[Federal Register Volume 60, Number 37 (Friday, February 24, 1995)]
[Notices]
[Pages 10388-10391]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-4597]



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ENVIRONMENTAL PROTECTION AGENCY
[FRL-5160-9]


Fiscal Year 1995 Solicitation for Socioeconomic Projects Related 
to Pollution Prevention

Introduction

    This Announcement describes a solicitation of the U.S. 
Environmental Protection Agency (EPA) to support projects directed 
toward furthering the objectives of the President's Environmental 
Technology Initiative (ETI). The ETI is an integral part of the 
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. 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 printing--as well as converting defense technologies to 
civilian applications. The ETI addresses all of the above sectors that 
are concerned with environmental protection.
    EPA seeks proposals to conduct socioeconomic 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 interests in this instance 
are clearly distinct from conventional socioeconomic research and 
development. That is, they go beyond study and analysis of issues to 
apply existing knowledge in pioneering attempts to effect social or 
institutional change with respect to promoting development and 
implementation 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 
organizations 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 consortia, 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 technology 
developers and users to succeed in environmental innovation;
    (3) Diffusion: Accelerate the diffusion of innovative technologies 
at home and abroad; and
    (4) Environmental and Pollution Prevention Technologies: 
Strategically invest funds in the development and commercialization of 
promising new technologies.
    This solicitation is focused on pollution prevention-related 
proposals that support the first three objectives. Proposals relevant 
to the fourth objective are being sought jointly by the National 
Science Foundation (NSF) and EPA through a contemporaneous 
solicitation. Information about the joint solicitation can be obtained 
from either NSF ([email protected]; voice 703/306-1480) or EPA (202/260-
7474).
    The 1990 Pollution Prevention Act declares pollution prevention to 
be national policy and states that ``* * * pollution should be 
prevented or reduced at the source whenever feasible.'' Pollution 
prevention is now considered EPA's preferred choice for environmental 
protection, and the Agency is seeking to integrate prevention as an 
ethic throughout all of its activities. Pollution prevention includes 
equipment or technology modifications, process or procedure 
modifications, reformulation or redesign [[Page 10389]] of products, 
substitution of raw materials, and improvements in industrial 
housekeeping, operational maintenance, employee training, or inventory 
control.
    On July 22, 1994, EPA Administrator Browner announced the new 
environmental policy Common Sense Initiative, which is designed to 
shift environmental protection from the current ``pollutant-by-
pollutant, end-of-pipe, command-and-control'' approach to an 
``industry-by-industry, multi-media, prevention-oriented'' approach. 
Six pilot industries were identified for CSI: auto manufacturing, 
computers and electronics, iron and steel, metal finishing and plating, 
petroleum refining, and printing. Proposals with relevance to these 
industries will receive priority consideration.

Program Scope

    This EPA grant solicitation is intended to finance prevention-
related projects supporting policy analysis (frameworks), institution 
building (innovation capacity), and domestic and international 
diffusion. Descriptions of each of the program areas that are addressed 
in this solicitation are as follows.
    Policy-framework topics of interest include: (1) Strengthening 
incentives for the development and use of innovative prevention 
technologies; and (2) identifying and reducing barriers to innovation. 
Aspects to be addressed include regulations and implementation 
mechanisms (e.g., permitting and compliance policies and programs).
    This program area encompasses all environmental media (water, air, 
etc.) and emphasizes pilot projects not analytical studies. Policy 
framework proposals often address issues that have a broader focus than 
pollution prevention alone. Such proposals are welcomed so long as they 
are also applicable to pollution prevention technologies or issues.
    Policy framework focuses on environmental regulatory programs in 
the broadest sense, from regulation through compliance and enforcement. 
Projects selected in this areas will address regulatory programs in 
order to:
     Identify and enhance incentives for the development and 
use of prevention technologies;
     Minimize barriers to the development and use of such 
technologies; and
     Incorporate provisions into new and existing regulations 
and programs that maximize flexibility and widen the range of 
technologies accepted for use.
    Special attention will be given to the use of market-based 
instruments for creating flexibility and incentives to innovate.
    Innovation capacity proposals should be focused on how to assist, 
or catalyze, prevention technology development and commercialization 
efforts. Examples of possible work in these areas are programs or 
projects to:
     Establish programs to standardize testing protocols and 
verify the cost and performance of innovative prevention technologies;
     Provide pollution prevention technology testing centers;
     Catalyze the efforts of many organizations to promote 
innovation by convening partnerships;
     Develop and communicate timely information about high 
priority prevention technology gaps; and
     Work jointly with organizations in the public and private 
sectors to identify and address non-regulatory sources of market 
inefficiency and failure in the environmental technology sector.
    Proposals on diffusion of information should focus on new and 
improved means of fostering information networks, technical assistance, 
and outreach activities. Both domestic and international applications 
are encouraged. For example, there is a need to enhance the capacity of 
existing or newly created public and private sector diffusion 
activities to serve the potential users of pollution prevention 
technologies both domestically and abroad. Proposals may include 
activities relating to market demand, availability, cost, performance, 
opportunities for business development, and regulatory requirements.

General Selection Criteria

    The objective of this solicitation is to harness the capability of 
the nonprofit sector to help address the goals of the ETI. EPA will not 
accept proposals that are not directly related to one of the areas of 
ETI focus previously mentioned. Moreover, proposals must address 
barriers to the development and use of innovative pollution prevention 
approaches to be eligible unless they are addressing policy framework 
issues that will also benefit pollution prevention approaches as well 
as their target.
    Each proposal will only be evaluated against one strategy objective 
based the information provided above. Proposals with relevance to 
industries highlighted by the Common Sense Initiative and the Design 
for Environment Program will receive priority consideration. Special 
consideration will also be given to projects that support small 
businesses and/or small communities. This focus on a select few 
industries is intended to provided concentrated support for cleaner 
technology development and commercialization and sustainable economic 
growth and increased competitiveness.
    Many barriers to development and application of pollution 
prevention exist because of the lack of flexibility in the policy 
infrastructure. Thus, proposals that seek to make the implementation of 
environmental policy a process that is more friendly to technology 
innovation will also receive additional attention. This is the one area 
in which projects may go beyond the pollution prevention domain.
    The most significant problems and creative solutions most likely 
will be identified by nonprofit organizations and industrial 
investigators, working together on challenges posed by real problems. 
Projects must show appropriateness to current national concerns for 
pollution reduction or prevention; vague arguments that the proposed 
project may eventually be of value are not compelling.
    This initiative particularly seeks innovative and high risk/high 
payoff ideas. It does not invite studies of ``the problem'' but rather 
specific approaches to possible solutions. Since the preparation of 
competitive proposals is very time consuming, it is also well to 
present the following examples of what this initiative is not:
     Not basic research;
     Not technology development for pollution prevention, 
remediation, or control;
     Not diffusion of pollution control technology; and
     Not activities addressing processes to remove pollutants 
from waste streams or remediate waste problems.

Specific Selection Criteria

    Proposals will be evaluated against the following factors:
     Does the project reduce uncertainty, improve flexibility, 
speed timing, enhance cost-effectiveness, address liability 
constraints, and/or diminish restraints on technology innovation?
     Is there broad applicability of the project's expected 
results (i.e., across levels of government, different states, or 
environmental media)? Is the problem clearly defined?
     Does the project complement current environmental 
legislative initiatives or significantly strengthen the Nation's 
ability to meet existing statutory or regulatory goals?
     Will the project produce measurable, visible results in an 
expeditious time-frame? Action projects will be emphasized over 
studies. Do project participants have the authority to implement 
programmatic changes? [[Page 10390]] 
     Does the project support multi-organizational partnerships 
across the public and private sectors? Will the project include 
leveraging funds among the partnering organizations? Applicant's 
proposals will be given more consideration to the extent that matching 
funds or in-kind services from participating partners are included.
     Does the proposal address global, transboundary, or other 
international environmental issues directly affecting the United States 
or lower the cost of innovative technologies for use in the United 
States.
    In addition, the following considerations relate to particular 
subtopics:
     Policy framework proposals will be reviewed with respect 
to their capability to advance the goals and activities of ETI; breadth 
of applicability of the expected results; and potential to reduce 
barriers and create incentives; and projected probability of success.
     Proposals embracing the theme of innovation capacity 
should specifically be designed to be self-sustaining after ETI funds 
are expended.
     Domestic diffusion proposals must be customer-based, and 
should emphasize pollution prevention technology approaches. Special 
consideration will be given to projects that support small businesses 
and/or small communities.
     International diffusion proposals should address global or 
international environmental issues that directly affect the United 
States. Proposals should also result in improving U.S. competitiveness 
and trade objectives in the international arena.

The Application

    Application forms and instructions are available in the EPA 
Research Grants Application Kit. Interested investigators should review 
the materials in this kit before preparing an application for 
assistance. The kits can be obtained at the following address: U.S. 
Environmental Protection Agency, Office of Research and Development, 
Office of Exploratory Research (8703), 401 M Street SW., Washington DC 
20460.
    Each application for assistance must consist of Application for 
Federal Assistance Forms (Standard Forms (SF): 424 and 424A), separate 
sheets that provide the budget breakdowns for each year of the project, 
the resumes of the principal investigator and co-workers, the abstract 
of the proposed project, and a project narrative. All certifications 
must be signed and included with the application.
    The closing date for application submission 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: U.S. Environmental Protection Agency, Office of 
Research and Development, Office of Exploratory Research (8703), 401 M 
Street SW., Washington DC 20460
    Applications sent via express mail should have the following 
telephone number listed on the express mail label: (202) 260-7445.

Special Instructions

    The following special instructions apply to all applicants 
responding to this request for application.
     Applications must unbound and clipped or stapled. The SF-
424 must be the first page of the application. Budget information 
should immediately follow the SF-424. All certification forms should be 
placed at the end of the application.
     Applicants must be identified by printing ``ETI95'' in 
block 10 of the SF-424. This will facilitate proper assignment and 
review of the application.
     A one-page abstract must be included with the application.
     The ``project narrative'' section of the application must 
not exceed 25, consecutively-numbered, 8\1/2\ x 11 inch pages of 
standard type (i.e.,12 point), including tables, graphs, and figures. 
For purposes of this limitation, the ``project narrative'' section of 
the application consists of the following five items:

1. Description of Project
2. Objectives
3. Results or Benefits Expected
4. Approach
5. General Project Information.

    Any attachments, appendices, and other references for the narrative 
section may be included but must remain within the 25-page limitation. 
Appendices will not be considered an integral part of the application.
    Items not included under the 25-page limitation are the SF-424 and 
other forms, budgets, resumes, and the abstract. Resumes must not 
exceed two consecutively-numbered pages for each investigator and 
should focus on education, positions held, and most recent or related 
publications.
    Applications not meeting these requirements will be returned to the 
applicant without review.

Guidelines and Limitations

    All recipients are required to provide a minimum of 1% of the total 
project cost, which may not be taken from Federal sources. 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 public 
and private colleges and universities, are eligible under all existing 
authorizations. Federal agencies and federal employees as well as state 
and local governments are not eligible to participate it this program. 
Potential applicants who are uncertain of their eligibility should 
contact EPA's Grants Operations Branch at (202) 260-9266.

Proprietary Information

    By submitting an application in response to this solicitation, the 
applicant grants EPA permission to share the application with technical 
reviewers both within and outside of the Agency.
    Applications containing proprietary or other types of confidential 
information will be immediately returned to the applicant without 
review.

Funding Mechanisms

    The funding mechanism for all awards issued under this solicitation 
will consist of a grant agreement between EPA and the recipient. In 
accordance with Public Law 95-225, a grant is used to accomplish a 
public purpose of support or stimulation authorized by Federal statute 
rather than acquisition for the direct benefit of the Agency.

Minority Institution Assistance

    Pre-application assistance is available upon request for potential 
investigators representing institutions identified by the Secretary, 
Department of Education, as Historically Black Colleges or Universities 
(HBCUs), Hispanic Association of Colleges and Universities (HACUs), or 
Native American or Tribal Colleges. For further information on minority 
assistance, contact Charles Mitchell by telephone at (202) 260-7448, by 
faxing a written request to (202) 260-0211, or by mailing it to the 
address for EPA's Office of Exploratory Research shown below. 
[[Page 10391]] 

Contacts

    Additional general and technical information on this solicitation 
and the grants program may be obtained by contacting: U.S. 
Environmental Protection Agency, Office of Exploratory Research (8703), 
401 M Street SW., Washington, DC 20460, Phone: (202) 260-7474/Fax: 
(202) 260-0211.

    Dated: February 16, 1995.
Joseph K. Alexander,
 Acting Assistant Administrator for Research & Development.
[FR Doc. 95-4597 Filed 2-23-95; 8:45 am]
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