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Introduction
This Announcement describes a solicitation of the U.S. Envi-
ronmental Protection Agency (EPA) to support projects di-
rected toward furthering the objectives of the President's
Environmental Technology initiative (ETI). The ETI is an
integral part of the Administration's broad new technology
policy, which is outlined in "Technology for America's Eco-
nomic Growth: A New Direction to Build Economic Strength."
This government-wide policy recognizes that industry is the
primary creator of new technology and the main engine of
sustained economic growth. The policy assigns the federal
government a catalytic role in promoting the development of
new technologies for use across a range of sectors including
auto manufacturing, computers and electronics, iron and steel,
metal finishing and plating, petroleum refining, and print-
ing as well as converting defense technologies to civilian
applications. The ETI addresses all of the above sectors that
are concerned with environmental protection.
EPA seeks proposals to conduct socioeconomic initiatives
related to pollution prevention—i.e., projects focused on policy
reforms, opportunities for building innovation capacity, and
diffusion of innovative prevention technologies. EPA's inter-
ests in this instance are clearly distinct from conventional
socioeconomic research and development. That is, they go
beyond study and analysis of issues to apply existing knowl-
edge in pioneering attempts to effect social or institutional
change with respect to promoting development and imple-
mentation of innovative technology.
EPA is directing approximately $3.5 million this fiscal year
(FY) in awards under this initiative to nonprofit organizations.
Proposals averaging $150,000 per year with a maximum
duration of 2 years are sought.
Nonprofit organizations are generally defined as those organi-
zations that qualify for such status under Section 501(c) of the
Internal Revenue Service tax code. Examples of nonprofit
organizations include public and private universities, as well
as trade associations, professional societies, research consor-
tia, and community development corporations.
This Announcement can be accessed on the Internet at the
following Gopher and World Wide Webb (WWW) addresses:
Gopher: GOPHER.EPA.GOV
WWW: HTTP://WWW.EPA.GOV
Rationale
EPA has structured its ETI project-selection process for FY95
to conform to the strategic ETI objectives contained in the
Agency's Draft Technology Innovation Strategy (EPA 543-
K-93-002), January 1994. This strategy has the following
objectives (please refer to the draft Strategy document for
more detail on these objectives):
1) Policy Framework: Adapt EPA's policy, regulatory, and
compliance framework to promote innovation;
2) Innovation Capacity: Strengthen the capacity of technol-
ogy developers and users to succeed in environmental
innovation;
3) Diffusion: Accelerate the diffusion of innovative tech-
nologies at home and abroad; and
4) Environmental and Pollution Prevention Technologies:
Strategically invest funds in the development and com-
mercialization of promising new technologies.
This solicitation is focused on pollution prevention-related
proposals that support the first three objectives. Proposals
relevant to the fourth objective are being sought jointly by the
National Science Foundation (NSF) and EPA through a con-
temporaneous solicitation. Information about the joint solici-
tation can be obtained from either NSF (pfirth@nsf.gov; voice
703/306-1480) or EPA (202/260-7474).
The 1990 Pollution Prevention Act declares pollution preven-
tion to be national policy and states that "...pollution should be
prevented or reduced at the source whenever feasible." Pollu-
tion prevention is now considered EPA's preferred choice for
environmental protection, arid the Agency is seeking to inte-
grate prevention as an ethic: throughout all of its activities.
Pollution prevention includes equipment or technology modi-
fications, process or procedure modifications, reformulation
or redesign of products, substitution of raw materials, and
improvements in industrial housekeeping, operational mainte-
nance, employee training, or inventory control.
On July 22,1994, EPA Administrator Browner announced the
new environmental policy Common Sense Initiative (CSI),
which is designed to shift environmental protection from the
current "pollutant-by-pollutant, end-of-pipe, command-and-
control" approach to an "i:tidustry-by-industry, multimedia,
prevention-oriented" approach. Six pilot industries were iden-
tified for CSI: auto manufacturing, computers and electronics,
iron and steel, metal finishing and plating, petroleum refining,
and printing. Proposals with relevance to these industries will
receive priority consideration.
Program Scope
This EPA grant solicitation is intended to finance prevention-
related projects supporting policy analysis (frameworks), in-
stitution building (innovation capacity), and domestic and
international diffusion. Descriptions of the program areas that
are addressed in this solicitation are provided below.
Policy-framework topics of interest include 1) strengthening
incentives for the development and use of innovative preven-
tion technologies and 2) identifying and reducing barriers to
innovation. Aspects to be addressed include regulations and
implementation mechanisms (e,g., permitting and compliance
policies and programs). This program area encompasses all
environmental media (water, air, etc.) and emphasizes pilot
projects not analytical studies.. Policy framework proposals
often address issues that have a broader focus than pollution
prevention alone. Such proposals are welcomed so long as
they are also applicable to pollution prevention technologies
or issues.
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Policy framework focuses on environmental regulatory pro-
grams in the broadest sense, from regulation through compli-
ance and enforcement. Projects selected in this areas will
address regulatory programs to
• identify and enhance incentives for the development and
use of prevention technologies;
• minimize barriers to the development and use of such
technologies; and
• incorporate provisions into new and existing regulations
and programs that maximize flexibility and widen the
range of technologies accepted for use.
Special attention will be given to the use of market-based
instruments for creating flexibility and incentives to innovate.
Innovation capacity proposals should be focused on how to
assist, or catalyze, prevention technology development and
commercialization efforts.
Examples of possible work in these areas are programs or
projects to
• establish programs to standardize testing protocols and
verify the cost and performance of innovative prevention
technologies;
• provide pollution prevention technology testing centers;
• catalyze the efforts of many organizations to promote
innovation by convening partnerships;
• develop and communicate timely information about high
priority prevention technology gaps; and
• work jointly with organizations in the public and private
sectors to identify and address nonregulatory sources of
market inefficiency and failure in the environmental tech-
nology sector.
Proposals on diffusion of information should focus on new
and improved means of fostering information networks, tech-
nical assistance, and outreach activities. Both domestic and
international applications are encouraged. For example, there
is a need to enhance the capacity of existing or newly created
public and private sector diffusion activities to serve the
potential users of pollution prevention technologies both do-
mestically and abroad. Proposals may include activities relat-
ing to market demand, availability, cost, performance, oppor-
tunities for business development, and regulatory require-
ments.
General Selection Criteria
The objective of this solicitation is to harness the capability of
the nonprofit sector to help address the goals of the ETI. EPA
will not accept proposals that are not directly related to
one of the previously mentioned areas of ETI focus. More-
over, proposals must address barriers to the development
and use of innovative pollution prevention approaches to
be eligible unless they are addressing policy framework
issues that will also benefit pollution prevention approaches
as well as their target.
Each proposal will only be evaluated against one strategy
objective based the information provided above. Proposals
with relevance to industries highlighted by 'the Common Sense
Initiative and the Design for Environment Program will re-
ceive priority consideration. Special consideration will also be
given to projects that support small businesses and/or small
communities. This focus on a select few industries is intended
to provide concentrated support for cleaner technology devel-
opment and commercialization and sustainable economic
growth and increased competitiveness.
Many barriers to development and application of pollution
prevention exist because of the lack of flexibility in the policy
infrastructure. Thus, proposals that seek to make the imple-
mentation of environmental policy a process that is more
friendly to technology innovation will also receive additional
attention. This is the one area in which projects may go
beyond the pollution prevention domain.
The most significant problems and creative solutions most
likely will be identified by nonprofit organizations and indus-
trial investigators working together on challenges posed by
real problems. Projects must show appropriateness to current
national concerns for pollution reduction or prevention; vague
arguments that the proposed project may eventually be of
value are not compelling.
This initiative particularly seeks innovative and high risk/high
payoff ideas. It does not invite studies of "the problem" but
rather specific approaches to possible solutions. Since the
preparation of competitive proposals is very time-consuming,
it is also well to present the following examples of what this
initiative is not.
• Not basic research; ;
• Not technology development for pollution prevention,
remediation, or control;
• Not diffusion of pollution control technology; and
• Not activities addressing processes to remove pollutants
from waste streams or remediate waste problems.
Specific Selection Criteria
Proposals will be evaluated against the following factors:
• Does the project reduce uncertainty, improve flexibility,
speed timing, enhance cost-effectiveness, address liabil-
ity constraints, and/or diminish restraints on technology
innovation?
• Is there broad applicability of the project's expected
results (i.e., across levels of government, different states,
or environmental media)? Is the problem clearly defined?
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• Does the project complement current environmental leg-
islative initiatives or significantly strengthen the nation's
ability to meet existing statutory or regulatory goals?
• Will the project produce measurable, visible results in an
expeditious time-frame? Action projects will be empha-
sized over studies. Do project participants have the au-
thority to implement programmatic changes?
• Does the project support multi-organizational partner-
ships across the public,and private sectors? Will the
project include leveraging funds among the partnering
organizations? Applicant's proposals will be given more
j consideration to the extent that matching funds or in-kind
services from participating partners are included.
• Does the proposal address global, transboundary, or other
international environmental issues directly affecting the
United States or lower the cost of innovative technologies
for use in the United States?
In addition, the following considerations relate to particular
subtopics:
for each year of the project, the resumes of the principal
investigator and coworkers, the abstract of the proposed project,
and a project narrative. All certifications must be signed and
included with the application.
The closing date for application submission is COB May 1,
1995.
To be considered, the original and eight copies of the fully
developed research grant application, prepared in accordance
with the instructions in the Application for Federal Assistance
Forms, must be received by the EPA Office of Exploratory
Research no later than the: above closing date. Informal,
incomplete, or unsigned proposals will not be considered.
Completed applications should be sent via regular or express
mail to the following address:
U.S. Environmental Protection Agency
Office of Research and Development
Office of Exploratory Research (8703)
401 M Street, SW
Washington DC 20460
Policy framework proposals will be reviewed with re-
spect to their capability to advance the goals and activi-
ties of ETI; breadth of applicability of the expected
results; potential to reduce barriers and create incentives; Special Instructions
and projected probability of success.
Applications sent via express mail should have the following
telephone number listed on the express mail label: (202) 260-
7445.
• Proposals embracing the theme of innovation capacity
should specifically be designed to be self-sustaining after
ETI funds are expended.
• Domestic diffusion proposals must be customer-based,
and should emphasize pollution prevention technology
approaches. Special consideration will be given to projects
that support small businesses and/or small communities.
• International diffusion proposals should address global or
international environmental issues that directly affect the
United States. Proposals should also result in improving
U.S. competitiveness and trade objectives in the interna-
tional arena.
The Application ^
Application forms and instructions are available in the EPA
Research Grants Application Kit. Interested investigators
should review the materials in this kit before preparing an
application for assistance. The kits can be obtained at the
following address:
U.S. Environmental Protection Agency
Office of Research and Development
Office of Exploratory Research (8703)
401 M Street, SW
Washington DC 20460
Each application for assistance must consist of Application
for Federal Assistance Forms (Standard Forms (SE): 424 and
424A), separate sheets that provide the budget breakdowns
The following special instructions apply to all applicants
responding to this request for application.
• Applications must be unbound and clipped or stapled.
The SF-424 must be the first page of the application.
Budget information should immediately follow the SF-
424. All certification forms should be placed at the end of
the application.
• Applicants. must be identified by printing "ETI95" in
block 10 of the SF-424. This will facilitate proper assign-
ment and review of the application.
• A one-page abstract must be included with the applica-
tion.
• The "project narrative:" section of the application must
not exceed 25, consecutively numbered, 81/2x11 inch
pages of standard type (i.e., 12 point), including tables,
graphs, and figures. For purposes of this limitation, the
"project narrative" section of the application consists of
the following five items:
1. Description of Project
2. Objectives
3. Results or Benefits Expected
4. Approach
5. General Project Information
Any attachments, appendices, and other references for the
narrative section may be included but must remain within the
25-page limitation. Appendices will not be considered an
integral part of the application.
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Items not included under the 25-page limitation are the SF-
424 and other forms, budgets, resumes, and the abstract.
Resumes must not exceed two consecutively numbered pages
for each investigator and should focus on education, positions
held, and most recent or related publications.
Applications not meeting these requirements will be returned
to the applicant without review.
Guidelines and Limitations
All recipients are required to provide a minimum of 1 % of the
total project cost, which may not be taken from federal
sources. Subcontracts for research to be conducted under the
grant should not exceed 40% of the total direct cost of the
grant for each year in which the subcontract is awarded.
Eligibility
Nonprofit institutions located within the U.S., including pub-
lic and private colleges and universities, are eligible under all
existing authorizations. Federal agencies and federal employ-
ees, as well as state and local governments are not eligible to Contacts
participate it this program. Potential applicants who are uncer-
tain of their eligibility should contact EPA's Grants Opera-
tions Branch at (202) 260-9266.
Funding Mechanisms
The funding mechanism for all awards issued under this
solicitation will consist of a grant agreement between EPA
and the recipient. In accordance with Public Law 95-225, a
grant is used to accomplish a public purpose of support or
stimulation authorized by federal statute rather than acquisi-
tion for the direct benefit of the Agency.
Minority Institution Assistance
Pre-application assistance is available upon request for poten-
tial investigators representing institutions identified by the
Secretary, Department of Education, as Historically Black
Colleges or Universities (HBGUs), Hispanic Association of
Colleges and Universities (HACUs), or Native American or
Tribal Colleges. For further information on minority assis-
tance, contact Charles Mitchell by telephone at (202) 260-
7448, by faxing a written request to (202) 260-0211, or by
mailing it to the address for EPA's Office of Exploratory
Research shown below.
Additional general and technical information on this solicita-
tion and the grants program may be obtained by contacting
Proprietary Information
By submitting an application in response to this solicitation,
the applicant grants EPA permission to share the application
with technical reviewers both within and outside of the Agency.
Applications containing proprietary or other types of confi-
dential information will be immediately returned to the appli-
cant without review.
U.S. Environmental Protection Agency
Office, of Exploratory Research (8703)
401 M Street SW
Washington DC 20460
Phone: (202) 260-7474/Fax: (202) 260-0211
* U.S. GOVERNMENT PRINTING OFFICE: 1995—652-236
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