Alternative or Innovative Treatment Technology Research, Demonstration, Training, and Hazardous Substance Research Grants (66.813)
Program
66.813 Alternative or Innovative Treatment Technology Research, Demonstration, Training, and Hazardous Substance Research Grants
Federal Agency
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE, ENVIRONMENTAL PROTECTION AGENCY
Authorization
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), Sections 311(b) and (c), as amended; Public Laws 95-510, and 99-499; 42 U.S.C. 9660.
Program Number
66.813
Last Known Status
Active
Objectives
To support grants and cooperative agreements for (1) a program of research, evaluation, testing, development, and demonstration of alternative or innovative treatment technologies which may be utilized in response actions to achieve more permanent protection of human health and welfare and the environment; (2) a technology transfer program including the development, collection, evaluation, coordination, and dissemination of information relating to the utilization of alternative or innovative treatment technologies for response actions; (3) a program of training and evaluation of training needs in the procedures for the handling and removal of hazardous substances for employees who handle hazardous substance and training in the management of facilities at which hazardous substances are located and in the evaluation of the hazards to human health presented by such facilities for State and local health and environment agency personnel, and (4) a program of research with respect to the detection, assessment, and evaluation of the effects on and risks to human health of hazardous substances and detection of hazardous substances in the environment. Funding Priority: In Fiscal Year 2003, the Office of Solid Waste and Emergency Response will give priority to projects that will provide States and tribes with research support and training relating to Technologies applicable to hazardous substance cleanups. To provide financial assistance for State representative forums to discuss and share experiences on emerging remediation technologies and strategies, and to exchange information on findings of remediation research among States. To provide funding for hazardous substances management training to State personnel, which enhances capabilities to evaluate hazards to human health. To assist States in convening to share successes in remediation programs, collecting and disseminating information on remediation technologies and strategies, and gathering and assessing information on emerging characterization and measurement technologies in support of site cleanup.
Types of Assistance
Project Grants.
Uses and Use Restrictions
Grants and cooperative agreements are available to support recipients' eligible and allowable direct costs incurred under an approved work plan plus allowable indirect costs, in accordance with established EPA policies and regulations. Funds awarded under Section 311(b)(3) of CERCLA must be used for projects relating to innovative or alternative treatment technologies that may be utilized in response actions to achieve more permanent protection of human health and welfare and the environment. Funding awarded for research under CERCLA 311(c) does not include research within the purview of EPA's Office of Research and Development.
Eligibility Requirements
Applicant Eligibility
Assistance under this program is generally available to States, territories, Indian Tribes, and possessions of the U.S., including the District of Columbia, public and private universities and colleges, hospitals, laboratories, other public or private nonprofit institutions, and individuals. In some instances, EPA will consider applications from profit makers, proposing projects with significant technical merit and relevance to EPA's Office of Solid Waste and Emergency Response. Nonprofit organizations described in Section 501(c)(4) of the Internal Revenue Code that engage in lobbying activities as defined in Section 3 of the Lobbying Disclosure Act of 1995 are not eligible to apply.
Beneficiary Eligibility
State and local governments, U.S. territories and possessions, Indian Tribes, universities and colleges, hospitals, laboratories, industry, and other public and private institutions and individuals.
Credentials/Documentation
EPA may request that applicants document their nonprofit status. The Agency may also request that applicants demonstrate they have appropriate background, academic training, experience in the field, and necessary equipment to carry out projects. EPA may ask applicants or principle investigators to provide curriculum vitae and relevant publications.
Application and Award Process
Preapplication Coordination
Applicants considering submitting unsolicited proposals should discuss proposed projects with or submit pre-applications to staff in the appropriate EPA technical program offices. When making competitive awards, EPA will specify the nature of the pre-application assistance, if any, that will be available to applicants in the Requests for Initial Proposals or Requests for Applications. For information contacts, see Appendix IV of the Catalog. Awards under this program may be subject to E.O. 12372, "Intergovernmental Review of Federal Programs." Applicants should consult the office or official designated as the State's Single Point of Contact (SPOC) for more information on the State's review process, and to determine if the State has selected the program for review. See Appendix 1 for additional information regarding SPOC's. If there is no Single Point of Contact for the State, or the State has not selected this program for review, applicants must contact directly affected State area-wide regional and local entities prior to award. (See 40 CFR 29.7(b).).
Application Procedure
The standard application forms as furnished by the Federal agency and required by OMB Circular No. A-102 and A-110 must be used for this program. EPA requires final applications to be made on Standard Form 424. Requests for application kits must be submitted to the Environmental Protection Agency, Grants Administration Division, 3903R, Washington, DC 20460 or through the appropriate EPA Regional Office listed in Appendix IV of the Catalog. Unsolicited applications must be submitted to GAD. Applicants are encouraged to submit copies of unsolicited proposals to EPA's Office of Solid Waste and Emergency Response at the same time. Requests for Initial Proposals or Requests for Applications will specify application procedures.
Award Procedure
For non-competitive awards, EPA will conduct an administrative evaluation to determine the adequacy of application in relation to grant regulations and to technical and program evaluation to determine the merit and relevance of the project. The Agency will then advise the applicant if funding is being considered. A final work plan will then be negotiated with the applicant. For competitive awards, EPA will review applications or proposals in accordance with the criteria specified in the Request for Applications or Request for Initial Proposals. Competitions will be conducted under EPA Order No. 5700.5, Policy for Competition in Assistance Agreements (9/12/02).
Deadlines
Unsolicited proposals generally must be received prior to May 15 for funding in the applicable fiscal year. For competitive awards, deadlines will be specified in the Request for Applications or Request for Initial Proposals.
Range of Approval/Disapproval Time
Appeals
See 40 CFR Part 30.63 and 40 CFR Part 31, Subpart F.
Renewals
None. EPA may incrementally fund grants and cooperative agreements under this program. Approval of subsequent funding increments is dependent on satisfactory project progress, continued relevance of the project to EPA's priorities, and availability of funds.
Assistance Considerations
Formula and Matching Requirements
Formula and Matching Requirements: EPA's Appropriation Act requires that applicants submitting unsolicited research grant and cooperative agreement proposals share in the cost of conducting research. The amount of the cost share will be based on the mutuality of interest between the Government and the applicant. This requirement cannot be waived by EPA. In addition, CERCLA 311(b)(3) requires that EPA, "to the maximum extent possible", enter into an appropriate cost sharing arrangement with recipients of grants and cooperative agreements relating to innovative and alternative treatment technologies EPA may waive the 311(b)(3) cost sharing requirement in appropriate cases.
Length and Time Phasing of Assistance
EPA generally funds grants and cooperative agreements on a 12-month basis. However, EPA can negotiate the project period with each applicant based on project requirements. Incremental funding may be available. EPA generally limits project periods to 5 years.
Post Assistance Requirements
Reports
Reporting requirements are identified at 40 CFR Parts 30 and 31. EPA may include additional information regarding the content and frequency of reporting requirements in the terms and conditions of the agreements.
Audits
Grants and cooperative agreements under this program are subject to inspections and audits by the Comptroller General of the United States, the EPA Office of Inspector General, other EPA staff or any authorized representative of the Federal government. If the Government Accounting Office of EPA's Inspector General conducts Federal audits, the audits will be made in accordance with OMB Circular No. A- 173 to ensure funds have been used efficiently, economically, and effectively. Recipients must conduct periodic audits in accordance with the provisions of OMB Circular No. A-133, "Audits of Institutions of Higher Education and Other Non-Profit Institutions." The Office of Management and Budget (OMB) Circular No. A-133, "Audit of States, Local Governments, and Non-Profit Organizations," was published in the Federal Register on June 30, 1997. The Circular implements the Single Audit Act amendments of 1996. The Circular requires nonfederal entities that expend more than $300,000 in Federal award dollars, to have an audit conducted in accordance with the Circular's provisions.
Records
The record retention requirements of 40 CFR Part 30 (nonprofits and universities) or 40 CFR Part 31 (governmental units) are applicable depending upon the identity of the recipient. EPA may require that for profit recipients follow 40 CFR Part 30. Financial records, including all documents to support entries on accounting records and to substantiate changes to each grant must be kept available to personnel authorized to examine EPA grant accounts. All records must be maintained until expiration of three years from the date of submission of the final expenditure report. If questions still remain, such as those raised as a result of audit, related records must be retained until the matter is completely resolved.
Program Accomplishments
Assistance to Center of Expertise for superfund site recycling, study of cultural uses of mercury, providing forums for State representatives to conduct applied research on the management of waste remediation, assist States in convening to share successes in remediation programs, collecting and disseminating information on remediation technologies and strategies, and gathering and assessing information on emerging characterization and measurement technologies in support of site cleanup.
Financial Information
Account Identification
20-8145-0-7-304.
Obligations
FY 02 not available; FY 03 $7,200,000; and FY 04 est $7,200,000.
Range and Average of Financial Assistance
$30,000 to $600,000.
Regulations, Guidelines and Literature
Alternative or innovative treatment technology and hazardous substance research grants are subject to EPA's General Grant Regulations (40 CFR Part 30 and 40 CFR Part 31). Costs will be determined in accordance with OMB Circular No. A-87 for State and local governments and Indian Tribes, OMB Circular No. A-21 for educational institutions, OMB Circular No. A-122 for non-profit institutions, and FAR Part 31 for profit makers.
Related Programs
66.606, Surveys, Studies, Investigations and Special Purpose Grants; 66.808, Solid Waste Management Assistance.
Information Contacts
Regional or Local Office
EPA encourages potential applicants to communicate with the appropriate EPA Regional Office listed in Appendix IV of the Catalog, and the Headquarters program contacts listed below.
Headquarters Office
For information on grant applications and procedures, contact: Environmental Protection Agency, Grants Administration Division, 3903R, Washington, DC, 20460. For program information contact: Office of Solid Waste and Emergency Response - Julianne Edmondson, (202) 566-1891.
Web Site Address
Examples of Funded Projects
Land use controls research; study of state and territorial above ground storage tank inspection practices; State support for forums to discuss and share experiences on remediation technologies and strategies; and support for State forums to share information on research on waste remediation.
Criteria for Selecting Proposals
Competitive applications and proposals will be selected in accordance with announced criteria. Non- competitive proposals are judged for (a) technical merit in terms of: (1) strengths and weaknesses of the project; (2) adequacy of overall project design; (3) competency of proposed staff; (4) suitability of applicant's available resources; (5) appropriateness of the proposed project period and budget; and (6) probability that the project will accomplish stated objectives; and, for (b) program interest in terms of: (1) the need for the proposed project; and (2) relationship to program objectives.
