Environmental Policy and Innovation Grants (66.611)

Program

66.611 Environmental Policy and Innovation Grants

Federal Agency

Agency: Environmental Protection Agency
Office: Office of the Administrator

Authorization

Clean Water Act, Section 104, 33 U.S.C 1254; Solid Waste Disposal Act, Section 8001, 42 U.S.C 6981; Toxics Substances Control Act, Section 10, 15 U.S.C 2609; Safe Drinking Water Act, Section 1441, 42 U.S.C 300j-1; Clean Air Act, Section 103, 42 U.S.C 7403; Federal Insecticide, Fungicide, and Rodenticide Act, Section 20, 7 U.S.C 136(r); National Environmental Policy Act, Section 102(2)(F), 42 U.S.C 4332; Comprehensive Environmental Response, Compensation, and Liability Act, Section 104(k)(6)&311, 42 U.S.C 9660.

Program Number

66.611

Last Known Status

Active

Objectives

(1) To support analyses, studies, evaluations, workshops, conferences, and demonstration projects that lead to reduced pollutants generated and conservation of natural resources; (2) to improve economic information and analytic methods to support studies, surveys, analyses, evaluations, conferences, workshops, and demonstration projects on the benefits, costs, and impacts of environmental programs; and (3) to improve economic information and analytic methods to support studies, surveys, analyses, evaluations, conferences, workshops, and demonstration projects of incentive-based and voluntary environmental management strategies and mechanisms; and (4) to support research to explore and develop strategies and mechanisms for those in the economic, social, governmental, and environmental arenas to use in environmental management decisions. Funding Priority - Fiscal Year 2009: Pending budget decisions, the funding priorities for this program may include continued support for innovative projects related to exploring, testing, or implementing smart growth policies and other environmentally preferable approaches to development. In the area of economic research there was one solicitation issued at the beginning of the year to solicit proposals in two areas: (1) conducting research on the "Design of Policies for Pollution Control Using Market Mechanisms," and (2) research support for "Data Gathering for Dissertation and Early Career Research on the Pollution Control Aspects of Environmental Economics". This solicitation is affiliated with the Economics and Decision Sciences Program, which prior to FY2008 had been administered by EPA's Office of Research and Development, National Center for Environmental Research. Effective in FY2008, responsibility and resources for this program were transferred within EPA to the Office of Policy, Economics and Innovation. Funding Priority - Fiscal Year 2010: Pending budget decisions, the funding priorities for this program may include continued support for innovative projects related to exploring, testing, or implementing smart growth policies and other environmentally preferable approaches to development. In the area of economic research, pending budget decisions, FY2010 funds will primarily be dedicated to financing projects awarded to applications to the 2009 solicitation targeting policy designs for pollution control using market mechanisms and research to support data gathering for dissertation and early career research on pollution control and environmental economics. It is possible that a new solicitation will be issued in FY2010, but due to uncertainty on budget and project priorities, it is not clear at this time what the topic or theme of an FY2010 solicitation will be. If there is a new solicitation issued in FY2010, the funding used to finance any awards will in all likelihood rely on FY2011 resources.

Types of Assistance

PROJECT GRANTS

Uses and Use Restrictions

Grants and cooperative agreements are available to support recipients' allowable direct costs incident to approved Environmental Policy and Innovation plus allowable indirect costs, in accordance with established EPA policies and regulations. Funding awarded for research does not include research within the purview of EPA's Office or Research and Development. 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. Assistance agreement awards under this program may involve or relate to geospatial information. Further information regarding geospatial information may be obtained by viewing the following website: http://geodata.epa.gov.

Eligibility Requirements

Applicant Eligibility

Assistance under this program is generally available to States and local governments, territories and possessions, foreign governments, international organizations, Indian Tribes, interstate organizations, intrastate organizations, 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. 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. For profit organizations are generally not eligible for funding. Some of EPA's statutes may limit assistance to specific types of interested applicants. See "Authorization" listed above. For certain competitive funding opportunities under this CFDA description, the Agency may limit eligibility to compete to a number or subset of eligible applicants consistent with the Agency's Assistance Agreement Competition Policy. National laboratories funded by Federal Agencies (Federally-Funded Research and Development Centers, "FFRDCs") may not apply. FFRDC employees may cooperate or collaborate with eligible applicants within the limits imposed by applicable legislation and regulations. They may participate in planning, conducting, and analyzing the research directed by the applicant, but may not direct projects on behalf of the applicant organization. The institution, organization, or governance receiving the award may provide funds through its grant from the EPA to an FFRDC for research personnel, supplies, equipment, and other expenses directly related to the research. However, salaries for permanent FFRDC employees may not be provided through this mechanism. Federal Agencies may not apply. Federal employees are not eligible to serve in a principal leadership role on a grant, and may not receive salaries or augment their Agency's appropriations in other ways through grants made by this program.

Beneficiary Eligibility

State and local governments, U.S. territories and possessions, Indian Tribes, universities and colleges, hospitals, laboratories, other public and private nonprofit institutions, and individuals.

Credentials/Documentation

Documentation of nonprofit status may be required. Applicants may be requested to 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. OMB Circular No. A-87 applies to this program.

Application and Award Process

Preapplication Coordination

Regarding pre-application/pre-proposal assistance with respect to competitive funding opportunities under this program description, EPA will generally specify the nature of the pre-application/pre-proposal assistance, if any, that will be available to applicants in the competitive announcement. For additional information, contact the individual(s) listed as "Information Contacts" or see Appendix IV of the Catalog. This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review. Environmental impact information is not required for this program. This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.

Application Procedure

OMB Circular No. A-102 applies to this program. OMB Circular No. A-110 applies to this program. 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, "Application for Federal Assistance." Requests for application kits must be submitted to the Environmental Protection Agency, Grants and Interagency Agreements Management Division, (3903R), Washington, DC 20460 or through the appropriate EPA Regional Office listed in Appendix IV of the Catalog. Additional information on the EPA grant package can be found at: http://www.epa.gov/ogd/grants/how_to_apply.htm. Requests for Initial Proposals or Requests for Applications will specify application procedures. Applicants may be able to use http://www.grants.gov to electronically apply for certain grant opportunities under this CFDA.

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 and evaluate applications, proposals, and/or submissions in accordance with the terms, conditions, and criteria stated in the competitive announcement. Competitions will be conducted in accordance with EPA policies/regulations for competing assistance agreements. For competitions involving research that are administered as part of the Economic and Decision Sciences program, OPEI will continue to adhere to the policies and procedures followed by ORD, NCER and their Science to Achieve Results (STAR) program, which includes engaging an external technical peer review panel to evaluate the technical merits of research proposals.

Deadlines

Contact the headquarters or regional office, as appropriate, for application deadlines.

Range of Approval/Disapproval Time

Approximately 180 days for most competitive solicitations. For competitive solicitations administered under the Economic and Decision Sciences program, the time to notification is approximately 240 days.

Appeals

Assistance agreement competition-related disputes will be resolved in accordance with the dispute resolution procedures published in 70 FR (Federal Register) 3629, 3630 (January 26, 2005). Copies of these procedures may also be requested by contacting the individual(s) listed as "Information Contacts." Disputes relating to matters other than the competitive selection of recipients will be resolved under 40 CFR 30.63 or 40 CFR 31.70, as applicable.

Renewals

Not Applicable.

Assistance Considerations

Formula and Matching Requirements

Statutory formulas are not applicable to this program.

Matching Requirements: This program has no statutory formula. CERCLA 311(b)(3) requires that "to the maximum extent possible," EPA 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. Matching requirements may be established in program guidance or the terms of competitive solicitations.

This program does not have MOE requirements.

Length and Time Phasing of Assistance

EPA normally funds grants and cooperative agreements on a 12-month basis. However, EPA can negotiate the project period with each applicant based on project requirements. EPA limits project periods to 5 years. Grants and cooperative agreements may be incrementally or fully funded. This determination will be made by the EPA. See the following for information on how assistance is awarded/released: Most assistance awarded under this CFDA will either be released as a lump sum payment or paid on a quarterly basis.

Post Assistance Requirements

Reports

No program reports are required. No cash reports are required. EPA includes reporting requirements for grants and cooperative agreements in the terms and conditions of the agreements. Agreements may require quarterly, interim, and final progress reports, and financial, equipment, and invention reports. Specific reporting requirements are also identified in the Grant Regulations 40 CFR Parts 30 and 31.
In general, it is the policy of the Office of the Administrator to require Progress Reports from recipients on a quarterly basis. This requirement, or a different requirement when applicable, will be spelled out in solicitations issued under this CFDA, and confirmed in the Terms and Conditions section for funded assistance agreements. No expenditure reports are required. No performance monitoring is required.

Audits

In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. Grants and cooperative agreements 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. Reviews by the EPA Project Officer and the Grants Specialist may occur each year. In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," non-federal entities that expend $500,000 or more in a year in Federal awards shall have a single or a program-specific audit conducted for that year. Non-federal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in OMB Circular No. A-133.

Records

The record retention requirements of 40 CFR Part 30 (non-profits and universities) or 40 CFR Part 31 (governmental units) are applicable depending upon the identity of the recipient. Recipients must keep financial records, including all documents supporting entries on accounting records and to substantiate changes in grants, available to personnel authorized to examine EPA recipients grants and cooperative agreements records. Recipients must maintain all records until 3 years from the date of submission of final expenditure reports. If questions, such as those raised as a result of audits remain following the 3-year period, recipients must retain records until the matter is completely resolved.

Program Accomplishments

Fiscal Year 2008: Examples of activities funded in support of smart growth projects using incremental funding include developing guidelines for sustainable streets, identifying and eliminating barriers to smart growth development options, support for a smart growth educational website, and co-sponsorship of a smart growth conference. The ratio of applications received to those awarded is about 10:1 for the smart growth program.
An FY2008 NCEE solicitation for workshops received 22 applications, of which 7 were funding in FY2008. The Economics and Decision Sciences (EDS) research program in FY2009 issued a new solicitation with two sections (1) for research on "Design of Policies for Pollution Control Using Market Mechanisms", and (2) for "Data Gathering for Dissertation and Early Career Research on the Pollution Control Aspects of Environmental Economics." Both seek to strengthen the quality and completeness of the scientific information used in preparing economic analyses. The solicitation garnered 23 applications on the market mechanisms topic, of which 3 were selected for funding (for effective ratio of received-to-awarded of 7.5:1). For the dissertations and early career research category, of the 11 applications, 5 were selected for funding (for effective ratio of received-to-awarded of 2:1). Due to FY2009 budget constraints, the majority of funds to be used to finance assistance agreements under these two research topics will draw on FY2010 resources. The FY2009 funds available for these purposes could only provide partial funding to 2 of the early career research awards.

Recent examples of some the outputs and accomplishments provided by economic research and workshops supported under the Economic and Decision Sciences program include:

- Convened workshop presenting ongoing research findings on the use of market mechanisms and incentives in the areas of fuel economy, water quality, land use and the distributional consequences of using market incentives, and climate change

� Study developed and evaluated market systems with both a price ceiling and price floor for use in environmental trading programs, finding that a symmetric safety valve may be superior to a price ceiling

� Study developed additional valuation tools, including observation that adults will pay twice as much to protect their children from mortality risks from pesticides in food as they would pay to protect themselves. Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available

Financial Information

Account Identification

68-1810-0-1-304.

Obligations

(Project Grants) FY 08 $1,661,000; FY 09 est $486,000; FY 10 est $2,060,000 - OBLIGATIONS: For awards directed at smart growth issues, the following distributions and projections are - total awarded through new awards and incremental funding: $922,000 in FY2008 and $431,000 in FY2009. Projected new awards and incremental funding are expected to be $960,000 in FY2010.
For awards directed at economic analysis and research topics, including funding provided under the Economic and Decision Sciences program, the following distributions and projections are - FY 2008 total awarded through new awards and incremental funding: $739,000. FY 2009 total awarded through new awards and incremental funding: $55,000. FY 2010 projected new awards and incremental funding: $1,100,000.

Range and Average of Financial Assistance

For awards related to smart growth, the range is from $20,000 to $250,000, with an average of $250,000. For awards in the area of economics - related to Environmental Economic Workshops: range is $45,000 - $96,000, with an average award of $70,000. Related to Environmental Economics Dissertations and Early Career Research: range is $44,000 - $75,000, with an average of $64,000. Related to Environmental Economic Research: range is $90,000-$300,000, with an average of $250,000. There were no earmarks included in FY2008 or FY2009. We do not anticipate any earmarks in FY2010.

Regulations, Guidelines and Literature

Environmental Policy and Innovation grants and cooperative agreements 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 nonprofit institutions, and FAR Part 31 for profit makers.

Related Programs

66.034 Surveys, Studies, Research, Investigations, Demonstrations, and Special Purpose Activities Relating to the Clean Air Act; 66.436 Surveys, Studies, Investigations, Demonstrations, and Training Grants and Cooperative Agreements - Section 104(b)(3) of the Clean Water Act; 66.813 Alternative or Innovative Treatment Technology Research, Demonstration, Training, and Hazardous Substance Research Grants; 66.940 Environmental Policy and State Innovation Grants

Information Contacts

Regional or Local Office

See Regional Agency Offices. 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

Pamela Stirling Environmental Protection Agency
1200 Pennsylvania Avenue, N.W, Washington, District of Columbia 20460 Email: stirling.pamela@epa.gov Phone: (202) 566-0949

Web Site Address

http://www.epa.gov/opei

Examples of Funded Projects

Fiscal Year 2008: Under 66.611, EPA has funded projects such as reviewing a city's municipal code; identifying barriers to smart growth and developing options to eliminate the specific barriers; integrating redevelopment solutions for brownfields for a particular state; sponsoring economic policy or economic methodology development workshops and conferences; supporting applied dissertations in environmental economics; and supporting high priority environmental economic research topics. Details on economic projects funded under prior solicitations can be found at the webaddress: http://yosemite.epa.gov/ee/epa/eed.nsf/Webpages/Grants.html. Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available

Criteria for Selecting Proposals

The evaluation and selection criteria for competitive awards under this CFDA description will be described in the competitive announcement. 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.