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
National Oceanic and Atmospheric Administration (NOAA)
Department of Commerce
Center for Sponsored Coastal Ocean Research (CSCOR)/Coastal Ocean Program (COP)
Office of Protected Resources
National Aeronautics Space Administration (NASA)
Science Mission Directorate
CLOSED - FOR REFERENCES PURPOSES ONLY
Ecology and Oceanography of Harmful Algal Blooms
This is the initial announcement of this funding opportunity.
Funding Opportunity Number: EPA-G2008-STAR-A1
Catalog of Federal Domestic Assistance (CFDA) Number: 66.509 for the Environmental Protection Agency, 11.478 for the Coastal Ocean Program and 11.472 for NOAA/Office of Protected Resources. There is no CFDA number for the National Aeronautics and Space Administration.
Solicitation Opening Date: July 3, 2007
Solicitation Closing Date: October 4, 2007, 4:00 pm Eastern Time
Electronic Submissions:
Eligibility and Technical Contacts:
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), as part of its Science to Achieve Results (STAR) program, and its interagency partners, the National Oceanographic and Atmospheric Administration (NOAA) and the National Aeronautics and Space Administration (NASA), are seeking applications proposing targeted research projects of up to 3 years duration and multi-disciplinary regional studies for 3 to 5 years duration for the Ecology and Oceanography of Harmful Algal Blooms (ECOHAB) program. This NOAA-led program provides support for research on algal species whose populations may cause or result in deleterious effects on ecosystems and human health. Studies of the causes of such blooms, their detection, effects, mitigation, and control in U.S. coastal waters (including estuaries and Great Lakes) are solicited. This document details the requirements for applications for research support that will be considered by this Federal research partnership. All research support is dependent upon individual Agency appropriations.
Award Information:
Anticipated Type of Award: Grant or Cooperative Agreement
Estimated Number of Awards: Approximately 11 awards, including 1 regional project
Anticipated Funding Amount: Approximately $10 million total for all awards
Potential Funding per Award: Awards of federal funds are typically on the order of $150,000 per year, total costs, for up to three years for targeted studies. Multi-disciplinary regional studies for 3 to 5 years duration at correspondingly appropriate budgets will also be considered. Cost-sharing is not required.
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. Some of the partner Agencies may also be able to provide funding to international institutions, commercial organizations, and federal agencies and laboratories. 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:
Electronic Submissions:
Eligibility and Technical Contacts:
I. FUNDING OPPORTUNITY DESCRIPTION
A. Introduction
Harmful Algal Blooms (HABs) are caused by a diverse group of organisms, including toxic and noxious phytoplankton, some protists, cyanobacteria, benthic algae, and macroalgae. Blooms can extend over large geographic areas, be composed of more than one harmful or toxic species, and cause significant impacts on fisheries, recreation, human health, and the ecology of both marine and fresh water bodies. HABs are now a recurrent and serious problem in many areas of the US and evidence suggests that the frequency and distribution of HABs is also increasing globally, impacting many countries that have commercial and recreational activities in the coastal ocean.
HAB impacts on public health and local/regional economies are also dramatic and increasing. In a recent study, average annual economic losses in the U.S. from HABs were approximated at $82 million with costs attributable to maintenance of toxin monitoring programs; closures of shellfish beds; marine mammal stranding networks; collapse of some fisheries; mortality of fish, shellfish, turtles, birds, and mammals; disruptions in tourism; threats to public and coastal resource health; publication of watershed, health, and seafood advisories; and medical treatments (6). Despite greater public awareness and advisories of bloom events, human illnesses and even fatalities continue to be reported. Additionally, some toxins may cause only a few documented illnesses but result in serious public reaction and temporary aversion to local seafood products and activities [e.g., $46 million in lost revenue from the 1997 Maryland fish health/Pfiesteria events (1)]. These deleterious impacts have increased public awareness and demand for intervention to reduce or eliminate bloom impacts on coastal resources, local economies, and threats to public health.
B. Background
Over the course of the last decade, numerous national and Agency reports have described the magnitude of the HAB problem and outlined research plans to systematically address the issue (1,3,4,5,7,8,9). The ECOHAB Program was authorized in 1998 by the Harmful Algal Bloom and Hypoxia Research and Control Act and reauthorized in 2004 by the Harmful Algal Bloom and Hypoxia Amendments Act of 2004 as an interagency, scientific program designed to increase the understanding of the fundamental processes underlying the causes and impacts of HABs. Three major research themes encompassing the priorities of national importance on the HAB phenomenon were identified in the ECOHAB Plan (1): 1) Organisms - with a goal towards determining the physiological, biochemical, and behavioral features that influence bloom dynamics; 2) Environmental regulation - with a goal toward determining and parameterizing the factors that govern the initiation, growth, and maintenance of these blooms; and 3) Food-web and community interactions - with a goal toward determining the extent to which food webs and trophic structure affect and are affected by the dynamics of HABs. Information in these areas, in turn, supported a critical goal of the ECOHAB program, the development of reliable models to forecast bloom development, persistence, and toxicity. While considerable progress has been made toward understanding and predicting bloom events and their impacts, the complexity of the problem has also become more apparent (5,7) and new HAB problems have emerged with alarming frequency.
Since its inception, the ECOHAB Program has sponsored more than 100 projects with topics ranging from molecular aspects of HAB detection to large-scale, multi-disciplinary regional studies of bloom formation, maintenance, and dissipation. Projects cover a wide spatial spectrum along the U.S. coastline and its territories. ECOHAB-sponsored projects also address the detection, prevention, control, and mitigation of HABs and their impacts, as well as economic assessments of these recurring events. Project summaries may be viewed at http://www.whoi.edu/science/B/redtide/nationplan/ecohabprojectsummaries.html. ECOHAB projects are coordinated with other federal HAB programs, including the NSF Biological Oceanography ECOHAB program, the NOAA Oceans and Human Health Initiative, and the NSF/NIEHS Oceans and Human Health Program.
C. Authority and Regulations
The authorities for this RFA and the resulting awards are contained in the following documents:
NOAA/NOS/NCCOS/CSCOR/COP: 16 U.S.C. 1456C; 33 U.S.C. 883d; 33 U.S.C. 1442; 15 U.S.C. 1540; and/or Pub.L. 105-383, as amended by 108-456.
EPA: Clean Water Act, Section 104, 33 U.S.C. 1254
For research with an international aspect, the above statutes are supplemented, as appropriate, by the National Environmental Policy Act, Section 102 (2)(F).
Applicable regulations include: 40 CFR Part 30 (Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations), 40 CFR Part 31 (Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments) and 40 CFR Part 40 (Research and Demonstration Grants). Applicable OMB Circulars include: OMB Circular A-21 (Cost Principles for Educational Institutions) relocated to 2 CFR Part 220, OMB Circular A-87 (Cost Principles for State, Local and Indian Tribal Governments) relocated to 2 CFR Part 225, OMB Circular A-102 (Grants and Cooperative Agreements With State and Local Governments), OMB Circular A-110 (Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit Organizations) relocated to 2 CFR Part 215, and OMB Circular A-122, (Cost Principles for Non-Profit Organizations) relocated to 2 CFR Part 230.
NASA: 42 U.S.C. 2473(c)(5), the National Aeronautics and Space Act. Part 1260 - Grants and Cooperative Agreements, Subpart A - General, Sec. A, 1260.1 Authority: This part 1260 is issued under the authority of 42 U.S.C. 2473(c)(1), Pub. L. 97-258, 96 Stat. 1003 (31 U.S.C. 6301 et seq.), and OMB Circular A-110.
D. Specific Research Areas of Interest
Overall Program Goals and Topic Areas
The primary goal of ECOHAB is to provide support for research on algal species whose populations may cause or result in deleterious effects on human and ecosystem health and coastal economies. Proposed approaches, including tools, data, and models, should contribute to the development of better methods for the detection, monitoring, prediction, control, and mitigation of harmful algae and their impacts in coastal areas, including the Great Lakes and upper reaches of estuaries.
This solicitation provides an opportunity for investigators to propose activities that address the national problem of HABs, as described in the reports and plans referenced in the Background sections of this document. The major areas of interest, as they are discussed in these documents (1, 3, 4, 5, 7, 8, 9), especially HARRNESS (5), can generally be broken down as follows: Bloom Ecology and Dynamics; Toxins and their Effects; Food Webs and Fisheries; and Public Health and Socioeconomic Impacts. ECOHAB proposals can address any of these areas, except those that are directly concerned with human health impacts or involve a substantial amount of routine monitoring.
The ECOHAB program will consider support of studies ranging from relatively small, targeted laboratory or field studies by individual investigators or small teams, to regional studies involving larger teams of investigators conducting coordinated, well-integrated, multi-disciplinary field programs. Details for each type of project are provided below:
- Targeted studies are individual studies or small interdisciplinary efforts investigating fundamental ecological and oceanographic questions related to HAB events. Support for targeted studies may be requested for up to 3 years duration.
- Regional studies are large, multi-disciplinary, multi-institutional projects that take an ecosystem approach to determining the linkages between HAB species and their environment, including the ecology, physiology, behavior, and toxin production of the HAB species and the chemistry, physics, bathymetry, and meteorology of the surrounding ecosystem. They may also include cross-regional comparison of a particular HAB problem. These studies may be 3 to 5 years in duration with a team of collaborating investigators. Research proposals must address plans for sharing data and research products with the community in a timely manner and should lead to development of models for management purposes. Participation of potential users of the results in the research is encouraged. Investigators must obtain permission to submit a regional or cross-regional study from the NOAA ECOHAB Program Coordinator, identified in this solicitation.
Agency Interests
In order to address HAB research needs, NOAA, EPA and NASA have combined each Agency's unique interests and missions into this coordinated research program. The specific interests of each Agency are defined in the following paragraphs.
NOAA: HABs and related biotoxin risk must be managed if we are to ensure public health, build viable and valuable sustainable fisheries, protect living marine resources including threatened and endangered species and their habitats, and effectively manage coastal activities and resources. NOAA's interest is in developing
- Quantitative understanding of HABs and, where applicable, their toxins in relation to the surrounding environment with the intent of developing new tools, models, and prevention strategies to aid managers in coastal environments,
- Models of trophic transfer of toxins and assessment of impacts on higher trophic levels,
- Effective techniques for prevention, control, and mitigation to assist in reducing the impacts of HABs and their toxins, and
- Assessments of the socioeconomic impacts of HABs on coastal communities and identification of opportunities to mitigate these impacts.
Although NOAA has a strong interest in the public health impacts of HABs, funding for research on the human health impacts of HABs is provided by the Oceans and Human Health Initiative (OHHI). Multi-disciplinary regional ecosystem investigations leading to development of operational ecological forecasting capabilities in areas with severe, recurrent blooms along the US coast will continue to be a major priority. These can be either in new areas, areas that have been studied previously but where new or unanswered questions remain, or involve comparisons between ecosystems. Where ECOHAB or other funding has already established a foundation of knowledge, the need for additional research must be clearly articulated. Projects to be funded by NOAA must demonstrate a clear link to management issues and specify outcomes that will provide managers and the public with sound scientific information for making decisions. Articulation of outcome-based management goals is required in proposals (see Section Iv.B.5.A.(3) Expected Results, Benefits, Outputs and Outcomes), and recipients will be expected to report progress toward achieving outcome-based goals annually. NOAA definitions and examples of outputs and outcomes can be accessed at www.cop.noaa.gov.
EPA: In order to protect the integrity of ecosystems affected by HABs, EPA is interested research that will ultimately provide decision makers, the scientific community, and the general public with the information needed to prevent, control and mitigate blooms themselves. Of specific interest to EPA are studies examining relationships between nutrient loading, HABs, and food web dynamics. In particular, integrative approaches to analyzing food webs and key trophic components or pathways altered by HABs, and determining nutrient loading thresholds affecting these alterations, are encouraged. Research supported under this solicitation will support Goal 2 (Clean and Safe Water), Objective 2.3 (Enhance Science and Research), of EPA's Strategic Plan, which can be found at: https://www.epa.gov/ocfo/plan/2006/entire_report.pdf (PDF) (184 pp, 11.56 MB). The desired outputs of the proposed EPA projects are research results (tools, publications, methods, etc.) that will further the scientific understanding of the relationships between nutrient inputs, coastal eutrophication, and the occurrence and consequences of HABs. The desired outcomes of the research funded by EPA under this solicitation will: 1) provide information that will enhance HAB forecasting efforts; 2) provide decision makers with the information needed to control and mitigate blooms; and 3) help facilitate bloom prevention through an advanced understanding of the conditions and processes that promote their formation, maintenance, and decline.
NASA: Algal pigments affect optical properties of the water in well-characterized ways. In the open ocean, it is possible to quantify pigment concentration using remote sensing techniques because phytoplankton are mostly responsible for variations in water color. In nearshore, estuarine, and inland waters, suspended sediments and dissolved organic compounds make the optical properties much more complex. The goal of detecting algal blooms in the presence of other colored materials is the subject of ongoing research. NASA is interested in developing remote sensing techniques that could be applied to the detection or tracking of HABs, as well as the physiological status or taxonomic classification of bloom organisms, in nearshore coastal environments, as well as in the open ocean. NASA is also interested in physical processes that affect harmful algal bloom dynamics.
- Anderson, D.M. 1995. ECOHAB, the Ecology and Oceanography of Harmful Algal Blooms. Woods Hole, MA: Woods Hole Oceanographic Institution. http://www.whoi.edu/redtide/nationplan/ECOHAB/ECOHABhtml.html
- Anderson, D.M. P. Hoagland, Y. Kaoru, A.W. White. 2000. Estimated Annual Economic Impacts from Harmful Algal Blooms (HABs) in the United States. Woods Hole, MA: Woods Hole Oceanographic Institution Technical Report 2000-11. http://www.whoi.edu/redtide/pertinentinfo/Economics_report.pdf (PDF) (96 pp, 1.08 MB)
- Bauer, M.(ed.). 2006. Harmful Algal Research and Response: A Human Dimensions Strategy. National Office for Marine Biotoxins and Harmful Algal Blooms. Woods Hole, MA: Woods Hole Oceanographic Institution. http://coastalscience.noaa.gov/stressors/extremeevents/hab/HDstrategy.pdf (PDF) (72 pp, 1.89 MB)
- Boesch, D.F., Anderson, D.M., Horner, R.A., Shumway, S.E., Tester, P.A. and Whitledge, T.E. 1997. Harmful Algal Blooms in Coastal Waters: Options for Prevention, Control, and Mitigation. NOAA/COP/Decision Analysis Series No.10. Silver Spring, MD: NOAA Coastal Ocean Office. http://www.cop.noaa.gov/pubs/das/das10.pdf (PDF) (61 pp, 4.28 MB)
- Harmful Algal Research and Response: A National Environmental Science Strategy (HARRNESS) 2005-2015. 2005. Ecological Society of America, Washington, D.C. http://www.cop.noaa.gov/stressors/extremeevents/hab/current/harrness.html
- Hoagland, P. and S. Scatasta. 2006. The economic effects of HABs. In Ecology of Harmful Algae (E. Graneli and J. Turner, Eds), the Ecology Studies Series. Dordrecht, The Netherlands: Springer-Verlag, pp. 391-402.
- Jewett, E.B., Lopez, C.B., Dortch, Q., Etheridge, S.M. 2007. National Assessment of Efforts to Predict and Respond to Harmful Algal Blooms in U.S. Waters, Interim Report. Interagency Working Group on Harmful Algal Blooms, Hypoxia, and Human Health. Washington, DC: Joint Subcommittee on Ocean Science and Technology. http://www.cop.noaa.gov/stressors/extremeevents/hab/habhrca/Predict_Resp_IntRpt_0107.pdf (PDF) (70 pp, 5.07 MB)
- National Assessment of Harmful Algal Blooms in U.S. Waters. 2000. National Science and Technology Council Committee on Environmental and Natural Resources, 47 pp. http://www.cop.noaa.gov/pubs/habhrca/Nat_Assess_HABs.pdf (PDF) (47 pp, 2.07 MB)
- Prevention, Control, and Mitigation of Harmful Algal Blooms: A Research Plan. 2001. NOAA National Sea Grant College Program, 28pp. http://www.whoi.edu/science/B/redtide/pertinentinfo/PCM_HAB_Research_Plan
F. Special Requirements
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 a grant awarded from this solicitation. The data must be available in a format and with documentation such that they may be used by others in the scientific community. Since each Agency has a different data policy, an investigator may be asked to adjust their data plan in accordance with that of the Agency providing the funding (for links see section IV.B.5.c.).
Because ECOHAB is a multi-agency program, some requirements, regulations, and policies may differ from Agency to Agency. When these differences are significant, the specific Agency and the issue in question will be noted in this announcement.
EPA policy prevents EPA technical staff and managers from providing individual applicants with information that would provide them with an unfair competitive advantage. Consequently, EPA employees will not review, comment, advise, or provide technical assistance to applicants preparing applications in response to EPA solicitations, or discuss in any manner how the EPA will apply the published evaluation criteria for this competition.
Funding is contingent upon the availability of appropriated funds in fiscal years 2008-2012. It is anticipated that a total of approximately $10 million will be awarded, depending on the availability of funds and the quality of applications received under this announcement. The Agencies participating in this announcement anticipate awarding a total of 11 funding agreements under this solicitation, including 1 regional project. Awards for targeted studies are typically on the order of $150,000 per year, total costs, for up to three years. Multi-investigator and multi-institutional applications may include correspondingly higher budgets and longer project periods, but may not exceed a 5-year project period.
The ECOHAB Agency partners reserve the right to reject all applications and make no awards under this solicitation, or make fewer awards than anticipated. They also reserve the right to offer partial funding of an award, to delay start dates for awards, or to make additional awards under this solicitation if additional funding becomes available. The length of time that an Agency has to make additional awards varies according to the policies of that Agency. For EPA, any additional selections for awards will be made no later than 4 months after the original selection decisions.
Funding in subsequent years, increases in funding, or extension of the period of the award is based on satisfactory progress and is at the discretion of the funding agencies.
In appropriate circumstances, the agencies reserve the right to partially fund proposals by funding discrete portions or phases of proposed projects. If an agency decides to partially fund a proposal, it will do so in a manner that does not prejudice any applicants or affect the basis upon which the proposal, or portion thereof, was evaluated and selected for award, and therefore maintains the integrity of the competition and selection process. Choice of funding vehicle is at the discretion of the individual Agencies. Information on some specific agency requirements is included below.
EPA intends to fund grants rather than cooperative agreements under this solicitation. Under a grant, EPA scientists and engineers will not 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.
NOAA will review the applications in accordance with the evaluation criteria. In an effort to maximize the use of limited resources, applications from non-Federal, non-NOAA Federal and NOAA Federal applicants will be competed against each other. Research proposals selected for funding from non-Federal researchers will be funded through a project grant or cooperative agreement. Before issuing awards, NOAA will determine whether a grant or cooperative agreement is the appropriate instrument based upon the need for substantial NOAA involvement in the project.
- Research Project Grants: A research project grant is one in which substantial programmatic involvement by the Federal government is not anticipated by the recipient during the project period. Applicants for grants must demonstrate an ability to conduct the proposed research with minimal assistance, other than financial support, from the Federal government.
- Cooperative Agreements: A cooperative agreement implies that the Federal government will assist recipients in conducting the proposed research. The application should be presented in a manner that demonstrates the applicant's ability to address the research problem in a collaborative manner with the Federal government. A cooperative agreement is appropriate when substantial Federal government involvement is anticipated. This means that the recipient can expect substantial agency collaboration, participation, or intervention in project performance. Substantial involvement exists when: responsibility for the management, control, direction, or performance of the project is shared by the assisting agency and the recipient; or the assisting agency has the right to intervene (including interruption or modification) in the conduct or performance of project activities.
Research proposals selected for funding from non-NOAA Federal applicants will be funded through an interagency transfer, provided legal authority exists for the Federal applicant to receive funds from another agency. PLEASE NOTE: Before non-NOAA Federal applicants may be funded, they must demonstrate that they have legal authority to receive funds from another Federal agency in excess of their appropriation. Because this announcement is not proposing to procure goods or services from the applicants, the Economy Act (31 U.S.C. section 1535) is not an appropriate basis. Support may be solely through NCCOS/CSCOR or partnered with other Federal offices and agencies.
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. Universities and educational institutions are subject to OMB Circular A-2l (located at 2 CFR Part 220). Eligible nonprofit organizations include any organizations that meet the definition of nonprofit in OMB Circular A-122 (located at 2 CFR Part 230).
Some of the agencies participating in the ECOHAB program are authorized to make awards to international institutions, commercial organizations located in the U.S., and federal agencies and laboratories, either directly or through subcontracts. Applicants from these types of institutions must consult with NOAA ECOHAB Program Coordinator before submitting applications to discuss eligibility and application procedures. Federal agencies and laboratories may be considered eligible if they can produce certifications or documentation which clearly shows that they have specific legal authority to receive funds from another Federal Agency in excess of their appropriations. Note that this solicitation is not proposing to procure goods and services from Federal applicants; therefore, the Economy Act (31 U.S.C. 1535) is not an appropriate legal basis. Funding for salaries of full-time Federal employees will not be allowed but travel, equipment, supplies, and contractual personnel costs associated with the proposed work may be considered.
EPA, however, will not fund profit-making firms, Federal Agencies or National laboratories funded by Federal Agencies (Federally-Funded Research and Development Centers, “FFRDCs”) or nonprofit organizations described in Section 501(c)(4) of the Internal Revenue Code that lobby, under this program. 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 a grant 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. Similarly, although Federal employees are not eligible to serve in a principal leadership role on an EPA grant, or to receive salaries or augment their Agency’s appropriations through grants made by 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. If this is the case, a written justification for federal involvement will be requested prior to funding, along with an appropriate form of assurance that documents the commitment, such as a letter of intent from the Federal Agency involved.
Potential applicants who are uncertain of their eligibility should consult one of the Eligibility and Technical Contacts listed at the end of this announcement.
Applications are welcome from all qualified applicants, including in particular, those from educational institutions that have significant minority enrollment, women, and members of minority groups.
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. 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.
The geographic scope of the ECOHAB program encompasses coastal areas, including the Great Lakes and upper reaches of estuaries. Proposals that address HABs outside of these areas will be rejected without review.
Proposals previously submitted to ECOHAB and not recommended for funding must be revised and reviewer or panel concerns addressed before resubmission, or they will be rejected without review.
ECOHAB will not fund proposals that are directly concerned with human health impacts or that focus primarily on monitoring. These types of proposals will be rejected without review. However, projects that seek to develop and test the methodology, especially as part of an integrated research program, are appropriate.
Investigators must obtain permission to submit a regional or cross-regional study from the NOAA ECOHAB Program Coordinator identified in this solicitation. Proposals submitted without obtaining this permission will be rejected without review.
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.
Use forms found here to complete the application package, but be sure to follow the instructions contained within this solicitation.
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) and the UNOLS ship use form (available at http://www.gso.uri.edu/unols/ship/shiptime.html), 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 the entire requested dollar amount must 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. Please note that both the Principal Investigator and an Administrative Contact must be identified on the SF424.
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.
If the applicant intends to cost-share, dollar amounts must be included in the appropriate area on the SF424.
- 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. A separate 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 individual Agency and program-related web sites, such as: http://www.whoi.edu/redtide/nationplan/ecohabprojectsummaries.html.
The abstract should include the information described below (a-h). Examples of abstracts for current grants may be found on the NCER web site. The font size and margins should be the same in as the Research Plan.
- Funding Opportunity Title and Number for this proposal.
- 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, including direct and indirect costs for all grant years (i.e.; the entire project period).
- Project Summary: Begin with a paragraph that provides an overall description of the project, including any relevant background. Next, provide three subsections as follows: a) Objectives - state the objectives of the study and include any hypotheses that will be tested, b) Approach - describe the experimental approach to be used and any pertinent methodology, and c) Expected Results - describe the expected results of the project and how it addresses the research needs identified in this solicitation, including the estimated improvement in ecosystem assessment or ecosystem 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
The proposed project must be completely described, including identification of the problem, scientific objectives, proposed methodology, and relevance to the ECOHAB program goals and scientific priorities. 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. In the case of proposals describing multi-disciplinary, multi-institutional regional studies, up to 20 pages are allowed, but only with the prior permission of the NOAA ECOHAB Program Coordinator. 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. Page limits are inclusive of figures, other visual materials and letters of support.
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. For applicants with prior HAB funding, a section outlining the results of the prior work and its connection, if any, with the proposed work must be included within the page limits described above (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: Clearly describe the results you expect to achieve during the project (outputs) and the benefits of the results (outcomes). Discuss the utility of the research proposed for addressing the objectives described in this solicitation. A clear, concise description will help agencies understand the merits of the research (one to two pages recommended). Proposed projects may contribute directly or indirectly to training, education, and outreach. Where appropriate, investigators are encouraged to summarize or highlight such activities as a short section in this part of the project description.
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.
- 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).
- Letters verifying the participation of unfunded collaborators or participation in subcontracts (see Section IV.B.6.a.) must be attached, but limited to one brief paragraph stating availability of a resource (e.g., use of a person's time or equipment) as described in the Research Plan, and are exclusive of the Project Description page limits. Other letters of support are considered part of the Research Plan and included in the Research Plan page limits described above.
- Appendices may be included but must remain within the stated page limits.
- Quality Assurance Statement
For any project involving data collection or processing, conducting surveys, environmental measurements, modeling, or the development of environmental technology (whether hardware-based or via new techniques), EPA will require a quality assurance statement on the processes that will be used to assure that results of the research satisfy the intended project objectives. This is not required for application submission, but will be required for any proposals that EPA chooses to recommend for funding. More detailed information on requirements can be found at https://www.epa.gov/sites/production/files/2015-09/documents/grant-faqs-2015.pdf.
- Data Plan (2 pages in addition to the Research Plan page limits)
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.
Since each Agency has a different data policy, an investigator may be asked to adjust their data plan in accordance with that of the Agency providing the funding.
- References
Reference information is required. References cited are in addition to the Research Plan page limits described above. Each reference must include the name(s) of all authors in the same sequence in which they appear in the publication, the article title, volume number, page numbers, and year of publication. This section is for bibliographic citations only and is not to be used to provide parenthetical information outside of the Project Description.
- Research Plan
- Budget and Budget Justification
- Budget
Note: A subaward is a financial agreement between the lead institution and another institution for members of the research team (co-PIs) while a contract involves a procurement purchase for services/analyses or consultants.
Prepare a budget table using the guidance and format 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 included in the application, provide a separate budget and budget justification for the subaward in the same format. 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 grant will be subject to special review. Additional justification for use of such a subaward or subcontract must be provided, discussing the need for this agreement to accomplish the objectives of the research project. All subaward budgets must be approved by the cognizant authority at each institution, as indicated by a signed letter or cover sheet. Investigators on proposals that include Federal and non-Federal investigators or multi-institutional Federal investigators must contact the NOAA ECOHAB Coordinator identified in this solicitation for instructions on formulating the budgets.
Support of ships required for field studies are a significant cost and need to be adequately justified within the project description. The funding mechanism for ship time is Agency specific. All ship costs, including UNOLS ships, must be included on the budget form. If the ship requested is a UNOLS vessel, a NSF-UNOLS Ship Time Request Form must be submitted to the UNOLS office and a copy appended to the proposal (see section IV.B.10. below).
Please note that institutional cost-sharing is not required. However, if voluntary cost-sharing is proposed, a brief explanatory 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 and on the SF424.
- 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 one program progress review and/or 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. They must also include a letter or cover page signed by a cognizant authority at that institution/organization. For contracts less than $25,000 where a subcontractor has been selected, the selection must be justified and a letter of intent from the subcontractor must be provided.
- Other: List each item in sufficient detail for the partner Agencies 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. All subawards must have a separate itemized budget and budget justification, not to exceed one additional page each, included as part of the application. They must also include a letter or cover page signed by a cognizant authority at that institution/organization.
- 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
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.