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
Research and Demonstration of Innovative Drinking Water Treatment Technologies in Small Systems
This is the initial announcement of this funding opportunity.
EPA will host three webinars, June 29, July 6, and July 13, 2011, to discuss this RFA and respond to questions. See Section IV for further information about the webinars.
Funding Opportunity Number: EPA-G2011-STAR-G1
Catalog of Federal Domestic Assistance (CFDA) Number: 66.509
Solicitation Opening Date: June 23, 2011
Solicitation Closing Date: August 25, 2011, 11:59:59 pm Eastern Time
Eligibility Contact: James Gentry (gentry.james@epa.gov); phone: 703-347-8093
Electronic Submissions: Ron Josephson (josephson.ron@epa.gov); phone: 703-308-0442
Technical Contact: Angela Page (page.angelad@epa.gov); phone: 703-347-8046
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 to conduct research necessary to identify, develop and demonstrate novel and innovative treatment technologies and approaches for small public drinking water systems. Successful technologies should be robust, sustainable and be able to treat or mitigate groups of contaminants or contaminant precursors in drinking water sources and systems. EPA is seeking new, or innovative, modifications of existing treatment technologies that can perform significantly better than current technologies. These technologies may include those which are used to retrofit or augment existing treatment trains; treatment practices or technologies aimed at contaminant or contaminant precursor reduction in source waters; and technologies used within the distribution system including point-of-use (POU) devices. Identifying technologies that have the potential to be “game-changing” may involve considering national and international sources as well as considering input from those who have not traditionally participated in environmental conversations, including Minority Academic Institutions (MAIs) as defined in Section I.A.
Projects that foster partnerships and research and demonstration collaborations with small drinking water systems, state primacy agencies, and water centers/clusters are strongly encouraged under this solicitation. For purposes of this solicitation, water clusters/centers refer to regional technology innovation clusters that are geographic concentrations of interconnected firms (businesses, suppliers, and service providers) and supporting institutions (local government, business chambers, universities, investors, and others) that work together in an organized manner to promote economic growth and technological innovation. Please carefully review section IV. D. of this announcement before naming a for profit firm or individual consultant as a collaborator, partner or any other relationship involving the use of EPA funds to compensate the firm or individual.
Eligible applicants, including Minority Academic Institutions (MAIs) as defined in Section I.A of this solicitation, are strongly encouraged to apply for funding under this competition.
Award Information:
Anticipated Type of Award: Grant or cooperative agreement
Estimated Number of Awards: Approximately six awards. EPA expects to make at least two of these awards to Minority Academic Institutions, as defined below in Section I.A, which pass the peer review process described in Section V and successfully complete the award process.
Anticipated Funding Amount: Approximately $3 million total for all awards
Potential Funding per Award: Up to a total of $500,000, including direct and indirect costs, with a maximum duration of 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. For profit organizations, including proprietary educational or research institutions, are ineligible. See full announcement for more details.
Diversity:
EPA recognizes that scientific, technical, engineering and mathematical (STEM) competence is essential to the Nation’s future well being in terms of national security and competitive economic advantage. For instance, the health and vitality of the economy is predicated, in part, on the availability of an adequate supply of scientists, technicians, engineers and mathematicians, to develop innovative technologies and solutions. In other words, this country must engage all available minds to address the challenges it faces. Minorities and women historically have been under-represented in the STEM fields. Therefore, the Federal government, including the EPA, should strive to enhance the research and educational capabilities of Minority Academic Institutions and to increase participation by women and under-represented minorities in the STEM fields. For this reason, EPA strongly encourages eligible applicants serving communities that have not previously participated in the environmental conversation, including Minority Academic Institutions, to apply.
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, http://epa.govhttps://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://www.epa.gov/research-grants/forms/contact-us-about-research-grants at least 15 calendar 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 emailed whenever possible. Any applications submitted through alternate submission methods must comply with all the provisions of this Request for Applications (RFA), including Section IV, and be received by the solicitation closing date identified above.
Agency Contacts:
Eligibility Contact: James Gentry (gentry.james@epa.gov); phone: 703-347-8093
Electronic Submissions: Ron Josephson (josephson.ron@epa.gov); phone: 703-308-0442
Technical Contact: Angela Page (page.angelad@epa.gov); phone: 703-347-8046
I. FUNDING OPPORTUNITY DESCRIPTION
A. Introduction
Improving the sustainability of our nation’s water supplies is a priority for EPA’s Office of Research and Development (ORD) in support of the Agency’s mission to protect public health and safeguard the environment. Under the 1996 Amendments to the Safe Drinking Water Act (SDWA), the responsibility for ensuring safe drinking water and protecting water quality in the U.S. is shared by EPA, states, tribal nations, local governments, water utilities/companies and the public. To ensure drinking water quality and human health protection, SDWA requires EPA to undertake several actions to assess and manage the risks posed by drinking water contaminants. These actions include the establishment and maintenance of national lists of regulated and unregulated contaminants to be considered in review and development of new regulations. In efforts to streamline this process, EPA has embarked on a new Drinking Water Strategy (http://water.epa.gov/lawsregs/rulesregs/sdwa/dwstrategy/index.cfm) which is aimed at finding ways to strengthen public health protection from contaminants in drinking water. In addition, 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. Details of current STAR research activities can be found on ORD’s National Center for Environmental Research (NCER) homepage. Research and demonstrations funded through this solicitation will complement current and planned efforts in ORD’s Safe and Sustainable Water Research Program.
Concerns for man-made and naturally-occurring chemicals found in surface water, ground water, finished drinking water, and wastewaters pose a host of treatment and management challenges and potential health risks for communities served by public water systems (PWS). These challenges are exacerbated for small systems, those serving 10,000 persons or less, including the complexities of treatment trains needed to comply with multiple and competing drinking water regulations. To meet drinking water obligations under SDWA and accelerate the advancement of sustainable drinking water protection, innovative technologies and approaches are needed for small systems that can remove or mitigate groups of contaminants or contaminant precursors from drinking water sources or systems. For purposes of this RFA, “drinking water sources” include ground, surface, finished, waste or reused waters.
EPA is interested in supporting research into and demonstrations of innovative and sustainable treatment technologies that will make advances in improving the ability of PWS to protect the health of the communities they serve. EPA is also particularly interested in projects that demonstrate their technologies and approaches in small PWS, as these small systems are the least likely to be able to afford or sustain a system change or different treatment paradigm. To accomplish this, it is strongly encouraged that investigators collaborate with small drinking water systems, state primacy agencies that may accept the proposed technologies, and water centers/clusters that can help bring these and other connections together.
Eligible applicants as defined in Section III, including Minority Academic Institutions (MAIs) described below, are strongly encouraged to apply for funding under this competition. For purposes of this solicitation, the following are considered MAIs:
- Historically Black Colleges and Universities, as defined by the Higher Education Act (20 U.S.C. Sec. 1061). A list of these schools can be found at http://www2.ed.gov/about/inits/list/whhbcu/edlite-list.html;
- Tribal Colleges and Universities, as defined by the Higher Education Act (20 U.S.C. Sec. 1059(c)). A list of these schools can be found at http://www2.ed.gov/about/inits/list/whtc/edlite-tclist.html;
- Hispanic-Serving Institutions (HSIs), as defined by the Higher Education Act (20 U.S.C. Sec. 1101a(a)(5). There is no list of HSIs. HSIs are institutions of higher education that, at the time of application submittal, have an enrollment of undergraduate full-time equivalent students that is at least 25% Hispanic students at the end of the award year immediately preceding the date of application for this grant; and
- Asian American and Native American Pacific Islander-Serving Institutions (AANAPISIs), as defined by the Higher Education Act (20 U.S.C. Sec. 1059g(a)(2)). There is no list of AANAPISIs. AANAPISIs are institutions of higher education that, at the time of application submittal, have an enrollment of undergraduate students that is not less than 10 % students who are Asian American or Native American Pacific Islander.
NOTE: EPA expects to issue a separate, but complementary, solicitation later this summer for a $5 million Center focused on identifying, developing, and demonstrating innovative technologies that can treat or mitigate groups of contaminants in small drinking water systems. (Administrator Lisa P. Jackson, Remarks at the Announcement of the Water Technology Innovation Cluster, As Prepared). Awardees under this solicitation will be encouraged to collaborate, as appropriate, with the National Center that is expected to be awarded in 2012 under the complementary RFA.
B. Background
Nationally, there are 156,000 public drinking water systems regulated by EPA and delegated to states and tribes that provide drinking water to 90 percent of Americans. Drinking water systems have an enormous impact on public health and the quality of life for the customers they serve. The public health benefits of a well-run system cannot be overstated. Customers rely on their water systems to provide safe water for drinking, bathing, cleaning, and cooking. While trying to meet customer demands, PWS must address and manage chemical and microbial contaminants that enter these systems. Over the past 30 years, more than 80,000 chemicals have entered the marketplace in the U.S. that may pose a threat to drinking water systems at some point in their life cycle. Many of these chemicals enter drinking water sources from a variety of inputs: improperly disposed of chemicals, agricultural activities, wastes injected underground, naturally-occurring substances, disinfection byproducts and improperly maintained distribution systems. These chemicals include pesticides; industrial and household chemicals; pharmaceuticals; naturally-occurring chemicals such as inorganic anions, cyanotoxins and nutrients; and other emerging compounds.
Very large drinking water systems (serving over 100,000 customers) benefit from an economy of scale to develop, test, and employ robust drinking water treatment to respond to the growing number of contaminants detected at low levels in their source waters. However, this is not so for small PWS, as defined by EPA, that serve 10,000 or fewer customers. Frequently, these systems are operated by municipalities that must balance resources between the drinking water plant operation and other public services. Small community water systems have even more difficult choices to make in selecting drinking water treatment given the diminishing economies of scale and limited resources. Small systems treatment is often limited to disinfection, which amplifies the need for scalable technologies that reduce the production of disinfection byproducts. Fostering the development of affordable, efficient, and user-friendly technologies for small systems will better equip them to address health risks posed by a broad array of contaminants.
Under the SDWA, the current assessment and regulatory process mostly evaluates contaminants one at a time. Given the backlog of regulated and unregulated contaminants awaiting review or re-review, the current process could take decades to review a small subset of the universe of chemicals. For small PWS trying to address and manage contaminants and provide safe and reliable drinking water this process is daunting. More than 94 percent of the nation’s 156,000 public water systems serve fewer than 3,300 persons. Small systems face unique financial and operational challenges in providing drinking water that meets EPA standards. These water systems may be geographically isolated. Their staffs often lack the time and/or expertise to make needed infrastructure repairs; install, operate, or maintain treatment; or develop comprehensive source water protection plans, financial plans or asset management plans. In addition, given their small customer base, many small water systems cannot develop or access the technical, managerial and financial resources needed to comply with the increasing number of EPA and state regulations and rising customer expectations. In 2010, several thousand small PWS failed to comply with maximum contaminant levels for chemical contamination.
Relying on this traditional framework of chemical assessment and management imposes an administrative burden and high resource requirement for state and local governments, as well as water utilities, especially small systems, as they try to deal effectively with multiple statutory requirements for regulated and unregulated contaminants. Traditional frameworks also limit how communities address and respond to water-related public health threats. As a result, a primary challenge is to find effective and affordable treatment technologies for small systems that are easy to use and do not interfere with the system’s compliance. Looking forward, treatment technologies and approaches must have the capacity to deal with groups of chemical contaminants and precursors in order to help utilities and municipalities deal with the volume of regulated and unregulated contaminants. These technologies must be sustainable in regard to water and material resources, energy requirements, cost, operation and maintenance, staffing and educational requirements, as well as treatment or mitigation effectiveness.
In this regard, this RFA is seeking the submission of projects relating to the research necessary for the identification, development, and demonstration of new and innovative treatment technologies and approaches that can be applied in small PWS to treat groups of chemical contaminants these systems may process. When selecting a treatment technology for demonstration, it is strongly encouraged that the applicant evaluate if the technology can be scaled-up for use at larger drinking water treatment systems. Evaluation is best accomplished by using independent third parties. Please carefully review section IV. D. before naming an independent third party evaluator in your proposal if you intend to use EPA funds to compensate the evaluator.
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 FY 2006-2011 Strategic Plan can be found at: http://nepis.epa.gov/Adobe/PDF/P1001IPK.PDF (184 pp, 9.3 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. 1254.
For research with an international aspect, the above statutes are supplemented, as appropriate, by the National Environmental Policy Act, Section 102(2)(F).
Note that a project’s focus is to consist of activities within the statutory terms of EPA’s financial assistance authorities; specifically, the statute(s) listed above. Generally, a project must address the causes, effects, extent, prevention, reduction, and elimination of water pollution and the causes, treatment, control and prevention of diseases and other impairments resulting directly or indirectly from contaminants in water and the provision of a dependably safe supply of drinking water. 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.
Demonstrations must involve new or experimental, technologies, methods, or approaches, where the results of the project will be disseminated so that others can benefit from the knowledge gained in the demonstration project. A project that is accomplished through the performance of routine; traditional or established practices, or a project that is simply intended to carry out a task rather than transfer information or advance the state of knowledge, however worthwhile the project may be, is not a demonstration.
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), 40 CFR Part 33 (Participation by Disadvantaged Business Enterprises in United States Environmental Protection Agency Programs) 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 (http://www.access.gpo.gov/nara/cfr/waisidx_08/2cfr220_08.html), OMB Circular A-87 (Cost Principles for State, Local and Indian Tribal Governments) relocated to 2 CFR Part 225 (http://www.access.gpo.gov/nara/cfr/waisidx_10/2cfr225_10.html), OMB Circular A-122 (Cost Principles for Non-Profit Organizations) relocated to 2 CFR Part 230 (http://www.access.gpo.gov/nara/cfr/waisidx_07/2cfr230_07.html).
D. Specific Research Areas of Interest/Expected Outputs and Outcomes
Note to applicant: The term “output” means an environmental activity or effort, and associated work products, related to a specific environmental goal(s), (e.g., testing a new methodology), that will be produced or developed over a period of time under the agreement. The term “outcome” means the result, effect, or consequence that will occur from the above activit(ies) that is related to an environmental, behavioral, or health-related objective.
Under this competition, the Agency is soliciting research and demonstration projects that will sustainably change how small PWS address and manage chemical contaminants and precursors in drinking water sources and systems. Projects that consider new treatment technologies or propose to optimize existing treatment technology in a new approach to better enable them to control chemical contaminants and precursors and deal with simultaneous compliance concerns under the SDWA are strongly encouraged. Demonstrated technologies should be more sustainable than current technologies in areas such as, but not exclusive to, energy use, residual stream disposal, operation, maintenance, and carbon footprint. The technology or approach should also describe how the innovation developed for the PWS could have applicability for other small systems similarly challenged. Field demonstrations should address performance, affordability, and sustainability. Ultimately, the new technology should lead to better options for protecting human health and ensuring water quality.
Applications should respond to two or more of the research topics listed below:
- How can innovative treatment technologies be demonstrated in small water systems to determine their performance, sustainability, and economic viability?
- What treatment technologies are available and can be further developed and demonstrated to remove or mitigate groups of chemical contaminants, or contaminant precursors from drinking water sources or systems? How will specific drinking water quality improvements or public health benefits be measured?
- How can treatment technologies be enhanced or improved relative to existing technology to deal with changes in capital, operation and maintenance and energy costs?
- How will the results and outputs of the project allow water systems to deliver safe water at reduced costs and how will they provide energy efficient technologies for small communities?
EPA recognizes the benefits of establishing collaborations with public and private sector entities to develop, demonstrate, and facilitate the adoption of innovative technologies in the marketplace. To achieve the objectives of this RFA, applicants are strongly encouraged to create such relationships with small drinking water systems, relevant state agencies, and regional water centers and clusters. These types of partnerships and collaborations will be evaluated as part of the peer review evaluation under Section V. Please carefully review section IV. D. before naming a collaborator in your proposal if you intend to use EPA funds to compensate the collaborator.
Applications should also include a discussion on how the proposed research and demonstration project is innovative (see Section IV.B.5.a). Innovation is the process of making changes; a new method, custom or device. Innovative research and demonstration can take the form of wholly new applications or applications that build on existing knowledge and approaches for new uses. Proposals should clearly demonstrate an integrated, multi-disciplinary approach that leads to advances in design, operations and management as related to the proposed research and demonstration project.
In addition, applications should include a discussion on how the proposed research and demonstration project will seek sustainable solutions that protect the environment, strengthen our communities and foster prosperity (see Section IV.B.5.a). Sustainability is defined by the Brundtland Commission as “development that meets the needs of the present without compromising the ability of future generations to meet their own needs.” The ORD draft document entitled, “Framework for Integrated Research and Systems Thinking (FIRST)” proposes the following definition for use by the EPA and its stakeholders: “Sustainability is the continued assurance of human health and well being, environmental resource protection, and economic prosperity—today and for generations to come.” Adherence to sustainability principles will be considered as part of the programmatic review (see Section V.B). Please refer to the the Sustainability Primer at: https://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.files/fileID/8166 (PDF) (1 pp, 197 K)) for more information about the principles of sustainability, the definitions of the three pillars of sustainability, and their component topics and example research activities or goals that might address each component.
The outputs of the proposed projects to be awarded under this RFA include reports, presentations and publications, etc., that describe the research and demonstration of the treatment technologies as well as the technologies themselves. The expected outcome of the research and demonstration projects EPA will support is to provide small drinking water treatment systems with an ability to reliably and more cost-effectively manage co-occurring chemicals or groups of chemical contaminants and chemical precursors simultaneously in their water systems resulting in cleaner water and a reduction in waterborne illneses.
E. References
Desai, S and Klanecky, DA. The Sustainability Challenge: Meeting the Needs of the Water-Energy Nexus. Chemical Engineering Progress 4: 22-27 (2011).
Deslauriers, SA, Kanzaki, M, Bulkley JW, and Keoleian, GA. U.S. Wastewater Treatment, Center for Sustainable Systems Fact Sheet, CSS04-14. Ann Arbor, MI: University of Michigan, 2004.
European Commission. – Joint Research Centre – Institute for Environment and Sustainability. International Life Cycle Data System (ILCD) Handbook – General guide for Life Cycle Assessment – Detailed guidance, First edition. European Commission. – Joint Research Centre – Institute for Environment and Sustainability. Luxembourg, 2010.
Manley, JB, Anastas, PT, and Cue, BW. Frontiers in Green Chemistry: meeting the grand challenges for sustainability in R&D and manufacturing. Journal of Cleaner Production 16: 743-750 (2008).
National Research Council (NRC). (2009b). Enhancing the Effectiveness of Sustainability Partnerships. National Academies Press, Washington. ISBN-13: 978-0-309-12993-0.
National Academy of Sciences, National Research Council. (1997). Safe Water from Every Tap: Improving Water Service to Small Communities, Committee on Small Water Supply Systems. National Academy Press, Washington, DC. ISBN-10:0-309-05527-X.
U.S. Environmental Protection Agency (USEPA), (2011). Drinking Water Strategy.
(http://water.epa.gov/lawsregs/rulesregs/sdwa/dwstrategy/index.cfm).
U.S. Environmental Protection Agency, (2010). Treating Contaminants of Emerging Concern – A Literature Review Database, EPA-820-R-10-002.
U.S. Environmental Protection Agency (USEPA). (2009). Factoids: Drinking Water and Ground Water Statistics for 2009.
(http://water.epa.gov/scitech/datait/databases/drink/sdwisfed/upload/data_factoids_2009.pdf (15 pp, 115 K)).
U.S. Environmental Protection Agency, (2008). Emerging Technologies for Wastewater Treatment and In-Plant Wet Weather Management, EPA 832-R-06-006.
U.S. Environmental Protection Agency, (2006). Much Effort and Resources Needed to Help Small Drinking Water Systems Overcome Challenges, Report No. 2006-P-00026.
Water Environment Research Foundation (WERF). Energy Efficiency in Value Engineering: Barriers and Pathways, Report No. OWSO6R07a. Water Environment Research Foundation.(2010).
Water Environment Research Foundation (WERF). Overview of State Energy Reduction Programs and Guidelines for the Wastewater Sector, Report No. OWSO6R07b. Water Environment Research Foundation. (2010).
West Virginia University. Treatment Technologies for Small Drinking Water Systems, Tech Brief. National Drinking Water Clearinghouse, West Virginia University, Available at http://www.nesc.wvu.edu/pdf/dw/publications/ontap/2009_tb/treament_tech_poster_DWFSOM37.pdf (2 pp, 2.2 MB).
William McDonough & Michael Braungart, Cradle to Cradle – Remaking the Way We Make Things, North Point Press, A division of Farrar, Straus and Giroux, New York, 2002.
World Commission on Environment and Development (WCED). Our Common Future. Oxford: Oxford University Press. ISBN 0-19-282080-X. (1987)
F. Special Requirements
Agency policy and ethical considerations prevent EPA technical staff and managers from providing 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. EPA employees cannot endorse any particular application.
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).
Groups of two or more eligible applicants may choose to form a consortium and submit a single application under this solicitation. The application must identify which organization will be the recipient of the assistance agreement and which organizations(s) will be subawardees of the recipient. Please carefully review section IV D. when forming a consortium.
The application shall 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.
It is anticipated that a total of approximately $3 million will be awarded under this announcement, depending on the availability of funds, quality of applications received, and other applicable considerations. The EPA anticipates funding approximately 6 awards under this competition, including at least 2 awards to Minority Academic Institutions (as defined in Section I.A), who pass the peer review process described in Section V and successfully complete the award process. Requests for amounts in excess of a total of $500,000, including direct and indirect costs, will not be considered. The total project period requested in an application submitted for this RFA may not exceed 4 years.
The EPA reserves the right to reject all applications and make no awards, or make fewer awards than anticipated, under this RFA. The EPA reserves the right 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 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 EPA 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. EPA particularly encourages Minority Academic Institutions as described in Section I.A to apply.
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.
Individuals are not eligible to apply. Profit-making firms, including proprietary educational and research institutions, are not eligible to receive assistance agreements from the EPA under this program. Please carefully review section IV. D. of this announcement before naming a for profit firm or individual consultant as a collaborator, partner or any other relationship involving the use of EPA funds to compensate the firm or individual.
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 to the extent authorized by law. 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 James Gentry (gentry.james@epa.gov) in NCER, phone 703-347-8093.
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 submitted through grants.gov or by other authorized alternate means (see Section IV.E. “Submission Instructions and Other Submission Requirements” for further information) on or before the solicitation closing date and time in Section IV of this announcement or they will be returned to the sender without further consideration. Also, applications exceeding the funding limits or project period term described herein will be returned without review. Further, applications that fail to demonstrate a public purpose of support or stimulation (e.g., by proposing research which primarily benefits a Federal program or provides a service for a Federal agency) will not be funded.
Applications deemed ineligible for funding consideration will be notified within fifteen calendar days of the ineligibility determination.
IV. APPLICATION AND SUBMISSION INFORMATION
NOTE: EPA will host three webinars to discuss this RFA and respond to questions from potential applicants. The registration website for these webinars will open on Monday, June 27, 2011. You may submit your questions in advance when you register online or by using the chat function during the live webinar. You do not need to attend all three Webinars as the speaker presentations will be the same. The webinars will be broadcast live and will be archived for future playback. Pre-registration will be required for the webinars. Go to: https://www.epa.gov/dwwebinars for registration information and other Webinar details.
Topic: EPA's Research and Demonstration of Innovative Drinking Water Treatment Technologies Development in Small Systems Request for Applications (RFA). Further details, including pre-registration information, a link for the Webinar, and a conference call number, will be available from: https://www.epa.gov/research-grants/dwwebinars on Monday June 27, 2011.
Webinar Schedule
Dates: June 29, 2011
Time: 1:00 PM EDT until 3:00PM
Webinar Link: https://scgcorp.webex.com/scgcorp/j.php?ED=175426257&UID=487698002&PW=NMTg3Nzk0ZGQ2&RT=MiMxMQ%3D%3D
Webinar Audio Call-In Number: Call-in toll-free number (US/Canada): 1-866-699-3239
Access code: 576 579 427
Dates: July 6, 2011
Time: 1:00 PM EDT until 3:00PM
Webinar Link: https://scgcorp.webex.com/scgcorp/j.php?ED=175430117&UID=487698002&PW=NMTg2ZDk4YzE2&RT=MiMxMQ%3D%3D
Webinar Audio Call-In Number: Call-in toll-free number (US/Canada): 1-866-699-3239
Access code: 579 829 984
Dates: July 13, 2011
Time: 1:00 PM EDT until 3:00PM
Webinar Link: https://scgcorp.webex.com/scgcorp/j.php?ED=175430512&UID=487698002&PW=NZDA1YzQ4OGEw&RT=MiMxMQ%3D%3D
Webinar Audio Call-In Number: Call-in toll-free number (US/Canada): 1-866-699-3239
Access code: 570 302 469
Formal instructions for application 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 current and pending support form (available at http://epa.govhttps://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 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 http://epa.govhttps://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). Do not include information for consultants or other contractors. 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, use 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 (outputs/outcomes) 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: http://epa.govhttps://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms.
- Research and Demonstration Plan, Quality Assurance Statement, Data Plan, and References
- Research Plan (15 pages)
Applications should focus on a limited number of research and demonstration objectives that adequately and clearly demonstrate that they meet the RFA requirements including those identified in Section I. 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 demonstration project 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 research and demonstration project. 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 and demonstration design, methods, and techniques that you intend to use in meeting the objectives stated above. Describe, if any, your collaboration(s) in demonstrating treatment technologies with entities such as small drinking water systems, state primacy agencies and water centers/clusters.
- Innovation: Summarize how your research and demonstration project is innovative by describing how your project shifts current research or engineering paradigms, by using innovative theoretical concepts, approaches or methodologies, instrumentation or interventions.
- Sustainability: Summarize how your research and demonstration project seeks sustainable solutions to protect the environment, strengthens our communities and foster prosperity. Summarize the potential environmental, societal, and economic benefits of your proposed sustainable solutions. The following sustainability summary (https://cfpub.epa.gov/ncer_abstracts/index.cfm/fuseaction/display.files/fileID/8166 (PDF) (1 pp, 197 K)) provides examples of sustainable research activities.
- 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 and demonstration projects 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 and demonstration project.
- General Project Information: Discuss other information relevant to the potential success of the project. This should include facilities, personnel expertise/experience, project schedules with associated milestones and target dates, 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. Please carefully review section IV. D before naming co-principal investigators.
- 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.)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.
- Collection of new/primary data:
- Research Plan (15 pages)