Surveys, Studies, Investigations, Demonstrations and Training Grants and Cooperative Agreements-Section 1442 of the Clean Water Act (66.436)
Program
66.436 Surveys, Studies, Investigations, Demonstrations and Training Grants and Cooperative Agreements-Section 1442 of the Clean Water Act
Federal Agency
OFFICE OF WATER, ENVIRONMENTAL PROTECTION AGENCY
Authorization
Clean Water Act, Section 104(b)(3).
Program Number
66.436
Last Known Status
Active
Objectives
To support the coordination and acceleration of research, investigations, experiments, training, demonstrations, surveys, and studies relating to the causes, effects (including health and welfare effects), extent, prevention, reduction, and elimination of water pollution. Funding Priority: Annual funding priority topics include, but are not limited to, water quality improvement, watersheds management, aquatic ecosystem restoration, pollutant trading, fish contamination and consumption, nonpoint source management, wetlands protection, coastal and estuarine management, treatment technologies and environmental management systems.
Types of Assistance
Project Grants.
Uses and Use Restrictions
Grants and cooperative agreements are available to support recipients' allowable direct costs incident to approved scopes of work 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 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. 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, 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. 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 principal investigators to provide curriculum vitae and relevant publications.
Application and Award Process
Preapplication Coordination
EPA awards grants and cooperative agreements supporting research, investigations, experiments, training, demonstrations, surveys, and studies and based on unsolicited proposals and competitive applications submitted in response to EPA solicitations, considering relevance and likelihood of success of proposed projects. 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. EPA accepts unsolicited proposals, provided that such proposals are less than $75,000 or offer unique or innovative ideas for detecting, preventing, etc. water pollution and does not resemble the substance of a pending or contemplated competitive solicitation. For this reason, we recommend that potential applicants discuss proposed projects with or submit preapplications to staff in the appropriate EPA technical program offices. See Appendix IV of the Catalog. Individual programs 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 for more information on the State's review process, and to determine if the State has selected the program for review. This program is subject to the provisions of OMB Circulars Nos. A-102 and A-110.
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 Water at the same time. For competitive awards, 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 applications 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 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
See 40 CFR Part 30.63 and Part 31, Subpart F.
Renewals
None. Generally, EPA incrementally funds grants and cooperative agreements for Water Surveys, Studies, Demonstrations and Investigations. 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
None.
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.
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. Reporting requirements are also identified in the Grant Regulations Part 30 and Part 31.
Audits
Surveys, Studies, and Investigations 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. If the Government Accounting Office or 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 Nonprofit Institutions." The Office of Management and Budget (OMB) Circular No. A-133, "Audits of States, Local Governments, and Nonprofit 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. With the revised Circular, the previous OMB Circular No. A-128 for single audits of State and local governments was rescinded and the single audit requirements for these entities were incorporated among the provisions of 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
Not applicable. New program.
Financial Information
Account Identification
68-1810-0-1-304.
Obligations
(Grants and Cooperative Agreements) FY 02 not available; FY 03 est not available; and FY 04 est not available.
Range and Average of Financial Assistance
$1,000 to $500,000.
Regulations, Guidelines and Literature
Surveys, Studies, and Investigations 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 and OMB Circular No. A-122 for nonprofit institutions.
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, Washington, DC 20460. For program information contact: Office of Wetlands, Oceans and Watersheds- Connie Cahanap, (202) 566-1382; Office of Groundwater and Drinking Water- Joe Jackson, (202) 564-3817; Office of Wastewater Management- Barry Benroth, (202) 564-0672; Office of Science and Technology- Theodore Johnson, (202) 566-0435; Immediate Office-Michelle McClendon (202) 564-0327, Debbie Shigenaga, (202) 564-0321.
Web Site Address
Examples of Funded Projects
This is a new CFDA entry. Under similar program, 66.606, Surveys, Studies, Investigations and Special Purpose Grants, EPA funded projects that supported water quality improvement, watersheds management, aquatic ecosystem restoration, pollutant trading, fish contamination and consumption, nonpoint source management, wetlands protection, coastal and estuarine management, treatment technologies and environmental management systems.
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.
