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
Innovative Approaches to Particulate Matter Health, Composition, and Source Questions
This is the initial announcement of this funding opportunity.
Funding Opportunity Number: EPA-G2007-STAR-T1
Catalog of Federal Domestic Assistance (CFDA) Number: 66.509
Solicitation Opening Date: June 6, 2007
Solicitation Closing Date: September 11, 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: Darrell Winner, PhD (winner.darrell@epa.gov); phone: 202-343-9748
Barbara Glenn, PhD (glenn.barbara@epa.gov); phone: 202-343-9721
Access Standard STAR Forms
Research awarded under previous solicitations
SUMMARY OF PROGRAM REQUIREMENTS
Synopsis of Program:
The U.S. Environmental Protection Agency (EPA), as part of its Science to Achieve Results (STAR) program, is seeking applications proposing to improve the ability of epidemiologic studies to link health outcomes to sources and components of air pollution. This RFA provides an opportunity to link health studies with more advanced measurement and modeling approaches to strengthen the air quality and exposure aspects of epidemiologic studies. Bringing the full atmospheric science toolkit to bear is crucial to address difficult source attribution questions.
Award Information:
Anticipated Type of Award: Grant
Estimated Number of Awards: Approximately 6 awards
Anticipated Funding Amount: Approximately $5 million total for all awards
Potential Funding per Award: Up to a total of $900,000, including direct and indirect costs, with a maximum duration of 4 years.
Cost-sharing is not required. Proposals with budgets exceeding the individual total award limit will not be considered
Eligibility Information:
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. 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, http://wwww.epa.govhttps://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: Darrell Winner, PhD (winner.darrell@epa.gov); phone: 202-343-9748
Barbara Glenn, PhD (glenn.barbara@epa.gov); phone: 202-343-9721
I. FUNDING OPPORTUNITY DESCRIPTION
A. Introduction
Under the Clean Air Act (CAA), EPA has the responsibility for setting air quality standards to protect the public’s health and welfare with an adequate margin of safety. One of the major air pollutants of concern, particulate matter (PM), represents a broad class of chemically and physically diverse substances. For the purpose of this solicitation, PM includes fine (PM2.5) and coarse particles (PM10-2.5) and can be described by size, formation mechanism, origin, and chemical composition. The Agency’s last review of the PM national ambient air quality standards (NAAQS) was completed in September 2006 (71 FR 61144).1 These standards include both 24-hour and annual standards for PM2.5 as well as a 24-hour standard for PM10 to provide protection of both public health and welfare effects.
While PM standards are currently based on mass, EPA is interested in better understanding the relationship between components or sources of fine and coarse PM and different health effects. The objective of this solicitation is to improve the data, methods, and tools available to link health outcomes to sources and components of air pollution. The research supported under this solicitation will integrate advanced modeling approaches with measurements to strengthen the air quality and exposure aspects of epidemiologic studies. State-of-the-art atmospheric science tools will enable health researchers to tackle difficult analytic questions such as separating the impact of gasoline vehicle emissions from diesel vehicle emissions, reliably estimating the contribution from biomass burning or “filling in” missing data between days or monitors.
1 Please see https://www.epa.gov/air/particlepollution/actions.html for more information on the PM NAAQS.
B. Background
PM has been linked to a range of serious respiratory and cardiovascular health problems. The key effects associated with exposure to ambient particulate matter include premature mortality, aggravation of respiratory and cardiovascular disease (as indicated by increased hospital admissions and emergency room visits, school absences, work-loss days, and restricted activity days), aggravated asthma, acute respiratory symptoms, chronic bronchitis, decreased lung function, and increased risk of myocardial infarction. Recent estimates indicate that exposures to PM may result in tens of thousands of excess deaths per year, and many more cases of illness among the US population. However, research on the extent to which the toxicity of ambient PM mass varies by particle composition and source is limited.
Because PM is a complex mixture consisting of both direct emissions and atmospheric reaction products, models are necessary to understand the spatial and temporal distributions of PM components and sources. The validation and application of atmospheric models relies on careful use of available measurements. Receptor models start with observations of ambient PM at a given location (receptor) and use available information to quantify the sources that contribute to the observed ambient concentrations (Hopke 2003, Reff et al., 2007). The Positive Matrix Factorization model (PMF) is a factor analytic technique commonly utilized in many fine particulate source apportionment studies. It does not require extensive knowledge of the sources in a particular area to obtain source contribution estimates. The Chemical Mass Balance (CMB) technique requires a better knowledge of the various sources which could potentially affect the receptor since measured source profiles serve as an input to the model. Since the PMF model also makes no assumptions of what sources are affecting a receptor location, an adequate amount of data is required to allow the model to calculate a stable solution. Chemical transport models (CTM) combine estimated source emission rates with meteorological transport, chemical changes, and deposition rates to estimate concentrations and their temporal variations at different receptors.
Existing ambient PM speciation datasets obtained from state and regional air pollution regulatory agencies or the U.S. Environmental Protection Agency are used by epidemiologists to conduct multi-city time-series studies. Epidemiologists have tended to develop exposure estimates using land use data and interpolation methods to “fill-in” missing data (Jerrett et al., 2005; Briggs et al., 1997). Epidemiologic studies could benefit from additional data on PM composition, obtained through use of CTMs blended with observations to address missing temporal and spatial data points (e.g. provide estimates of PM composition on day 2 and 3 for areas with 1 in 3 sampling, or extend measurements from 3-5 STN sites across a large urban area).
While few research groups have combined source apportionment with epidemiologic studies to attribute risk to individual PM components, this powerful combination of scientific tools has the potential to yield particularly informative results (Laden et al., 2000, Mar et al., 2000). In May 2003 the U.S. Environmental Protection Agency’s Particulate Matter Centers sponsored a workshop to assess the reliability of source-apportionment-health effects methods by analyzing daily mortality with existing PM data sets from Phoenix and Washington DC (Thurston et al., 2005; Hopke et al., 2006; Ito et al., 2006; Mar et al., 2006). Source apportionment analyses by the different research groups generally resulted in consistent contributions to PM mass for some major source factors (e.g., soil, secondary sulfate), although traffic and wood burning estimates varied considerably. Also, some source categories for each city were not identified by each research group and the traffic source category could not reliably be partitioned into diesel and gasoline components. After the source apportionment analyses were completed, a standardized approach was used for time series analyses of mortality in Phoenix and Washington DC. For each set of source apportionment results, the source components were individually tested for associations with mortality. The time-series analyses using these data resulted in a large variation in attribution of risk to individual PM source components. The findings pointed to the need for additional research to clarify uncertainties in the source-specific risk estimates. The goal of this solicitation is not to fund new factor analysis methods for source apportionment, but rather to analyze and extend source apportionment methods, including receptor models and CTMs (Held et al., 2005, Marmur et al., 2006) to best meet the needs of epidemiologic studies.
Atmospheric science tools have potential for use in assessing the health risks for PM components and sources in longitudinal study designs as well as those involving daily change in ambient pollution concentration. While time-series studies assess changes in risk associated with daily change in ambient concentration of a specific PM component, longitudinal studies assess risk associated with variation in estimates of lifetime ambient exposure. Time-series studies require daily concentration data for one or more metropolitan areas whereas longitudinal studies require spatially resolved data. Thus, the data needs and modeling approaches to address missing data, confounding, exposure error and other uncertainties are different.
Source apportionment research to date has focused on a small geographic scale (e.g., a single metropolitan area). Research is needed to improve the usefulness of source apportionment methodology to epidemiologic analysis on a national scale. Variation in mortality associations and exposure error by source factor exists between cities. Source apportionment analysis currently is both a science and an art with factor analysis techniques such as PMF leading to different source factors each time the tools are applied in different locations or for a different time period while techniques such as CMB are limited by the quality of the utilized source profiles. Work is needed to combine source apportionment results and measured source profiles across cities to better characterize the variation of source emissions across seasons and geographic regions. Such a meta-analysis should develop a source profile library and recommended source apportionment techniques for use in national epidemiologic studies.
The specific Strategic Goal and Objective from the EPA’s Strategic Plan that relate to this solicitation are:
Goal 1: Clean Air and Global Climate Change, Objective 1.6: 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
The authority for this RFA and resulting awards is contained in 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).
D. Specific Research Areas of Interest/Expected Outputs and Outcomes
This RFA solicits applications that must address one or more of the following key questions:
- How can validated atmospheric models be integrated with other data, including air quality observations, to improve the temporal and spatial estimates of PM component concentrations in order to link specific PM properties with mortality and disease? What techniques can be developed to integrate data from ambient or source measurements and models to best estimate air quality concentrations on a regional or national scale, especially those that would be broadly applicable in observational epidemiologic studies? What targeted measurements would improve the atmospheric model predictions through either validation or critical input information?
- Can validated atmospheric models retrospectively be used to provide spatial and temporal estimates of PM component concentrations to improve PM component-based epidemiologic analyses using rich historically measured health outcome datasets?
- What techniques can be developed to better combine source apportionment results with measured source profiles to improve the characterization of the variation of PM sources across seasons and geographic regions? Can these methods be generalized to broad geographic regions and/or a variety of epidemiologic study designs including multisite observational studies or meta-analyses of panel studies conducted in different locations? Specifically, what different approaches or other needs are required to accommodate the time frame of interest in varying epidemiologic study designs (e.g., prospective or retrospective longitudinal designs, time-series, or cross-sectional designs)?
Proposals must include a partnership with epidemiologists as an integral part of the project. Proposals should include application of methods or models developed to an ongoing epidemiology study or an explicit plan as to how the results of the project will be used to evaluate associations with health outcomes. The overall goal is to enhance epidemiologic studies by incorporating state-of-the-art atmospheric science.
Several outputs will be developed from the research supported from this solicitation. Expected outputs include reports, presentations, and articles in peer-reviewed journals that will incorporate atmospheric science to strengthen exposure assessment used by epidemiologic studies linking specific sources of PM to health endpoints. The outputs will contribute to important expected outcomes including increasing the efficiency and effectiveness of federal and state/local air quality management strategies and reduced uncertainty in health risk assessments.
E. References
Briggs DJ, Collins S, Elliott P, Fischer P, Kingham S, Lebret E, Pryl K, VanReeunwijk H, Smallbone K, Van der Veen A. Mapping urban air pollution using GIS: a comparative study. Inter. J. Geograph. Info. Sci. 1997; 11:699-718.
Held T., Q. Ying, M.J. Kleeman, J.J. Schauer, M.P. Fraser. A comparison of the UCD/CIT air quality model and the CMB source-receptor model for primary airborne particulate matter. Atmospheric Environment. 39: 2281-2297. 2005.
Hopke PK, Ito K, Mar T, Christensen WF, Eatough DJ, Henry RC, Kim E, Laden F, Lall R, Larson TV, Liu H, Neas L, Pinto J, Stolzel M, Suh H, Paatero P, Thurston GD. PM source apportionment and health effects: 1. Intercomparison of source apportionment results. J Expo Sci Environ Epidemiol. 2006 May;16(3):275-86.
Hopke PK. Recent developments in receptor modeling. Journal of Chemometrics 2003; 17(5) 255-265.
Ito K, Christensen WF, Eatough DJ, Henry RC, Kim E, Laden F, Lall R, Larson TV, Neas L, Hopke PK, Thurston GD. PM source apportionment and health effects: 2. An investigation of intermethod variability in associations between source-apportioned fine particle mass and daily mortality in Washington, DC. J Expo Sci Environ Epidemiol. 2006 Jul;16(4):300-10.
Jerrett M, Burnett R, Ma R, Pope CA, Krewski D, Newbold KB, Thurston G, Shi Y, Finkelstein, Calle EE, Thun MJ. Spatial analysis of air pollution and mortality in Los Angeles. Epidemiology 2005;16:727-36.
Laden F, Neas LM, Dockery DW, Schwartz J. Association of fine particulate matter from different sources with daily mortality in six U.S. cities. Environ Health Perspect. 2000 Oct;108(10):941-7.
Mar TF, Ito K, Koenig JQ, Larson TV, Eatough DJ, Henry RC, Kim E, Laden F, Lall R, Neas L, Stolzel M, Paatero P, Hopke PK, Thurston GD. PM source apportionment and health effects. 3. Investigation of inter-method variations in associations between estimated source contributions of PM2.5 and daily mortality in Phoenix, AZ. J Expo Sci Environ Epidemiol. 2006 Jul;16(4):311-20.
Mar TF, Norris GA, Koenig JQ, Larson TV. Associations between air pollution and mortality in Phoenix, 1995-1997. Environ Health Perspect. 2000 Apr;108(4):347-53.
Thurston GD, Ito K, Mar T, Christensen WF, Eatough DJ, Henry RC, Kim E, Laden F, Lall R, Larson TV, Liu H, Neas L, Pinto J, Stolzel M, Suh H, Hopke PK. Workgroup report: workshop on source apportionment of particulate matter health effects--intercomparison of results and implications. Environ Health Perspect. 2005 Dec;113(12):1768-74.
Marmur A, Park SK, Mulholland JA, Tolbert PE, Russell AG Source apportionment of PM2.5 in the southeastern United States using receptor and emissions-based models: Conceptual differences and implications for time-series health studies. Atmos. Environ. Vol. 40, no. 14, pp. 2533-2551. 2006.
Reff A, Eberly SI, Bhave PV. Receptor Modeling of Ambient Particulate Matter Data Using Positive Matrix Factorization: Review of Existing Methods. J. Air & Waste Manage. Assoc. 2007; 57:146–154.
Thurston GD, Ito K, Mar T, Christensen WF, Eatough DJ, Henry RC, Kim E, Laden F, Lall R, Larson TV, Liu H, Neas L, Pinto J, Stolzel M, Suh H, Hopke PK. Workgroup report: workshop on source apportionment of particulate matter health effects--intercomparison of results and implications. Environ Health Perspect. 2005 Dec;113(12):1768-74.
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, provide technical assistance to applicants preparing applications in response to EPA RFAs, endorse an application or discuss in any manner how the Agency will apply the published evaluation criteria for this competition.
Groups of two or more eligible applicants may choose to form a consortium and submit a single application for this assistance agreement. The application must identify which organization will be the recipient of the assistance agreement and which organizations(s) will be subawardees of the recipient.
The application must include a plan (see "Data Plan" in section IV.B.5.c.) to make available to the public all data generated from observations, analyses, or model development (primary data) and any secondary (or existing) data used under an agreement awarded from this RFA. The data must be available in a format and with documentation such that they may be used by others in the scientific community.
The awards expected to be made under this RFA may involve the collection of "Geospatial Information," which includes information that identifies the geographic location and characteristics of natural or constructed features or boundaries on the Earth or applications, tools, and hardware associated with the generation, maintenance, or distribution of such information. This information may be derived from, among other things, a Geographic Positioning System (GPS), remote sensing, mapping, charting, and surveying technologies, or statistical data.
It is anticipated that a total of approximately $5 million will be awarded under this announcement, depending on the availability of funds and quality of applications received. The EPA anticipates funding approximately 6 grants under this RFA. Requests for amounts in excess of a total of $900,000, including direct and indirect costs, will not be considered. The total project period requested in an application submitted for this RFA may not exceed 4 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, consistent with Agency policy and without further competition, to make additional awards under this RFA if additional funding becomes available. Any additional selections for awards will be made no later than four months after the original selection decisions.
EPA intends to fund only grants 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.
A. Eligible Applicants
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.
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.
Applications must address one or more of the following key questions or they will not be reviewed:
- How can validated atmospheric models be integrated with other data, including air quality observations, to improve the temporal and spatial estimates of PM component concentrations in order to link specific PM properties with mortality and disease? What techniques can be developed to integrate data from ambient or source measurements and models to best estimate air quality concentrations on a regional or national scale, especially those that would be broadly applicable in observational epidemiologic studies? What targeted measurements would improve the atmospheric model predictions through either validation or critical input information?
- Can validated atmospheric models retrospectively be used to provide spatial and temporal estimates of PM component concentrations to improve PM component-based epidemiologic analyses using rich historically measured health outcome datasets?
- What techniques can be developed to better combine source apportionment results with measured source profiles to improve the characterization of the variation of PM sources across seasons and geographic regions? Can these methods be generalized to broad geographic regions and/or a variety of epidemiologic study designs including multisite observational studies or meta-analyses of panel studies conducted in different locations? Specifically, what different approaches or other needs are required to accommodate the time frame of interest in varying epidemiologic study designs (e.g., prospective or retrospective longitudinal designs, time-series, or cross-sectional designs)?
Applications must include a partnership with epidemiologists as an integral part of the project or the application will be rejected.
In addition, to be eligible for funding consideration, a project’s focus must consist of activities within the statutory terms of EPA’s financial assistance authorities; specifically, the statute(s) listed in I.C. above. Generally, 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. It is essential that the application 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 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 from the EPA (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, Data Plan 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 NCER 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 (3 pages)
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.
NOTE: If selected for award, applicants will be expected to provide additional quality assurance documentation.
Address each applicable 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. (Not all will apply.)
- 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):
- Identify the types of secondary data needed to satisfy the project objectives. Specify requirements relating to the type of data, the age of data, geographical representation, temporal representation, and technological representation, as applicable.
- Specify the source(s) of the secondary data discuss the rational for selection.
- Establish a plan to identify the sources of the secondary data in all deliverables/products.
- Specify quality requirements and discuss the appropriateness for their intended use. Accuracy, precision, representativeness, completeness, and comparability need to be addressed, if applicable.
- Describe the procedures for determining the quality of the secondary data.
- Describe the plan for data management/integrity.
- 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.
- Data Plan (2 pages)
Provide a plan to make all data resulting from an agreement under this RFA available in a format and with documentation/metadata such that they may be used by others in the scientific community. This includes both primary and secondary or existing data, i.e., from observations, analyses, or model development collected or used under the agreement. Applicants who plan to develop or enhance databases containing proprietary or restricted information must provide, within the two pages, a strategy to make the data widely available, while protecting privacy or property rights.
- References: References cited are in addition to other page limits (e.g. research plan, quality assurance statement, data plan)
- 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 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 STAR 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). Specifically identify computers to be purchased or upgraded.
- Contractual: Identify each proposed contract for services/analyses or consultants and specify its purpose and estimated cost. Contracts greater than $25,000 must have a separate itemized budget and budget justification, not to exceed one additional page each, included as part of the application.
- Other: List each item in sufficient detail for the EPA to determine the reasonableness of its cost relative to the research to be undertaken. Note that subawards, such as those with other universities for members of the research team, are included in this category. Subawards greater than $25,000 must have a separate itemized budget and budget justification, not to exceed one additional page each, included as part of the application.
- Indirect Costs: If indirect costs are included in the budget, indicate the approved rate and base with an explanation of how the indirect costs were calculated.
- Budget
- Resumes
Provide resumes for each investigator and important co-worker. The resume for each individual must not exceed two consecutively numbered (bottom center), 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins.
- Current and Pending Support
Complete a current and pending support form (provided at https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms) for each investigator and important co-worker. Include all current and pending research regardless of source.
- Guidelines, Limitations, and Additional Requirements
- Letters of Intent/Letters of Support
Letters of intent to provide resources for the proposed research or to document intended interactions are limited to one brief paragraph committing the availability of a resource (e.g., use of a person's time or equipment) or intended interaction (e.g., sharing of data, as-needed consultation) that is described in the Research Plan. Letters of intent are to be included as an addition to the budget justification documents.
All letters that do not commit a resource vital to success of the proposal are considered letters of support. Letters of support, and letters of intent that exceed one brief paragraph, are considered part of the Research Plan and are included in the 15-page Research Plan limit.
Note: Letters of intent or support must be part of the application; letters submitted separately will not be accepted.
- Funding Opportunity Number(s) (FON)
At various places in the application, applicants are asked to identify the FON.
The Funding Opportunity Number for this RFA is:
Solicitation Title, EPA-G2007-STAR-T1 - Confidentiality
By submitting an application in response to this solicitation, the applicant grants the EPA permission to make limited disclosures of the application to technical reviewers both within and outside the Agency for the express purpose of assisting the Agency with evaluating the application. Information from a pending or unsuccessful application will be kept confidential to the fullest extent allowed under law; information from a successful application may be publicly disclosed to the extent permitted by law.
In accordance with 40 CFR 2.203, applicants may claim all or a portion of the application as confidential business information (for example, hypotheses or methodologies contained in the research narrative that the applicant wishes to protect from possible public disclosure). EPA will evaluate confidentiality claims in accordance with 40 CFR Part 2. Applicants must clearly mark applications or portions of applications they claim as confidential. If no claim of confidentiality is made, the EPA is not required to make an inquiry to the applicant as otherwise required by 40 CFR 2.204(c) (2) prior to disclosure.
- Letters of Intent/Letters of Support
C. Submission Dates and Times
For paper copy submissions, the original and two (2) copies of the complete application (3 in all, see E. below) must be received by NCER no later than 4:00 pm Eastern Time on the solicitation closing date. Electronic applications must be transferred to Grants.gov no later than 4:00 pm Eastern Time on the solicitation closing date. Applications received after the closing date and time will be returned to the sender without further consideration.
It should be noted that this schedule may be changed without prior notification because of factors not anticipated at the time of announcement. In the case of a change in the solicitation closing date, a new date will be posted on the NCER web site and a modification posted on www.grants.gov.
Solicitation Closing Date: September 11, 2007, 4:00 pm Eastern Time for paper applications, 4:00 pm Eastern Time for electronic submissions
NOTE: Customarily, applicants are notified about evaluation decisions within six months of the solicitation closing date. Awards are generally made 9-12 months after the solicitation closing date.
D. Funding Restrictions
The funding mechanism for all awards issued under STAR solicitations will consist of assistance agreements from the EPA. All award decisions are subject to the availability of funds. In accordance with the Federal Grant and Cooperative Agreement Act, 31 U.S.C. 6301 et seq., the primary purpose of an assistance agreement is to accomplish a public purpose of support or stimulation authorized by federal statute, rather than acquisition for the direct benefit or use of the Agency. In issuing a grant, the EPA anticipates that there will be no substantial EPA involvement in the design, implementation, or conduct of the research. However, the EPA will monitor research progress through annual reports provided by grantees and other contacts, including site visits, with the Principal Investigator.
If you wish to submit applications for more than one STAR funding opportunity you must ensure that the research proposed in each application is significantly different from any other that has been submitted to the EPA or from any other financial assistance you are currently receiving from the EPA or other federal government agency.
Collaborative applications involving more than one institution must be submitted as a single administrative package from one of the institutions involved.
Any contracts for services or products funded with EPA financial assistance must be awarded under the competitive procurement procedures of 40 CFR Part 30 and/or Part 31. Moreover, naming a
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.