Environmental Policy and State Innovation Grants (66.940)

Program

66.940 Environmental Policy and State Innovation Grants

Federal Agency

Agency: Environmental Protection Agency
Office: Office of the Administrator

Authorization

Clean Water Act, Section 104(b)(3), 33 U.S.C 1254(b)(3); Safe Drinking Water Act, Section 1442(a)&(c), 42 U.S.C 1(a)&(c); Clean Air Act, Section 103(b)(3), 42 U.S.C 7403(b)(3); Solid Waste Disposal Act, Section 8001, 42 U.S.C 6981; Comprehensive Environmental, Response, Compensation and Liability Act, Section 104(k)(6); Toxics Substances Control Act, Section 10, 15 U.S.C 2609; Federal Insecticide, Fungicide, and Rodenticide Act, Section 20, 7 U.S.C 136r.

Program Number

66.940

Last Known Status

Active

Objectives

(1) To support analyses, studies, evaluations, and conferences that lead to improved environmental compliance, reduction in pollutants generated or released to the environment, and conservation of natural resources; (2) To promote comprehensive, integrated (multi-media or cross-media) approaches to environmental protection and management with a high potential for transfer to other states, U.S. territories, and tribes; (3) To encourage and promote stewardship programs that reflect "beyond compliance" behaviors and offer incentives or rewards for superior environmental performance; (4) To encourage and promote change that is "systems-oriented" and enables better results (e.g., environmental, efficiency, and/or cost savings) from a program, process, or sector-wide innovation; and (5) To incorporate outcome measurement and evaluation essential to transferability of the innovation. Funding Priority - Fiscal Year 2009: To support 3-10 projects that promote the testing of innovative approaches in state permitting programs that strive to create a more performance-based regulatory system, promote environmental stewardship and beyond-compliance business operation, and/ or promote a culture of creative environmental problem solving. Funding Priority - Fiscal Year 2010: Historically, the theme of our solicitation has been "Innovation in Permitting". Funding priorities may change as the new administration identifies emerging themes.

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 Part 1 of this program is available to principal environmental regulatory agencies for States, territories, and possessions of the U.S., including the District of Columbia. EPA may make a separate competition available under Part 1 of this program to federally-certified Native American Tribes. Assistance under Part 2 of this program is available to not-for-profit institutions, foundations and institutes to provide independent evaluation of projects or classes of projects that will be of use to other States and Tribes in implementing innovations. Additionally, under Section 2 NCEI would provide assistance agreements to support a symposium that advances the practice, theory and policy of environmental evaluation and promotes the use of evaluation and evaluation tools by the states and other practitioners as a means to improve environmental management. Part 3 of this announcement would provide assistance to states testing policy innovation and for the transfer among the states and tribes of information useful for the implementation of innovations. EPA would issue separate solicitations for Part 1, Part 2, and Part 3 of this program. 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.

Beneficiary Eligibility

Under Part 1 of this announcement, State and local governments, U.S. territories and possessions. In a separate solicitation that could be issued under Part 1, Federally-certified Native American Tribes. For Parts 2 and 3, non profit institutions, foundations and institutes may apply.

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. This program is excluded from coverage under OMB Circular No. A-110. 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 and those forms are available on the EPA web site (http://www.epa.gov/ogd/grants/how_to_apply.htm). EPA requires final applications to be made on Standard Form 424. 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. For information on the current or prior solicitations, please see the EPA State Innovation Grants website at http://www.epa.gov/innovation/stategrants. 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.

Deadlines

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

Range of Approval/Disapproval Time

Approximately 180 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

This program has no statutory formula.

This program has no matching requirements.

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. Most projects have been of a 1-3 year duration. For purposes of this program, EPA limits the project periods to no more than 4 years. Method of awarding/releasing assistance: lump sum.

Post Assistance Requirements

Reports

EPA includes reporting requirements for grants and cooperative agreements in the terms and conditions of the agreements. Specific reporting requirements are also identified in the Grant Regulations Part 30 and Part 31. Program reports are required. No cash reports are required. Quarterly progress reports are required. Expenditure reports are required to be submitted as a part of the project budget along with the quarterly progress reports. Performance monitoring is required as specified in the workplan for specific projects, and are included in the progress reports.

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 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: In the FY 2009 competition, the Agency received 26 pre-proposals totaling $6.21M. Two projects have been selected for a total of $0.565M in federal funds. In the FY 2008 competition, 12 pre-proposals were submitted totaling over $3M. Three projects were selected totaling $0.885M in funding. Since the beginning of the State Innovation Grant Program, 38 awards have been made (the 2 selections made in the 2009 competition have awards pending at the date of this announcement). The 40 projects cover the following areas: 20 Environmental Results Program (ERP) projects, 9 Environmental Management Systems (EMS) and other permitting integration approach projects, 2 watershed permitting projects, 1 project for a streamlined and enhanced permitting through application of innovative information technology (IT) Systems, 2 projects for integrated approaches across state or regional boundaries, and 8 Performance Track (PT) projects. Please note that several of these projects incorporate multiple elements (e.g., projects that are both ERP and EMS, or projects that are both ERP and Performance Track)so, this breakdown of projects identifies projects that appear in multiple categories. Ten of the projects from the FY 2002, 2004, and 2005 solicitations are now complete. These state agencies have submitted their final project reports. For additional information, including access to the Program's 2008 progress report executive summary, see: http://www.epa.gov/innovation/stategrants. The results of these assistance agreements will enable the Agency to meet performance measures noted in the Agency Strategic Plan. Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available

Financial Information

Account Identification

68-0108-0-1-304.

Obligations

(Project Grants) FY 08 $885,000; FY 09 est $565,000; FY 10 est $1,000,000

Range and Average of Financial Assistance

$50,000 to $350,000 per grant. The average for awards is approximately $225,000 for a 1-4 year assistance agreement.

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, 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; 66.611 Environmental Policy and Innovation Grants; 66.813 Alternative or Innovative Treatment Technology Research, Demonstration, Training, and Hazardous Substance Research 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, NW,, Washington, District of Columbia 20460 Email: stirling.pamela@epa.gov Phone: (202) 566-0949

Web Site Address

http://www.epa.gov/innovation/stategrants

Examples of Funded Projects

Fiscal Year 2008: This is the fourth year for this CFDA entry. Under this announcement and previous announcements under CFDA 66.606, Surveys, Studies, Investigations and Special Purpose Grants and 66.611, Environmental Policy and Innovation Grants, EPA funded projects in 2008 such as a Comprehensive Regional Multi-pollutant Air Quality Management Plan for the St. Louis metropolitan area. The plan integrates all existing State Implementation Plan (SIP) requirements and address a broad range of issues related to climate, growth, transportation, energy efficiency and hazardous air pollutant exposures. Another project supports the use of EMS and ERP to create a Sustainable Energy Management System for wastewater treatment facilities. The EMS focuses on improving energy efficiency; an ERP reduces the oil and grease coming in to the facilities from restaurants and food processing operations with the goal of turning this waste into a renewable fuel source. Another project tests the use of incentives such as early technical assistance and integrated/coordinated permitting to encourage adoption of better development practices. The project integrates storm water and other permits for the construction sector with the goal of development that produces fewer air, water, and ground water impacts and energy and water savings.
Projects funded in earlier cycles include 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. Another example of a project funded is the "Auto Salvage Environmental Results Program: Improved Compliance and Performance through Innovation." This project 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. A third example of a project funded is 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. Other examples of funded projects include: (a) the development of a voluntary Community EMS model under their Comprehensive Local Environmental Action Network (CLEAN) to encourage comprehensive environmental planning and continuous improvement; (b) the development of a watershed-based permitting program to address integrated management of water quality in a Basin impacted by coal-bed methane (CBM) extraction; (c) the implementation of an Environmental Leadership Program � A Vertical Start-up Model with Multi-State Applicability - designed to expand development of the state environmental leadership program, develop partnerships with other States in the Region and on the State borders to develop membership criteria and support for common business sectors, and work to align previously separate leadership projects such as OSHA's Voluntary Partnership Program, Energy Star, Green Buildings, and Smart Growth; and (d) the encouragement of Superior Environmental Performance Through Management Systems, Recognition, and Rewards. This program establishes a State-based Environmental Leadership Program that will complement (through a MOU/PPA) their participation in the National Performance Track Program. Planned project tasks include: building a "virtual EMS" tutorial through the college/university system; "greening the supply chain" mentoring projects; and implementing Performance Track incentives for applicable member facilities. New projects are testing the use of the Environmental Results Program across several business sectors applied at improving stormwater management, and applying Environmental Management Systems in permitting to improving compliance and environmental performance in the dairy AFO sector. 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.