United States
Environmental Protection
Agency
EPA 542-B-94-010
July 1994
Environmental
Technology Initiative;

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Environmental Technology Initiative

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                 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                               WASHINGTON, D.C. 20460


                                     JUL   8 1994
                                                                        THE ADMINISTRATOR
Dear Federal, State, and Tribal Colleagues:

       I am pleased to send you the Fiscal Year 1995 Environmental Technology Initiative
request for proposals.  We invite your participation and partnership in carrying out this
important new program.

       The President's Environmental Technology Initiative (ETI) was announced by
President  Clinton in his State of the Union address on February 17,  1993.  ETI is rooted in
the President's commitment to the proposition that economic development and environmental
protection go hand in hand. Its goal is to spur the development and use of innovative
environmental technologies to protect the environment and enhance the competitiveness of the
U.S. environmental technology industry.  By promoting the development and use of
environmental technologies, we can both  strengthen our economy and improve environmental
quality at  home and abroad.

       The Environmental Protection Agency (EPA), Federal Agencies, States and Tribes are
in a unique position to support environmental technology innovation because our legislative
authorities and environmental management responsibilities often drive the demand for
environmental technologies, goods and services.  Working together through this program, we
can create a regulatory atmosphere that nurtures innovation, creates jobs and protects the
environment.

       I look forward to working with you in this vitally important endeavor.

                                               SincoBly,
                                               Carol M. Browner
Enclosure
                                                                     Recycled/Recyclable
                                                                     Printed with Soy/Canola Ink on paper that
                                                                     contains at least 50% recycled fiber

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                                CONTENTS

1.    INTRODUCTION	  1

2.    THE FY95 ENVIRONMENTAL TECHNOLOGY INITIATIVE PROGRAM ...   3

3.    TOPIC DESCRIPTIONS, FOCUS AREAS AND SPECIFIC SELECTION
      CRITERIA	  6
      A.    Policy Framework	  6
            A.I  FY95 Focus Areas	  6
            A.2  Specific Selection Criteria	  8
      B.    Innovation Capacity	  9
            B.I  FY95 Focus Areas	  9
            B.2  Specific Selection Criteria	11
      C.    Environmental Technologies	11
            C.I  FY95 Focus Areas	11
            C.2  Specific Selection Criteria	13
      D.    Pollution Prevention Technologies  .	14
            D. 1  FY95 Focus Areas	14
            D.2  Specific Selection Criteria .  .	15
      E.    Domestic Diffusion	16
            E. 1  FY95 Focus Areas	16
            E.2  Specific Selection Criteria	16
      F.    International Diffusion	17
            F.I  FY95 Focus Areas	17
            F.2  Specific Selection Criteria	18

4.    GENERAL PROJECT EVALUATION CRITERIA	19
      A.    Eligibility Criteria	19
      B.    "Good Project" Criteria  	20
      C.    Action Orientation	20
      D.    Partnerships	21
      E.    Leveraging  of Other Funds  	22
      F.    Relationship to the Common Sense Initiative	22

5.    THE SELECTION PROCESS	23

6.    PROPOSAL FORMATTING AND CONTENT INSTRUCTIONS	24
      A.    Cover Sheet Instructions	24
      B.    General  Formatting Instructions . .  .	25
      C.    Proposal Content	26
      D.    Proposal Submission  	28
      APPENDICES
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 1.     INTRODUCTION

        In his first State of the Union address on February 17, 1993, President Clinton
 outlined a new Environmental Technology Initiative (ETI) to accelerate environmental
 protection, strengthen America's industrial base, and increase exports of U.S.technologies
 and expertise.

        The ETI is an integral part of the Administration's broad new technology policy
 which is outlined 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.  It
 assigns the federal government a catalytic role in promoting the development of new
 technologies  across a range of sectors including semi-conductors, transportation,
 environmental management, information technology, cleaner industrial technologies that
 prevent pollution,  monitoring and instrumentation, advanced manufacturing and
 environmental technologies, as  well as converting defense technologies to civilian
 applications.   The ETI addresses all of the above sectors that are concerned with
 environmental protection.

       The Congress is also addressing this important area.  The Senate recently passed the
 National Environmental Technology Act, which contains much that the President articulated
 to be the role of ETI.  The House has similar legislation before it and final legislation is
 expected this year.  In anticipation of these legislative actions and in support of the
 President's request, the Congress appropriated $36 million for ETI in FY94 and is now
 considering a request for $80 million  in FY95.  This FY95 ETI solicitation package is
 tendered in anticipation of the passage of such an appropriation.  In order to build innovation
 partnerships across the government, the FY94 Appropriation Bill stipulated that the
 Environmental Protection Agency was to pass through substantial funds to other federal
 agencies, although these were to constitute no more  than 50 percent of the appropriation.
 This stipulation is expected to be continued in the FY95 legislation.

       Under the direction of Administrator Carol Browner, the United States Environmental
 Protection Agency's  Innovative Technology Council (ITC) has developed the Agency's
program in response to the President's new initiative.  The ITC is an internal EPA committee
 whose mission is to promote cross-agency  approaches to stimulate and accelerate  the
 development of innovative environmental technologies.  In developing strategic and
programmatic options, the ITC has recognized  the importance of technological innovation to
the Agency's environmental protection mission. The continuing expansion of world
population and economic activity highlights the need for more cost-effective environmental
technologies to protect public health and sustain viable ecosystems at an affordable cost.

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      The Council believes that EPA, as the nation's primary environmental protection
organization, is in a unique position to stimulate the development and commercialization of
new environmental technologies by cultivating a regulatory climate that is conducive to
innovation and providing incentives as policy and regulatory programs are developed or
revised.  The ITC also recognizes that a strengthened domestic environmental technology
industry will enhance U.S. export capacity and multiply the tools available for environmental
protection both at home and abroad.

       In January 1994, EPA published two Environmental Technology Initiative documents,
the FY94 Program Plan, and the draft Technology Innovative Strategy.  (Copies of these
documents are available from the Superintendent of Documents.  See order form at the end
of this solicitation.)  The FY 94 Program Plan describes 73 projects selected by the ITC to
begin the President's program  and requests that others working in these areas contact the
identified project managers to begin building innovation partnerships across all sectors. Most
FY94 projects have at least one partner; more than 45 percent of the funds for this year are
being deployed through other federal and state agencies.

       The draft Technology Innovation Strategy, lays out four strategic objectives and five
operating principles designed to accomplish the Initiative's goals.

A. Objectives

       o     Adapt EPA's policy, regulatory and compliance framework to promote
              innovation

       o     Strengthen the capacity of technology developers and users to succeed in
              environmental technology innovation

       o     Strategically invest EPA funds in the development and commercialization of
              promising new  technologies

       o     Accelerate the diffusion of  innovative technologies at home and abroad

 B. Operating Principles

       o     Maximum consultation with stakeholders - continuing dialogue intended to
              improve EPA's strategy,  programs and their implementation

       o      Coordination with federal,  state, tribal, and local agencies - government
              partners will offer their respective talents, expertise and perspectives

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       o      Partnership and collaboration with the private sector and academia - convening
              public-private partnerships to target research and development, testing and
              demonstration, and the need for government policy change

       o      Cleaner technology not just control technology - the best environmental
              solutions involve changes in production processes, feedstocks and product
              design

       o      Measuring progress along the way - development and use  of indicators and
              tools to benchmark EPA's progress

       "Environmental technologies" include technologies, goods, and services whose
development is triggered primarily by environmental improvement objectives.  Sometimes
referred to as "dark green" technologies, these include:  products and services to monitor and
assess pollutant releases and exposure levels; innovative technologies which prevent
pollution, control air and water pollution levels, and remediate contaminated soil and ground
water; and, manage environmental data.  The solicitation also addresses  "light green"
technologies that are developed primarily for non-environmental reasons; those technologies
can have indirect, but important consequences  for improving environmental quality.  An
example would be local area computer networks designed to enhance office communication,
but which also reduce paper use.
2.     THE FY95 ENVIRONMENTAL TECHNOLOGY INITIATIVE
       PROGRAM

       Congress is now considering the President's nsquest for $80 million to fund ETI in
FY95.  If funded at this level, ETI will use approximately $20 million to fund a series of
innovative technology projects in the National Action Plan for Global Climate Change.  This
work will be carried out through agreements and programs outlined in that plan and is not a
part of this solicitation. In addition, approximately $5 million will be set aside to directly
assist in the private sector commercialization of successful technology projects which have
completed Phase  1 and Phase 2 of the Small Business  Innovative Research (SBIR) program.
Approximately $5 million will be reserved to sponsor  a competitive innovative technology
project solicitation from the non-profit sector, including universities.  Separate solicitations
for the latter two categories are expected to be published in the Commerce Business Daily by
November 1994.  These project areas are not the subject of this solicitation  and persons or
organizations submitting proposals through this solicitation in these areas will not be
considered.   Proposals for these areas will only be considered after the publication of the
separate solicitations; no proposal submitted beforehand will be kept on file.

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       This solicitation package is directly, addressed to states, tribes, and federal agencies
only, and requests project proposals on the specific subject areas outlined.  (Please read the
Eligibility Criteria section found on page 19 with particular care).  Proposals pursuant to
this solicitation will be accepted through  Wednesday, September 21, 1994.  Award decisions
are expected to be made by the end of the calendar year.  If funded at the level requested
by the President, approximately $50 million in innovative technology projects will be funded
through this solicitation, up to half of which will go to federal agencies (other than EPA),
states and/or Tribes.  These entities may in turn pass portions of ETI funds on to their
partners, grantees, or contractors in accordance with the specifications  set out in Section 4
under "Partnerships".  Although municipalities, and private (for- and non-profit) entities are
not being directly solicited in this package, they are encouraged to form partnerships with
those organizations who are eligible to submit proposals under this solicitation.  Through
partnership formation, local governments and private sector entities may have indirect access
to this portion of ETI funding;  thus, the approximately $5 million available for each of the
SBIR and non-profit solicitations should be viewed as a minimum amount available to the
private and non-profit sectors respectively.

       The Agency has structured its FY95 ETI project selection process to conform to the
strategic objectives contained in the Draft Technology Innovation Strategy.  This has resulted
in the formulation of six topic areas with the following objectives (please refer to the draft
Strategy document for more detail on these objectives):

A.  Policy Framework

       Objective #1:  Adapt EPA's policy, regulatory and compliance framework to promote
                     innovation.

B.  Innovation Capacity

       Objective #2:  Strengthen the capacity of technology developers  and users to succeed
                     in environmental innovation.

C.  Environmental Technologies

       Objective #3:  Strategically invest EPA funds in the development and
                     commercialization of promising new environmental monitoring, control
                     and remediation technologies.

D.  Pollution Prevention Technologies

       Objective #3:  Strategically invest EPA funds in the development and
                     commercialization of promising new pollution prevention technologies.

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E.  Domestic Diffusion

       Objective #4: Accelerate the diffusion of innovative technologies at home.

F.  International Diffusion

       Objective #4: Accelerate the diffusion of innovative technologies abroad.

       Projects submitted under all topic areas will be evaluated according to their ability to
fulfill the President's environmental technology goals.  Given that Fiscal Year 1995 resources
are limited, however, EPA will place special emphasis on three of topic areas and
particularly welcomes submissions in these areas.

       First, EPA will be responsive to the large set of public comments on the Technology
Innovation Strategy requesting that the Agency emphasize topic areas A (Policy Framework)
and B (Innovation Capacity).  This is also consistent with the principle that EPA and state
environmental policy frameworks both drive the demand for environmental technology and
(at the same time) pose barriers to the development and use of innovative  technology.

       Second, in his first State of the Union address in February, 1993, President Clinton
proposed the Environmental Technology Initiative to "develop more advanced environmental
systems and increase exports of green technologies."  Given his emphasis  on exports and
associated job creation, as well as EPA's role with the Department of Commerce (and other
agencies) in implementing the nation's first federal environmental technology export strategy
(see Environmental  Technology Exports: Strategic Framework for U.S. Leadership,
November, 1993), the  EPA will also place a high priority on projects that support topic area
F  (International Diffusion).

       Award of project funds in these priority areas will of course, depend on the quality
and appropriateness of the proposals received in all topic areas.

       These topic areas are supported by committees comprised of EPA staff from all parts
of the Agency, and representatives of the Departments of Defense, Commerce,  Energy,
Interior, Agriculture, the National Science Foundation, the Agency for International
Development, and the Small Business Administration.  Beginning in April 1994, each
committee met to define areas of concentration for FY95 within the scope of the Strategy's
objectives.  This process was augmented by public comment received  after publication of the
Strategy in January  and through three public meetings.  These discussions resulted in the
development of focus areas for  each topic and specific evaluation criteria for each committee,
as well as general project evaluation criteria.  Organizations wishing to propose projects for
funding under any topic should carefully review the focus areas and criteria contained in each
programmatic discussion, as well as the general criteria for the entire ETI program described
in the following sections of this document.

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       The following sections lay out (1) the general objectives of each topic, specific focus
areas selected for emphasis in FY95, and the selection criteria that will be used to choose
projects for funding; (2) the general project evaluation criteria; (3) a general description of
the project selection process; and (4) the requirements for submitting a proposal.  It must be
emphasized that for this solicitation, the selection criteria (other than basic eligibility) are not
considered absolute or pass/fail criteria, but are presented to inform the applicant on those
areas that the committee wishes to see emphasized in the topic area.
3.     TOPIC DESCRIPTIONS, FOCUS AREAS AND SPECIFIC
       SELECTION CRITERIA

A.     Policy Framework

       This topic includes (a) strengthening incentives for the development and use of
innovative environmental technologies within the regulatory, permitting, compliance, and
enforcement programs at all levels of government and (b) identifying and  reducing barriers to
innovation in these programs, where this is consistent with uncompromising environmental
protection.  The topic area will address unintended barriers to the development and use of
environmental technologies in all aspects of the environmental policy framework within the
domain of EPA and its state and tribal partners.  Aspects to be addressed  include: legislation,
regulatory development processes, regulations and their alternatives, and implementation
mechanisms (e.g., permitting and  compliance policies and programs, monitoring methods
certifications, personnel support systems [including performance systems,  training, technical
assistance and information]).  This topic area will address all environmental media and will
emphasize program enhancements and pilot projects over analytic  studies.

A.I   FY95 Focus Areas

1.     Improvement of EPA's Regulatory  Programs

       This focus area defines EPA's regulatory programs in the broadest sense,  from
legislation through compliance and enforcement.  Projects selected in this area will address
EPA's regulatory programs in order to identify and enhance incentives for the development
and use of innovative technologies; to minimize barriers to the development and use of such
technologies; and to 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 amd
incentives to innovate.  Because this focus area is so broad and is the topic area's primary
focus, it is broken into three sub-areas:

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       a.  Program design and operation

       This sub-area focuses on improving the design and operation of EPA's regulatory
       programs.  Types of projects falling under this sub-area include: making the form of
       environmental standards more conducive to innovative technologies; addressing other
       regulatory design issues, including scope, applicability and compliance periods and
       how they affect technology innovation; and improving regulatory procedures and
       schedules in order  to increase the certainty and predictability associated with
       technology innovation. New regulatory approaches will be sought,  analyzed and
       piloted within this area.  Policy, guidance and their interpretation fall into this area.

       b.  Permit/approval/review processes

       This sub-area focuses on streamlining and expediting permit/approval/review
       processes and making them more supportive of the use of innovative technologies.
       Types of projects include:  developing and implementing specialized permit policies
       and processes for innovative technology R&D, testing,  and evaluation; increasing
       flexibility across all media and all levels of government in permitting and approval
       processes for control, remediation, prevention and monitoring technologies;
       developing a system of incentives to encourage prospective users to select, and permit
       writers to approve, innovative technologies; and piloting the concept of a Permitting
       Reinvention Laboratory consisting of experienced permit writers from EPA and state
       or tribal environmental agencies to facilitate and expedite permits and approvals for
       innovative technologies.

       c.  Enforcement

       This sub-area focuses on making EPA's enforcement practices more amenable to
       innovative technologies. Types of projects include: developing approaches that better
       address uncertainties about the performance of innovative technologies; reducing some
       of the more punitive consequences of violating permit conditions when innovations are
       being applied; strengthening efforts to design multi-media approaches to compliance
       inspections, encouraging facilities to consider innovative approaches for achieving
       compliance; and identifying opportunities to use the settlement process in a way that
       provides defendants with an incentive to correct violations through an innovative
       approach (e.g., by allowing more time to install an innovative technology), while also
       ensuring protection of public health and the environment.

2.     Improvement of Incentives for Voluntary Action

       This focus  area addresses EPA's voluntary programs in order to identify features that
can successfully create incentives for voluntary action to  develop innovative technologies,
and to expand the use of those features in existing and new voluntary programs.  This focus

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area also addresses ways to promote voluntary actions on the part of unregulated sources, as
well as sources that are regulated but already meeting all applicable requirements.  Another
possible effort is to find and break down barriers to voluntary action by all sources.

3.     Improved Collaboration and Coordination With Federal, State, Tribal, and Local
       Environmental Co-Regulators

       This focus area is to be interpreted broadly.  It will include projects that provide
technical and financial support to federal, state, tribal and local co-regulators for the
enhancement of incentives for and the removal of barriers to the development and use of
innovative technologies. It will also include projects that involve working with
environmental co-regulators to promote coordination across all levels of government.
4.
Stakeholder Feedback
       Under this focus area, stakeholders will be solicited as part of an ongoing process to
obtain their feedback on priority issues and/or the success of initiatives taken in projects
funded under this topic area. Stakeholder feedback will also be solicited for the purpose of
identifying additional opportunities to adapt the current policy framework so as to better
promote innovation, and where appropriate, to improve that framework through new
legislation.  This focus area will include evaluations relating to interests identified by
stakeholders.

A.2   Specific Selection Criteria

1.     Complementary Nature of the Project

       Does the project advance other goals and activities of ETI? For example, does it
complement other focus areas identified within ETI or ETI projects funded in FY 1994?
Does the project complement current legislative initiatives or significantly  strengthen EPA's
ability to meet  existing statutory or regulatory goals?  Does the project advance priority EPA
initiatives (e.g., risk reduction, pollution prevention, National Performance Review
recommendations, [such as permit swat teams], environmental justice, environmental
exports? Does it advance other Administration, federal agency, or outside group initiatives?

2.     Extent of Impact

       Is there broad applicability to the project's results (i.e., across levels of government,
across different states,  across media) or does the project make a major  impact  in one
particular area? Is the problem being addressed clearly defined?

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3.     Ability to Produce Needed Results

       Does the project address a special target of opportunity? Are all aspects of the
problem well thought out? Will the project produce measurable, visible results in an
expeditious time-frame?  (The topic area seeks projects that will yield an appropriate mix of
short-term and long-term results.)  Action projects will be emphasized over studies.  Do
project participants have the authority to implement programmatic changes?
4.
Reduction of Barriers or Creation of Incentives
       Does the project reduce uncertainty, improve flexibility, speed timing, diminish
restraints on innovation, enhance cost-effectiveness, address liability constraints, address
technology lock-in, and/or increase consistency?

B.     Innovation Capacity

       The goal of this topic area is to assist, or catalyze, environmental technology
development and commercialization efforts by (a) establishing programs to standardize testing
protocols and verify the cost and performance of innovative technologies; (b) providing
technology test beds, analytical tools,  and technical and procedural support; (c) working
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;
(d) catalyzing the efforts of  many organizations by convening partnerships; (e) developing
and communicating timely information about high priority environmental technology gaps.

B.I   FY9S Focus  Areas

1.     Improve System for Verifying  Performance of Environmental Technologies, Including
       Development of Standardized Protocols and Piloting Verification Program
       Alternatives.

       This focus area supports the development and commercialization of innovative
environmental technologies by assisting technology developers to generate credible
performance data about their technologies without which permitting and marketing is
extremely difficult.  Standardization of testing protocols to ensure the acceptability, quality,
comparability, and transferability of performance data; piloting of programmatic concepts for
environmental technology verification programs; and expanding efforts to collect, review,
format, and report credible data on technology performance and cost are included in this
area.
2.     Support Environmental Technology Test Facilities, Including Private Sector Use of
       Federal Laboratories and Test Sites.

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       This focus area supports the establishment and operation of facilities at which
innovative technologies may undergo performance testing.  Such facilities enable testing
across the full range of operating parameters for one or more classes of environmental
technologies, while assuring that the environment is protected during and after testing. The
establishment of procedures and criteria for the use by EPA and other government
laboratories to test and evaluate environmental technologies developed by outside
organizations is included in this area.

3.     Assist the Innovation Activities of Technology Developers with Business Planning and
       Technical Support.

       This focus area supports innovators by providing services that are particularly  needed
by smaller technology developers.  These innovation-related services may include business
planning, scientific and engineering support, information about regulations, legal, procedural,
and administrative processes, help in locating places to test and evaluate the performance of
technologies, and help in assessing market opportunities.

4.     Convene and Support Government/Industry Partnerships to Improve the Capacity to
       Innovate in Specific Industry Sectors.

       Activities to support these partnerships include promotion of dialogue,
characterization of the industry, and identification of opportunities. Establish and support
broad-based partnerships involving government, industry, and non-profit organizations to (1)
evaluate alternatives for improving environmental  management technologies and practices and
(2) collaborate in the development, commercialization, and diffusion of innovative
technologies and techniques for environmental management.  Projects will closely examine
pollution prevention opportunities by assisting industry sectors incorporate  environmental
considerations into the design and redesign of products, processes, and technical and
management systems.

5.     Develop Infrastructure and Tools to Overcome Non-Regulatory Barriers to
       Innovation,  including:

              Environmental technology gaps analysis
              Life cycle analysis
              Financial mechanisms
              Voluntary standards (including international)
              "Futures" for recycled products

       This focus area supports the development and refinement of tools for evaluating and
selecting among potential technology R&D opportunities, particularly those that integrate
environmental and productivity decisions.  It also  supports work on identifying government
policies  outside of EPA's jurisdiction where changes might provide incentives or reduce
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barriers to environmentally beneficial technological innovation, such as tax policies,
accounting policies, and codes and practices.  Further, this focus area supports efforts to
increase EPA's understanding of the businesses that provide the products and services used
for environmental protection purposes and the constraints under which they operate.

B.2    Specific Selection Criteria

       A number of evaluation criteria are similar or identical across all of the ETI topic
areas.  These include:  supporting a particular objective in EPA's Technology Innovation
Strategy (in this case, Objective #2), measurability of results, and impact on environmental
improvement, development of partnerships and leveraging of funds. This program has
identified  two additional pertinent selection criteria. These are:

1.     Project Emphasis

       Supports pollution prevention, small business, or small communities.

2.     Sustainability

       Is  the project designed to be self-sustaining after ETI funds are expended?

C.    Environmental Technologies

       The Environmental Technology topic area seeks to strategically support all types of
environmental technology, other than pollution prevention, including monitoring, control, and
remediation technologies that can benefit from government funds to more rapidly enter the
commercial market.

C.I   FY95 Focus Areas

       This topic area has four major concentrations,  which have been subdivided into
technology categories that are of particular interest in this fiscal year.  Applicants must limit
themselves exclusively to these categories.

1.     Monitoring Systems (including supporting, software, hardware and statistics).

       Because of its ongoing need to assess  environmental parameters, determine emission
constituents and rates, and enforce  environmental standards, the EPA is particularly
interested in improving the state of the art of monitoring. The following areas are of
interest:

              Continuous monitoring systems of all types
              Area-wide systems

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             Environmental concentration and exposure
             Classification/indicator
             Miniaturization of measurement devices
             Lab/field measurement technology (including food contaminants and pesticides)

2.     Municipal Control Technology.

       This focus area supports municipal governments in improving the technology used in
environmental infrastructure, both in terms of its efficacy and its costs.  Although
particularly concerned with systems for small communities, the focus area embraces all
innovation for the following areas:

             Drinking water systems
             Recycling systems
             Wastewater systems
             Landfill methane control
             Sludge disposal/use
             Incinerator monitoring

3.     Industrial Control Technology.

       EPA has committed itself to pursuing pollution prevention as the primary form of
industrial pollution control.  The majority of .projects in this area, therefore, are expected to
be funded through the pollution prevention technologies topic area (see below). Some forms
of innovative industrial air and water pollution control technologies  remain of particular
interest, however:

             Particulate control
             Indoor air
             NOX control
             Biomass combustion systems
             Air toxics
             Non-point sources

4.     Remediation Technology.

       This focus area is targeting  in two areas of remediation technology:

             In-situ subsurface treatment
             Biotechnology
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C.2   Specific Selection Criteria

       In evaluating the potential for success of technology innovation, the first criteria, and
frequently the most difficult to assess, is technical feasibility.  Applicants should make
demonstration of technical efficacy their first priority within the constraints of the proposal
format found below.  Reviewers may contact applicants to seek further information at any
point in the evaluation process.

       In addition to technical feasibility, the topic area seeks the following attributes in
selecting projects:

1.     Substantial Advance in Performance or Cost Savings Over Conventional Technology

       ETI  seeks to strategically support innovation that advances the state of environmental
protection or lowers the cost of conventional technologies or approaches  or both.

2.     Low Cost and/or Low Maintenance Technologies

       This project criteria is important to achieving the ETI goal of increasing the export of
American technologies and to the topic areas's goal of assisting municipal governments,
particularly  small communities.  Many environmental problems exist not because there is no
available technology, but because that technology is too costly or difficult to maintain.  Low
cost/low maintenance technologies are needed both here and abroad  to foster rapid
improvement to the environment and to protect the most basic of public health  needs.

3.     Multi-media, Multi-pollutant, and/or Multi-industry or Sector Technologies

       The  ETI program is interested in multi-functional technologies; e.g. technologies that
reduce pollutant loads to both air and land, monitor numerous pollutants  simultaneously, or
are transferable to a wide variety of industry or municipal uses. These include adaption of
technologies developed for other industries to the environmental sector.

4.     Ready for the Later Stages of Development

       While the ETI program intends to be open to breakthrough technologies at all stages
of development, it is particularly interested in those technologies that are in the later stages
of development.

5.     Identification and Participation of Potential or Actual Customer

       As stated in Section 4, ETI has,  as one of its major objectives, the formation of
public/private partnerships.  In addition to partnerships, however, the environmental
technology topic area is particularly  interested in  the active participation  of a potential or
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actual customer for a given technology.

D.     Pollution Prevention Technologies

       This topic area provides joint financial support for the planning, development aind
commercialization of cleaner industrial technologies and practices that prevent pollution.
Support will be provided for selected technologies that are poised to meet critical
environmental needs, offer high prospects for breakthrough,  and require public financial
support for timely success.

D.I   FY9S Focus Areas

1.     Industrial Sectors

       Special emphasis will be placed on industries dominated by small business as v/ell as
those being  studied in the Agency's Common Sense Initiative, the Design for Environment
Program and others. This focus on a select few industries is intended to provided
concentrated support for cleaner technology development and commercialization and
sustainable economic growth and increased competitiveness.  Projects that increase the
effectiveness of technology investments by developing and applying prevention evaluation
tools are also eligible for consideration. Potential industries  include:

             metals
             electronics
             dry cleaning
             printing

2.     Unit Operations

       Industrial manufacturing operations have several processes that are common to various
facilities regardless of their purpose.  The pollution prevention technologies topic area seeks
innovative technology proposals for:

             cleaning and degreasing
             coatings and solvents
             refrigerants used for cooling
3.
Functional Areas
       Operational methods through which pollution prevention can be achieved will also be
considered.  These methods include research on process chemistry and/or changes that
reduce the production and use of hazardous chemicals.  Projects could include research on
alternative synthetic pathways to reduce or eliminate the use or generation of hazardous
14

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substances in the chemical manufacturing process and the development of real-time in-
process sensors and process controls to prevent or minimize waste generation.
Building materials and building designs that are more ecological and environmentally sound
are also of interest.  Potential projects could address advances in materials design and
selection, and development of more environment-friendly products to be used indoors.
Considerations of building design to minimize energy usage will also be considered.  Joint
energy, environmental, and ecological considerations should be incorporated into potential
projects. Candidate areas include:

             green chemistry
             process controls and feedback systems
             green buildings

D.2   Specific Selection Criteria

1.     Meets the Agency's Definition of Pollution Prevention

       The project must focus on prevention, including sources reduction and safer
substitution of materials and technologies in the manufacturing and service delivery
processes.  Projects with emphasis on cleanup, recycling, control and remediation will be
referred to other subcommittees.

2.     Includes Public and Private Funding

       This criteria requires leveraging of ETI money with resources from the private sector
and/or from other public entities. Projects with at least a 50:50 match will be judged more
favorably; projects without partner co-investments will be rejected.

3.     Improves Industrial Competitiveness

     :  By fostering the development and commercialization of cleaner technologies and safer
materials, the ETI investments will make "Greener" American Industry members more
competitive both domestically and internationally.

4.     Does Not Duplicate On-going or Past Pollution Prevention  Efforts

       This topic area will not fund base programs, but can be used  to enhance or fund new
aspects of ongoing programs. For example, there is ongoing (FY  94 ETI) work in metals
degreasing for small aircraft. Other aspects of cleaner technologies for small aircraft could
be funded or other aspects of metals degreasing.  We will also try to avoid funding activities
currently underway elsewhere in the public or private sector, but may choose to complement
them.
                                                                                    15

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E.     Domestic Diffusion

       The Domestic Diffusion topic area is responsible for providing EPA's domestic
customers (federal agencies; state, Local and tribal governments; academia; and U.S.
businesses) with information and technical assistance that will accelerate the development and
deployment of innovative environmental technologies.  Diffusion programs include a wide
range of mechanisms and tools designed to provide vital technical and market information to
U.S. technology developers, vendors and users.  We hope to accomplish our diffusion goals
in several ways:  (1) by joining with partners who operate established, successful
environmental information and education  delivery systems, we hope to improve the
availability and utility of their products and services to our customers;  (2) by developing
new diffusion tools and techniques, we hope to support a more efficient marketplace; and  (3)
by strengthening voluntary programs with the regulated community and by promoting federal
purchases of "green" technologies, products and services, we hope to stimulate demand for
innovation.

E.1    FY95 Focus Areas

       This topic area  seeks proposals that help to accomplish the following:

1.     Enhance the capacity and efficiency of existing public and private information
       networks and technology assistance services to meet the growing demand for
       comprehensive and comprehensible information on environmental technologies. This
       may include information and data  on:  market demand; availability; cost;
       performance, business development; regulatory requirements; and comparative risk.

2.     Develop innovative approaches to providing tools and techniques that  will improve
       technology diffusion, technical assistance, training, education, and information
       management to support a more efficient marketplace for environmental technologies.

3.     Catalyze demand for innovative environmental technologies by strengthening
       voluntary, non-regulatory programs (e.g. Design for the Environment, "33/50",  the
       Federal Technology Transfer Act, "Green Lights") and by promoting federal
       purchases  of "green" technologies, products and services.

E.2    Specific Selection Criteria

       In addition to the general selection criteria provided in this solicitation, the Domestic
Diffusion topic area includes the following specific selection criteria:

1.     Projects Must Be Customer-based. A specific project must demonstrate a clear
       understanding of the needs of EPA's domestic customers and show customer
       involvement in  defining those needs.
 16

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2.     Special consideration will also be given to projects that support pollution prevention,
       small businesses and/or small communities.

F.     International Diffusion

       The International Diffusion topic area is seeking project proposals related to the
international dissemination and use of environmental technologies and expertise.  A major
component of international diffusion under ETI will be the U.S. Technology for International
Environmental Solutions (U.S. TIES) initiative.  Begun with ETI funding in 1994, and
focusing on both the demand for and supply of environmental technologies, U.S. TIES is
designed to enlist greater involvement of the U.S. private sector in fostering international
environmental problem solving.

       Projects under this topic area generally  fall into the areas of institution and
capacity-building, technical assistance and training, information dissemination, and in-country
"marketing" demonstrations.

F.I    FY95 Focus Areas

1.     International Environmental Policy and  Regulatory Development.

       Projects will concentrate on the regional-  or country-specific development of
institutions, legislation, regulation and standards, and human resource capabilities that will
help further U.S. environmental protection efforts abroad. This focus area would include
broad assistance in  developing environmental institutions and in acquiring environmental
management, compliance, and other policy capabilities.

2.     International Technical Assistance and Training.                       ,

       Projects will concentrate on assessing and mitigating specific environmental problems
through technical assistance and training.  Projects will assist with the identification and
assessment of environmental problems,  risks, relevant, technologies, suppliers, financing
options, etc. and will promote innovation throughout the process.

3.     Information Generation and Dissemination.

       The projects will generate and disseminate information on international environmental
markets and needs, international  regulations, standards, and other requirements, and the
performance and cost of technologies, including U.S. technologies, for meeting these needs.
Specific vehicles could include seminars, workshops,  symposia, trade fairs and trade
missions, information databases,  monographs, and other projects.
                                                                                       17

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4.     Demonstrating Performance of U.S. Technologies Worldwide.

       The purpose of projects under this focus area will be to demonstrate the applicability
of U.S. environmental technologies in specific country situations.  In-country "marketing
demos" will display the on-site capabilities of relevant technologies, while reverse trade
missions will provide international buyers the opportunity to see U.S. technology in
operation.  Also included are activities, such as pre-feasibility and feasibility studies, that
catalyze support for private sector investment projects that demonstrate U.S. environmental
technologies.

F.2    Specific Selection Criteria

       Projects will be evaluated and ranked according to the degree to which they meet the
following criteria (listed in order of priority):

1.     Country Focus

       Proposal should focus on one or more of the following countries: Argentina, Chile,
People's Republic of China, Czech Republic, Hong Kong, South Korea, Mexico, Poland, or
Taiwan.

2.     International Environmental Issue

       Project proposals should address global, transboundary or other international
environmental issues directly affecting the United States or improve or lower the cost of
technologies for use in the United States.

3.     Priority Environmental Need

       The project should address a priority environmental need as identified by foreign
countries and involve their active participation  in implementation.

4.     Further U.S. Competitiveness and Trade Objectives

       Projects should demonstrate relationship to U.S. trade goals,  as measured in terms of
jobs, profitability, and skills base, and other broad U.S.  policy objectives (political,
humanitarian, etc.).

5.     Applicability to Other Parts of the World

       Projects should develop innovative or replicable approaches that could be applied in
other parts of the country/region/world.
 18

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 6.     Pollution Prevention and Appropriate Technology

       Projects should emphasize pollution prevention and/or other appropriate (e.g.,
 low-cost) technology approaches.
 4.    GENERAL PROJECT EVALUATION CRITERIA

       The Agency will use certain common criteria to select projects for participation in the
 ETI as well as criteria listed in each focus area. These criteria will help to screen those
 proposals which reflect the broad goals of working in concert with other committed
 public/private entities, clearly articulating problems and stating objectives, and producing
 results in a reasonable timeframe.  It is imperative that ETI funds be spent with an eye on
 being able to track and measure success - that is, for each project to truly make a difference
 in the field of environmental technology.

       The majority of the general project evaluation criteria (with the exception of
 "eligibility" criteria) are not pass/fail in nature.  Rather,  they will act as a mechanism for
 giving proposals further consideration within each committee.  A project that encompasses
 several or all of the general project evaluation criteria will receive more favorable
 consideration when the committees select those proposals which will receive funding in
 FY95.

 A.    Eligibility Criteria

       There are two important threshold criteria that will limit the field of eligible proposals
 by acting as pass/fail tests.  The first is who may propose.  This solicitation is limited to
 federal agencies (including EPA), state governments (including state universities which are
 departments of a state government) and tribal governments (including Alaskan Native
 Villages).  Municipalities, universities, and private sector (for-profit and non-profit)
 companies are not included on the direct solicitation list for proposals.  However, the
 Agency encourages multi-organization partnerships, as stated below in the partnerships
 criterion.

       The  second criterion is that the ETI does not intend to duplicate on-going or past
 effort within agencies, including funding the continuation or expansion of routine or base
programs.  If projects fall under existing programs, there must be a clear differentiation of
the intended activities from those that already exist, or have been undertaken in the past. In
other words, projects proposed under existing programs must be "stand alone"  to merit
consideration for funding under ETI.
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B.     "Good Project" Criteria

       Several criteria underlie the notion of "good project" design.  The first is that each
proposal should be supportive of the nation's environmental goals; that is, the achievement of
public health risk reduction, ecosystem protection, and pollution prevention, all within the
most efficient and cost-effective manner possible.  The second criterion in this category is
that each proposal submitted should have clearly stated short and long term objectives, in
relation to the focus areas. The proposals should focus on the intended results, how they
will be achieved, and what mechanisms will be put into place to measure success.

       It is also imperative that proposals are clear in requesting appropriate levels of
resources and setting timeframes necessary to achieve their stated goals, with an eye on
producing reasonable results in the near term.  Proposals should provide a clear breakout of
how much the project mil cost, how much participating partners are contributing to the
project,  and the amount requested for funding from ETI. Applicants should note that the
level of  funding that can be expected for projects chosen  for ETI in FY95 will track closely
with those awarded in FY94.  That is, the average project awarded in FY94 was $300,000,
with a range from $50,000 to $2 million.

       The Agency generally expects that projects  funded in FY95 will be completed within
one or t\vo years, with final results being reported to the Agency no later than the end of the
second year.  (Interim results, outputs, and periodic reports will be negotiated on a project
by project basis, as appropriate.)

       Lastly, ETI seeks  to fund projects for only  one year in order to impact a maximum
number  of technology areas over the course of the program. The Agency understands,
however, that certain programmatic projects are, by  their nature, multi-year. Such projects
 may be  proposed for multi-year funding on an exception  basis, but proposers should
understand that subsequent year funding cannot be guaranteed.  In no case will funding
 through ETI be considered for more than three years.  Organizations wishing to propose
projects for more than one year should make this clear in their proposals and should  explain
 the justification for this need.

 C.    Action Orientation

       ETI proposals should be action-^oriented. Although the Agency recognizes that there
 are certain areas in which "paper studies" must be undertaken,  more emphasis will be placed
 on proposals that actually demonstrate innovation. Adequate literature searches should be
 undertaken before submitting proposals, so that efforts are not duplicative and build upon the
 work already done in the technology innovation arena.
 20

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 D.    Partnerships

       An important theme of the current Administration is the formation of
 multi-organization partnerships across the public and private sectors.  This concept is one of
 the principal tenets of the ETI.  Proposals constructed, in harmony with this  criterion will
 garner more consideration for ETI funding than individual applicants, even if the quality of
 such proposals are equal.  Partnerships  may consist of organizations eligible to directly
 submit proposals pursuant to this solicitation (e.g., a federal agency),  with parties also
 eligible to directly submit proposals  (e.g., a state), or other entities such as private for-profit
 companies, non-profit organizations, local governments, and universities.  As stated
 previously, no proposals will be accepted from multi-organizational partnerships without an
 eligible party (i.e., federal agency, state or tribe) for this solicitation.

       There are, however, constraints  on applicants who wish to pass ETI money through to
 their private sector (for profit) partners  to conduct certain portions of the project. EPA is
 bound by its statutory  authority with respect to awarding grants and cooperative  agreements.
 Any funds that are awarded to other federal agencies, states and  tribes for this solicitation
 must be managed within the limitations  imposed on EPA by the statutes authorizing the
 award.  EPA cannot circumvent a statutory restriction by making a grant to another agency
 or entity to do something it could  not do itself. One such statutory restriction is the limit on
 EPA's authority to provide funds to private sector (for profit) parties.   Although EPA has
 inherent authority under all its statutes to enter into contractual relationships with private
 sector (for profit) parties, it is quite limited in its  authority  to give grants or  enter into
 cooperative agreements with those parties.  The pertinent authority that does exist for grants
 and cooperative agreements is contained within Comprehensive Environmental  Response,
 Compensation and Liability Act  (CERCLA or Superfund) §311, Toxic Substances
 Control Act (TSCA) §10, and Federal  Insecticide, Fungicide and Rodenticide Act
 (F1FRA) §20, and can be used only  for projects that are eligible under the terms of those
 sections.

       Therefore, all ETI proposals for multi-organization partnership projects that intend
 to provide funding to private sector  (for profit) parties via pass-through  using grants or
 cooperative agreements outside of CERCLA,  TSCA  and FIFRA, cannot be funded. In
 addition, any Interagency Agreement (IAG) with a federal agency whose project is chosen
 for funding under ETI, must stipulate these limitations before funds can be transferred.
 Other partnerships,  which do not involve private sector (for-profit) parties, can pass ETI
 funds through to its partners, using whichever vehicle (contract, grant, cooperative
agreement) they so choose.  Private sector partnerships in which  the for-profit entities
participates, but does not receive ETI funds, are always welcome.
                                                                                     21

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E.     Leveraging of Other Funds

       Another general criterion for applicants to follow is the notion of leveraging funds.
The resources allocated to the ETI effort cannot alone make the needed difference in
innovation to produce the next generation of environmental technologies.  Therefore,
applicants' proposals will be given more consideration to the extent that matching funds or
in-kind services from participating partners are included.  This criterion works in concert
with that of partnering, as the added number of participants can bring additional resources to
the endeavor, increasing  the chances for success and more widespread applicability of the
results.

F.     Relationship to the Common Sense Initiative

       In addition to the ETI, EPA has launched another important effort -- its "Common
Sense Initiative" - to work with selected industries, environmental and public interest
groups, state regulators,  and other stakeholders to both improve the environmental results
and reduce the economic impacts of its programs.

       The  overall goal of the Common Sense Initiative is "cleaner, cheaper, smarter"
environmental protection. Focusing on selected industry sectors, EPA  will create
multi-stakeholder teams to identify environmental management solutions that provide greater
environmental benefits at reduced compliance cost.  Led by an assistant administrator, and
including senior representatives from EPA's various program offices, the teams will focus on
identifying opportunities in six areas:  (1) regulatory review;  (2) pollution prevention;  (3)
reporting; (4) compliance; (5) permitting; and (6) environmental technology. By
mid-Summer, Administrator Carol Browner will select the four to six industries that will be
included in  the first round of the Initiative.

       The environmental technology element of the Common Sense Initiative provides a
connection to the ETI. In soliciting ETI project proposals, EPA encourages submittals that
focus on  industry sectors that are also included in the first round of the Common Sense
Initiative. Although the final Common Sense industries have not been  selected yet, the
following industries are  on the Agency's "short-list" for sector selection:

              Auto Assembly
              Electronics
              Iron and Steel
              Metal Plating and Finishing
              Petroleum Refining
              Printing

        It should be noted that not all ETI projects will be sector-based. In addition, it is
 anticipated  that some  sector-based projects will be selected even if they do not focus on one
 22

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of these six short-listed Common Sense Initiative industries.  However, quality projects
which fall within the ETI focus areas, meet the other ETI evaluation criteria, and focus on
one of the Common Sense industries listed above will receive added consideration in the
selection process.  For example, a project which meets all ETI criteria and is focused on a
Common Sense industry will be rated more favorably than an equally meritorious project that
is not sector-oriented.

      As mentioned in the previous section, proposals must fall within the specified focus
areas for the ETI, regardless of their sector orientation.
5.     THE SELECTION PROCESS

       The Agency's FY95 ETI project selection process conform's to the strategic
objectives contained in the draft Technology Innovation Strategy.  This has resulted in the
formulation of six committees under the EPA Innovative Technology Council (see discussion
in Section I) with the following objectives:

A.     Policy Framework Committee

       Objective #1: Adapt EPA's policy, regulatory and compliance framework to promote
                    innovation.

B.     Innovation Capacity Committee

       Objective #2: Strengthen the capacity of technology developers and users to succeed
                    in environmental innovation.

C.     Environmental Technologies Committee

       Objective #3: Strategically invest EPA  funds in the development and
                    commercialization of promising new technologies.  (This committee
                    addresses monitoring, control, and remediation control technologies.)

D.     Pollution Prevention Technologies Committee

       Objective #3: Strategically invest EPA  funds in the development and
                    commercialization of promising new technologies.  (This committee
                    addresses pollution prevention technologies.)
                                                                                   23

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E.     Domestic Diffusion Committee

       Objective #4: Accelerate the diffusion of innovative technologies at home and abroad.
                    (This committee addresses domestic diffusion activities.)
F.     International Diffusion Committee

       Objective #4: Accelerate the diffusion of innovative technologies at home and abroad.
                    (This committee addresses international diffusion activities.)

       The selection process begins with proposal submission to EPA's Office of Policy,
Planning and Evaluation (OPPE), as discussed in detail in the next section.  OPPE will sort
proposals by their self-designation to a particular committee.  If a proposal crosses more than
one committee, it will be sent to all that are applicable, although EPA encourages applicants
to be as concise as possible in defining the scope and focus of their project.

       All projects will then be evaluated by the committees, and ranked.  It is important to
note that for this solicitation, no numerical ranking will be given to projects based on general
or specific criteria.  The committees will evaluate the merits of each proposal in a qualitative
manner, choosing those which best address the specified focus areas and meet as many of the
criteria set out in this document. The co-chairs of each committee will forward a ranked list
of projects to the ITC which will review the rankings, and choose projects for funding.  This
list will be recommended to the national program manager for the ETI, David Gardiner,
Assistant Administrator for OPPE, who will make the final decision on awards. All
applicants will be notified of either their selection or rejection.

       It should be noted that the committees have the authority to partially fund projects, to
suggest combining projects, and to negotiate directly with applicants.
6.     PROPOSAL FORMATTING AND CONTENT INSTRUCTIONS

A.     Cover Sheet Instructions

       A form to be used as the proposal cover sheet is attached at the end of the document.
A copy of the completed cover sheet must accompany each copy of the proposal submitted.
Detailed instructions for filling out the cover sheet (type or print legibly) follow.

1.     Project Title:  State the title of the project for which ETI funds are being requested.
       The title should be brief but descriptive.
24

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        Abstract:  In 1Q0 words (10 lines) or less, state the objective of the proposed project
        as well as the means by which it will be achieved.

        Proposal Keywords:  List the three or four most important subject areas that the
        proposed project involves.

        Topic and Major Focus Area:  Identify the topic area and major focus area (or at
        most, three topic/focus area combinations with the primary combination listed first)
        under which the proposed project falls (e.g., Innovation Capacity/Develop
        Infrastructure and Tools).  See section III for the list and descriptions of topic areas
        and their focus areas.  This designation will be used by EPA to determine which
        committee will be the primary reviewer.

        Total Project Budget:  Indicate the total budget for the proposed project, including all
        matching funds contributed  by the submitting organization and its partners.

        Amount Requested from RTT: Indicate the amount of FY95 funding requested from
        -til 1,

        Submitting Organization and Contact Person- Provide  the name of the submitting
        organization, together with the name, mailing address,  telephone number and fax
        number of the appropriate contact person in that organization.

        Major Partners:  List the name(s) of the major partners that the project has at the time
        of its submission to the ETI. Partners for this purpose are those who will be
        contributing resources (financial or in-kind) to the proposed project.

9.-12.  Shaded areas are for EPA use only.

B.      General Formatting Instructions
5.


6.


7.



8.
1.
2.
3.
      Page Limit:  The proposal should be a maximum of seven pages (plus completed
      cover sheet) with margins of at least 3/4 of an inch. It would be helpful if each page
      is numbered and contained a header or footer with the project title or an abbreviated
      project title.  Do not include any attachments,,

      Pacer:  The proposal and all copies should be printed on white, 8.5 x 11 inch (21.6 x
      27.9 cm) recycled paper.  Each copy of the proposal should have its pages  stapled
      together at the top left corner.

      Fonts: Use an easy-to-read font with a point size no smaller than 10 or, if it is a
      fixed pitch font, it should have 12 or fewer characters per inch.

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4.     Number of Copies:  Provide 12 sets of the proposal and cover sheet.  If possible,
       please submit ten of the sets printed double-sided and two of the sets single-sided.
       Note that each page printed on both sides counts as two pages towards the page limit,
       but the cover sheet does not.

5      Disk copy: Provide one electronic copy of the proposal on a 3.5 inch disk.  For a
       DOS formatted disk, the word processing package used should, if possible, be easily
       convertible to WordPerfect;  for a Macintosh, it should, if possible, be easily
       convertible to Word.  Clearly label the disk with project title, contact person, phone
       number and "DOS" or "Mac" to identify how the disk is formatted.

C.    Proposal Content

       Proposals should clearly and concisely cover the issues and topics outlined below.
Some of the topics will be more applicable to some proposals than others.  If you do not feel
that a topic is relevant to your proposal, include a brief statement explaining why you believe
this to be the case.  Do not include proprietary or confidential information in your
proposal.

C.I   Background

 1.    Stating and Addressing the Problem:  Each proposal should contain two problem
       statements. The first problem statement should address the objectives contained in
       EPA's  Technology Innovation Strategy.   The second problem statement should refer
       to the nature and extent of the environmental or health protection problem that will be
       addressed by the proposed project.

       Each objective set forth in the Technology Innovation Strategy describes many of the
       policy and programmatic problems faced by environmental technology developers and
       users.  FY 1995 project proposals should describe which of these problems will be
       addressed by the proposed project. For example under Strategy Objective No.l:
       Adapt EPA's Policy, Regulatory and Compliance Framework to Promote Innovation
       proposals  should address how their project will address the problems of "technology
        lock-in", "fragmented markets", "unpredictable regulatory requirements", etc.
        Proposals should also cite available data documenting the problem.

        EPA is interested in developing performance measures for tracking the Environmental
        Technology Initiative's success in "finding better, faster, cheaper technological
        solutions to the environmental problems" being faced by federal agencies, state and
        local governments, tribes, businesses and other interested parties. In the second
        problem statement then, proposals should describe the nature and extent of the
        environmental or health protection problems that will be alleviated by proceeding with
        the proposed project. A hypothetical example would be:  "...in the  State of X, half
  26

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       the state's population currently drink water that has been untested for regulated
       contaminants A, B, and C, Investing ETI funds in the proposed project to
       commercialize a new drinking water monitoring technology has the potential to lower
       the costs of testing drinking water samples by Y percent."

2.     Project History: Discuss what, if anything, has led up to the project.  Did it come
       out of the findings of a study? Is it an extension of a past project?

3.     Selection Criteria:   If not addressed elsewhere in the proposal, describe how the
       project satisfies the relevant general (Section 4) and specific (Section 3) selection
       criteria.

C.2.   Project Description

1.     Project Goal:  Describe the final goal or outcome of the project if it is successful.
       Explain also, how  the level of success for the project will be measured.

2.     Project Tasks:  Describe each major task comprising the project.  For each task: list
       the applicable milestones;  identify any partners (including those to whom funds will
       be passed), how they will be involved, and what contributions each will make towards
       achieving the objectives of the task; list all outputs or products; and indicate the
       relationship between the task and accomplishing the final goal of the project.

3.     Timeline:  Create a timeline providing estimated start and finish dates for each task
       and/or milestone.  A simple table listing tasks and dates would be sufficient.

4.     Proposed Budget:  Indicate the estimated total budget for the life of the project,
       broken down by fiscal  year.  Show the split between requested ETI funds and each
       partner's contributions, both dollars and in-kind (e.g., staff time).  For projects with
       an indefinite lifetime, describe how the project will  be sustained after ETI funding  has
       ceased.

C.3.   Qualifications

1.     Experience: Describe  the experience of the submitting organization and your partners
       in the area of the project,  including relevant previous accomplishments

2.     Key Personnel:  Give a brief overview of  the qualifications of key staff and their
       respective organizations. Do not include  resumes.

3.     Equipment and/or Facilities:  If applicable, describe the facilities and equipment that
       will be involved in the proposed  project.
                                                                                      27

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4.    Implementation or Commercialization Plan:  If not covered elsewhere in your
      proposal, briefly explain (in one paragraph) how the results of your project will be
      implemented.  If the proposal involves technology development, briefly explain (in
      one paragraph) your strategy for commercialization.

D.    Proposal Submission
1.
How
       Send the proposal package through the mail or by courier. Fax and e-mail proposals
will not be accepted. Notification will be sent to applicants confirming that their proposal
has been received. At the end of the review process, applicants will be advised of the
results. Interim status reports can not be provided.

2.     Where

       U.S. Environmental Protection Agency
       Office of Policy, Planning and Evaluation
       EH Proposals
       Mail Code 2127, Room M3006
       401 M Street, SW
       Washington, DC 20460

3.     When

       The deadline for proposals is 5pm EDT, Wednesday, September 21, 1994.
Proposals postmarked after this date will not be considered for FY95 competition.
 28

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29

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7.   APPENDICES
          1.   Electronic Availability Information




          2.   Superintendent of Documents Order Form




          3.   Proposal Cover Sheet
 30

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Electronic Availability

This Solicitation Package is available In ASCII foimat from a variety of electronic
sources, including:

UJSL EPA Public Access Gopher
internet Access; Gopher to GOPHER,EPA.GOV
Directory: EPA Initiatives, Policy, and Strategy Documents
Document: U.S. EPA Environmental Technology Initiative: Program Solicitation for
FY 1995

CLU-IN Clean-up Information Bulletin Board
System Operator (301) 589-8368
Modem Access; (301) 589-8366
(1200, 2400, 9600 bps - 8 data bits, 1 stop bit, no parity).
Filename: Soticit.ETE

U.S. Department of Commerce Economic Bulletin Board {EBB]
User Hotline {202} 482-1986 {8:30 a.m. - 4;30 p.m.}
Modem Access:(202) 482-3870 (300, 1200, 2400 BPS}
Internet Access: telnet to ebb.stat-usa.gov
Filename: Solicit.ETl

SBA ONLINE
Modem Access: (800) 859-4636 {2400 baud);  1800} 697-4636 [9600 baud)
tocai Access: (202J 205-7265 (2400 baud); £202) 401-9600 {9600 baud)
Filename; Solicit.ETl
                                                                                31

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                           Solicitation Package Order Information
           Additional copies of this solicitation package may be obtained through the U.S.
     Government Printing Office (GPO) Superintendent of Documents.  Copies of the EPA
     Technology Innovation Strategy (S/N 055-000-00466-8), and the EPA Environmental
     Technology Initiative: FY1994 Program Plan (S/N 055-000-00465-0) mentioned throughout
     this document are also available through the Superintendent of Documents.  Orders may be
     faxed to GPO using the order form below.  Overnight delivery is available at the purchaser's
     expense.
"_ t -a •«-• r y-rir* *•#'-.?* ir'VvJa
^74411
                    Superintendent of Documents Order Form
                                                                        Charge your order.
                                                                                It's easy!
                                                                       To fax your orders (202) 512-2250

Q YES, send me the following publications:                 ,      	        .       	
     	 copies of the EPA Environmental Technology Initiative: FY 1995 Program  Solicitation Package,
          S/N 055-000-00476-5 for S3.00 each {$3.75 foreign).
     	 copies Of the EPA Environmental Technology Initiative: FY 1994 Program  Plan,
          S/N 055-000-00465-0 for $3,00,each ($3.75, foreign).
     	 copies of the EPA Technology Innovation Strategy, S/N 055-000-00466-8 for $3.00 each fS.75 foreign).
                                . Price includes
The total cost of my order is $ _
regular shipping and handling and is subject to change
Company or personal name
                                (Please type or print)
                                                       Check method of payment:
                                                       Q Check payable to Superintendent of Documents
                                                       Q GPO Deposit Account     I  I   I  I  I  I   I  I
                                                       Q VISA   a MasterCard
  MiOoaf address/attention line
S*ree», address
                                                                ] (expiration date)   Thank you for your order!
'';.•>. State. Zp code
Daytime phone refudng area code
                                                       Authorizing signature
                                                                                                   7/94
Purchase order number (optional)
                                                        Mail To: Superintendent of Documents
                                                        i       P.O. Box 371954, Pittsburgh, PA 15250-7954

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               EPA Environmental Technology Initiative Proposal Cover Sheet
 1. Project Title
 2. Abstract
 3. Keywords
 4. Topic and Major Focus Area
 5. Total Project Budget
                                                  6. Amount Requested from ED
 7. Submitting Organization and Contact Person
                                                 8. Major Partners
Shaded Ana for EPA Use Only
 9, Date Received
                                                 10, Proposal Number
 tt. Committee Assignment
 12. Comments
          Do not include proprietary or confidential information in your proposal.
Applications will not be considered complete unless all requested information is provided.

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United States
Environmental Protection Agency
National Center for Environmental
 Publications and Information (NCEPI)
P.O. Box42419
Cincinnati, OH 45242

Official Business
Penalty for Private Use
$300

EPA 542-B-94-010
     BULK RATE
POSTAGE & FEES PAID
        EPA
   PERMIT No. G-35

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