed with a sensor that measures a particular parameter or suite of parameters automatically at set intervals) is becoming more common. The EPA Office of Water (OW) is exploring options to enable this type of data exchange. Several partners have shared summaries of this type of data using the Water Quality Exchange (WQX). WQX has worked well for sampling data, but the data model for sensor data is inherently different. It uses less metadata for

-12-more results. Consequently, approaches for sharing sensor data may be different. This project takes advantage of current thinking on the publishing approaches defined under Phase 2 of the Exchange Network, and makes use of the Exchange Network REST specification. EPA is evaluating approaches that would allow state, tribal and territorial partners to share sensor data by using a publishing service from their node or via a cloud node. As a Phase 2 project, partners should consider approaches to make available water quality sensor data via a publishing service tocatalog data and make it searchable from a central portal. Project work plans should include a commitment to evaluate schemas developed for sharing this type of data, such as the recently approved Open Geospatial Consortium WaterML 2.0 standard8 and the Sensor Observation Service9. The partnership would work with EPA to define approaches for integrating this information with sampling data made available from WQX, as well as providing public access to this combined set of information. Through this project, EPA is seeking to represent more fully the complete set of water quality data collected by continuing to support WQX for water quality sampling data while identifying new approaches for sharing sensor data.

Tier 2 Exchange Network Activities:

EPA recognizes that partners have a continuing need to automate reporting to nine of the 10 Phase 1 priority data systems (implementing or upgrading ICIS-NPDES is a tier 1 priority as noted above) as well as to engage in other important activities.

Phase 1 EPA Reporting Flows. Implementation by an Exchange Network partner (or partners) of any of the nine flows, addition of a new class of Underground Injection Control wells, and/or addition of a new RCRAinfo.

CROMERR Collaborative Opportunity. Partnership to develop a multi-program CROMERR application for prospective applicants that do not have an enterprise-wide approach or to adapt CROMERR solutions already approved by EPA that other authorized programs have implemented.

(EPA will score applications that propose to use shared CROMERR services as a Tier 1 proposal.)

The output must be a complete CROMERR application ready for EPA review and approval.

Updating Large National Data Sets. Schema development effort that enables partners to flow data through the Exchange Network to update large national datasets that fall under Appendix E of OMB Circular A-16: “Coordination of Geographic Information and Related Spatial Data Activities.” These datasets can include the National Hydrography Dataset (NHD), National Watershed Boundary dataset, National Wetland Inventory Dataset, National Elevation Dataset, Geographic Names Dataset and others listed in A-16.

In addition to the priority activities above, EPA has identified other activities listed in Appendix A.

The tier for these other activities are in bolded, italicized text either directly following the list of activities for each system (if the activities are all in the same tier) or in parentheses after each activity (if the activities within a system are in different tiers).

I-F. Partnership Agreements Project narratives and budgets should explain specifically why the proposed project requires additional resources available through a partnership assistance agreement. Reasons for additional funding may include project complexity or activities in support of partner collaboration. Partnership applications may fall into Tier 1 or Tier 2; EPA will determine the appropriate tier based on the specific project proposals and the Program Priorities described in Section I-E. See Section III-C, “Eligibility Criteria for Partnership

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Applications,” before making any financial commitments to project partners or listing these partners in an application.

II. Award Information The Catalog of Federal Domestic Assistance number for the Exchange Network Grant Program is

66.608 (http://www.cfda.gov).

II-A. General Information In FY 2016, EPA expects to award about $9,000,000 for 40 to 50 assistance agreements of up to $500,000 each. The exact number of grants will depend on the final amount of EPA’s appropriation for the grant program, the number of applications submitted to EPA by the application deadline, the amounts of proposed budgets, and the outcome of application reviews.

Most awards will be in the $50,000 to $300,000 range. Awards to a single applicant cannot exceed $300,000. EPA may make a limited number of awards to collaborative, partnership assistance agreements. Budgets for these projects cannot exceed $500,000. EPA remains committed to, at a minimum, awarding tribal assistance agreements equal to approximately 10 percent of the appropriated funds. The amount awarded to tribes may be greater than this minimum level, depending on the merit of tribal applications and on the competitive review of all applications. The standard period of performance for each project is three years. EPA expects to announce the FY 2016 Exchange Network Grant program selections in April 2016 and award the grants by July 31, 2016.

Additional Awards. EPA reserves the right to make additional awards under this announcement, consistent with Agency policy, if additional funding becomes available after the original selections.

EPA will make any additional selections for awards no later than six months from the date of the original selections.

Partial Funding. In appropriate circumstances, EPA reserves the right to fund proposals/applications partially by funding discrete portions or phases of proposed projects. If EPA decides to partially fund a proposal/application, it will do so in a manner that does not prejudice any applicants or affect the basis upon which the proposal/application, or portion thereof, was evaluated and selected for award, and therefore maintains the integrity of the competition and selection process.

II-B. Types of Assistance EPA may award assistance agreements funded through the Exchange Network Grant Program as grants or cooperative agreements, in-kind services or performance partnership grants. EPA will consider an applicant’s preferences when the Agency decides what type of assistance to award.

EPA uses assistance agreement vehicles to transfer funding and services to a recipient to accomplish a public purpose. Unlike contracts, grants are structured and managed to ensure the project benefits the recipient toward the identified public purpose. Exchange Network assistance agreements allow recipients to develop infrastructure, systems and capacity to electronically report environmental information and participate fully on the Network. Applicants should identify and justify requests for the various structural elements available within their assistance agreement to best achieve their project goals. EPA will consider the following options for awarding EN resources:

http://www.cfda.gov/

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Grant or Cooperative Agreement. Grants represent direct funding to a recipient to support an identified project with defined environmental results. A cooperative agreement anticipates substantial involvement from EPA, in collaboration with the recipient, to achieve project results. If the recipient does not identify a preference, EPA’s default award will be a grant.

Direct Funding or In-Kind Services. EPA will consider grantee requests to use all or a portion of awarded grant funds to provide in-kind services to the recipient through an EPA contract vehicle.

Applicants should request and justify project efficiencies they expect from this approach.

Single Grant or Performance Partnership/Consolidated Grants. An applicant whose organization has an existing Performance Partnership Grant (PPG) with EPA may request any new grant recommended for funding be incorporated into the PPG. Similarly, a territorial applicant whose territory has a Consolidated Grant (CG) with EPA may request that new awards be incorporated into the CG. Absent a request from the recipient for inclusion within a PPG or CG, EPA will award the grant in a stand-alone vehicle.

II-C. Funding Restrictions Applicants may propose EN project funding for costs associated with personnel salaries and fringe benefits, Intergovernmental Personnel Act Agreements (IPAs) travel, travel related to Exchange Network activities, equipment, supplies, contractual costs, in-kind services provided by EPA, and indirect costs. Applicants may not use EN/E funding for the following functions (see Appendix L for definitions):

Construction costs;

Operations and maintenance including previously developed and implemented EN projects;

Workshops and Conferences that are not initiated, advertised, and conducted for the benefit of the recipient and other state, tribal, territorial, or local representatives or public participants or are conducted primarily for EPA’s benefit;

Pre-Award Costs not previously requested to cover pre-award costs incurred 90 days or less before the award date; and

Management Fees in excess of the direct costs and indirect costs at the rate approved by the applicant’s cognizant audit agency, or at the rate provided for by the terms of the agreement negotiated with EPA.

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III. Eligibility Information

III-A. Eligible Applicants Eligible applicants for the Exchange Network Grant program include states, U.S. Territories (i.e., American Samoa, the Commonwealth of the Northern Mariana Islands, the District of Columbia, Guam, Palau, Puerto Rico, the U.S. Virgin Islands), federally recognized Indian tribes and native villages and inter-tribal consortia of federally recognized tribes (e.g., the Northwest Indian Fisheries Commission).

Other entities, such as regional air pollution control districts and some public universities may apply for assistance if they are agencies or instrumentalities11 of a state under applicable state laws. These entities, as well as other entities that submit applications asserting they are agencies or instrumentalities of a state, must provide with the application a letter from the appropriate state Attorney General certifying that the applicant is an agency or instrumentality of the state. EPA will not consider an application that does not contain the required documentation. EPA recognizes that the delegation for some programs extends to local governments, which are responsible for reporting data to EPA. Local governments that can demonstrate that they are instrumentalities of the state by providing the documentation described in the preceding paragraph are eligible to apply for Exchange Network Grants. Most local governments that implement EPA programs, however, are not agencies or instrumentalities of the state (i.e., a true agency or instrumentality is under the direct control of the state and the management of a state agency or instrumentality may generally be changed by the state executive or other state officials) and, therefore, are not eligible to apply.

EPA encourages such entities to partner with a state applicant to allow for their data to be reported and shared through the Exchange Network. Interstate commissions and other interstate entities, likewise, are not eligible to apply and are encouraged to partner with a state applicant.

EPA will only evaluate applications from eligible entities (see above). EPA will notify applicants that are ineligible for funding within 15 calendar days of the ineligibility determination. Applicants with questions about eligibility can contact Salena Reynolds, Exchange Network Grants Program Manager, at (202) 566- 0466 or reynolds.salena@epa.gov. They may also attend Exchange Network Users meetings to learn about

11 A true agency or instrumentality is under the direct control of the state, and the state executive or other state officials may generally determine or change its management.

Examples of Eligible Project Leads:

State Department of Environmental

Quality

Territorial Environment Division

Tribal Council on behalf of two or more tribal environmental and/or health agencies

State Department of Public Health

Tribal Water Quality

Administration

State Office of the Chief Information

Officer

Regional Air Quality Board delegated authority for the air program

State university where the mailto:reynolds.salena@epa.gov

-16-and discuss Exchange Network projects and technology. Applicants not meeting the eligibility criteria may consider collaborative work with eligible organizations. EPA will only evaluate applications with eligible entities identified as the lead implementing agency for the project.

III-B. Threshold Criteria for Funding Goals Applications are only eligible for Exchange Network funding if they meet the following requirements:

1. Application includes goal(s) that lead to completion of activities listed in the Priorities Section

(I-E), additional activities identified in Appendix A, or others that are consistent with EN priorities. Completion in the context of the Exchange Network means placing a data flow, data publishing, web service or other eligible projects into production. Applicants should demonstrate their commitment to complete projects as one or more specific outputs.

2. Applications comply with all application submission instructions and requirements listed in Section IV and Appendix E of this announcement. Section IV and Appendix E require that a project narrative does not exceed 10 pages. EPA will not review any narrative content after the tenth page.

3. Applications meet the submission deadline published in Section IV and Appendix E of this announcement.

4. Applications must not have:

a. project periods longer than three years;

b. budgets greater than $300,000 for single applicant applications; or

c. budgets greater than $500,000 for partnership applications.

5. Applicants may not have more than four active Exchange Network assistance agreements with the Agency. EPA will determine whether an applicant meets this threshold criterion on December 31, 2015, prior to the final scoring of applications. EPA considers an assistance agreement active if the Agency has not yet approved the final technical report. EPA will consider an agreement closed if the Regional Project Officer approves the applicant’s final technical report on or before December 31, 2015.

6. Applicants must not have unaddressed compliance issues with prior federal assistance agreements. Unaddressed compliance issues may include: open programmatic findings (programmatic baseline reporting), open administrative findings (administrative baseline reporting), high risk, or Inspector General audits. To be eligible for a new EN grant, the applicant either must either have: 1) no issues identified in the IGMS Grantee Compliance and Database;, or 2) an approved Corrective Action Plan to address issues identified in the IGMS Grantee Compliance Database.

7. Applications must not request funds for activities or deliverables for which the applicant has previously received funds. If a proposed goal is similar to one previously funded, the application must describe how previously funded activities differ from those currently proposed or how the current application will complement past or ongoing work.

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Additionally, if an application includes any ineligible tasks or activities (e.g., is not a priority, previously funded), that portion of the application will be ineligible for funding and may, depending on the extent to which it affects the application, render the entire application ineligible for funding.

III-C. Eligibility Criteria for Partnership Applications EPA will consider the higher funding limit ($500,000) for projects that include more than one Exchange Network partner. The lead partner for a partnership application must demonstrate the project’s support for the identified Exchange Network priorities and explain how the partnership components justify additional funding. EPA will not consider partnerships formed from within a single state, territorial, or tribal government as eligible. For instance, a partnership between an environment and a health department within a state is not an eligible partnership. EPA will limit funding for intrastate projects to the maximum funding for a single-jurisdiction grant for an Exchange Network application, which in FY 2016 is $300,000.

III-D. Cost Sharing or Matching Grants for Exchange Network projects do not require applicants to share cost or match funds.

IV. Application and Submission Information Applicants for the FY 2016 Exchange Network Grant program must submit an application package to EPA through the grants.gov website by November 13, 2015. If an applicant does not have the technical capability to apply electronically through grants.gov, the applicant must because of limited or no internet access that prevents them from being able to upload the required application materials to request approval to submit their application through an alternate method. EPA will confirm receipt of each application with an e-mail to the contact(s) listed in the cover letter.

Application package requirements are available in Appendix , including format requirements for the project narrative, detailed application instructions, and procedures for obtaining a waiver for the requirement to submit applications through grants.gov. Appendix H provides a checklist of required documents to submit.

Fillable versions of these forms are available at http://www.epa.gov/ogd/forms/forms.htm

EPA may require applicants to submit additional or updated documents if the project is selected for funding to complete the funding package. EPA will provide further instructions for submittal of additional or updated documents at that time.

IV-A. Submission Date and Time Signed and completed application packages as described in Appendix E must be sent electronically via grants.gov (or by an alternative method for those applicants with an approved waiver) no later than 11:59 PM Eastern Standard Time, November 13, 2015.