Grantee Research Project Results
U.S. Environmental Protection Agency
Office of Research and Development
National Center for Environmental Research
Science to Achieve Results (STAR) Program
CLOSED - FOR REFERENCES PURPOSES ONLY
Exploratory Research: Nanotechnology Research Grants Investigating Fate, Transport, Transformation, and Exposure of Engineered Nanomaterials: A Joint Research Solicitation - EPA, NSF, & DOE
This is the initial announcement of this funding opportunity.
Funding Opportunity Number:
- EPA-G2007-STAR-R1 Environmental and biological fate, transport, and transformation
- EPA-G2007-STAR-R2 Human exposure/bioavailability
Catalog of Federal Domestic Assistance (CFDA) Number: EPA: 66.509, NSF: 47.041, DOE: 81.049
Solicitation Opening Date: May 21, 2007
Solicitation Closing Date: August 22, 2007,
4:00 pm Eastern Time
Eligibility Contact: Tom Barnwell (barnwell.thomas@epa.gov); phone: 202-343-9862
Electronic Submissions: Thomas O'Farrell (o'farrell.thomas@epa.gov), phone: 202-343-9639
Technical Contacts: Nora Savage (savage.nora@epa.gov), Environmental Protection Agency; phone: 202-343-9858
Cynthia J. Ekstein (cekstein@nsf.gov), National Science Foundation; phone: 703-292-7941
Daniel Drell (daniel.drell@science.doe.gov), Department of Energy; phone: 301-903-4742;
Access Standard STAR Forms and Instructions
Research awarded under previous solicitations
SUMMARY OF PROGRAM REQUIREMENTS
Synopsis of Program:
The U.S. Environmental Protection Agency (EPA), Office of Research and Development (ORD) as part of its Science to Achieve Results (STAR) program; the National Science Foundation (NSF); and the U.S. Department of Energy (DOE), Office of Science are seeking proposals for research dealing with the potential implications of nanotechnology and engineered nanomaterials on human health and the environment. In an effort to stimulate international research in the area of engineered nanomaterials, U.S. researchers are encouraged to collaborate with European researchers. Research areas include: the fate, transport and transformation of nanomaterials; and bioavailability and exposure of humans and other species to nanomaterials.
Award Information:
Anticipated Type of Award: Grant or Cooperative Agreement
Estimated Number of Awards: Approximately 30
Anticipated Funding Amount: Approximately $10 million total for all
awards. EPA’s estimated funding amount is approximately $6 million, DOE’s
estimated funding amount is approximately $3 million, and NSF’s estimated
funding amount is approximately $1 million.
Potential Funding per Award: Up to a total of $400,000, including direct and indirect costs, with a maximum duration of 3 years. Cost-sharing is not required. Proposals with budgets exceeding the total award limits will not be considered.
Although the financial plans of EPA, DOE, and NSF provide support for this program, awards pursuant to this Request for Proposals (RFA) will be made to US researchers only and are contingent upon the availability of funds and the receipt of a sufficient number of meritorious applications.
Eligibility Information:
EPA
Public nonprofit institutions/organizations (includes public institutions of higher education and hospitals) and private nonprofit institutions/organizations (includes private institutions of higher education and hospitals) located in the U.S., state and local governments, Federally Recognized Indian Tribal Governments, and U.S. territories or possessions are eligible to apply.
NSF
For-profit or nonprofit organizations; public or private institutions, such as universities, colleges, hospitals, and laboratories; units of state and local governments; eligible agencies of the Federal government; domestic institutions/organizations only; faith-based community-based organizations; Federally Recognized Indian Tribes, Tribal Governments, Colleges, and/or Organizations are eligible to apply.
DOE
Public nonprofit institutions/organizations (includes public institutions of higher education and hospitals) and private nonprofit institutions/organizations (includes private institutions of higher education and hospitals) located in the U.S., state and local governments, Federally Recognized Indian Tribal Governments, Federally Funded Research and Development Centers (FFRDCs), and U.S. territories or possessions are eligible to apply.
See full announcement for more details.
Application Materials:
You may submit either a paper application or an electronic application (but not both) for this announcement. The necessary forms for submitting a STAR application will be found on the National Center for Environmental Research (NCER) web site, https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms. To apply electronically, you must use the application package available at Grants.gov (see “Submission Instructions for Electronic Applications” in Section IV). If your organization is not currently registered with Grants.gov, you need to allow approximately one week to complete the registration process to apply electronically. This registration, and electronic submission of your application, must be performed by an authorized representative of your organization.
Agency Contacts:
Eligibility Contact: Tom Barnwell (barnwell.thomas@epa.gov); phone: 202-343-9862
Electronic Submissions: Thomas O'Farrell (o'farrell.thomas@epa.gov), phone: 202-343-9639
Technical Contacts: Nora Savage (savage.nora@epa.gov), Environmental Protection Agency; phone: 202-343-9858
Cynthia J. Ekstein (cekstein@nsf.gov), National Science Foundation; phone: 703-292-7941
Daniel Drell (daniel.drell@science.doe.gov), Department of Energy; phone: 301-903-4742;
I. FUNDING OPPORTUNITY DESCRIPTION
A. Introduction
One of the high-priority research areas identified by the EPA Office of Research and Development (ORD) is nanotechnology. International collaborations are critical in this emerging area to enable a more integrated and comprehensive approach to understanding the impact engineered nanomaterials may have on humans and ecosystems. The purpose of this collaborative research program is to strengthen the Environmental Protection Agency’s (EPA), the National Science Foundation’s (NSF), Engineering Directorate, and the U.S. Department of Energy’s (DOE), Office of Science support of research on the potential implications of nanotechnology and engineered nanomaterials on human health and the environment. The sponsors of this RFA are particularly interested in supporting research related to engineered nanomaterials in any of the following areas: (1) environmental and biological fate, transport, and transformation; and (2) human exposure/bioavailability.
EPA supports research to meet its mission of protecting human health and the environment. Research solicited under this request for applications (RFA) will be used by the engineering and scientific community in risk assessment, specifically in hazard identification and exposure assessment. EPA is interested in funding research on the possible risks and exposure routes of newly produced chemicals and materials at the nanoscale.
Information regarding the EPA’s research interests can be found in the Nanotechnology White Paper located at: https://www.epa.gov/osa/nanotech.htm. In addition, information on current Agency extramural nanotechnology research can be found on ORD’s National Center for Environmental Research (NCER) web site at www.epa.govhttps://www.epa.gov/research-grants/nano.
NSF supports research to help meet its mission, i.e., “to promote the progress of science; to advance the national health, prosperity, and welfare; and to secure the national defense.” Information resulting from this solicitation will be used to assist and enable the engineering and scientific communities to advance the frontiers of research, innovation, and education. The research should focus on emerging and potentially transformative ideas, and application of new expertise or new approaches to “established” topics. Information on NSF and nanotechnology research can be found at: http://www.nsf.gov/crssprgm/nano/.
DOE’s mission is to support fundamental science that supports the exploration of technologies to develop new and alternative sources of energy for the nation. The Office of Biological and Environmental Research focuses on the biological controls of environmental processes that are critical to the success of a broad range of DOE mission areas, such as energy, environmental remediation and carbon cycling/sequestration. Research supported under this RFA should focus on developing new understandings of nanophases and nanoparticulates relevant to these missions. To this end and in particular, research on nanoparticles and nanomaterials that could find application in energy technologies, possibly including the use of chemically inert nanoparticles as environmental tracers is solicited. From a DOE perspective, investigating the impact and risk of nanomaterials in the environment requires understanding both the critical characteristics of newly developed engineered nanomaterials as well as the baseline characteristics of existing engineered nanoscale substances in the environment that may be potentially harmful. The DOE is particularly interested in furthering the understanding of the
In an effort to stimulate international research in the area of engineered nanomaterials, U.S. researchers are encouraged to collaborate with European researchers.
B. Background
Nanotechnology has been defined by the Interagency Subcommittee on Nanoscale Science, Engineering and Technology (NSET) of the Federal Office of Science and Technology Policy (OSTP) as follows: “...the understanding and control of matter at dimensions of roughly 1 to 100 nanometers, where unique phenomena enable novel applications. Encompassing nanoscale science, engineering and technology, nanotechnology involves imaging, measuring, modeling, and manipulating matter at this length scale.” (See http://www.nano.gov for more information)
Many companies are currently involved in the manufacture of nanoscale materials which are used in a wide range of products, such as sunscreens, composites, sporting equipment, and catalysts. According to data collected by the National Nanotechnology Initiative (NNI), the quantity of nanoscale materials engineered by various industries is expected to grow significantly within the next 8 to 10 years. (see Mihail Roco, “Nanotechnology’s Future,” Scientific American, 24 July 2006, 7 Oct. 2006, http://www.sciam.com/article.cfm?articleID=00029E0B-34C6-14C0-AFE483414B7F4945&sc=I100322)
There is currently insufficient information about the human health and environmental impacts of engineered nanomaterials, e.g., nanoparticles, nanotubes, nanowires, fullerene derivatives, and other nanoscale materials. Environmental and other safety concerns about nanotechnology have been raised and a variety of research needs identified (see reference #4). This solicitation requests research proposals which address potential health and environmental concerns of nanomaterials using the best science available to support EPA's mission to protect human health and the environment, NSF’s mission to promote the progress of science and national welfare, and DOE’s mission to support fundamental science that supports the exploration of technologies to develop new and alternative sources of energy for the nation.
In the case of nanomaterials, size matters; the small size might result in different effects than might be observed for bulk or larger scale materials. Potentially harmful effects might arise as a result of the properties of the nanomaterials themselves or the products made from them, as well as through the manufacturing process involved. The increased surface area, morphology, small size, and enhanced reactivity of some nanomaterials will affect transport properties within the environment and may lead to harmful interactions with cellular material.
Little is known about the fate, transport, transformation, and exposure of nanosized materials, particularly after they enter the environment. As the production of engineered nanomaterials increases and as products containing engineered nanomaterials are produced, used, recycled, or disposed of, these materials could have harmful effects on the ecosystem. Unknowns include: to what extent nanomaterials bioaccumulate, whether they pose unique risks to human health and the environment through biomagnification along the food chain, and what exposures might occur. Unique characteristics of nanophase and nanoparticulate transport, bioavailability and potential human interactions and how they can be distinguished from background environmental influences are of particular interest. Nanomaterials in this context include nanophase particles, nanocomposites and mineral surface-coatings that have unique transport and/or reactive properties that are distinct from the bulk phase material and which might pose a risk to humans and/or the environment. Understanding fate, transport, chemical transformations and human exposure pathways will require understanding the environmental controls on nanophase material stability for anthropogenic products (both old and new), and how biological systems access chemical species differently in nanophase materials than in common bulk or dissolved phases.
The specific Strategic Goal and Objective from the EPA’s Strategic Plan that relate to this solicitation are: Goal 4: Healthy Communities and Ecosystems, Objective 4.4: Enhance Science and Research.
The EPA’s Strategic Plan can be found at https://www.epa.gov/ocfo/plan/2006/entire_report.pdf (PDF) (184 pp, 11.56 MB).
C. Authority and Regulations
EPA’s authorities for this RFA and resulting awards are contained in the Safe Drinking Water Act, Section 1442, 42 U.S.C. 300j-1; Clean Water Act, Section 104, 33 U.S.C.; Toxic Substances Control Act, Section 10, 15 U.S.C. 2609; and the Clean Air Act, Section 103, 42 U.S.C. 7403. For research with an international aspect, the above statutes are supplemented, as appropriate, by the National Environmental Policy Act, Section 102 (2)(F).
DOE awards are made under the authorization 10 CFR Part 605 (http://www.science.doe.gov/grants/605index.html). Under this part of the Code of Federal Regulations, DOE may issue, under the Office of Energy Research (now the Office of Science) Financial Assistance Program, awards for basic and applied research, educational/training activities, conferences, and other related activities under the Office of Science program areas (http://www.science.doe.gov/grants/progdesc.html).
D. Specific Research Areas of Interest/Expected Outputs and Outcomes
Note to applicant: The term “output” means an environmental activity or effort, and associated work products, related to a specific environmental goal(s), (e.g., testing a new methodology), that will be produced or developed over a period of time under the agreement. The term “outcome” means the result, effect, or consequence that will occur from the above activit(ies) that is related to an environmental, behavioral, or health-related objective.
The RFA sponsors are particularly interested in supporting research related to engineered nanomaterials in any of the following areas: (1) environmental and biological fate, transport, and transformation of engineered nanomaterials and (2) human exposure/bioavailability.
- Environmental and biological fate, transport, and transformation of engineered nanomaterials
Information about fate, transport, and transformation is necessary to estimate exposure to engineered nanomaterials. Relevant research questions might include but are not limited to:
- By what means do (can) engineered nanomaterials enter the environment?
- What are the modes of dispersion/aggregation for nanomaterials in the environment?
- Do engineered nanoparticles undergo transformation in the environment?
- How do nanomaterials transfer from one media to another?
Relevant goals of this research include increasing scientific knowledge on the partitioning of nanomaterials in various media and increased data on movement and transformation capacities. Unique characteristics of nanophase and nanoparticulate transport, bioavailability and potential human interactions and how they can be distinguished from background environmental influences are of particular significance. Outputs may include providing researchers with critical information concerning the fate of engineered nanomaterials and progress review and other workshops geared towards increasing the collaboration and coordination of environmental research on engineered nanomaterials at both national and international levels. Outcomes include the enhancement of environmental protection through the increased availability of important fate and transport data on these materials and increased knowledge gained concerning the fate, transport, and transformation of engineered nanomaterials as they enter and move through various ecosystems.
- Human exposure and bioavailability
How humans and other living organisms may be exposed to engineered nanomaterials that enter the environment is a critical research need. When and in what form such exposures may occur are not known, nor are the organism level responses to nanoparticulates or other nanophase materials. However, if there is no exposure, there are no health risks. Relevant research questions might include but are not limited to:
- When might relevant exposures occur?
- Upon exposure, in what form is the engineered nanomaterial – physical, chemical, morphological?
- What forms of nanomaterials are bioavailable?
- Are some subpopulations more vulnerable to nanomaterial exposure?
- Are more toxic metabolites formed in biological systems?
- What are the exposure pathways for humans?
- How can exposures be quantified? Do engineered nanoparticles bioaccumulate through the food chain?
- How are nanomaterials translocated from one organ to another?
Relevant goals of this research include providing scientific information concerning the potential effects on the ecosystem of engineered nanomaterials that may initially impact one or more organisms and improved data on biotransformation, ecotoxicity, bioaccumulation and bioavailability capacities.
Outputs may include providing researchers with scientific data on exposure of living systems and the environment to engineered nanomaterials, critical information concerning the potential effect upon ecosystems of engineered nanomaterials and progress review and other workshops geared towards increasing the collaboration and coordination of environmental research on engineered nanomaterials at both national and international levels. Outcomes include enhanced environmental protection through the increased availability of important exposure, fate, transport, transformation, and life cycle data on these materials. Additional outcomes of this research would include gaining insight into the type, extent and timing of exposure. In addition, the scientific community will gain increased knowledge into the exposure patterns of nanomaterials.
- United States, National Science and Technology Council, Environmental, Health, and Safety Research Needs for Engineered Nanoscale Materials (Washington: Office of Science and Technology Policy, 2006). http://www.nano.gov/NNI_EHS_research_needs.pdf (PDF) (80 pp, 1.06 MB)
- United States, National Science and Technology Council, Research and Development Leading to a Revolution in Technology and Industry: Supplement to the President’s FY 2007 Budget (Washington, Office of Science and Technology Policy, 2006) http://nano.gov/NNI_07Budget.pdf (PDF) (76 pp, 1.12 MB)
- Andrew Maynard, et al. Safe Handling of Nanotechnology. Nature 16 Nov: 267 (2006).
- Andrew Maynard, Woodrow Wilson International Center for Scholars: Project on Emerging Nanotechnologies, Nanotechnology: A Research Strategy for Addressing Risk July 2006: 35.
- United States, National Institute for Occupational Safety and Health, Strategic Plan for NIOSH Nanotechnology Research: Filling the Knowledge Gaps (Washington, Centers for Disease Control and Prevention, Sept. 2005)
- Oberdörster G, Oberdörster E, Oberdörster J. Nanotoxicology: An Emerging Discipline Evolving from Studies of Ultrafine Particles. Environ. Health Perspect. doi:10.1289/ehp.7339, (2005).
- The Royal Society and the Royal Academy of Engineering. Nanoscience and nanotechnologies: Opportunities and uncertainties. London, July 2004, pp. 26-7, available online at www.nanotec.org.uk/finalReport.htm.
- Oberdorster G, et al. Principles for Characterizing the Potential Human Health Effects from Exposure to Nanomaterials: Elements of a Screening Strategy. Particle and Fibre Toxicology 2-8, 10.1186/1743-8977(2005). http://www.particleandfibretoxicology.com/content/2/1/8
F. Special Requirements
Agency policy prevents EPA technical staff and managers from providing individual applicants information that may create an unfair competitive advantage. Consequently, EPA employees will not review, comment, advise, and/or provide technical assistance to applicants preparing applications in response to EPA RFAs, nor will they endorse an application or discuss in any manner how the Agency will apply the published evaluation criteria for this competition.
Because the manufacturing of nanomaterials is not currently widespread and nomenclature is not standard, researchers must indicate in their proposals which nanomaterials they will use and where they will obtain them, including any needed collaboration with a materials manufacturing corporation or research lab that is synthesizing a commercially viable material. Thus, in the proposal, information on the source, potential use, composition, and present or future availability of the material being studied should be included. Researchers must appropriately characterize all engineered nanomaterials used in the study. Researchers are encouraged to explore the availability of special nanotechnology user facilities at the Department of Energy (http://www.nano.gov/html/centers/DOEcenters.html), the National Institute of Standards and Technology (http://www.nano.gov/html/centers/NISTcenters.html), and the NSF, under the National Nanotechnology Infrastructure Network program (http://www.nnin.org/).
It is anticipated that a total of approximately $10 million will be awarded under this announcement, depending on the availability of funds and quality of applications received. EPA’s estimated funding amount is approximately $6 million, DOE’s estimated funding amount is approximately $3 million, and NSF’s estimated funding amount is approximately $1 million. The EPA anticipates funding approximately 15 grants or cooperative agreements, DOE anticipates funding approximately 12 grants, and NSF anticipates funding approximately 2 grants under this RFA. Requests for amounts in excess of a total of $400,000, including direct and indirect costs, will not be considered. The total project period requested in an application submitted for this RFA may not exceed 3 years. The EPA reserves the right to reject all applications and make no awards, or make fewer awards than anticipated, under this RFA. The EPA reserves the right to make additional awards under this announcement, consistent with Agency policy, if additional funding becomes available after the original selections are made. Any additional selections for awards will be made no later than four months after the original selection decisions. The DOE is under no obligation to pay for any costs associated with the preparation or submission of an application or proposal. The DOE reserves the right to fund, in whole or in part, any, all or none of the applications or proposals submitted in response to this solicitation.
EPA may award both grants and cooperative agreements under this announcement.
Under a grant, EPA scientists and engineers are not permitted to be substantially involved in the execution of the research. However, EPA encourages interaction between its own laboratory scientists and grant Principal Investigators after the award of an EPA grant for the sole purpose of exchanging information in research areas of common interest that may add value to their respective research activities. This interaction must be incidental to achieving the goals of the research under a grant. Interaction that is “incidental” does not involve resource commitments.
Where appropriate, based on consideration of the nature of the proposed project relative to the EPA’s intramural research program and available resources, the EPA may award cooperative agreements under this announcement. When addressing a research question/problem of common interest, collaborations between scientists and the institution’s principal investigators are permitted under a cooperative agreement. These collaborations may include data and information exchange, providing technical input to experimental design and theoretical development, coordinating extramural research with in-house activities, the refinement of valuation endpoints, and joint authorship of journal articles on these activities. Proposals may not identify EPA cooperators or interactions; specific interactions between EPA’s investigators and those of the prospective recipient for cooperative agreements will be negotiated at the time of award.
EPA
Public nonprofit institutions/organizations (includes public institutions of higher education and hospitals) and private nonprofit institutions/organizations (includes private institutions of higher education and hospitals) located in the U.S., state and local governments, Federally Recognized Indian Tribal Governments, and U.S. territories or possessions are eligible to apply. Profit-making firms are not eligible to receive assistance agreements from the EPA under this program.
Eligible nonprofit organizations include any organizations that meet the definition of nonprofit in OMB Circular A-122. However, nonprofit organizations described in Section 501(c) (4) of the Internal Revenue Code that lobby are not eligible to apply.
National laboratories funded by Federal Agencies (Federally-Funded Research and Development Centers, “FFRDCs”) may not apply. FFRDC employees may cooperate or collaborate with eligible applicants within the limits imposed by applicable legislation and regulations. They may participate in planning, conducting, and analyzing the research directed by the applicant, but may not direct projects on behalf of the applicant organization. The institution, organization, or governance receiving the award may provide funds through its assistance agreement from the EPA to an FFRDC for research personnel, supplies, equipment, and other expenses directly related to the research. However, salaries for permanent FFRDC employees may not be provided through this mechanism.
Federal Agencies may not apply. Federal employees are not eligible to serve in a principal leadership role on an assistance agreement, and may not receive salaries or augment their Agency’s appropriations in other ways through awards made under this program.
The applicant institution may enter into an agreement with a Federal Agency to purchase or utilize unique supplies or services unavailable in the private sector. Examples are purchase of satellite data, census data tapes, chemical reference standards, analyses, or use of instrumentation or other facilities not available elsewhere. A written justification for federal involvement must be included in the application. In addition, an appropriate form of assurance that documents the commitment, such as a letter of intent from the Federal Agency involved, should be included.
DOE
In addition to the institutions eligible for EPA funding (above), Department of Energy Federally Funded Research and Development Centers (FFRDCs), including DOE National Laboratories, may apply (see companion notice, LAB 07-27 at http://www.science.doe.gov/grants/LAB07_27.html).
NSF
For-profit or nonprofit organizations; public or private institutions, such as universities, colleges, hospitals, and laboratories; units of state and local governments; eligible agencies of the Federal government; domestic institutions/organizations only; faith-based community-based organizations; Federally Recognized Indian Tribes, Tribal Governments, Colleges, and/or Organizations.
Potential applicants who are uncertain of their eligibility should contact Tom Barnwell (barnwell.thomas@epa.gov) in NCER, phone (202) 343-9862.
B. Cost-Sharing
Institutional cost-sharing is not required.
C. Other
Applications must substantially comply with the application submission instructions and requirements set forth in Section IV of this announcement or they will be rejected. In addition, where a page limitation is expressed in Section IV with respect to parts of the application, pages in excess of the page limit will not be reviewed. Applications must be received by the EPA, or Grants.gov, on or before the solicitation closing date and time in Section IV of this announcement or they will be returned to the sender without further consideration. Also, applications exceeding the funding limits or project period term described herein will be returned without review. Further, applications that fail to demonstrate a public purpose of support or stimulation (e.g., by proposing research which primarily benefits a Federal program or provides a service for a Federal agency) will not be funded.
In addition, to be eligible for funding consideration, a project’s focus must consist of activities within the statutory terms of the sponsoring Agencies’ assistance authorities; specifically, the statute(s) listed in I.C. above. Generally, to meet EPA’s eligibility requirements, a project must address the causes, effects, extent, prevention, reduction, and elimination of air pollution, water pollution, solid/hazardous waste pollution; toxic substances control; or pesticide control. These activities should relate to the gathering or transferring of information or advancing the state of knowledge. Proposals should emphasize this “learning” concept, as opposed to “fixing” an environmental problem via a well-established method. Proposals relating to other topics which are sometimes included within the term “environment” such as recreation, conservation, restoration, protection of wildlife habitats, etc., must describe the relationship of these topics to the statutorily required purpose of pollution prevention and/or control.
Applications deemed ineligible for funding consideration will be notified within fifteen calendar days of the ineligibility determination.
IV. APPLICATION AND SUBMISSION INFORMATION
You may submit either a paper application or an electronic application (but not both) for this announcement. Instructions for both types of submission follow. If not otherwise marked, instructions apply to both types of submissions.
A. Internet Address to Request Application Package
For paper applications, forms and instructions can be found on the NCER web site: https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms.
For electronic applications, use the application package available at Grants.gov (see “Submission Instructions for Electronic Applications”). Note: With the exception of the Budget form (available at https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms), all necessary forms are included in the electronic application package.
For both paper and electronic applications, an email will be sent by NCER to the Principal Investigator and the Administrative Contact (see below) to acknowledge receipt of the application and transmit other important information. The email will be sent from receipt.application@epa.gov; emails to this address will not be accepted. If you do not receive an email acknowledgment within 30 days of the submission closing date, immediately inform the Eligibility Contact shown in this solicitation. Failure to do so may result in your application not being reviewed. See “Submission Instructions for Electronic Applications” for additional information regarding acknowledgment of receipt of electronically submitted applications. Please note: Due to often-lengthy delays in delivery, it is especially important that you monitor NCER’s confirmation of receipt of your application when using regular mail.
B. Content and Form of Application Submission
The application is made by submitting the materials described below. Applications must contain all information requested and be submitted in the formats described.
- Standard Form 424
The applicant must complete Standard Form 424. This form will be the first page(s) of the application. Instructions for completion of the SF424 are included with the form. (However, note that EPA requires that the entire requested dollar amount appear on the 424, not simply the proposed first year expenses.) The form must contain the original (or electronic) signature of an authorized representative of the applying institution.
Applicants are required to provide a "Dun and Bradstreet Data Universal Numbering System" (DUNS) number when applying for federal grants or cooperative agreements. Organizations may receive a DUNS number by calling 1-866-705-5711 or by visiting the web site at http://www.dnb.com.
Executive Order 12372, "Intergovernmental Review of Federal Programs," applies to most EPA programs and assistance agreements, unless the program or assistance agreement supports tribal, training/fellowships (other than Wastewater and Small Water Systems Operator training programs), and research and development (with some exceptions). The SF424 refers to this Executive Order requirement. National research programs are generally exempt from review unless the proposals (a) require an Environmental Impact Statement (EIS), or (b) do not require an EIS but will be newly initiated at a particular site and require unusual measures to limit the possibility of adverse exposure or hazard to the general public, or (c) have a unique geographic focus and are directly relevant to the governmental responsibilities of a State or local government within that geographic area. To determine whether their state participates in this process, and how to comply, applicants should consult http://www.whitehouse.gov/omb/grants/spoc.html.
- Key Contacts
The applicant must complete the "Key Contacts" form as the second page of the application: a Key Contacts continuation page is also available at https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms. The Key Contacts form should also be completed for major sub-agreements (i.e., primary co-investigators). Please make certain that all contact information is accurate.
- Table of Contents
Provide a list of the major subdivisions of the application indicating the page number on which each section begins.
- Abstract (1 page)
The abstract is a very important document in the review process. Therefore, it is critical that the abstract accurately describes the research being proposed and conveys all the essential elements of the research. Also, the abstracts of applications that receive EPA funding will be posted on the NCER web site.
The abstract should include the information described below (a-h). Examples of abstracts for current grants may be found on the NCER web site.
- Funding Opportunity Title and Number for this proposal.
- Project Title: Use the exact title of your project as it appears in the application. The title must be brief yet represent the major thrust of the project. Because the title will be used by those not familiar with the project, strike a balance between highly technical words and phrases and more commonly understood terminology. Do not use general phrases such as "research on."
- Investigators: List the Principal Investigator, then the names and affiliations of each co-investigator who will significantly contribute to the project. Provide a web site URL or an email contact address for additional information.
- Institution: In the same order as the list of investigators, list the name, city and state of each participating university or other applicant institution. The institution applying for assistance must be clearly identified.
- Project Period and Location: Show the proposed project beginning and ending dates, and the geographical location(s) where the work will be conducted.
- Project Cost: Show the total dollars requested (include direct and indirect costs for all years).
- Project Summary: Provide three subsections addressing: (1) the objectives of the study (including any hypotheses that will be tested), (2) the experimental approach to be used (a description of the proposed project), and (3) the expected results of the project and how it addresses the research needs identified in the solicitation, including the estimated improvement in risk assessment or risk management that will result from successful completion of the proposed work.
- Supplemental Keywords: Without duplicating terms already used in the text of the abstract, list keywords to assist database searchers in finding your research. A list of suggested keywords may be found at: https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms.
- Research Plan, Quality Assurance Statement and References
- Research Plan (15 pages)
Applications should focus on a limited number of research objectives that adequately and clearly demonstrate that they meet the RFA requirements. Explicitly state the main hypotheses that you will investigate, the data you will create or use, the analytical tools you will use to investigate these hypotheses or analyze these data, and the results you expect to achieve. Research methods must be clearly stated so that reviewers can evaluate the appropriateness of your approach and the tools you intend to use. A statement such as: "we will evaluate the data using the usual statistical methods" is not specific enough for peer reviewers.
This description must not exceed fifteen (15) consecutively numbered (bottom center), 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins. While these guidelines establish the minimum type size requirements, applicants are advised that readability is of paramount importance and should take precedence in selection of an appropriate font for use in the proposal.
The description must provide the following information:
- Objectives: List the objectives of the proposed research and the hypotheses being tested during the project, and briefly state why the intended research is important and how it fulfills the requirements of the solicitation. This section should also include any background or introductory information that would help explain the objectives of the study. If this application is to expand upon research supported by an existing or former assistance agreement awarded under the STAR program, indicate the number of the agreement and provide a brief report of progress and results achieved under it (one to two pages recommended).
- Approach/Activities: Outline the research design, methods, and techniques that you intend to use in meeting the objectives stated above (five to ten pages recommended).
- Expected Results, Benefits, Outputs, and Outcomes: Describe the results you expect to achieve during the project (outputs) and the potential benefits of the results (outcomes). This section should also discuss how the research results will lead to solutions to environmental problems and improve the public's ability to protect the environment and human health. A clear, concise description will help EPA, DOE, NSF and peer reviewers understand the merits of the research (one to two pages recommended).
- General Project Information: Discuss other information relevant to the potential success of the project. This should include facilities, personnel expertise/experience, project schedules, proposed management, interactions with other institutions, etc. Applications for multi-investigator projects must identify project management and the functions of each investigator in each team and describe plans to communicate and share data (one to two pages recommended).
- Appendices may be included but must remain within the 15-page limit.
- Quality Assurance Statement (1 to 3 pages in addition to the 15-page research plan)
For projects involving environmental data collection or processing, conducting surveys, modeling, method development, or the development of environmental technology (whether hardware-based or via new techniques), provide a Quality Assurance Statement (QAS) regarding the plans for processes that will be used to ensure that the products of the research satisfy the intended project objectives. Follow the guidelines provided below to ensure that the QAS describes a system that complies with ANSI/ASQC E4, Specifications and Guidelines for Quality Systems for Environmental Data Collection and Environmental Technology Programs. Do not exceed three consecutively numbered, 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins.
Address each section below by including the required information, referencing the specific location of the information in the Research Plan, or explaining why the section does not apply to the proposed research.
- Identify the individual who will be responsible for the quality assurance (QA) and quality control (QC) aspects of the research along with a brief description of this person's functions, experience, and authority within the research organization. Describe the organization's general approach for conducting quality research. (QA is a system of management activities to ensure that a process or item is of the type and quality needed for the project. QC is a system of activities that measures the attributes and performance of a process or item against the standards defined in the project documentation to verify that they meet those stated requirements.)
- Discuss project objectives, including quality objectives, any hypotheses to be tested, and the quantitative and/or qualitative procedures that will be used to evaluate the success of the project. Include any plans for peer or other reviews of the study design or analytical methods.
- Address each of the following project elements as applicable:
- Collection of new/primary data:
(Note: In this case the word "sample" is intended to mean any finite part of a statistical population whose properties are studied to gain information about the whole. If certain attributes listed below do not apply to the type of samples to be used in your research, simply explain why those attributes are not applicable.)- Discuss the plan for sample collection and analysis. As applicable, include sample type(s), frequency, locations, sample sizes, sampling procedures, and the criteria for determining acceptable data quality (e.g., precision, accuracy, representativeness, completeness, comparability, or data quality objectives).
- Describe the procedures for the handling and custody of samples including sample collection, identification, preservation, transportation, and storage, and how the accuracy of test measurements will be verified.
- Describe or reference each analytical method to be used, any QA or QC checks or procedures with the associated acceptance criteria, and any procedures that will be used in the calibration and performance evaluation of the analytical instrumentation.
- Discuss the procedures for overall data reduction, analysis, and reporting. Include a description of all statistical methods to make inferences and conclusions, acceptable error rates and/or power, and any statistical software to be used.
- Use of existing/secondary data (i.e., data previously collected for other purposes or from other sources):
- Describe or reference each analytical method to be used, any QA or QC checks or procedures with the associated acceptance criteria, and any procedures that will be used in the calibration and performance evaluation of the analytical instrumentation.
- Discuss the procedures for overall data reduction, analysis, and reporting. Include a description of all statistical methods to make inferences and conclusions, acceptable error rates and/or power, and any statistical software to be used.
- Method development:
(Note: The data collected for use in method development or evaluation should be described in the QAS as per the guidance in section 3A and/or 3B above.)Describe the scope and application of the method, any tests (and measurements) to be conducted to support the method development, the type of instrumentation that will be used and any required instrument conditions (e.g., calibration frequency), planned QC checks and associated criteria (e.g., spikes, replicates, blanks), and tests to verify the method's performance.
- Development or refinement of models:
(Note: The data collected for use in the development or refinement of models should be described in the QAS as per the guidance in section 3A and/or 3B above.)- Discuss the scope and purpose of the model, key assumptions to be made during development/refinement, requirements for code development, and how the model will be documented.
- Discuss verification techniques to ensure the source code implements the model correctly.
- Discuss validation techniques to determine that the model (assumptions and algorithms) captures the essential phenomena with adequate fidelity.
- Discuss plans for long-term maintenance of the model and associated data.
- Development or operation of environmental technology:
(Note: The data collected for use in the development or evaluation of the technology should be described in the QAS as per the guidance in section 3A and/or 3B above.)- Describe the overall purpose and anticipated impact of the technology.
- Describe the technical and quality specifications of each technology component or process that is to be designed, fabricated, constructed, and/or operated.
- Discuss the procedure to be used for documenting and controlling design changes.
- Discuss the procedure to be used for documenting the acceptability of processes and components, and discuss how the technology will be benchmarked and its effectiveness determined.
- Discuss the documentation requirements for operating instructions/guides for maintenance and use of the system(s) and/or process(s).
- Conducting surveys:
(Note: The data to be collected in the survey and any supporting data should be described in the QAS as per the guidance in section 3A and/or 3B above.)Discuss the justification for the size of the proposed sample for both the overall project and all subsamples for specific treatments or tests. Identify and explain the rational for the proposed statistical techniques (e.g., evaluation of statistical power).
- Collection of new/primary data:
- Discuss data management activities (e.g., record-keeping procedures, data-handling procedures, and the approach used for data storage and retrieval on electronic media). Include any required computer hardware and software and address any specific performance requirements for the hardware/software configuration used.
Page allowances for the following section(s) are in addition to those allowed for the Research Plan and Quality Assurance Statement.
- References: References cited are in addition to the 15-page Research Plan limit.
- Research Plan (15 pages)
- Budget and Budget Justification
- Budget
Prepare a budget table using the guidance and form found at https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms, and select "All required forms." If a subaward, such as a subagreement with an educational institution, is greater than $25,000 and is included in the application, provide a separate budget and budget justification for the subaward. Include the total amount for the subaward under "Other" in the master budget. Any project containing subawards or subcontracts that constitute more than 40% of the total direct cost of the application will be subject to special review. Additional justification for use of these must be provided, discussing the need for the subaward/subcontract to accomplish the objectives of the research project.
Please note that institutional cost-sharing is not required. However, if cost-sharing is proposed, a brief statement concerning cost-sharing should be added to the budget justification, and estimated dollar amounts must be included in the appropriate categories in the budget table.
- Budget Justification [2 pages in addition to the Section IV.B.5. page limitations, not including additions under Nos. (6) and (7) below to support contracts and subawards]
Describe the basis for calculating the personnel, fringe benefits, travel, equipment, supplies, contractual support, and other costs identified in the itemized budget. The budget justification should not exceed two consecutively numbered (bottom center), 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins.
Budget information should be supported at the level of detail described below:
- Personnel: List all staff positions by title. Give annual salary, percentage of time assigned to the project, and total cost for the budget period.
- Fringe Benefits: Identify the percentage used and the basis for its computation.
- Travel: Specify the estimated number of trips, locations, and other costs for each type of travel. Explain the need for any travel, paying particular attention to travel outside the United States. Include travel funds for annual Nano program progress reviews (estimate for two days in Washington, D.C.) and a final workshop to report on results.
- Equipment: Identify all tangible, non-expendable personal property to be purchased that has an estimated cost of $5,000 or more per unit and a useful life of more than one year. (Personal property items with a unit cost of less than $5,000 are considered supplies.)
- Supplies: "Supplies" means tangible property other than "equipment." Identify categories of supplies to be procured (e.g., laboratory supplies or office supplies). Specifi
- Budget
The perspectives, information and conclusions conveyed in research project abstracts, progress reports, final reports, journal abstracts and journal publications convey the viewpoints of the principal investigator and may not represent the views and policies of ORD and EPA. Conclusions drawn by the principal investigators have not been reviewed by the Agency.