[Federal Register Volume 60, Number 85 (Wednesday, May 3, 1995)]
[Notices]
[Pages 21810-21813]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-10881]
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ENVIRONMENTAL PROTECTION AGENCY
[FRL-5202-3]
Fiscal Year 1995 Environment Technology Initiative Solicitation
for Socioeconomic Projects Related to Pollution Prevention
AGENCY: Environmental Protection Agency.
ACTION: Notice of availability, request for proposals; extension of
deadline for receipt of applications.
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SUMMARY: The deadline for receipt of proposals for this solicitation
has been extended from May 1, 1995 to Tuesday, May 16, 1995. The
solicitation is included in this notice. This solicitation was
previously announced in the Federal Register on February 24, 1995.
FOR FURTHER INFORMATION CONTACT: General information about the grant
solicitation process and application kits may be obtained by calling
(202) 260-7474. For inquiries pertaining to technical questions only
call Kenneth Jewett, Office of Policy, Planning and Evaluation, (202)
260-4211 or fax your request to (202) 260-2685.
Introduction
This Announcement describes a grant solicitation of the U.S.
Environmental Protection Agency (EPA) to support projects directed
toward furthering the objectives of the President's Environmental
Technology Initiative (ETI). The ETI is an integral part of the Clinton
Administration's broad new technology policy, enunciated on February
22, 1993 in ``Technology for America's Economic Growth: A New Direction
to Build Economic Strength''. This government-wide policy recognizes
that industry is the primary creator of new technology and the main
engine of sustained economic growth. The policy assigns the federal
government a catalytic role in promoting the development of new
pollution prevention technologies for use across a range of economic
sectors including: Auto manufacturing, computers and electronics, iron
and steel, metal finishing and plating, petroleum refining, and
printing--as well as converting defense technologies to civilian
applications. The ETI addresses all of the above sectors that are
concerned with environmental protection.
EPA seeks proposals to conduct ``socioeconomic projects'' related
to pollution prevention technology development and use. Projects may be
focused on technology policy regulatory reforms, opportunities for
building organizational capacity to be innovative, and diffusion of
innovative prevention technologies. EPA's interests in this instance
are clearly distinct from conventional socioeconomic research and
development. That is, they go beyond study and analysis of issues to
apply existing knowledge in pioneering attempts to effect social or
institutional change with respect to promoting development and use of
innovative pollution prevention technology.
Unlike other civilian technologies, the demand for environmental
technologies is primarily driven by federal and state pollution
prevention and control policies, regulation and enforcement. Over the
past 25 years, with the passage of the Clean Air Act, the Clean Water
Act, Resource Conservation and Recovery Act, Superfund and other
environmental statutes, EPA has invested hundreds of millions of
dollars in researching and developing new technologies to monitor and
control pollution. With the passage of the Pollution Prevention Act of
1990 and the Agency's adoption of ``pollution prevention'' as a first-
choice environmental protection policy, the demand for pollution
prevention technologies and concomitant research and development in
pollution prevention has also influenced the demand for ``better,
cheaper, more reliable'' environmental technologies--especially
technologies that can reduce the costs of compliance, recycle or re-use
wastes, foster cleaner, safer manufacturing processes or prevent
pollution from being created at all. Indeed, the domestic market for
environmental technologies in the U.S. today is nearly $134 billion
annually. It employs more than 1,000,000 Americans in some 40,000 to
60,000 businesses nationwide.
Inadvertently however, the ``policy framework'' that has driven the
demand for these technologies also poses barriers to the adoption and
use of technologies that offer substantial environmental and economic
benefits. According to Dag Syrrist, President of Technology Funding in
California, the environmental technology industry today, ``fears
innovation and repels capital.'' Technologies that can prevent
pollution, reduce health risks and dramatically cut costs of managing
environmental quality are NOT getting to market because of these
barriers. EPA's ETI is uniquely positioned to address these barriers--
as a technology policy reform initiative.
EPA is directing approximately $3.5 million this fiscal year (FY)
in awards under this initiative to not-for-profit organizations,
colleges and universities. Proposals averaging $150,000 per year with a
maximum duration of 2 years are being sought.
Not-for-profit organizations are generally defined as those
organizations that qualify for such status under section 501(c) of the
Internal Revenue Service tax code. Examples of not-for-profit
organizations include public and private colleges and universities, as
well as trade associations, professional societies, research consortia,
and community development corporations.
Electronic Availability
This Announcement can be accessed on the Internet at the following
Gopher and World Wide Web (WWW) addresses:
Gopher: GOPHER.EPA.GOV
WWW: HTTP://WWW.EPA.GOV
Rationale
EPA has structured its ETI project-selection process for FY95 to
conform to the strategic ETI objectives contained in the Agency's Draft
Technology Innovation Strategy (EPA 543-K-93-002), January 1994. This
strategy has the following objectives (please refer to the draft
Strategy document for more detail on these objectives):
(1) Policy Framework: Adapt EPA's policy, regulatory, and
compliance framework to promote innovation;
(2) Innovation Capacity: Strengthen the capacity of technology
developers [[Page 21811]] and users to succeed in environmental
innovation;
(3) Diffusion: Accelerate the diffusion of innovative technologies
at home and abroad; and
(4) Environmental and Pollution Prevention Technologies:
Strategically invest funds in the development and commercialization of
promising new technologies.
This solicitation is focused on pollution prevention-related proposals
that support the first three objectives. Proposals relevant to the
fourth objective are being sought jointly by the National Science
Foundation (NSF) and EPA through a contemporaneous solicitation.
Information about the joint solicitation can be obtained from either
NSF (pfirth@nsf.gov; voice 703/306-1480) or EPA (202/260-7474).
The 1990 Pollution Prevention Act declares pollution prevention to
be national policy and states that ``* * * pollution should be
prevented or reduced at the source whenever feasible.'' Pollution
prevention is now considered EPA's preferred choice for environmental
protection, and the Agency is seeking to integrate prevention as an
ethic throughout all of its activities. Pollution prevention includes
equipment or technology modifications, process or procedure
modifications, reformulation or redesign of products, substitution of
raw materials, and improvements in industrial housekeeping, operational
maintenance, employee training, or inventory control.
On July 22, 1994, EPA Administrator Browner announced the new
environmental policy Common Sense Initiative (CSI), which is designed
to shift environmental protection from the current ``pollutant-by-
pollutant, end-of-pipe, command-and-control'' approach to an
``industry-by-industry, multi-media, prevention-oriented'' approach.
Six pilot industries were identified for CSI: auto manufacturing,
computers and electronics, iron and steel, metal finishing and plating,
petroleum refining, and printing. Proposals with relevance to these
industries will receive priority consideration.
Program Scope
This EPA grant solicitation is intended to finance prevention-
related projects supporting policy analysis (frameworks), institution
building (innovation capacity), and domestic and international
diffusion. Descriptions of the program areas that are addressed in this
solicitation are provided below.
Policy framework topics of interest include: (1) Strengthening
incentives for the development and use of innovative prevention
technologies; and (2) identifying and reducing barriers to innovation.
Aspects to be addressed include regulations and implementation
mechanisms (e.g., permitting and compliance policies and programs).
This program area encompasses all environmental media (water, air,
etc.) and emphasizes pilot projects not analytical studies. Policy
framework proposals often address issues that have a broader focus than
pollution prevention alone. Such proposals are welcomed so long as they
are also applicable to pollution prevention technologies or issues.
Policy framework projects focus on environmental regulatory
programs in the broadest sense, from regulation through compliance and
enforcement. Projects selected in this areas will address regulatory
programs in order to:
Identify and enhance incentives for the development and
use of prevention technologies;
Minimize barriers to the development and use of such
technologies; and
Incorporate provisions into new and existing regulations
and programs that maximize flexibility and widen the range of
technologies accepted for use.
Special attention will be given to the use of market-based
instruments for creating flexibility and incentives to innovate.
Innovation capacity proposals should be focused on how to assist,
or catalyze, prevention technology development and commercialization
efforts.
Examples of possible work in these areas are programs or projects
to:
Establish programs to standardize testing protocols and
verify the cost and performance of innovative prevention technologies;
Provide pollution prevention technology testing centers;
Catalyze the efforts of many organizations to promote
innovation by convening partnerships;
Develop and communicate timely information about high
priority prevention technology gaps; and
Work jointly with organizations in the public and private
sectors to identify and address non-regulatory sources of market
inefficiency and failure in the environmental technology sector.
Proposals on diffusion of information should focus on new and
improved means of fostering information networks, technical assistance,
and outreach activities. Both domestic and international applications
are encouraged. For example, there is a need to enhance the capacity of
existing or newly created public and private sector diffusion
activities to serve the potential users of pollution prevention
technologies both domestically and abroad. Proposals may include
activities relating to market demand, availability, cost, performance,
opportunities for business development, and regulatory requirements.
General Selection Criteria
The objective of this solicitation is to harness the capability of
the nonprofit sector to help address the goals of the ETI. EPA will not
accept proposals that are not directly related to one of the previously
mentioned areas of ETI focus. Moreover, proposals must address barriers
to the development and use of innovative pollution prevention
approaches to be eligible unless they are addressing policy framework
issues that will also benefit pollution prevention approaches as well
as their target.
Each proposal will only be evaluated against one strategy objective
based on the information provided above. Proposals with relevance to
industries highlighted by the Common Sense Initiative and the Design
for Environment Program will receive priority consideration. Special
consideration will also be given to projects that support small
businesses and/or small communities. This focus on a select few
industries is intended to provide concentrated support for cleaner
technology development and commercialization and sustainable economic
growth and increased competitiveness.
Many barriers to development and application of pollution
prevention exist because of the lack of flexibility in the policy
infrastructure. Thus, proposals that seek to make the implementation of
environmental policy a process that is more friendly to technology
innovation will also receive additional attention. This is the one area
in which projects may go beyond the pollution prevention domain.
The most significant problems and creative solutions most likely
will be identified by nonprofit organizations and industrial
investigators, working together on challenges posed by real problems.
Projects must show appropriateness to current national concerns for
pollution reduction or prevention; vague arguments that the proposed
project may eventually be of value are not compelling.
This initiative particularly seeks innovative and high risk/high
payoff ideas. It does not invite studies of ``the problem'' but rather
specific approaches to possible solutions. Since the preparation of
competitive proposals is very time consuming, it is also well to
[[Page 21812]] present the following examples of what this initiative
is not:
Not basic research;
Not technology development for pollution prevention,
remediation, or control;
Not diffusion of pollution control technology; and
Not activities addressing processes to remove pollutants
from waste streams or remediate waste problems.
Specific Selection Criteria
Proposals will be evaluated against the following factors:
Does the project reduce uncertainty, improve flexibility,
speed timing, enhance cost-effectiveness, address liability
constraints, and/or diminish restraints on technology innovation?
Is there broad applicability of the project's expected
results (i.e., across levels of government, different states, or
environmental media)? Is the problem clearly defined?
Does the project complement current environmental
legislative initiatives or significantly strengthen the Nation's
ability to meet existing statutory or regulatory goals?
Will the project produce measurable, visible results in an
expeditious time-frame? Action projects will be emphasized over
studies. Do project participants have the authority to implement
programmatic changes?
Does the project support multi-organizational partnerships
across the public and private sectors? Will the project include
leveraging funds among the partnering organizations? Applicant's
proposals will be given more consideration to the extent that matching
funds or in-kind services from participating partners are included.
Does the proposal address global, transboundary, or other
international environmental issues directly affecting the United States
or lower the cost of innovative technologies for use in the United
States?
In addition, the following considerations relate to particular
subtopics:
Policy framework proposals will be reviewed with respect
to their capability to advance the goals and activities of ETI; breadth
of applicability of the expected results; and potential to reduce
barriers and create incentives; and projected probability of success.
Proposals embracing the theme of innovation capacity
should specifically be designed to be self-sustaining after ETI funds
are expended.
Domestic diffusion proposals must be customer-based, and
should emphasize pollution prevention technology approaches. Special
consideration will be given to projects that support small businesses
and/or small communities.
International diffusion proposals should address global or
international environmental issues that directly affect the United
States. Proposals should also result in improving U.S. competitiveness
and trade objectives in the international arena.
The Application
Application forms and instructions are available in the EPA
Research Grants Application Kit. Interested investigators should review
the materials in this kit before preparing an application for
assistance. The kits can be obtained at the following address: U.S.
Environmental Protection Agency, Office of Research and Development,
Office of Exploratory Research (8703), 401 M Street, SW., Washington DC
20460.
Each application for assistance must consist of Application for
Federal Assistance Forms (Standard Forms (SF): 424 and 424A), separate
sheets that provide the budget breakdowns for each year of the project,
the resumes of the principal investigator and co-workers, the abstract
of the proposed project, and a project narrative. All certifications
must be signed and included with the application.
The closing date for application submission has been extended to
COB on Tuesday May 16, 1995. COB is 5 pm EDT in Washington, D.C.
To be considered, the original and eight copies of the fully
developed research grant application, prepared in accordance with the
instructions in the Application for Federal Assistance Forms, must be
received by the EPA Office of Exploratory Research no later than the
above closing date. Informal, incomplete, or unsigned proposals will
not be considered. Completed applications should be sent via regular or
express mail to: U.S. Environmental Protection Agency, Office of
Research and Development, Office of Exploratory Research (8703), 401 M
Street, SW., Washington DC 20460.
Applications sent via express mail should have the following
telephone number listed on the express mail label: (202) 260-7445.
Special Instructions
The following special instructions apply to all applicants
responding to this request for application.
Applications must unbound and clipped or stapled. The SF-
424 must be the first page of the application. Budget information
should immediately follow the SF-424. All certification forms should be
placed at the end of the application.
Applicants must be identified by printing ``ETI95'' in
block 10 of the SF-424. This will facilitate proper assignment and
review of the application.
A one-page abstract must be included with the application.
The ``project narrative'' section of the application must
not exceed 25, consecutively numbered, 8 x 11 inch pages of standard
type (i.e., 12 point), including tables, graphs, and figures. For
purposes of this limitation, the ``project narrative'' section of the
application consists of the following five items:
1. Description of Project
2. Objectives
3. Results or Benefits Expected
4. Approach
5. General Project Information
Any attachments, appendices, and other references for the narrative
section may be included but must remain within the 25-page limitation.
Appendices will not be considered an integral part of the application.
Items not included under the 25-page limitation are the SF-424 and
other forms, budgets, resumes, and the abstract. Resumes must not
exceed two consecutively-numbered pages for each investigator and
should focus on education, positions held, and most recent or related
publications.
Applications not meeting these requirements will be returned to the
applicant without review.
Guidelines and Limitations
All recipients are required to provide a minimum of 1% of the total
project cost, which may not be taken from Federal sources. All
partnerships are encouraged. Primary partners are defined as contract
awardees and secondary partners are those partners who do not receive
grant funding directly from EPA. Subcontracts from primary partners to
secondary partners for research to be conducted under this grant should
not exceed 40% of the total direct cost of the grant for each year in
which the subcontract is awarded.
Except for federal agencies and employees work may primary partners
may subcontract work to any for-profit or not-for-profit organizations.
Eligibility
Not-for-profit institutions located within the U.S., including
public and private colleges and universities, are eligible under all
existing authorizations. Federal agencies and federal employees, as
well as state and [[Page 21813]] local governments are not eligible to
submit proposals to this program. Potential applicants who are
uncertain of their eligibility should contact EPA's Grants Operations
Branch at (202) 260-9266.
Proprietary Information
By submitting an application in response to this solicitation, the
applicant grants EPA permission to share the application with technical
reviewers both within and outside of the Agency. Applications
containing proprietary or other types of confidential information will
be immediately returned to the applicant without review.
Funding Mechanisms
The funding mechanism for all awards issued under this solicitation
will consist of a grant agreement between EPA and the recipient. In
accordance with Pub. L. 95-225, a grant is used to accomplish a public
purpose of support or stimulation authorized by Federal statute rather
than acquisition for the direct benefit of the Agency.
Minority Institution Assistance
Pre-application assistance is available upon request for potential
investigators representing institutions identified by the Secretary,
Department of Education, as Historically Black Colleges or Universities
(HBCUs), Hispanic Association of Colleges and Universities (HACUs), or
Native American or Tribal Colleges. For further information on minority
assistance, contact Charles Mitchell by telephone at (202) 260-7448, by
faxing a written request to (202) 260-0211, or by mailing it to the
address for EPA's Office of Exploratory Research shown below.
Contacts
Additional general and technical information on this solicitation
and the grants program may be obtained by contacting: U.S.
Environmental Protection Agency, Office of Exploratory Research (8703),
401 M Street SW., Washington DC 20460, Phone: (202) 260-7474/Fax: (202)
260-0211.
Information about the technical content of the solicitation may be
obtained by contacting: Kenneth Jewett, Office of Policy, Planning and
Evaluation, Phone: (202) 260-4211/Fax: (202) 260-2685.
General information on the ETI may be obtained from the ETI
information line: (202) 260-2686.
Dated: April 27, 1994.
Thomas E. Kelly,
Acting Assistant Administrator for Policy, Planning and Evaluation.
[FR Doc. 95-10881 Filed 5-2-95; 8:45 am]
BILLING CODE 6560-50-P
