Alternative or Innovative Treatment Technology Research, Demonstration, Training, and Hazardous Substance Research Grants, $7,200,000 total funding
OBJECTIVES
To support grants and cooperative agreements for (1) a program of research, evaluation, testing, development, and demonstration of alternative or innovative treatment technologies which may be utilized in response actions to achieve more permanent protection of human health and welfare and the environment; (2) a technology transfer program including the development, collection, evaluation, coordination, and dissemination of information relating to the utilization of alternative or innovative treatment technologies for response actions;
(3) a program of training and evaluation of training needs in the procedures for the handling and removal of hazardous substances for employees who handle hazardous substances and training in the management of facilities at which hazardous substances are located and in the evaluation of the hazards to human health presented by such facilities for State and local health and environmental agency personnel, and (4) a program of research with respect to the detection, assessment, and evaluation of the effects on and risks to human health of hazardous substances and detection of hazardous substances in the environment. Funding Priority - Fiscal Year 2007: The Office of Solid Waste and Emergency Response will give priority to projects that will provide States, local governments and tribes with research support and training relating to technologies applicable to hazardous substance cleanups; provide financial assistance for State representative forums to discuss and share experiences on emerging remediation technologies and strategies, and to exchange information on findings of remediation research among States; and provide funding for hazardous substances management training to State personnel.
66.813 ALTERNATIVE OR INNOVATIVE TREATMENT TECHNOLOGY RESEARCH, DEMONSTRATION, TRAINING, AND HAZARDOUS SUBSTANCE RESEARCH GRANTS
FEDERAL AGENCY
OFFICE OF SUPERFUND REMEDIATION AND TECHNOLOGY INNOVATION, OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE, ENVIRONMENTAL PROTECTION AGENCY
AUTHORIZATION
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), Sections 311(b) and (c), as amended, Public Laws 95-510, and 99-499, 42 USC 9660.
TYPES OF ASSISTANCE
Project Grants.
USES AND USE RESTRICTIONS
Grants and cooperative agreements are available to support recipients' eligible and allowable direct costs incurred under an approved work plan plus allowable indirect costs, in accordance with established EPA policies and regulations. 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. Types of discrete projects may include: land use controls research; health effects in construction workers; studies of above ground storage tank inspection practices; remediation technologies and strategies; and support for State forums to share information on research on hazardous substances waste remediation. Funding awarded for research under CERCLA 311(c) does not include research within the purview of EPA's Office of Research and Development. 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, 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. In some instances, EPA will consider applications from profit makers, proposing projects with significant technical merit and relevance to EPA's Office of Solid Waste and Emergency Response. 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 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
State and local governments, U.S. territories and possessions, Indian Tribes, universities and colleges, hospitals, laboratories, industry, and other public and private institutions and individuals.
Credentials/Documentation
EPA may request that applicants document their nonprofit status. The Agency may also request that applicants 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
Applicants considering submitting proposals are advised to discuss proposed projects with or submit pre-applications to staff in the appropriate EPA technical program offices. 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. For information contacts, 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. 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."
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. Requests for Initial Proposals or Requests for Applications will specify application procedures. Applicants may 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 the 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
For competitive awards, deadlines will be specified in the Request for Applications or Request for Initial Proposals.
Range of Approval/Disapproval Time
Approximately 180 days.
Appeals
For non-competitive awards: Disputes will be resolved under 40 CFR 30.63 or 40 CFR 31.70, as applicable. For competitive awards: 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
None. EPA may incrementally fund grants and cooperative agreements under this program. Approval of subsequent funding increments is dependent on satisfactory project progress, continued relevance of the project to EPA's priorities, and availability of funds.
ASSISTANCE CONSIDERATIONS
Formula and Matching Requirements
EPA's Appropriation Act requires that applicants submitting unsolicited research grant and cooperative agreement proposals share in the cost of conducting research. The amount of the cost share will be based on the mutuality of interest between the Government and the applicant. This requirement cannot be waived by EPA. In addition, CERCLA 311(b)(3) requires that EPA, "to the maximum extent possible", 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. This program has no statutory formula.
Length and Time Phasing of Assistance
EPA generally funds grants and cooperative agreements in a lump sum on a 12-month basis. However, EPA can negotiate the project period with each applicant based on project requirements. Incremental funding may be available. EPA generally limits project periods to five years. The Office of Congressional Liaison is notified of the award. They in turn notify the appropriate House and Senate members that the assistance agreement has been awarded. This notification period lasts 5. After the 5 Day Congressional notification period, the original award document will be sent to the recipient. A copy of the award document will be sent to the Project Officer and the Las Vegas Financial Management Center or the Regions Financial Management Office.
POST ASSISTANCE REQUIREMENTS
Reports
Reporting requirements are identified at 40 CFR Parts 30 and 31. EPA may include additional information regarding the content and frequency of reporting requirements in the terms and conditions of the agreements.
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," nonfederal 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. 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 OMB Circular No. A-133.
Records
The record retention requirements of 40 CFR Part 30 (nonprofits and universities) or 40 CFR Part 31 (governmental units) are applicable depending upon the identity of the recipient. EPA may require that for profit recipients follow 40 CFR Part 30. Financial records, including all documents to support entries on accounting records and to substantiate changes to each grant must be kept available to personnel authorized to examine EPA grant accounts. All records must be maintained until expiration of three years from the date of submission of the final expenditure report. If questions still remain, such as those raised as a result of audit, related records must be retained until the matter is completely resolved.
FINANCIAL INFORMATION
Account Identification
20-8145-0-7-304.
Obligations
FY 06 est $566,000 FY 07 est $500,000; and FY 08 est not available.
Range and Average of Financial Assistance
For each fiscal year it is $20,000 - $450,000, Average $320,000.
PROGRAM ACCOMPLISHMENTS
Assistance to Center of Expertise for superfund site recycling, study of cultural uses of mercury, providing forums for State representatives to conduct applied research on the management of waste remediation, assist States in convening to share successes in remediation programs, collecting and disseminating information on remediation technologies and strategies, and gathering and assessing information on emerging characterization and measurement technologies in support of site cleanup.
REGULATIONS, GUIDELINES, AND LITERATURE
Alternative or innovative treatment technology and hazardous substance research grants 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 non-profit institutions, and FAR Part 31 for profit makers.
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: Barbara McDonough Contracts Management Branch, Resources Management Division Office of Superfund Remediation and Technology Innovation USEPA (5202-P) 1200 Pennsylvania Ave., NW., Washington, DC 20460 E-mail: mcdonough.barbara@epa.gov Phone: (703) 603-9042 Fax: (703) 603-9133
Web Site Address
http://www.epa.gov/superfund/index.htm
RELATED PROGRAMS
See CFDA Numbers 66.808, 66.814, 66.815, and CFDA entries relating to EPA's Brownfields and Hazardous Substances Research Centers programs.
EXAMPLES OF FUNDED PROJECTS
Land use controls research; estimating soil ingestion in construction workers; study of state and territorial above ground storage tank inspection practices; State support for forums to discuss and share experiences on remediation technologies and strategies; and support for State forums to share information on research on waste remediation.
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. The evaluation and selection criteria for competitive awards under this CFDA description will be described in the competitive announcement.
To support grants and cooperative agreements for (1) a program of research, evaluation, testing, development, and demonstration of alternative or innovative treatment technologies which may be utilized in response actions to achieve more permanent protection of human health and welfare and the environment; (2) a technology transfer program including the development, collection, evaluation, coordination, and dissemination of information relating to the utilization of alternative or innovative treatment technologies for response actions;
(3) a program of training and evaluation of training needs in the procedures for the handling and removal of hazardous substances for employees who handle hazardous substances and training in the management of facilities at which hazardous substances are located and in the evaluation of the hazards to human health presented by such facilities for State and local health and environmental agency personnel, and (4) a program of research with respect to the detection, assessment, and evaluation of the effects on and risks to human health of hazardous substances and detection of hazardous substances in the environment. Funding Priority - Fiscal Year 2007: The Office of Solid Waste and Emergency Response will give priority to projects that will provide States, local governments and tribes with research support and training relating to technologies applicable to hazardous substance cleanups; provide financial assistance for State representative forums to discuss and share experiences on emerging remediation technologies and strategies, and to exchange information on findings of remediation research among States; and provide funding for hazardous substances management training to State personnel.
66.813 ALTERNATIVE OR INNOVATIVE TREATMENT TECHNOLOGY RESEARCH, DEMONSTRATION, TRAINING, AND HAZARDOUS SUBSTANCE RESEARCH GRANTS
FEDERAL AGENCY
OFFICE OF SUPERFUND REMEDIATION AND TECHNOLOGY INNOVATION, OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE, ENVIRONMENTAL PROTECTION AGENCY
AUTHORIZATION
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), Sections 311(b) and (c), as amended, Public Laws 95-510, and 99-499, 42 USC 9660.
TYPES OF ASSISTANCE
Project Grants.
USES AND USE RESTRICTIONS
Grants and cooperative agreements are available to support recipients' eligible and allowable direct costs incurred under an approved work plan plus allowable indirect costs, in accordance with established EPA policies and regulations. 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. Types of discrete projects may include: land use controls research; health effects in construction workers; studies of above ground storage tank inspection practices; remediation technologies and strategies; and support for State forums to share information on research on hazardous substances waste remediation. Funding awarded for research under CERCLA 311(c) does not include research within the purview of EPA's Office of Research and Development. 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, 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. In some instances, EPA will consider applications from profit makers, proposing projects with significant technical merit and relevance to EPA's Office of Solid Waste and Emergency Response. 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 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
State and local governments, U.S. territories and possessions, Indian Tribes, universities and colleges, hospitals, laboratories, industry, and other public and private institutions and individuals.
Credentials/Documentation
EPA may request that applicants document their nonprofit status. The Agency may also request that applicants 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
Applicants considering submitting proposals are advised to discuss proposed projects with or submit pre-applications to staff in the appropriate EPA technical program offices. 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. For information contacts, 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. 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."
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. Requests for Initial Proposals or Requests for Applications will specify application procedures. Applicants may 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 the 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
For competitive awards, deadlines will be specified in the Request for Applications or Request for Initial Proposals.
Range of Approval/Disapproval Time
Approximately 180 days.
Appeals
For non-competitive awards: Disputes will be resolved under 40 CFR 30.63 or 40 CFR 31.70, as applicable. For competitive awards: 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
None. EPA may incrementally fund grants and cooperative agreements under this program. Approval of subsequent funding increments is dependent on satisfactory project progress, continued relevance of the project to EPA's priorities, and availability of funds.
ASSISTANCE CONSIDERATIONS
Formula and Matching Requirements
EPA's Appropriation Act requires that applicants submitting unsolicited research grant and cooperative agreement proposals share in the cost of conducting research. The amount of the cost share will be based on the mutuality of interest between the Government and the applicant. This requirement cannot be waived by EPA. In addition, CERCLA 311(b)(3) requires that EPA, "to the maximum extent possible", 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. This program has no statutory formula.
Length and Time Phasing of Assistance
EPA generally funds grants and cooperative agreements in a lump sum on a 12-month basis. However, EPA can negotiate the project period with each applicant based on project requirements. Incremental funding may be available. EPA generally limits project periods to five years. The Office of Congressional Liaison is notified of the award. They in turn notify the appropriate House and Senate members that the assistance agreement has been awarded. This notification period lasts 5. After the 5 Day Congressional notification period, the original award document will be sent to the recipient. A copy of the award document will be sent to the Project Officer and the Las Vegas Financial Management Center or the Regions Financial Management Office.
POST ASSISTANCE REQUIREMENTS
Reports
Reporting requirements are identified at 40 CFR Parts 30 and 31. EPA may include additional information regarding the content and frequency of reporting requirements in the terms and conditions of the agreements.
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," nonfederal 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. 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 OMB Circular No. A-133.
Records
The record retention requirements of 40 CFR Part 30 (nonprofits and universities) or 40 CFR Part 31 (governmental units) are applicable depending upon the identity of the recipient. EPA may require that for profit recipients follow 40 CFR Part 30. Financial records, including all documents to support entries on accounting records and to substantiate changes to each grant must be kept available to personnel authorized to examine EPA grant accounts. All records must be maintained until expiration of three years from the date of submission of the final expenditure report. If questions still remain, such as those raised as a result of audit, related records must be retained until the matter is completely resolved.
FINANCIAL INFORMATION
Account Identification
20-8145-0-7-304.
Obligations
FY 06 est $566,000 FY 07 est $500,000; and FY 08 est not available.
Range and Average of Financial Assistance
For each fiscal year it is $20,000 - $450,000, Average $320,000.
PROGRAM ACCOMPLISHMENTS
Assistance to Center of Expertise for superfund site recycling, study of cultural uses of mercury, providing forums for State representatives to conduct applied research on the management of waste remediation, assist States in convening to share successes in remediation programs, collecting and disseminating information on remediation technologies and strategies, and gathering and assessing information on emerging characterization and measurement technologies in support of site cleanup.
REGULATIONS, GUIDELINES, AND LITERATURE
Alternative or innovative treatment technology and hazardous substance research grants 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 non-profit institutions, and FAR Part 31 for profit makers.
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: Barbara McDonough Contracts Management Branch, Resources Management Division Office of Superfund Remediation and Technology Innovation USEPA (5202-P) 1200 Pennsylvania Ave., NW., Washington, DC 20460 E-mail: mcdonough.barbara@epa.gov Phone: (703) 603-9042 Fax: (703) 603-9133
Web Site Address
http://www.epa.gov/superfund/index.htm
RELATED PROGRAMS
See CFDA Numbers 66.808, 66.814, 66.815, and CFDA entries relating to EPA's Brownfields and Hazardous Substances Research Centers programs.
EXAMPLES OF FUNDED PROJECTS
Land use controls research; estimating soil ingestion in construction workers; study of state and territorial above ground storage tank inspection practices; State support for forums to discuss and share experiences on remediation technologies and strategies; and support for State forums to share information on research on waste remediation.
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. The evaluation and selection criteria for competitive awards under this CFDA description will be described in the competitive announcement.
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