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
Novel Approaches to Improving Air Pollution Emissions Information
This is the initial announcement of this funding opportunity.
Funding Opportunity Number:
- Novel Approaches to Improving Air Pollution Emissions Information: EPA-G2009-STAR-D1
Early Career Projects: Novel Approaches to Improving Air Pollution Emissions Information: EPA-G2009-STAR-D2
Catalog of Federal Domestic Assistance (CFDA) Number: 66.509
Solicitation Opening Date: January 21, 2009
Solicitation Closing Date: April 21, 2009, 4:00 pm Eastern Time
Eligibility Contact: William Stelz (stelz.william@epa.gov); phone: 202-343-9802
Electronic Submissions: Ron Josephson (josephson.ron@epa.gov); phone: 202-343-9643
Technical Contacts: Sherri Hunt (hunt.sherri@epa.gov); Phone: 202-343-9644; and
Bryan Bloomer (bloomer.bryan@epa.gov); Phone: 202-343-9078
Access Standard STAR Forms (https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms)
View research awarded under previous solicitations (https://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/recipients.archive/RFATypeList/G,C)
SUMMARY OF PROGRAM REQUIREMENTS
Synopsis of Program:
The U.S. Environmental Protection Agency (EPA), as part of its Science to Achieve Results (STAR) program, is seeking applications proposing research to improve air pollution emissions information.
Award Information:
Anticipated Type of Award: Grant
Estimated Number of Awards: Approximately 4 regular awards, 2 early career awards (See Section III for more information)
Anticipated Funding Amount: Approximately $2,500,000 total for all awards
Potential Funding per Award: For a regular award, up to a total of $500,000, including direct and indirect costs, with a maximum duration of 3 to 4 years. Early career awards are limited to a total of $250,000, including direct and indirect costs, with a duration of 3 to 4 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:
To apply under this solicitation, use the application package available at Grants.gov (for further submission information see Section IV.E. Submission Instructions and other Submission Requirements). 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. If your organization is not currently registered with Grants.gov, you need to allow approximately one week to complete the registration process. This registration, and electronic submission of your application, must be performed by an authorized representative of your organization.
If you do not have the technical capability to utilize the Grants.gov application submission process for this solicitation, call 1-800-490-9194 or send a webmail message to https://www2.epa.gov/research-grants/forms/contact-us-about-research-grants at least 15 calendar working days before the submission deadline to assure timely receipt of alternate submission instructions. In your message provide the funding opportunity number and title of the program, specify that you are requesting alternate submission instructions, and provide a telephone number, fax number, and an email address, if available. Alternate instructions will be e-mailed whenever possible. Any applications submitted through alternate submission methods must comply with all the provisions of this RFA, including Section IV, and be received by the solicitation closing date identified above.
Agency Contacts:
Eligibility Contact: William Stelz (stelz.william@epa.gov); phone: 202-343-9802
Electronic Submissions: Ron Josephson (josephson.ron@epa.gov); phone: 202-343-9643
Technical Contacts: Sherri Hunt (hunt.sherri@epa.gov); Phone: 202-343-9644; and
Bryan Bloomer (bloomer.bryan@epa.gov); Phone: 202-343-9078
I. FUNDING OPPORTUNITY DESCRIPTION
A. Introduction
The Environmental Protection Agency (EPA) Office of Research and Development (ORD), National Center for Environmental Research (NCER), in cooperation with the EPA Clean Air Research Program, announces an extramural funding competition supporting research into the development and improvement of air pollution emission inventories. EPA is interested in supporting research that will advance scientific understanding leading to improvements in air pollution emissions information since emission inventories are relied on both to develop effective control strategies and reliable information about air quality trends for accountability, and to help produce accurate air quality forecasts.
This solicitation seeks to support research that will build on past improvements and strengthen the understanding of air pollution sources and how they affect current and near-term future air quality. Development of better emissions inventories is an iterative process requiring work with atmospheric measurements, source characterizations, and numerical modeling analyses; hence, all these techniques have been used to improve emission inventories.
In addition to regular awards, this solicitation includes the opportunity for early career projects. Please see Section III of this Request for Applications (RFA) for details on the early career eligibility criteria.
B. Background
EPA�s Clean Air Research Program supports research which advances air pollution science and provides knowledge and tools that can be used by state and local governments as well as the private sector to meet air quality standards under the Clean Air Act. The program focuses on two major areas consistent with EPA�s goal of improving air quality. The first area is support of research useful for developing and implementing air quality regulations, and the second area encourages a multi-pollutant research program that links specific sources to health outcomes while assessing the health and environmental effects due to past regulations. Multi-pollutant research includes any combination of gaseous pollutants that are precursors for oxidant and aerosol formation, directly emitted particles and their components, and mercury and other hazardous air pollutants. The overall framework for improving emission inventories presented in this RFA is in the Clean Air Research Program Multi-Year Plan (https://www.epa.gov/ord/npd/pdfs/Air-MYP-narrative-final.pdf).
Emission inventories are used by scientists and decision makers working to understand and improve air quality. Such inventories include the type, amount, location, and timing of the emissions and are used in a variety of policy and research applications, as when they are used as inputs to air quality models to represent the initial introduction of air pollutants into the atmosphere. Consequently, the quality of emissions information is a strong determinant of the model output fidelity judged against the atmosphere. Improvements in the fidelity of air quality models and in the understanding of emission sources will directly strengthen the ability to design effective control strategies to reduce air pollution. Relatedly, states and private entities use inventories for planning emission reduction efforts. Moreover, emission inventories are used as an accountability tool to indicate the trends in air quality over time which can be used to measure the effectiveness of implemented air pollution control strategies. Furthermore, inventories are used to identify key compounds for which the chemical mechanisms in numerical air quality models can be improved since incorrect or incomplete information about important compounds can decrease the fidelity and predictive ability of these models.
Emission inventories are developed from a collection of emission data from a variety of sources over a defined geographic area and time period. Field sampling and testing data are used to determine emission rates or factors and models. These data from direct measurements are combined with databases of sources and activity levels, source data, and growth factors. After the data across a large region are compiled and reviewed, the inventories are evaluated through incorporation into models and comparisons with atmospheric measurement data. Such reviews indicate how well the emission inventories represent actual pollution emissions across a region.
In 2005, North American Consortium for Atmospheric Research in Support of Air-Quality Management (NARSTO), a public/private partnership dedicated to improving air quality in North America with representatives from Canada, the United States, and Mexico, published a report assessing the state of emission inventories in North America (NARSTO, 2005). The report concludes that for emissions in the United States, the EPA�s 1999 and draft 2002 National Emission Inventories (https://www.epa.gov/ttn/chief/net/2002inventory.html) provide a good overall representation of emissions including the major contributions from stationary, mobile, and biogenic sources. However, there are a number of major weaknesses in the current national emission inventories as well as those of states and regional planning organizations. As efforts to improve air quality have been successful at controlling some of the large emission sources, it has become increasingly important to characterize additional, likely smaller sources that may emit large but highly varying amounts of pollutants, as well as sources still missing from inventories including those that cannot be monitored continuously and those emitting smaller quantities of pollutants which are distributed over a large spatial range, but collectively contribute significant quantities of these pollutants.
Uncertainties in air pollution emissions point to the need for a better understanding of several key sources and pollutant formation. For example, some nonpoint stationary sources in need of further investigation are landfills, lagoons, oil and gas production facilities, and sewage disposal systems (NARSTO, 2005). Also, ammonia emissions strongly affect the concentrations of particles in the atmosphere, yet these inventories are highly uncertain (Simon et al., 2008). Ammonia emissions arise from a variety of sources including nonpoint stationary sources such as animal feedlots, fertilizer application, and automobiles (Fraser and Cass, 1998 and Battye et al., 2003). The significant seasonal variation in ammonia emissions is neither well characterized nor incorporated into current inventories even though this variation significantly affects pollution and particle concentrations (Gilliland et al., 2003). Seasonal and temporal variations in other emissions may also need refinement. Furthermore, interest is growing in understanding the suite of atypical traffic-related emissions, including emissions of particulate matter from non-exhaust road sources such as brake wear, tire wear, and resuspension of road dust (Ning et al., 2008; Lough et al., 2004). Finally, new models that incorporate an updated scheme for the prediction of particle formation in the atmosphere (e.g. Robinson et al., 2007and Shrivastava et al., 2008) require improving the detailed understanding of emissions of semivolatile organic compounds, a development which would be important for ozone predictions as well.
In addition to weaknesses related to understanding particular sources and pollutants, some broad areas of uncertainty in emission inventories warrant further investigation. Frequently, inventories represent emissions occurring at national and annual scales with assumptions or engineering estimates used to resolve these at finer spatial and temporal scales to drive the numerical air quality models. However, such assumptions and estimates are not universally valid, so the appropriate spatial and temporal scales on which to represent an emitted pollutant need to be refined directly to support better modeling. For example, gasoline and diesel emissions vary on diurnal, weekly, and decadal time scales (Harley et al., 2005), and these variations can be different in separate areas of the country. Methods for including these temporal improvements in inventories and inventory processing for models should be incorporated to improve the representativeness of emission inventories.
Some key sources and pollutants may not be well represented in source-based emission inventories, and they may not adequately represent the variability in concentrations of a particular pollutant near a single measurement site (Lanz et al., 2008). Preliminary results from health and exposure studies have pointed to the importance of considering particle number concentration or surface area, especially for particles in the size fraction smaller than PM2.5 in the near-road environment (Ntziachristos et al., 2007).
The historical methods typically used to gather data for emission inventories are also of concern. Emission factor data used to build inventories have often been compiled from a number of different types of studies, most of which may not include measurements of the full suite of pollutants emitted from particular sources. This technique can lead to large errors and inconsistencies, which might be addressed by considering the multi-pollutant nature of a source as a whole.
Finally, emissions inventories should incorporate data and testable assumptions about potential changes to occur in the next few decades due to implementation of substantial emissions reductions. As major sources of pollution are controlled, other and smaller sources become more important (e.g., as sulfur dioxide emissions decrease, ammonium nitrate will become a more important contributor to PM2.5 mass in some places), and the atmosphere may shift to new photochemical regimes (more limited by radicals or by nitrogen oxides, for example) changing the importance of particular emitted species. To be most valuable, emission inventories should be equipped with a rational, adaptive framework of data and assumptions to capture such changes.
The EPA currently supports a number of air pollution-related research grants resulting from previous solicitations. Information regarding current research can be found on ORD's National Center for Environmental Research (NCER) web site at https://www.epa.gov/research-grants/science/pm.
The specific Strategic Goal and Objective from EPA's Strategic Plan that relate to this solicitation are:
Goal 1: Clean Air and Global Climate Change, Objective 1.6: Enhance Science and Research.
The EPA's Strategic Plan can be found at: https://www.epa.gov/ocfo/plan/2006/entire_report.pdf (PDF) (184 pp, 11.56 MB)
C. Authority and Regulations
The authority for this RFA and resulting awards is contained in the Clean Air Act, Section 103, 42 U.S.C. 7403.
For research with an international aspect, the above statute is 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(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.
Applications submitted in response to this solicitation must address one or more of the topics within the following research question:
How can new techniques for identifying, analyzing, and quantifying air pollution emissions best be applied for building, testing, and improving emission inventories?
- To help further characterize known or suspected errors, missing emissions, and other short-falls.
- To prepare for the challenges of understanding atmospheric chemistry and physics under the changing conditions due to implementation of major emission reductions, regulations, or rules.
- To investigate issues of spatial and temporal scale.
Studies responsive to this RFA may use field measurements, analyses of existing data, or other novel approaches to improve emissions inventories. Projects that include a combination of measurement, modeling, and analysis techniques are encouraged, and specific new analysis techniques that can be generalized to state, regional, or national emission inventories are of particular interest. Researchers should note that the extent of future change relevant to this solicitation is the near term, over the next couple of decades, within the range of current emission inventory projections. Investigations of emission inventories at fine scales are of interest only when these projects also inform the larger scale.
Field measurements are fundamental in determining whether emission inventories represent real-world conditions. Field data may better characterize a poorly known source or identify a regionally or nationally important source that has been previously overlooked. Multi-pollutant field studies may elucidate interactions between co-emitted pollutants and determine important post-emission processes that must be considered in emission inventories. In addition, field measurements can provide new types of information to emission inventories (e.g., particle number size distribution, semivolatile fraction) that may serve to support future advances in modeling air quality. Novel measurement techniques that capture a greater range of information on emission characteristics from sources could also be useful. Such techniques might involve more intensive measurements of a limited number of sources or ambient locations, or more extensive measurements across time and space using a larger number of simple ambient sensors. Finally, field data may also characterize spatial and temporal variability of emissions from a major source category.
Studies do not necessarily need to make new measurements to provide valuable insight and improvements. Innovative data analysis techniques comparing measurements to model output can provide a critical check of the emission inventory (e.g., Warneke et al., 2007). In addition to providing information about emission sources, such comparisons of ambient ratios elucidate how well air quality models or the emissions models that drive them with emissions inventory data represent the state of the atmosphere (e.g., Parrish 2006 and Harley et al., 2005). Projects that assimilate and assess emission inventories from a variety of sources to understand the multi-pollutant nature of sources are also of interest. For example, a comparison of hazardous air pollutant inventories with volatile organic compound speciation data may provide insight into the representativeness of speciation profiles for these co-pollutant sources which could help reduce uncertainty in the overall inventory.
Modeling studies are also valuable tools for improving emission inventories. Inverse modeling, which uses observations to constrain some select model parameters, can elucidate the importance of particular sources within a region (Park et al., 2006; Henze et al., 2008), while probabilistic modeling studies can be used to understand which emission sources contribute most to uncertainty in emission inventories (Frey and Zhao, 2004). Receptor models can be used to apportion sources and to estimate spatial and temporal variability in source contributions. Also, high resolution (=1 km) chemical transport model results are useful for determining the effects of nearby point or area sources.
Studies that combine modeling work with new or existing measurements can provide great insight. Comparisons of top-down (e.g., from satellite or ambient measurements) with bottom-up (based on source sampling and activity) emission estimates can highlight problems and indicate successes of emission inventories (e.g., Xiao et al., 2008). Observing �real world� conditions by increasing the spatial and temporal resolution of ambient measurements in an urban environment may improve the understanding of the variability of emissions (e.g., sub-24 hour speciated PM sampling at multiple sites). Other novel approaches might include optimization, genetic algorithms, stochastic programming, or data mining approaches to evaluate emissions from single or multiple uncertain sources using ambient measurements (e.g., Haupt et al., 2007; Lu et al., 2008).
The outputs of the proposed projects include reports, presentations, and peer-reviewed journal publications describing the novel approaches and their potential for improvements in emission inventories as well as improved air pollution emissions inventories. The expected outcome of this research is a better understanding of air quality trends over time and improved tools to support the development and application of numerical models, pollution control strategies, and more effective air quality policy.
E. References
Battye, W., V.P. Aneja, P.A. Roelle, Evaluation and improvement of ammonia emissions inventories. Atmospheric Environment 37(27):3873-3883 (2003).
Donahue NM, Robinson AL, Stanier CO, Pandis SN. Coupled partitioning, dilution, and chemical aging of semivolatile organics. Environmental Science & Technology 40(8):2635-2643 (2006).
Fraser, M.P. and G.R. Cass. Detection of excess ammonia emissions from in-use vehicles and implications for fine particle control. Environmental Science and Technology 328:1053�1057 (1998).
Frey, H.C., Y. Zhao. Quantification of Variability and uncertainty for air toxic emission inventories with censored emission factor data. Environmental Science and Technology 38:6094-6100 (2004).
Gilliland, A.B., R.L. Dennis, S.J. Roselle, T.E. Pierce. Seasonal NH3 emission estimates for the eastern United States based on ammonium wet concentrations and an inverse modeling method. Journal of Geophysical Research 108(D15):4477 (2003).
Harley, R.A., L.C. Marr, J.K. Lehner, S.N. Giddings. Changes in motor vehicle emissions on diurnal to decadal time scales and effects on atmospheric composition. Environmental Science & Technology 39(14):5356-5362 (2005).
Haupt, S.E., Young, G.S., Allen, C.T. A genetic algorithm method to assimilate sensor data for a toxic contaminant release. Journal of Computers 6:85-93 (2007).
Henze, D.K., Seinfeld, J.H., Shindell, D.T. Inverse modeling and mapping of US air quality influences of inorganic PM2.5 precursor emissions using the adjoint of GEOS-Chem. Atmospheric Chemistry and Physics Discussions 8:15031-15099 (2008).
Lanz, V.A., C. Hueglin, B. Buchmann, M. Hill, R. Locher, J. Staehelin, S. Reimann. Receptor modeling of C2-C7 hydrocarbon sources at an urban background site in Zurich, Switzerland: changes between 1993-1994 and 2005-2006. Atmospheric Chemistry and Physics 8:2313-2332 (2008).
Lough, G.C., Schauer, J.J., Park, J. Shafer, M.M., DeMinter, J.T., Weinstein, J.P. Emissions of metals associated with motor vehicle roadways. Environmental Science and Technology 39:826-836 (2005).
Lu, H., Huang, G.H., Liu, L., He, L. An interval-parameter fuzzy-stochastic programming approach for air quality management under uncertainty. Environmental Engineering Science 25:895-909 (2008).
NARSTO, Improving emission inventories for effective air quality management across North America: A NARSTO assessment, NARSTO-05-001 (2005).
Ning, Z., A. Polidori, J.J. Scjauer, C. Sioutas, Emission factors of PM species based on freeway measurements and comparison with thunnel and dynamometer studies. Atmospheric Environment 42(13):3099-3114 (2008).
Ntziachristos L., Zhi N., Geller M.D and Sioutas C. �Particle Concentration and Characteristics Near a Major Freeway With Heavy � Duty Diesel Traffic.� Environmental Science and Technology, 41(7):2223 -2230 (2007).
Park, S.S.; Pancras, J.P.; Ondov, J.M. Robinson, A. Application of the Pseudo-deterministic Receptor Model to resolve power plant Influences on air quality in Pittsburgh. Aerosol Science and Technology 40:883-897 (2006).
Parrish, D.D. Critical evaluation of US on-road vehicle emission inventories. Atmospheric Environment 40:2288-2300 (2006).
Robinson, A. L.; Donahue, N. M.; Shrivastava, M.; Weitkamp, E. A.; Sage, A. M.; Grieshop, A. P.; Lane, T. E.; Pierce, J. R.; Pandis, S. N., Rethinking organic aerosol: Semivolatile emissions and photochemical aging. Science 315:1259-1262 (2007).
Shrivastava, M. K., T. E. Lane, N. M. Donahue, S. N. Pandis, A. L. Robinson, Effects of gas particle partitioning and aging of primary emissions on urban and regional organic aerosol concentrations, Journal of Geophysical Research 113:D18301, doi:10.1029/2007JD009735 (2008).
Simon, H., D. T. Allen, and A. E. Wittig. Fine particulate matter emissions inventories: comparisons of emissions estimates with observations from recent field programs. Journal of the Air & Waste Management Association 58:320-343 (2008).
Warneke, C., S.A. McKeen, J.A. de Gouw, P.D. Goldan, Kuster, W.C., Holloway, J.S., Williams, E.J., Lerner, B.M., D.D. Parrish, M. Trainer, F.C. Fehsenfeld, S. Kato, E.L. Atlas, A. Baker, D.R. Blake. Determination of urban volatile organic compound emission ratios and comparison with an emissions database. Journal of Geophysical Research 112:D10S47, doi:10.1029/2006JD007930 (2007).
Xiao Y., J.A. Logan, D.J. Jacob, R.C. Hudman, R. Yantosca, D.R. Blake. Global budget of ethane and regional constraints on U.S. sources, Journal of Geophysical Research 113:D21306, doi:10.1029/2007JD009415 (2008).
F. Special Requirements
Agency policy prevents EPA technical staff and managers from providing individual applicants with 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.
Multiple Investigator applications may be submitted as: (1) a single Lead Principal Investigator (PI) application with Co-PI(s) or (2) a Multiple PI application (with a single Contact PI). If you choose to submit a Multiple PI application, you must follow the specific instructions provided in Sections IV. and V. of this RFA. For further information, please see the EPA Implementation Plan for Policy on Multiple Principal Investigators (http://rbm.nih.gov/toolkit.htm).
Please note: Early career projects will not accommodate a Multiple PI application. Early career projects shall be submitted as a single Lead PI application.
Groups of two or more eligible applicants may choose to form a consortium and submit a single application for this assistance agreement. The application must identify which organization will be the recipient of the assistance agreement and which organizations(s) will be subawardees of the recipient.
The application must include a plan (see �Data Plan� in section IV.B.5.c.) to make available to the public all data generated from observations, analyses, or model development (primary data) and any secondary (or existing) data used under an agreement awarded from this RFA. The data must be available in a format and with documentation such that they may be used by others in the scientific community.
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.
Special eligibility criteria apply to the early career portion of this RFA. Please see Section III of this RFA for details on the early career eligibility criteria.
It is anticipated that a total of approximately $2,500,000 will be awarded under this announcement, depending on the availability of funds and quality of applications received. The EPA anticipates funding approximately 4 regular awards under this RFA for $500,000 or less. The EPA also anticipates funding approximately 2 early career projects for $250,000 or less (see section III for special eligibility requirements). Requests for amounts in excess of a total of $500,000 (or $250,000 for early career projects), including direct and indirect costs, will not be considered. The total project period requested in an application submitted for this RFA may not exceed 4 years. The EPA reserves the right to reject all applications and make no awards, or make fewer awards than anticipated, under this RFA. The EPA reserves the right 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 six months after the original selection decisions.
EPA intends to award only grants under this announcement. Under a grant, EPA scientists and engineers are not permitted to be substantially involved in the execution of the research. However, EPA encourages interaction between its own laboratory scientists and grant Principal Investigators after the award of an EPA grant for the sole purpose of exchanging information in research areas of common interest that may add value to their respective research activities. This interaction must be incidental to achieving the goals of the research under a grant. Interaction that is “incidental” does not involve resource commitments.
A. Eligible Applicants
Public nonprofit institutions/organizations (includes public institutions of higher education and hospitals) and private nonprofit institutions/organizations (includes private institutions of higher education and hospitals) located in the U.S., state and local governments, Federally Recognized Indian Tribal Governments, and U.S. territories or possessions are eligible to apply. Profit-making firms are not eligible to receive assistance agreements from the EPA under this program.
Eligible nonprofit organizations include any organizations that meet the definition of nonprofit in OMB Circular A-122, 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.
The early career projects will support new, creative investigators with outstanding promise at the Assistant Professor or equivalent level. Principal investigators from applicant institutions applying for the early career portion of the RFA must meet the following additional eligibility requirements:
- Hold a doctoral degree in a field of science or engineering by the closing date of the RFA;
- Be untenured at the closing date of the RFA;
- By the award date, be employed in a tenure-track position (or tenure-track-equivalent position) as an assistant professor (or equivalent title) at an institution in the U.S., its territories, or possessions. Note: For a position to be considered a tenure-track-equivalent position, it must meet all of the following requirements: (1) the employing department or organization does not offer tenure; (2) the appointment is a continuing appointment; (3) the appointment has substantial educational responsibilities; and (4) the proposed project relates to the employee's career goals and job responsibilities as well as to the goals of the department/organization.
The purpose of the early career project is to fund research by the early career PI. Senior researchers may collaborate in a supporting role for early career projects. Early career applications should not propose significant resources for senior researchers and may not list senior researchers as co-PIs.
Potential applicants who are uncertain of their eligibility should contact William Stelz in NCER, phone (202) 343-9802, email: stelz.william@epa.gov.
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 Grants.gov (see Section IV.E. �Submission Instructions and Other Submission Requirements� for further information, or through any authorized alternate submission methods described in Section IV) 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.
Applicants must address one or more of the topics within the following research question.
How can new techniques for identifying, analyzing, and quantifying air pollution emissions best be applied for building, testing, and improving emission inventories?
- To help further characterize known or suspected errors, missing emissions, and other short-falls.
- To prepare for the challenges of understanding atmospheric chemistry and physics under the changing conditions due to implementation of major emission reductions, regulations, or rules.
- To investigate issues of spatial and temporal scale.
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
Formal instructions for submission through Grants.gov follow in Section E.
A. Internet Address to Request Application Package
Use the application package available at Grants.gov (see Section E. Submission Instructions and Other Submission Requirements). 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.
An email will be sent by NCER to the Lead/Contact PI 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 Section E. Submission Instructions and Other Submission Requirements for additional information regarding the application receipt acknowledgment
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. 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 electronic signature of an authorized representative of the applying organization.
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/. 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 found in the Grants.gov application package. An Additional Key Contacts form 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 investigators). Please make certain that all contact information is accurate.
For Multiple PI applications: The Additional Key Contacts form must be completed (see Section I.F. for further information). Note: The Contact PI must be affiliated with the institution submitting the application. EPA will direct all communications related to scientific, technical, and budgetary aspects of the project to the Contact PI; however, any information regarding an application will be shared with any PI upon request. The Contact PI is to be listed on the Key Contact Form as the Project Manager/Principal Investigator (the term Project Manager is used on the Grants.gov form, the term Principal Investigator is used on the form located on NCER�s web site). For additional PIs, complete the Major Co-Investigator fields and identify PI status next to the name (e.g., Name: John Smith, Principal Investigator).
- 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: For applications with multiple investigators, state whether this is a single Lead PI (with co-PIs) or Multiple PI application (see Section I.F.). For Lead PI applications, list the Lead PI, then the name(s) of each co-PI who will significantly contribute to the project. For Multiple PI applications, list the Contact PI, then the name(s) of each additional PI. 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.
- Data Plan (2 pages)
Provide a plan to make all data resulting from an agreement under this RFA available in a format and with documentation/metadata such that they may be used by others in the scientific community. This includes both primary and secondary or existing data, i.e., from observations, analyses, or model development collect
- Research Plan (15 pages)
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.