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 and Integrative Approaches for Advancing Public Health Protection Through Water Infrastructure Sustainability
This is the initial announcement of this funding opportunity.
Funding Opportunity Number: EPA-G2008-STAR-E1
Catalog of Federal Domestic Assistance (CFDA) Number: 66.509
Solicitation Opening Date: April 30, 2008
Solicitation Closing Date: July 29, 2008, 4:00 pm Eastern Time
Eligibility Contact: William Stelz (stelz.william@epa.gov); phone: 202-343-9802
Electronic Submissions: Thomas O'Farrell (O'Farrell.Thomas@epa.gov); phone: 202-343-9639
Technical Contact: Angela Page, MPH (page.angelad@epa.gov); phone: 202-343-9826
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 to develop advanced concepts for linking public health protection with water infrastructure sustainability. Innovative and integrative approaches are sought for monitoring, modeling, operation, and management of drinking water distribution and storage systems and wastewater collection systems that can lead to improved water quality and reduced health risks.
Award Information:
Anticipated Type of Award: Grant or Cooperative Agreement
Estimated Number of Awards: Approximately 10 awards
Anticipated Funding Amount: Approximately $6 million total for all awards
Potential Funding per Award: Up to a total of $600,000, including direct and indirect costs, with a maximum duration of 3 years. Cost-sharing is not required. Proposals with budgets exceeding the total award limits will not be considered.
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, https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms. To apply electronically, you must use the application package available at Grants.gov (see “Submission Instructions for Electronic Applications” in Section IV). If your organization is not currently registered with Grants.gov, you need to allow approximately one week to complete the registration process to apply electronically. This registration, and electronic submission of your application, must be performed by an authorized representative of your organization.
Agency Contacts:
Eligibility Contact: William Stelz (stelz.william@epa.gov); phone: 202-343-9802
Electronic Submissions: Thomas O'Farrell (O'Farrell.Thomas@epa.gov); phone: 202-343-9639
Technical Contact: Angela Page, MPH (page.angelad@epa.gov); phone: 202-343-9826
I. FUNDING OPPORTUNITY DESCRIPTION
A. Introduction
The responsibility for providing safe drinking water and protecting water quality in the United States (US) is shared by EPA, states, tribal nations, local governments, and utilities/companies that supply drinking water and/or treat wastewater. To meet this obligation, the integrity of the conveyance systems used to transport drinking water and collect wastewater is paramount. Concerns about the age and condition of the existing water infrastructure have spawned a host of research questions associated with the reliability and sustainability of drinking water distribution and storage systems and wastewater collection systems and any potential associated health risks. In addition to age and/or attrition related infrastructure deterioration, shifts in population and the urban/suburban/rural landscape have led to changes in water use and wastewater generation patterns that impact the capacity and reliability of water conveyance systems. To reduce potential health risks and prevent potential environmental consequences associated with water infrastructure disruption, research is needed that can lead to improved reliability, integrity, cost-effectiveness, energy efficiency, and sustainability of drinking water distribution and wastewater collection systems. Promising innovative and integrative approaches are needed to decrease the likelihood of water infrastructure failures that can result from over-extension of the design lifespan and/or capacity, deterioration of pipelines and appurtenances, and/or changes in water-use or wastewater generation patterns.
The sustainability of our Nation’s water infrastructure is a priority research area for EPA’s Office of Research and Development (ORD) in support of the Agency’s mission to protect public health and safeguard the environment. ORD’s Research programs (https://www.epa.gov/research/) are designed to address critical environmental research needs and the Science to Achieve Results (STAR) grants program is integral to this effort. Research funded through this solicitation will complement on-going infrastructure research in ORD’s Drinking Water (DWRP) and Water Quality (WQRP) Research Programs. Details of current STAR research activities can be found on ORD’s National Center for Environmental Research (NCER) homepage.
B. Background
The water infrastructure consists of pipes, pumps, storage facilities, lift stations, and other appurtenances that are integral to delivering drinking water and collecting wastewater and stormwater. From a national perspective, over 250 million Americans rely on the several million miles of water infrastructure pipelines that traverse the US for drinking water, sanitation, and environmental protection. Water infrastructure failures or breaches can result in uncontrolled releases of water, localized flooding, and significant environmental and public health impacts. Service and performance interruptions to drinking water supplies that stem from infrastructure malfunctions can pose immediate and serious public health concerns. Even though the water infrastructure is developed, owned, and managed at the local or regional level, the widespread and unprecedented technical challenges and financial constraints that impact infrastructure sustainability require attention as a national issue. Additional infrastructure concerns relate to reducing the inherent vulnerability of the US water infrastructure to natural and deliberate disaster scenarios (hurricanes, floods, homeland security issues, etc.).
The characteristics and condition of the US water infrastructure inventory vary depending on the age of the system, climatic and land-use patterns (urban/suburban/rural, etc.), proximity of treatment and discharge facilities (centralized or decentralized systems), topography, and other local and regional variations. Historically, the earliest water distribution systems in the US date back to the seventeenth century and were constructed to supply drinking water for domestic and municipal uses and provide adequate water pressure and capacity for fire protection (National Academy, 2006). In contrast, the wastewater collection systems were developed about a century later in response to the need to protect public health and prevent the spread of disease by flushing sewage and stormwater, particularly in densely populated urban areas. Over the intervening centuries, water distribution systems have evolved to provide an uninterrupted pressurized source of water that is linked to wastewater collection systems that convey the water that has been used for municipal, commercial and industrial purposes to treatment or discharge locations. In areas where stormwater management is necessary, it is either conveyed through separate collection systems or combined sewers. In many rural and suburban areas, on-site systems are used for collection and treatment of wastewater and stormwater.
Today’s water distribution systems are designed to meet multiple supply needs: 1) potable requirements (e.g., drinking, cooking, cleaning, etc.); 2) fire fighting; 3) municipal, commercial and industrial needs; and 4) non-potable applications (e.g., toilet flushing, landscape irrigation, etc.). In some parts of the US, dual distribution systems have been implemented that provide a primary system for delivering high quality drinking water and a secondary system for non-potable applications. By using alternative water sources to augment water supply, such as reclaimed water or stormwater, higher quality sources of drinking water can be preserved, however, additional infrastructure is needed to deliver the secondary supply. The design capacity of the water infrastructure is based on predictions of water use, wastewater generation, hydrology, geology, and climatic factors. Frequently, as areas develop, the existing infrastructure is expanded or modified to meet new capacity requirements.
A properly functioning and reliable water infrastructure is critical for public health protection, sanitation, and prevention of environmental degradation. The overall condition, vulnerability, and sustainability of the water infrastructure is influenced by a host of factors including age, design, construction materials, operating and maintenance, management practices, ownership (public or private), and geographic constraints. Small or large-scale failures of drinking water distribution systems can provide a direct conduit for waterborne contamination of water supplies. In addition, microbial and physico-chemical reactions that occur through water conveyance systems are influenced by infrastructure condition. Infiltration, inflow, and changes in municipal loading rates coupled with infrastructure aging and deterioration can cause sewer overflows and failures of wastewater collection systems resulting in uncontrolled discharges that have the potential to pose significant health and environmental risks. It is critical that adequate safeguards are in place to prevent and mitigate infrastructure failure and to protect the drinking water infrastructure from potential cross-connections due to physical proximity of wastewater collection systems and appurtenances.
Regulatory Considerations
The regulatory framework for the water infrastructure includes the Safe Drinking Water Act (SDWA) and the Clean Water Act (CWA). Despite the wide variation in infrastructure conditions, the quality of drinking water that the public receives must meet the standards established under the SDWA and simultaneously satisfy operational requirements (pressure, disinfection residuals, cross-connection controls, etc.). The specific rules that target water distribution systems include the: Total Coliform Rule (TCR), Microbial and Disinfectant Byproducts Rules (M/DBP), and the Lead and Copper Rule (LCR). Compliance can be impacted by distribution system characteristics, integrity, operating practices, hydrodynamics, water quality variables (source water, treatment approaches, disinfection practices), intrusion, pressure transients, and microbial, chemical, or biochemical reactions that occur through distribution and storage. Typically, non-potable distribution systems are regulated at the state level and do not have the same degree of water quality and operational oversight as potable water distribution systems. Wastewater collection systems serve an important function in meeting the requirements of the CWA by providing a conduit to transport wastewater to treatment facilities and prevent release of contaminants into the water environment.
Energy and climate considerations
In light of increasing concerns about energy availability and efficiency, it is important to consider energy issues in the context of infrastructure sustainability. Energy requirements for conveying water are impacted by system capacity, distance, pressures, hydraulic gradients, pump efficiencies, and the overall system condition. Pipeline deterioration and failure can impose increased energy demand that may stress the available capacity of the energy infrastructure and also lead to higher costs for operation and maintenance of the water infrastructure. It is also important to consider potential benefits to climate change mitigation efforts that could be realized from improving the energy efficiency of the water infrastructure. Climatic factors can also impact the long-term water infrastructure sustainability due to changes in hydraulic requirements related to the frequency and intensity of storms, droughts, or other forms of weather induced stress that may occur over the design and operating life of water distribution and wastewater collection systems.
Research needs
In many cases, it is neither practical nor cost-effective to completely replace or overhaul the entire water infrastructure in a given service area. However, opportunities do exist to develop more cost effective and efficient approaches to achieve performance, reliability, and sustainability goals to solve infrastructure-related problems. Practicable approaches to modify, enhance, or retrofit existing systems are needed. Examples of approaches that have been adopted in various parts of the US include supplemental treatment to improve the quality of delivered water at the point of use/point of entry, decentralized treatment, and/or the strategic use of dual distribution systems in situations where there is a significant use of water for non-potable purposes. The application of advanced concepts can lead to more effective approaches for comprehensive asset management for water and wastewater utilities. Advances in design, operation, management, and monitoring of water conveyance structures that incorporate new paradigms such as real-time monitoring, green infrastructure, low impact development, and water reuse may yield significant benefits in terms of public health protection, energy efficiency, cost-effectiveness, and sustainability.
To ensure that public health protection is sustained throughout the water infrastructure, comprehensive approaches are needed to pro-actively identify pipeline leaks and failures, rehabilitate pipelines, manage pressure transients, prevent cross-connections, and improve energy use efficiency. Innovative approaches are needed that incorporate scientific advances to characterize risks associated with the potential introduction, formation, or mobilization of chemical and microbial contaminants through conveyance and storage of drinking water. Research is needed to link exposure to waterborne contaminants and potential health outcomes with water infrastructure characteristics and development of sustainable practices. Tools are needed to control the extent to which the microbiological and biochemical reactions that occur in distribution systems pose a potential health risk. Key water quality concerns are pathogens, nitrification, accumulation and release of inorganic contaminants, and potential intrusion of chemical or microbial constituents. In addition, the development and implementation of innovative technologies may enable more extensive and effective monitoring, assessment, and management of the water infrastructure.
The specific Strategic Goal and Objective from the EPA’s Strategic Plan that relate to this solicitation are: Goal 2: Clean and Safe Water, Objective 2.3: Enhance Science and Research. The EPA’s Strategic Plan can be found at https://www.epa.gov/ocfo/plan/2006/entire_report.pdf (184 pp, 9.85 MB)
C. Authority and Regulations
The authority for this RFA and resulting awards is contained in the Safe Drinking Water Act, Section 1442, 42 U.S.C. 300j-1, and the Clean Water Act, Section 104, 33 U.S.C.
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.
D. Specific Research Areas of Interest/Expected Outputs and Outcomes
Note to applicant: The term “output” means an environmental activity or effort, and associated work products, related to a specific environmental goal (e.g., testing a new methodology), that will be produced or developed over a period of time under the agreement. The term “outcome” means the result, effect, or consequence that will occur from the above activit(ies) that is related to an environmental, behavioral, or health-related objective.
The purpose of this solicitation is to support applied research that can lead to measureable impacts on the sustainability, performance, and reliability of the water infrastructure. All proposals must include information on each item listed below:
- The approach that will be used to evaluate the success of the project.
- Identification of specific benefits to the public that are likely to be realized from successful completion of the project.
- Methods that will be used to evaluate the likelihood that the results and outputs of the project will be adopted by the water community to improve water infrastructure sustainability.
Applications must propose research that focuses on one or more of the following categories:
- Tools, approaches, and supporting data for assessing and managing risks associated with breaches or failures of water infrastructure systems.
- Advanced, integrated monitoring, modeling and control techniques that enable responsive system management, performance optimization, and real-time control of water infrastructure.
- Innovative and practicable approaches to monitor, assess, and manage distribution systems that serve to prevent growth, retention, and mobilization of waterborne pathogens.
- Innovative approaches that integrate water infrastructure sustainability and energy efficiency and maximize the benefits from emerging water resource management practices.
- Approaches for the integration of new designs and management practices into existing systems, including the use of retrofit , addition of innovative sub-systems and the consideration of compatibility with in-place infrastructure.
- Technical and institutional approaches to the management of water resources and infrastructure that optimize the operation and performance of drinking water and wastewater conveyance systems within a single service area.
Desired outputs and outcomes include:
- Products to assist utilities to more effectively implement comprehensive asset management, provide reliable service to their customers and meet their SDWA and CWA requirements.
- Improved public health protection through the implementation of alternative approaches for operating, monitoring, and managing the water infrastructure.
- Integrated strategies for design and operation of water distribution and storage systems that can prevent water quality deterioration, reduce potential health risks, and improve water use efficiency and energy optimization.
- Reduced incidence of cross-connections, improved quality of distributed drinking water, and more effective protection of source water and watersheds.
E. References
National Academy of Sciences, National Research Council. (2006). Drinking Water Distribution Systems: Assessing and Reducing Risks. National Academy Press, Washington, DC. (http://www.nap.edu/catalog.php?record_id=11728)
National Academy of Sciences, National Research Council. (2005). Public Water Supply Distribution Systems: Assessing and Reducing Risks – First Report. National Academy Press, Washington, DC. (http://www.nap.edu/catalog.php?record_id=11262)
U.S. Environmental Protection Agency (USEPA). (2007). Innovation and Research for Water Infrastructure for the 21st Century Research Plan. (https://www.epa.gov/nrmrl/wswrd/awi/index.html)
U.S. Environmental Protection Agency (USEPA). (2002). The Clean Water and Drinking Water Infrastructure Gap Analysis, EPA-816-R-02-020. (https://www.epa.gov/safewater/gapreport.pdf (54 pp, 2.27 MB))
U.S. Government Accountability Office. (2004). Water Infrastructure – Comprehensive Asset Management Has Potential to Help Utilities Better Identify Needs and Plan Future Investments, GAO-04-461. (http://www.gao.gov/new.items/d04461.pdf (68 pp, 959 K)
F. Special Requirements
Agency policy prevents EPA technical staff and managers from providing individual applicants information that may create an unfair competitive advantage. Consequently, EPA employees will not review, comment, advise, and/or provide technical assistance to applicants preparing applications in response to EPA RFAs, nor will they endorse an application or discuss in any manner how the Agency will apply the published evaluation criteria for this competition.
These awards 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 $6million will be awarded under this announcement, depending on the availability of funds and quality of applications received. The EPA anticipates funding approximately 10 awards under this RFA. Requests for amounts in excess of a total of $600,000, including direct and indirect costs, will not be considered. The total project period requested in an application submitted for this RFA may not exceed 3 years. The EPA reserves the right to reject all applications and make no awards, or make fewer awards than anticipated, under this RFA. The EPA reserves the right to make additional awards under this announcement, consistent with Agency policy, if additional funding becomes available after the original selections are made. Any additional selections for awards will be made no later than four months after the original selection decisions.
EPA may award both grants and cooperative agreements under this announcement.
Under a grant, EPA scientists and engineers are not permitted to be substantially involved in the execution of the research. However, EPA encourages interaction between its own laboratory scientists and grant Principal Investigators after the award of an EPA grant for the sole purpose of exchanging information in research areas of common interest that may add value to their respective research activities. This interaction must be incidental to achieving the goals of the research under a grant. Interaction that is “incidental” does not involve resource commitments.
Where appropriate, based on consideration of the nature of the proposed project relative to the EPA’s intramural research program and available resources, the EPA may award cooperative agreements under this announcement. When addressing a research question/problem of common interest, collaborations between scientists and the institution’s principal investigators are permitted under a cooperative agreement. These collaborations may include data and information exchange, providing technical input to experimental design and theoretical development, coordinating extramural research with in-house activities, the refinement of valuation endpoints, and joint authorship of journal articles on these activities. Proposals may not identify EPA cooperators or interactions; specific interactions between EPA’s investigators and those of the prospective recipient for cooperative agreements will be negotiated at the time of award.
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, located at 2 CFR Part 230. 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 William Stelz (stelz.william@epa.gov) in NCER, phone; (202) 343-9802.
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.
All proposals must include information on each item listed below or they will not be funded:
- The approach that will be used to evaluate the success of the project.
- Identification of specific benefits to the public that are likely to be realized from successful completion of the project.
- Methods that will be used to evaluate the likelihood that the results and outputs of the project will be adopted by the water community to improve water infrastructure sustainability.
Applications must propose research that focuses on one or more of the following categories or they will not be funded:
- Tools, approaches, and supporting data for assessing and managing risks associated with breaches or failures of water infrastructure systems.
- Advanced, integrated monitoring, modeling and control techniques that enable responsive system management, performance optimization, and real-time control of water infrastructure.
- Innovative and practicable approaches to monitor, assess, and manage distribution systems that serve to prevent growth, retention, and mobilization of waterborne pathogens.
- Innovative approaches that integrate water infrastructure sustainability and energy efficiency and maximize the benefits from emerging water resource management practices.
- Approaches for the integration of new designs and management practices into existing systems, including the use of retrofit opportunities, addition of innovative sub-systems and the consideration of compatibility with in-place infrastructure.
- Technical and institutional approaches to the management of water resources and infrastructure that optimize the operation and performance of drinking water and wastewater conveyance systems within a single service area.
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 depending on which statute(s) is listed in I.C. above. 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 in Section E. 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” in Section E). Note: With the exception of the budget form and the current and pending support form (available at https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms), all necessary forms are included in the electronic application package.
For both paper and electronic applications, an email will be sent by NCER to the Principal Investigator and the Administrative Contact (see below) to acknowledge receipt of the application and transmit other important information. The email will be sent from receipt.application@epa.gov; emails to this address will not be accepted. If you do not receive an email acknowledgment within 30 days of the submission closing date, immediately inform the Eligibility Contact shown in this solicitation. Failure to do so may result in your application not being reviewed. See “Submission Instructions for Electronic Applications” for additional information regarding acknowledgment of receipt of electronically submitted applications. Please note: Due to often-lengthy delays in delivery, it is especially important that you monitor NCER’s confirmation of receipt of your application when using regular mail.
B. Content and Form of Application Submission
The application is made by submitting the materials described below. Applications must contain all information requested and be submitted in the formats described.
- Standard Form 424
The applicant must complete Standard Form 424. This form will be the first page(s) of the application. Instructions for completion of the SF424 are included with the form. (However, note that EPA requires that the entire requested dollar amount appear on the 424, not simply the proposed first year expenses.) The form must contain the original (or electronic) signature of an authorized representative of the applying institution.
Applicants are required to provide a “Dun and Bradstreet Data Universal Numbering System” (DUNS) number when applying for federal grants or cooperative agreements. Organizations may receive a DUNS number by calling 1-866-705-5711 or by visiting the web site at http://www.dnb.com.
Executive Order 12372, “Intergovernmental Review of Federal Programs,” does not apply to the Office of Research and Development's research and training programs unless EPA has determined that the activities that will be carried out under the applicants' proposal (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.
If EPA determines that Executive Order 12372 applies to an applicant's proposal, the applicant must follow the procedures in 40 CFR Part 29. The applicant must notify their state's single point of contact (SPOC). 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 an applicant is in a State that does not have a SPOC, or the State has not selected research and development grants for intergovernmental review, the applicant must notify directly affected State, area wide, regional and local entities of its proposal.
EPA will notify the successful applicant(s) if Executive Order 12372 applies to its proposal prior to award.
- 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.
- Approach/Activities: Outline the research design, methods, and techniques that you intend to use in meeting the objectives stated above.
- 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.
- 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.
- 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 and discuss the rationale 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.
- 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.” Note: For electronic submissions, the budget table should be attached to the Project Narrative Attachment Form electronic file [see Section E.2.c.(4)].
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. 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.
Please note that when formulating budgets for proposals/applications, applicants must not include management fees or similar charges in excess of the direct costs and indirect costs at the rate approved by the applicants cognizant audit agency, or at the rate provided for by the terms of the agreement negotiated with EPA. The term "management fees or similar charges" refers to expenses added to the direct costs in order to accumulate and reserve funds for ongoing business expenses, unforeseen liabilities, or for other similar costs that are not allowable under EPA assistance agreements. Management fees or similar charges may not be used to improve or expand the project funded under this agreement, except to the extent authorized as a direct cost of carrying out the scope of work.
- Budget Justification [2 pages in addition to the Section IV.B.5. page limitations, not including additions under Nos. (6) and (7) below to support contracts and subawards]
Describe the basis for calculating the personnel, fringe benefits, travel, equipment, supplies, contractual support, and other costs identified in the itemized budget. The budget justification should not exceed two consecutively numbered (bottom center), 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins.
Budget information should be supported at the level of detail described below:
- Personnel: List all staff positions by title. Give annual salary, percentage of time assigned to the project, and total cost for the budget period.
- Fringe Benefits: Identify the percentage used and the basis for its computation.
- Travel: Specify the estimated number of trips, locations, and other costs for each type of travel. Explain the need for any travel, paying particular attention to travel outside the United States. Include travel funds for annual 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 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 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 the success of the proposal are considered letters of support. Letters of support, and letters of intent that exceed one brief paragraph (excluding letterhead and salutations), 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. Any transactions between the successful applicant and parties providing letters of support or intent financed with EPA grant funds are subject to the funding restrictions described in Section IV. D.
- 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:
Innovative and Integrative Approaches for Advancing Public Health Protection Through Water Infrastructure Sustainability, EPA-G2008-STAR-E1 - 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 ass
- Letters of Intent/Letters of Support
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.