In the FY 2007 competition, the Agency receive 17 pre-proposals for a total of $3.8M. Seven projects were selected totaling $1,611M in funding. In the FY 2008 competition, the Agency received 12 pre-proposals totaling over $3M. Three projects were selected totaling $0.885M in funding. Since the beginning of the State Innovation Grant Program, 35 awards have been made (the 3 selections made in the 2008 competition have awards pending at the date of this announcement). The 38 projects cover the following areas: 19 Environmental Results Program (ERP) projects, 11 Environmental Management Systems (EMS) and other permitting integration approach projects, 2 watershed permitting projects, 1 project for a streamlined and enhanced permitting through application of innovative information technology (IT) Systems, 1 project for integrated regional air quality management across state and regional boundaries, and 8 Performance Track (PT) projects. Please note that several of these projects incorporate multiple elements (e.g., projects that are both ERP and EMS, or projects that are both ERP and Performance Track)so, this breakdown of projects identifies projects that appear in multiple categories. Eight of the initial projects from the FY 2002 and 2004 solicitations are now complete. These state agencies have submitted their final project reports. For additional information, including access to the Program's 2008 progress report executive summary, see: http://www.epa.gov/innovation/stategrants. The results of these assistance agreements will enable the Agency to meet performance measures noted in the Agency Strategic Plan.

Uses and Use Restrictions

Grants and cooperative agreements are available to support recipients' allowable direct costs incident to approved Environmental Policy and Innovation plus allowable indirect costs, in accordance with established EPA policies and regulations.

Funding awarded for research does not include research within the purview of EPA's Office or Research and Development.

Funds awarded under Section 311(b)(3) of CERCLA must be used for projects relating to innovative or alternative treatment technologies that may be utilized in response actions to achieve more permanent protection of human health and welfare and the environment.

Assistance agreement awards under this program may involve or relate to geospatial information.

Further information regarding geospatial information may be obtained by viewing the following website: http://geodata.epa.gov.

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Eligibility Requirements

Applicant Eligibility

Assistance under Part 1 of this program is available to principal environmental regulatory agencies for States, territories, and possessions of the U.S., including the District of Columbia.

EPA may make a separate competition available under Part 1 of this program to federally-certified Native American Tribes.

Assistance under Parts 2 or 3 of this program is available to not-for-profit institutions, foundations and institutes to provide independent evaluation of projects or classes of projects that will be of use to other States and Tribes in implementing innovations; or, to provide assistance to states testing policy innovation and for the transfer among the states and tribes of information useful for the implementation of innovations.

EPA would issue separate solicitations for Part 1, Part 2, and Part 3 of this program.

Some of EPA's statutes may limit assistance to specific types of interested applicants.

See "Authorization" listed above.

For certain competitive funding opportunities under this CFDA description, the Agency may limit eligibility to compete to a number or subset of eligible applicants consistent with the Agency's Assistance Agreement Competition Policy.

Beneficiary Eligibility

Under Part 1 of this announcement, State and local governments, U.S. territories and possessions. In a separate solicitation that could be issued under Part 1, Federally-certified Native American Tribes. For Parts 2 and 3, non profit institutions, foundations and institutes may apply.

Credentials/Documentation

Documentation of nonprofit status may be required. Applicants may be requested to demonstrate they have appropriate background, academic training, experience in the field, and necessary equipment to carry out projects. EPA may ask applicants or principle investigators to provide curriculum vitae and relevant publications.

Aplication and Award Process

Preapplication Coordination

Regarding pre-application/pre-proposal assistance with respect to competitive funding opportunities under this program description, EPA will generally specify the nature of the pre-application/pre-proposal assistance, if any, that will be available to applicants in the competitive announcement.

For additional information, contact the individual(s) listed as "Information Contacts" or see Appendix IV of the Catalog.

This program is eligible for coverage under E.O.

12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.

Application Procedures

The standard application forms as furnished by the Federal agency and required by OMB Circular No. A-102 and A-110 must be used for this program and those forms are available on the EPA web site (http://www.epa.gov/ogd/grants/how_to_apply.htm). EPA requires final applications to be made on Standard Form 424. Requests for application kits must be submitted to the Environmental Protection Agency, Grants and Interagency Agreements Management Division, 3903R, Washington, DC 20460 or through the appropriate EPA Regional Office listed in Appendix IV of the Catalog. Additional information on the EPA grant package can be found at: http://www.epa.gov/ogd/grants/how_to_apply.htm. Requests for Initial Proposals or Requests for Applications will specify application procedures. For information on the current or prior solicitations, please see the EPA State Innovation Grants website at http://www.epa.gov/innovation/stategrants. Applicants may be able to use http://www.grants.gov to electronically apply for certain grant opportunities under this CFDA.

Award Procedures

For non-competitive awards, EPA will conduct an administrative evaluation to determine the adequacy of application in relation to grant regulations and to technical and program evaluation to determine the merit and relevance of the project. The Agency will then advise the applicant if funding is being considered. A final work plan will then be negotiated with the applicant. For competitive awards, EPA will review and evaluate applications, proposals, and/or submissions in accordance with the terms, conditions, and criteria stated in the competitive announcement. Competitions will be conducted in accordance with EPA policies/regulations for competing assistance agreements.

Deadlines

Deadlines will be specified in Request for Applications or Request for Initial Proposals.

Authorization

Clean Air Act, Section 103, as amended; Clean Water Act, Section 104 as amended; Solid Waste Disposal Act, Section 8001 of as amended; Safe Drinking Water Act, Section 1442; Toxic Substances Control Act, Section 10 as amended; Federal, Insecticide, Fungicide and Rodenticide Act, Section 20 as amended; Resource Conservation and Recovery Act, Section 8001; Comprehensive Environmental, Response, Compensation and Liability Act, Sections 104(k)(6) 311 as amended.

Range of Approval/Disapproval Time

Approximately 180 days.

Appeals

Assistance agreement competition-related disputes will be resolved in accordance with the dispute resolution procedures published in 70 FR (Federal Register) 3629, 3630 (January 26, 2005). Copies of these procedures may also be requested by contacting the individual(s) listed as "Information Contacts." Disputes relating to matters other than the competitive selection of recipients will be resolved under 40 CFR 30.63 or 40 CFR 31.70, as applicable.

Renewals

None. Generally, EPA incrementally funds grants and cooperative agreements for Environmental Policy and Innovation. Approval of subsequent funding increments is dependent on satisfactory project progress, continued relevance of the project to EPA's priorities, availability of funds, and Agency policy on the competitive grant process.

Assistance Considerations

Formula and Matching Requirements

Not applicable.

Length and Time Phasing of Assistance

EPA normally funds grants and cooperative agreements on a 12-month basis. However, EPA can negotiate the project period with each applicant based on project requirements. Most projects have been of a 1-3 year duration. For purposes of this program, EPA limits the project periods to no more than 4 years.

Post Assistance Requirements

Reports

EPA includes reporting requirements for grants and cooperative agreements in the terms and conditions of the agreements.

Agreements may require quarterly, interim, and final progress reports, and financial, equipment, and invention reports.

Specific reporting requirements are also identified in the Grant Regulations Part 30 and Part 31.

Audits

Grants and cooperative agreements are subject to inspections and audits by the Comptroller General of the United States, the EPA Office of Inspector General, other EPA staff, or any authorized representative of the Federal government. Reviews by the EPA Project Officer and the Grants Specialist may occur each year. In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," non-federal entities that expend $500,000 or more in a year in Federal awards shall have a single or a program-specific audit conducted for that year. Non-federal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in OMB Circular No. A-133.

Records

The record retention requirements of 40 CFR Part 31 (governmental units) are applicable depending upon the identity of the recipient. Recipients must keep financial records, including all documents supporting entries on accounting records and to substantiate changes in grants available to personnel authorized to examine EPA recipients grants and cooperative agreements records. Recipients must maintain all records until 3 years from the date of submission of final expenditure reports. If questions, such as those raised as a result of audits remain following the 3-year period, recipients must retain records until the matter is completely resolved.

Financial Information

Account Identification

68-0108-0-1-304.

Obigations

FY 07 $1,611,000; FY 08 $885,000; and FY 09 est. $1,000,000. Assistance agreements under this CFDA generally take the form of Cooperative Agreements and rarely Grants.

Range and Average of Financial Assistance

$50,000 to $350,000 per grant. The average for awards is approximately $225,000 for a 1-4 year assistance agreement.

Regulations, Guidelines, and Literature

Environmental Policy and State Innovation grants and cooperative agreements are subject to EPA's General Grant Regulations (40 CFR Part 30 and 40 CFR Part 31). State governments costs will be determined in accordance with OMB Circular No. A-87.

Information Contacts

Regional or Local Office

EPA encourages potential applicants to communicate with the appropriate EPA Regional Office listed in Appendix IV of the Catalog, and the Headquarters program contacts listed below.

Headquarters Office

For information on grant applications and procedures, contact: Environmental Protection Agency, Grants and Interagency Agreements Management Division, 3903R, 1200 Pennsylvania Avenue, NW, Washington, DC 20460. For program information contact Pamela Stirling; Phone: (202) 566-0949; FAX: (202) 566-3001; e-mail: stirling.pamela@epa.gov.

Criteria for Selecting Proposals

The evaluation and selection criteria for competitive awards under this CFDA description will be described in the competitive announcement.