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POLLUTION PREVENTION
INCENTIVES FOR STATES
> PPIS «
FY 1998 GRANT GUIDANCE
Environmental Protection Agency
Office of Pollution Prevention and Toxics
Pollution Prevention Division (7409)
401 M Street, SW
Washington, D.C. 20460
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POLLUTION PREVENTION INCENTIVES FOR STATES FY 1998 GRANT GUIDANCE
I. INTRODUCTION
Under the authority of the Pollution Prevention Act of 1990, EPA plans to award $5
million in pollution prevention grants to the states in FY 1998. These grant dollars are
targeted at State and Tribal programs that address the reduction or elimination of
pollution across all environmental media: air, land, and water. Since the inception of
the grant program, EPA has awarded approximately $49Jmillion.
This guidance describes the process by which EPA will award the grants under the
Pollution Prevention Incentives for States (PPIS) grant program. EPA is continuing to
focus this grant program to foster sustainability of pollution prevention programs and
ensure that pollution prevention (P2) is a critical component in how states deliver
environmental protection in the future. This document provides an overview of the
program, description of the evaluation criteria, and time lines for submissions and final
awards.
The purpose of the PPIS grant program is to support the establishment and
expansion of State and Tribal multimedia pollution prevention programs. EPA
specifically seeks to build State pollution prevention capabilities or to test, at the State
level, innovative pollution prevention approaches and methodologies. Funds awarded
under the PPIS grant program must be used to support P2 programs that address the
transfer of potentially harmful pollutants across all environmental media: air, water, and
land. Programs should reflect comprehensive and coordinated pollution prevention
planning and implementation efforts State wide.
II. AUTHORIZATION
Section 6605 of the Pollution Prevention Act (the Act) of 1990 authorizes a matching
grant to States for programs to promote the use of source reduction techniques by
businesses. EPA has designated the PPIS grant program to implement the Act. In
evaluating grant applications, the Act further notes that the State grants should, among
other criteria:
4 make specific technical assistance available to businesses seeking information
about source reduction opportunities,
4 target assistance to businesses for whom lack of information is an impediment to
source reduction,
4 provide training in source reduction techniques.
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The Act defines source reduction as any practice which:
4 reduces the amount of any hazardous substance, pollutant, or contaminant
entering any waste stream or otherwise released into the environment (including
fugitive emissions) prior to recycling, treatment or disposal; and
+ reduces the hazards to public health and the environment associated with the
release of such substances, pollutants, or contaminants.
Source reduction under the Act includes: equipment or technology modifications,
process or procedure modifications, reformulation or redesign of products, substitution
of raw materials, and improvements in housekeeping, maintenance, training, or
inventory control.
III. PROGRAM HISTORY
EPA started the PPIS grant program with the philosophy that states should play a
primary role in encouraging industry, small and medium-sized businesses, local
governments, and the public to shift priorities from pollution control to pollution
prevention. EPA established the program believing that since states have more direct
contact with generators, they are, therefore, more aware of their needs and problems
and in a better position to provide pollution prevention assistance. As a result, state-
based environmental programs make a unique contribution to the national effort to
promote source reduction.
EPA set the following goals at the outset of the program:
+ Empower states to build a pollution prevention infrastructure.
4- Learn from and build upon innovative means of implementing pollution
prevention at both the state and facility level.
+ Provide resources for pollution prevention technical assistance and training.
+ Support states in establishing and expanding pollution prevention programs.
+ Foster federal and state information sharing and communication.
The PPIS grant program has evolved - and will continue to evolve - to meet the
agency's changing needs and priorities. In the first years of the grant program, EPA
administered the grant program from EPA Headquarters in Washington, D.C., with the
goal of jump-starting as many state pollution prevention programs as possible. EPA
believed that by educating businesses and providing P2 technical assistance, the
businesses would quickly realize the benefits of a preventive approach and implement
pollution prevention projects.
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As the number of state pollution prevention programs expanded, EPA shifted
responsibility for implementing the grant program from EPA Headquarters to the EPA
Regions. This enabled the Regions to focus resources on regional priorities and
institutionalize pollution prevention at the state level. Many states initiated regulatory
integration projects to develop prevention strategies; train regulatory staff oh P2
concepts; and examine opportunities for incorporating pollution prevention into permits,
inspections, and enforcement. Some Regions also encouraged applicants to establish
partnerships with state agencies in nonindustrial sectors such as agriculture, energy,
health, and transportation.
As shown below, PPIS funded activities for 1989 - 1996 attempted to address a
wide range of audiences by implementing a diverse mix of program activities. As is
shown, grantees believe that technical assistance and educating industry about
stopping the generation of waste at its source are parallel tracks in preventing pollution.
Summary of PPIS Activities
1989 - 1996
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Type of grant activities
A - Outreach and Education to Industry
B - Data Collection and Research
C - Pilot Programs and Demonstration Projects
D - Infrastructure Development
E - Regulatory Integration
F - Technical Assistance/Training
G - Awards and Recognition
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Over the past few years, two trends have emerged that have significantly changed
the way environmental services are delivered at the state and federal level. First, the
number of environmental assistance providers has dramatically increased over the past
several years. Second, states are developing comprehensive strategic plans for
environmental protection.
Prior to the inception of the PPIS program, there were only a few organizations
providing environmental assistance and only a handful of states offering any kind of
pollution prevention technical assistance. During the early 1990's, the number of
organizations providing technical assistance dramatically increased. Today, several
hundred organizations provide business and/or environmental assistance. Some
examples of providers include:
4 National Institute for Standards and Technology (NIST) Manufacturing Extension
Partnerships (MEPs)
4 NIST Environmental Networks
4 Small Business Development Centers (SBDCs)
4 EPA Office of Enforcement and Compliance Assistance (OECA) Compliance
Assistance Centers
4 Small Business Assistance Programs (SBAPs)
These organizations have developed strong service delivery programs to the
manufacturing and small business communities. Businesses are often familiar with
these organizations, and are comfortable contacting them for assistance. Given their
detachment from regulatory programs, businesses often trust these organizations and
have strong relationships with them. While these organizations have connections to the
business community, many lack specific pollution prevention expertise. Thus, EPA
believes that partnerships between these organizations and pollution prevention
programs can have a positive impact on environmental service delivery.
A second trend is the changing relationship between EPA and states and the way
environmental services are delivered at the state level. The National Environmental
Performance Partnership System (NEPPS) was established as part of the effort to
reform EPA policy and practices related to oversight of state programs. NEPPS is
intended, among other things, to provide states with more flexibility in using EPA
resources. The system emphasizes mutual priority-setting and a focus on
environmental results, rather than activity-specific review of programs. Performance
Partnership Agreements (PPA) and Performance .Partnership Grants (PPG) are the
principal delivery mechanisms for this new approach. These mechanisms establish the
framework for the State-EPA relationship for a one to two-year period. Under the
NEPPS, states can develop Performance Partnership Agreements that articulate clear
environmental objectives and meaningful measures to assess performance. These
agreements will enable states to combine two or more categorical grants (including
PPIS grants) into a multiple-program grant or Performance Partnership Grant (PPG).
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EPA created NEPPS to improve environmental service delivery by:
4 Increased flexibility. States and Tribes will have the flexibility to address their
highest environmental priorities across all media and establish resource allocations
based on those priorities, while continuing to address core program commitments.
+ Improved environmental performance. States and Tribes can more effectively
link program activities with environmental goals and program outcomes as well as
develop innovative pollution prevention, ecosystem, and community-based
strategies.
f Administrative savings. Recipients and EPA can reduce administrative burdens
and costs by greatly reducing the numbers of grant applications, budgets, work
plans, and reports.
+ Strengthened partnerships. EPA will develop partnerships with States and Tribes
where both parties have the same environmental and program goals and deploy
their unique resources and abilities to accomplish these goals.
NEPPS is intended to take precedence over the traditional annual work plan
process, however state participation in the NEPPS System is voluntary. For FY97,
approximately 30 states have signed PPAs (24 environmental PPAs with 6 with either
health or agriculture) and 36 states have signed PPGs (20 environmental PPGs with 16
with either health or agriculture), as of June 1997.
IV. 1998 NATIONAL CRITERIA
EPA is continuing to look at the various ways that states are delivering
environmental services. The PPIS grant program can help foster the sustainabijity of
state P2 programs and to ensure that pollution prevention is incorporated into state
strategies and environmental service delivery systems.
To build upon the 1997 goals of the PPIS grant program, EPA will award 1998 PPIS
funds to states that propose activities which:
• Promote partnering among environmental and business assistance providers.
Starting in 1994, EPA required PPIS grant applicants to identify other environmental
assistance providers in their states and to work with these organizations to educate
businesses on pollution prevention. EPA believes that states lacking strong
relationships with other environmental assistance providers will face difficulties
securing state and federal resources in the future. EPA would like to encourage
more cooperation among state pollution prevention programs, the NIST programs,
SBDCs, SBAPs, OECA Compliance Assistance Centers, the large number of
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university cooperative extension programs and other business and environmental
assistance programs at the state level. Through the PPIS grant funds EPA is
striving to support this development of a coordinated network of State environmental
service providers that seek to leverage the expertise of the various environmental
assistance organizations and show an ability to work jointly in an effort to promote
pollution prevention in the state. EPA wants to help foster a cooperative network of
environmental assistance providers. Cooperation among state business and
environmental assistance providers is paramount in light of shrinking federal
programs. EPA would like to ensure that state pollution prevention programs and
other assistance providers establish cooperative working relationships which make
best use of their respective areas of expertise and most effectively serve their
clients. To this end, applicants must provide documentation showing they
have entered into a partnership agreement with one or more environmental or
business assistance providers in their state.
Advance state environmental goals. EPA believes it is important for the
sustainability of state pollution prevention programs to complement the goals and
strategies of the State Performance Partnership Agreements (PPAs), and
Performance Partnership Grants (PPGs) under the National Environmental
Performance Partnership System (NEPPS) or for those states not participating in
the PPAs and PPGs, to show that the pollution prevention work they are
undertaking complements and supports the state's environmental strategic plans. If
the state environmental program lacks a single comprehensive environmental
strategy, applications must show a correlation between the proposed activity and
the environmental goals or objectives of the state environmental program.- EPA
believes P2 programs will continue to be valuable to the state environmental
agency's top management if they can demonstrate how their actions will help
advance state goals. EPA would like to ensure that pollution prevention is
integrated at the state level by providing a service which supports the state's
strategic plan. EPA encourages all applicants to develop initiatives and proposals in
priority industry sectors, geographic areas, and /or State and Federal Reinvention
activities, where applicable. The application must demonstrate how pollution
prevention activities will advance state environmental goals as stated in either
PPAs, PPGs, or other state environmental strategic planning documents.
Applicants submitting proposals that do not show a correlation between the
environmental goals of the state and the proposed pollution prevention
activity will not be considered as eligible for funding.
Promote accomplishments within the state's environmental programs. EPA
realizes the importance of documenting the program effectiveness and
communicating those results to the affected media office. In order to create this link
between the regulatory program and the activities of the pollution prevention
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program, EPA has added this application criterion to ensure that the environmental
programs in the state are aware of the contributions of the p2 program within their
sectors/programs/geographic areas. By creating this positive feedback mechanism
to the state's regulatory program, the grantee can market their accomplishments
and consequently help promote the sustainability of the P2 program. EPA through
the PPIS grants is working to encourage better awareness by the state regulatory
and media programs of how pollution prevention and the state pollution prevention
programs are helping the regulatory programs address increasingly complex
environmental management problems. To address this, applications must
include what activities the pollution prevention program will undertake to
ensure communication and feedback to the regulatory and other
environmental programs showing how pollution prevention is helping to
advance multimedia environmental protection.
V. EXAMPLES OF ACTIVITIES THAT ADDRESS THE NATIONAL CRITERIA
During this grant cycle, EPA will fund pollution prevention (as defined by EPA)
activities that support state environmental goals, complement efforts of other
environmental assistance providers in that state, and conduct outreach and
communication to other state environmental programs. Examples of eligible activities
include those activities that:
• Complement activities of environmental assistance providers. In FY 1994,
EPA asked grant applicants to evaluate environmental networks in their states.
EPA encourages grantees to review these programs once again in this grant cycle.
Applicants should propose efforts that complement activities of other environmental
assistance providers in the state and consider partnering to develop joint
applications. All applicants should ensure that proposed activities do not duplicate
actions underway by other environmental assistance providers in the state.
Examples of activities eligible to support coordination among environmental
assistance providers include:
4 Demonstrate how the pollution prevention program is serving the needs of other
environmental or business assistance providers that do not have pollution
prevention expertise.
* Conduct a joint exposition with economic development agencies and university
extension services to demonstrate pollution prevention technologies.
4 Partner with a business association or agricultural extension to deliver pollution
prevention technical assistance.
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+ Advance state environmental goals. EPA will fund only those projects that clearly
contribute to the achievement of state environmental goals, such as those
articulated by their state's strategic plan or their Performance Partnership
Agreements. During this grant cycle, EPA encourages States to measure pollution
prevention progress and link their results to the state's environmental goals. Doing
so will help state P2 programs demonstrate to top state management how pollution
. prevention can help them achieve environmental results in a cost-effective manner.
In FY 1996, EPA funded states to develop measurement methodologies for pollution
prevention. EPA encourages states to re-examine and to continue to implement
these strategies. Strong proposals will clearly link their proposed activities with
environmental goals. EPA encourages all applicants to develop proposals focused
on priority industrial sectors, geographic areas, and/or State and Federal
Reinvention activities (if applicable). Where the state environmental programs may
lack a single comprehensive environmental strategy, PPIS applications must show a
correlation between the proposed activity and the environmental goals, or objectives
of the state environmental program.
Examples of eligible activities tied to specific goals include:
State Environmental Goal
Maintain ozone air quality
standards in a geographic area
with repeat violations
Eligible Activity
4 Develop incentives to increase use of mass
transit and carpools in the specified area
f Conduct onsite pollution prevention
assessments at large facilities in the area
+ Impose prevention provisions in air permits
for facilities in this area
Reduce the toxic chemicals in
environmental waste generated
by the metal finishing industry
Promote the availability of the OECA National
Resource Center for Metal Finishing
Investigate innovative metal finishing
technologies
Provide technical assistance to metal
finishing industry and linking industry with
small business compliance assistance
programs
By 2000 reduce loadings of
pollutants to POTWs by 10
percent
Conduct onsite P2 assessments for POTW
significant industrial users (SlUs)
Require SlUs to reduce loadings through
pollution prevention actions in permits
Conduct workshops on pollution prevention
for SlUs
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State Environmental Goal
Reduce quantity of hazardous
waste generated by 20 percent
(over 1995 levels) by 2000
Eligible Activity
4 Target largest hazardous waste generators
for onsite assessments and outreach
4 Educate industry about ISO 14000
environmental management standards
4 Distribute pollution prevention information
through inspection process
Promote accomplishments within state's environmental programs. In order to
advance and market the impact of source reduction/pollution prevention activities
back to the State's affected regulatory program, the applications are required to
address how they propose to promote their accomplishments. All applications need
to identify the various state program offices which will benefit from the proposed
activities and then document how the grantee's plan to keep the media programs
informed. The purpose of including this criterion is to address a perceived lack of
knowledge and understanding within the other state environmental programs of the
work and activities being undertaken by the P2 program, often in support of
regulatory efforts.
Examples of outreach activities to promote P2 accomplishments might include:
+ participating in media specific conferences
4 circulating a newsletter to media programs highlighting the accomplishments of
the grant
4 setting up a steering committee with media program representatives
4 convenjng annual meetings with media program directors to brief them of the P2
activities
4 provide updates to state legislatures and state environmental regulatory
commissioners on the activities of the P2 program.
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VI. AWARD PROCESS
Eligibility
Eligible applicants for purposes of funding under this program include the 50 states,
the District of Columbia, the U.S. Virgin Islands, the Commonwealth of Puerto Rico, any
territory of or possession of the United States, any agency or instrumentality of a state
including state universities, and all federally-recognized Native American tribes. (For
the purpose of this guidance the term "state" refers to all eligible applicants). Local
governments, private universities, private nonprofit, private businesses, and individuals
are not eligible for funding. EPA encourages these organizations to partner with eligible
institutions to develop joint proposals.
Cost-Share Requirements
Organizations funded must match Federal funds by at least 50 percent of the total
award amount. State contributions can include dollars and/or in-kind goods and
services.
Catalogue of Federal Domestic Assistance
The Catalogue of Federal Domestic Assistance number assigned to this program is
66.708.
Timeline
Interested applicants are requested to contact their EPA Regional Pollution
Prevention Coordinator listed in Section VIII of this document to obtain specific
timeframes for submitting proposals. Funding decisions will be made by April 1998.
Information Clearinghouse
The Act required EPA to establish a source reduction clearinghouse to collect and
compile information reported by States receiving grants under this program. The
Pollution Prevention Information Clearinghouse (PPIC) was created with the idea that
through technology transfer, education and public awareness, it is possible to reduce or
eliminate industrial pollutants. The PPIC is a free, nonregulatory service offering
reference and referral, document distribution, and a comprehensive library service. The
PPIC Special Collection comprises State and Federal publications, pollution prevention
manuals, training materials, conference proceedings, case studies, newsletters and
videos. The holdings in this collection may be access through EPA's online library
system.
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In order to facilitate the transfer of information, all work products produced with
Federal PPIS funds should be made available to the PPIC. This information will be
catalogued and if possible, made publicly available on the EPA Web Server. Please
contact kent.christopher@epamail.epa.gov for more information concerning delivery of
work products.
VII. NARRATIVE FORMAT
In an effort to clearly document how the grant proposal meets the national criteria,
the narrative portion of the application must be submitted in the following format:
There must be 3 sections for each of the three national criteria:
1. How the proposal meets the requirements set forth in each criteria
(listed in bold on pages 6 and 7)
2. What tasks are to be accomplished to meet the criterion
3. What are the resulting deliverables from completing the above tasks.
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VII. 1998 NATIONAL PPIS APPLICATION CRITERIA
This section describes the criteria EPA will use to evaluate proposals under the
PPIS grant program. In addition to proposing activities that meet EPA's definition of
pollution prevention, applicants must:
+ Designate a state partner for the delivery of pollution prevention services.
Applicants must include a letter of agreement between the applicant and at least
one other environmental assistance provider in the state. This letter should describe
how the two (or more) organizations will work together to deliver complementary
services. States may select any established environmental assistance provider,
including NIST MEP centers, SBDCs, SBAPs, OECA Compliance Assistance
Centers, or university cooperative extension programs. EPA will give preference to
applicants that develop joint proposals with these organizations.
Demonstrate how activities will advance state environmental goals. Applicants
must describe how the proposed pollution prevention activities will complement the
state's environmental goals. Successful applicants will clearly link activities to
environmental goals established in these comprehensive strategies. EPA
encourages states to develop initiatives and proposals in priority industry sectors,
geographic areas, State and EPA Reinvention activities. If the state has an
Environmental Partnership Agreement developed under NEPPS, the application
needs to document how its activities.address the Agreement's priorities. EPA
encourages all applicants to develop proposals focused on priority industrial sectors,
geographic areas, and/or State and Federal Reinvention activities (if applicable).
Where the state environmental programs may lack a single comprehensive
environmental strategy, PPIS applications must show a correlation between the
proposed activity and the environmental goals, or objectives of the state
environmental program.
Demonstrate how activities will interact with the State's regulatory program.
Applicants must describe how their proposed pollution prevention activities will
connect with their state's regulatory program issues. The work plan needs to
incorporate identifiable activities (publishing success stories in media specific
newsletters, setting up semiannual meetings with media directors, etc.) which
incorporated media relevant information back the affected regulatory program.
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VIII. CONTACTS
Interested applicants are requested to contact the appropriate EPA Regional
Pollution Prevention Coordinator listed below to obtain specific regional criteria,
timelines, instructions, and guidance prior to submitting proposals.
State
CT, MA, ME, NH, RI.VT
NJ, NY, PR, VI
DC, DE, MD, PA, VA, WV
AL, FL, GA, KY, MS, NC,
SC, TN
IL, IN, OH, Ml, MN, Wl
AR, LA, NM, OK, TX
IA, KS, MO, NE
CO, MT, ND, SD, UT, WY
AZ, CA, HI, NV, AS, GU
AK, ID, OR, WA
REGIONAL EPA OFFICE
Mark Mahoney
US EPA Region 1
JFK Federal Building/ SPN
Boston, MA 02203
Janet Sapadin
US EPA Region 2 (2-OPM-PPI).
290 Broadway, 25th Floor
New York, NY 10007-1866
Jeff Burke
US EPA Region 3 (3ES43)
841 Chestnut Building
Philadelphia, PA 19107
Bernie Hayes
US EPA Region 4
61 Forsyth St SW
Atlanta, GA 30303
Phil Kaplan
US EPA Region 5 (DRP-8J)
77 West Jackson Boulevard
Chicago, IL 60604-3590
Eli Martinez
US EPA Region 6 (6EN-XP)
1445 Ross Avenue, Suite 1200
Dallas, TX 75202
Marc Matthews
US EPA Region 7 (ARTD/TSPP)
726 Minnesota Avenue
Kansas City, KS 66101
Linda Walters
US EPA Region 8 (8P2-P2)
999 18th Street, Suite 500
Denver, CO 80202-2405
Bill Wilson
US EPA Region 9 (WST-1 -1)
75 Hawthorne Street
San Francisco, CA 94105
Carolyn Gangmark
US EPA Region 10
1200 Sixth Avenue
Seattle, WA 98101 •
PHONE
(617)565-1155
(212) 637-3584
(215)597-0765
(404) 562-9430
(312) 353-3387
(214)655-2119
(913) 551-7517
(303) 312-6385
(415)744-2192
(206) 553-4072
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