Environmental Policy and State Innovation Grants (66.940)
Program
66.940 Environmental Policy and State Innovation Grants
Federal Agency
OFFICE OF POLICY, ECONOMICS AND INNOVATION, OFFICE OF THE ADMINISTRATOR, ENVIRONMENTAL PROTECTION AGENCY
Authorization
Clean Air Act, Section 103, as amended; Clean Water Act, Section 104, as amended; Solid Waste Disposal Act, Section 8001, as amended; Safe Drinking Water Act, Section 1441, as amended; Toxics Substances Control Act, Section 10, as amended; Federal Insecticide, Fungicide, and Rodenticide Act, Section 20, as amended; and Comprehensive Environmental Response, Compensation an Liability Act (CERCLA), Sections 104(k)(6) and 311, as amended.
Program Number
66.940
Last Known Status
Active
Objectives
(1) To support analyses, studies, evaluations, and conferences that lead to reduced pollutants generated and conservation of natural resources; (2) To promote comprehensive, cross-media approaches; (3) To encourage and promote stewardship programs that reflect "beyond compliance" behavior and offer incentives or rewards for superior environmental performance; (4) To encourage and promote change that is "systems-oriented" and enables better results (for example, environmental, time, and/or cost savings) from a program, process, or sector-wide innovation; and (5) To build in measurement and evaluation essential to transferability of the innovation. Funding Priority - Fiscal Year 2005: The annual funding priorities for this CFDA will seek to bring about the next generation of environmental protection, one that focuses more on results than process. Funding will support states striving to create performance-oriented regulatory systems that allow flexible strategies to achieve measurable results, environmental stewardship in all parts of society that support sustainable development and pollution prevention, and a culture of creative environmental problem solving that has a high capacity for collaborative, results-driven work and the organizational systems to support it. Support for State Innovation Grants and associated conferences as deemed warranted for this area. Funding Priorities - Fiscal Year 2006 include new projects to states in the areas noted above in the FY 2005 funding priorities.
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. Assistant agreement awards under this program may involve or relate to geospatial information.
Eligibility Requirements
Applicant Eligibility
Applicant Eligibility: Assistance under this program is available to principal environmental regulatory agencies for States, territories, the District of Columbia, and possession of the U.S. EPA may make a separate competition available to federally-certified Native American Tribes. Some of EPA's statutes may limit assistance to specific types of interested applications. See "authorization" listed above. For certain competitive funding opportunities under this CFDA program 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.
Beneficiary Eligibility
State and local governments, U.S. territories and possessions. In a separate solicitation, Federally-certified Native American Tribes, universities and colleges, hospitals, laboratories, other public and private nonprofit institutions, and organizations.
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.
Application and Award Process
Preapplication Coordination
If an applicant submits an unsolicited proposal, it will be reviewed and evaluated in accordance with Agency policy and procedures. For more information regarding the procedures for submitting unsolicited proposals, applicants may contact the individual(s) listed as "Information Contacts" or see Appendix IV of the Catalog. 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.
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. Additional information on the EPA grant package can be found at: http://www.epa.gov/ogd/grants/how_to_apply.htm. Unsolicited applications must be submitted to GAD. Applicants are encouraged to submit copies of unsolicited proposals to EPA's Office of Policy, Economics and Innovation 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 and evaluate applications, proposals, and/or submissions in accordance with the terms, conditions, and criteria stated in the announcement of the competitive funding opportunity. Competitions will be conducted in accordance with EPA policies/regulations for competing assistance agreements.
Deadlines
Unsolicited proposals generally must be received prior to May 15 for funding in applicable fiscal year. For competitive awards, deadlines will be specified in Request for Applications or Request for Initial Proposals.
Range of Approval/Disapproval Time
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 competitive selection of recipients will be resolved under 40 CFR 30.63 or 40 CFR 31.70, as applicable.
Renewals
None. Grants are solicited through competitions and are not renewed. Generally, EPA incrementally funds grants and cooperative agreements for Environmental Policy and Innovation. Approval of subsequent funding increments is dependent on satisfactory project progress, continued relevance of the project to EPA's priorities, availability of funds, and Agency policy on the competitive grant process.
Assistance Considerations
Formula and Matching Requirements
Not applicable.
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. For purposes of this program, EPA limits the project periods to 3 years. Grants and cooperative agreements may be incrementally or fully funded. This determination is made by the EPA.
Post Assistance Requirements
Reports
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.
Audits
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 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
In FY 02-03, under CFDA 66.606, Surveys, Studies, Investigations and Special Purpose Grants, the State Innovation Grants Program helped strengthen EPA's innovation partnerships with States. The purpose of the grant was to provide seed money to help States develop strategic innovations aimed at systemic change (for example, program or sector-wide) that: (1) promise better environmental results, (2) improve operating efficiency of State Agency, and (3) realize cost or time savings for regulated entities. The solicitation asked for State project proposals that would create innovation in environmental permitting programs related to one of the Innovation Strategy's four priority environmental issues: reducing greenhouse gases, reducing smog, improving water quality, and ensuring the long-term integrity of the nation's water infrastructure. In addition, the program sought to test incentives that motivate "beyond-compliance" environmental performance. In the 2002 competition, there were 29 proposals ($3.8M in requests). EPA awarded six state project awards, spending a total of $618,000. In FY 03-04, under CFDA 66.611, Environmental Policy and Innovation Grants, several state innovation assistance agreements were awarded through a managed competition process to state environmental departments to support environmental innovation at the state level. In the FY 03-04 competition, there were 26 proposals ($4.5M in requests). EPA selected nine State projects to fund in FY 04 (for a total of $1.5M). The fifteen projects that have been selected for the State Innovation Grant program in the first two competitions include seven Environmental Results Program (ERP) Models, six Environmental Management Systems, and two watershed-based permitting (one enhanced permitting through application of innovative information technology systems). The results of these assistance agreements will enable the Agency to meet performance measures noted in the Agency Strategic Plan. No data will be available for FY 05 until October 2005.
Financial Information
Account Identification
68-0108-0-1-304.
Obligations
FY 04 $0; FY 05 est $500,000 to $1,000,000; and FY 06 est $500,000 to $2,000,000.
Range and Average of Financial Assistance
$50,000 to $250,000 per grant. Average amount of financial assistance: $150,000 per grant.
Regulations, Guidelines and Literature
Environmental Policy and State Innovation grants and cooperative agreements are subject to EPA's General Grant Regulations (40 CFR Part 30 and 40 CFR Part 31). State governments costs will be determined in accordance with OMB Circular No. A-87.
Related Programs
66.034, Surveys, Studies, Investigations, Demonstrations and Special Purpose Activities Relating to the Clean Air Act.
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), 1200 Pennsylvania Avenue, NW, Washington, DC 20460. For program information contact Pamela Stirling,, Office of Policy, Economics and Innovation, Phone: (202) 566-0949; FAX: (202) 566-3001; e-mail: stirling.pamela@epa.gov.
Web Site Address
http://www.epa.gov/innovation/stategrants
Examples of Funded Projects
This is the first year for this CFDA entry. Under similar programs, 66.606, Surveys, Studies, Investigations and Special Purpose Grants and 66.611, Environmental Policy and Innovation Grants, EPA funded projects such as: (a) the "Implementation of a Voluntary Automotive Body and Automotive Repair Environmental Results Program." This project supported a state undertaking an automotive body and automotive repair Environmental Results Program (ERP) to administer targeted multi-media assistance to auto body and auto repair facilities, to implement a self-certification program, and to measure the compliance results. (b) The "Auto Salvage Environmental Results Program: Improved Compliance and Performance through Innovation," a project that supported a state applying the ERP program to the auto salvage sector. The three part program included: (1) facility certification; (2) statistically-based performance measurement; and (3) on-site compliance, pollution prevention, and technical assistance. (c) The "Retail Gasoline Sector Environmental Results Project," which enabled a state to apply the ERP model to the retail gasoline sales sector as well as to other facilities regulated by the state's Underground Storage Tank program.
Criteria for Selecting Proposals
Competitive applications and proposals will be selected in accordance with announced criteria.
