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
Anthropogenic Influences on Organic Aerosol Formation and Regional Climate Implications
This is the initial announcement of this funding opportunity.
Funding Opportunity Number:
- Anthropogenic Influences on Organic Aerosol Formation and Regional Climate Implications, EPA-G2012-STAR-D1
Anthropogenic Influences on Organic Aerosol Formation and Regional Climate Implications, Early Career, EPA-G2012-STAR-D2
Catalog of Federal Domestic Assistance (CFDA) Number: 66.509
Solicitation Opening Date: February 9, 2012
Solicitation Closing Date: May 3, 2012, 11:59:59 pm Eastern Time
Eligibility Contact: James Gentry (gentry.james@epa.gov); phone: 703-347-8093
Electronic Submissions: Todd Peterson (peterson.todd@epa.gov); phone: 703-308-7224
Technical Contact: Sherri Hunt (hunt.sherri@epa.gov); phone: 703-347-8042
Access Standard STAR Forms (Forms and Standard Instructions Download Page)
View research awarded under previous solicitations (Funding Opportunities: Archive Page)
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 work to use measurements to improve understanding of the formation of organic compounds from a mixture of anthropogenic and biogenic emissions and their climatically relevant properties.
In addition to regular awards, this solicitation includes the opportunity for early career projects. The purpose of the early career award is to fund research projects smaller in scope and budget by early career PIs. Please see Section III of this Request for Applications (RFA) for details on the early career eligibility criteria.
Award Information:
Anticipated Type of Award: Grant or cooperative agreement
Estimated Number of Awards: Approximately 5 regular awards and 3 early career awards.
Anticipated Funding Amount: Approximately $2.9 million total for all awards
Potential Funding per Award: Up to a total of $400,000 for regular awards, and $300,000 for early career awards, including direct and indirect costs, with a maximum duration of 3 years. Cost-sharing is not required. Proposals with budgets exceeding the total award limits will not be considered.
Eligibility Information:
Public nonprofit institutions/organizations (includes public institutions of higher education and hospitals) and private nonprofit institutions/organizations (includes private institutions of higher education and hospitals) located in the U.S., state and local governments, Federally Recognized Indian Tribal Governments, and U.S. territories or possessions are eligible to apply. See full announcement for more details.
Special eligibility criteria apply to the early career project portion of this RFA. 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,Forms and Standard Instructions Download Page. 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 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: Todd Peterson (peterson.todd@epa.gov); phone: 703-308-7224
Technical Contact: Sherri Hunt (hunt.sherri@epa.gov); phone: 703-347-8042
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 to improve understanding of the formation of organic compounds and their climatically relevant properties. EPA is interested in supporting research that will improve the understanding of the linkages between gas phase chemistry and secondary organic aerosol formation and the interaction of anthropogenic and biogenic emissions.
In addition to regular awards, this solicitation includes the opportunity for early career projects. The purpose of the early career award is to fund research projects smaller in scope and budget by early career PIs. Please see Section III of this RFA for details on the early career eligibility criteria.
B. Background
Understanding simultaneous exposure to multiple air pollutants with adverse health effects is a high priority for protection of public health from air pollution. One of the most widely occurring instances of exposure to multiple pollutants is co-exposure to particulate matter and ozone (NRC, 2004), which occurs because of broad overlap in the chemistry of ozone and organic aerosol formation. In the Eastern United States, secondary organic aerosol (SOA) is regional in character, with little spatial variation in concentration over wide areas (Lee et al. 2010). Under these circumstances, precursors for ozone and SOA can be drawn from a broad geographic extent even in densely populated urban locations. In the Eastern US, SOA is mainly produced by reactions of biogenic hydrocarbons (Yu et al. 2004, Lee et al. 2010). The amount of SOA produced from biogenic precursors, particularly isoprene, is severely underpredicted by current air quality models such as CMAQ (Foley, K.M. et al. 2010, Carlton, A.G., et al. 2010). A better fundamental understanding of regional SOA formation from biogenic volatile organic compounds (BVOCs), as well as better understanding of how SOA formation from BVOCs is affected by anthropogenic emissions, are essential not only for improving predictions of regional organic aerosol concentrations but also for providing a foundation for understanding the combined chemistry of biogenic and anthropogenic precursors in urban areas.
Additionally, since aerosols formed from BVOCs may substantially alter the regional radiative balance (Goldstein et al., 2009; Hecobian et al., 2010) and have important implications for climate change, it is essential to understand the effect anthropogenic emissions have on organic aerosol formation and to accurately parameterize this effect in the models used for air quality management and regional climate change investigations.
Emissions and surface fluxes of BVOCs can be predicted with models such as MEGAN or BEIS, which agree within a factor of 2 (Warneke et al., 2010; Arneth et al., 2011). After escaping from the forest canopy, BVOCs are rapidly transformed. This photo-oxidation chemistry has been the subject of several recent laboratory studies (Paulot et al., 2009; Crounse et al., 2011; Galloway et al., 2011). Advances have greatly improved our understanding of the role of NOx in the oxidation of isoprene and the formation of secondary organic aerosol (Surratt et al., 2010) as well as the chemistry of terpenes (Herrmann et al., 2010; Offenberg et al., 2007; Fry et al., 2009). The role of acidic sulfate on formation of SOA has also been examined (Jang, 2002), but many of the details required to account for it in air quality models remain unknown and require more study. While NOx and sulfate play an important role in the formation of SOA from BVOCs, the degree to which anthropogenic pollution enhances the oxidation of BVOCs and formation of SOA still remains poorly understood.
Improvements in understanding the influence of anthropogenic pollution on SOA formation from BVOCs may be gained by further investigation of some of the uncertainties in the gas phase chemical mechanism for SOA formation. Current chemical mechanisms have been developed and optimized for predicting ozone formation in urban and suburban areas and further improvements in their representation of oxidant chemistry may be achieved by examining a broader range of environments. While there has been significant improvement in the agreement between model predictions and measurements of organic aerosol, several key oxidant species are still poorly predicted, suggesting that further investigation is needed. Improvements in understanding the complex interactions between chemicals that are both emitted and produced in the atmosphere will allow for a better assessment of the role of BVOCs, as well as aromatic VOCs, that are produced from anthropogenic sources.
Since the products of BVOC oxidation are readily soluble in water, cloud droplets and aerosol water serve as a medium for the formation of low-volatility products that also contribute to SOA (Warneck, 2003; Ervens et al., 2004; Lim et al., 2005; Volkamer et al., 2009). In the aqueous phase, these compounds can form a mixture of light-absorbing and light-scattering compounds (Shapiro et al, 2009; Hacobian et al., 2010). The impact of biogenic SOA on regional radiative forcing and the effect on cloud condensation nuclei merits further study.
Knowledge of the emissions, transformations, and properties of the BVOCs and subsequent products is needed for the development of air quality models. Improved understanding of the complex interplay between anthropogenic emissions, biogenic emissions, gas-phase photochemistry, secondary organic aerosol, and regional climate impacts is necessary for the development of effective multipollutant air quality management strategies. As state and local decision-makers consider NOx and sulfur controls, it is important to accurately capture the impact of these emission reductions on biogenic SOA. Since the models are used in a relative sense, accurate simulation of both anthropogenic and biogenic SOA is critical for understanding what sources contribute to areas with high particle concentrations. Finally, since biogenic SOA is a complex mixture of light-scattering and light-absorbing compounds, the science issues above are critical to developing air quality management strategies that appropriately consider regional climatic impacts.
Carefully designed field measurements can be performed in order to further understanding of the extent to which people influence both the homogeneous and heterogeneous processes contributing to organic aerosols from multiple sources within the multipollutant mixture. Such work may improve understanding of important chemical mechanisms and climatic properties of organic aerosol. One upcoming opportunity for field measurements is the Southern Oxidant and Aerosol Study (SOAS), a community-led field campaign designed to understand how atmosphere-biosphere interactions influence air quality and climate change. A key aspect of SOAS is the simultaneous measurement of emissions, surface fluxes, atmospheric chemistry, aerosol formation, and mixed-phase processes. This effort involving a combination of multiple measurements and modeling with a set of common goals will result in a rich dataset that can be used to address a number of the questions described here. More SOAS information is available here (Southern Oxidant & Aerosol Study (SOAS)). Additionally, the National Oceanic and Atmospheric Administration (NOAA) is planning to participate in this field effort as well; see SENEX 2013: Southeast Nexus Studying the Interactions Between Natural and Anthropogenic Emissions at the Nexus of Climate Change and Air Quality for details.
The specific Strategic Goal and Objective from the EPA’s Strategic Plan that relate to this solicitation are:
- Goal 1: Taking Action on Climate Change and Improving Air Quality, Objective 1.2: Improve Air Quality,
The EPA’s FY 2011-2015 Strategic Plan (https://www.epa.gov/planandbudget/strategicplan.html).
C. Authority and Regulations
The authority for this RFA and resulting awards is contained in the Clean Air Act, Section 103, 42 U.S.C. 7403.
For research with an international aspect, the above statutes are supplemented, as appropriate, by the National Environmental Policy Act, Section 102(2)(F).
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 air pollution, water pollution, solid/hazardous waste pollution, toxic substances control, or pesticide control depending on which statute(s) is listed 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.
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, 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 under this solicitation should address at least one of the following questions relating to organic aerosol formation and properties:
- How do anthropogenic emissions influence the oxidation of biogenic volatile organic compounds (BVOCs) and the subsequent formation of secondary organic aerosol, ozone, stable organic intermediates or reactive nitrogen compounds?
- How can the linkages between gas phase chemistry and secondary organic aerosol formation be improved in air quality models using observations of gas and aerosol concentration and properties?
- How are the climatically relevant properties of biogenic secondary organic aerosols (either optical properties or cloud interactions) impacted by anthropogenic emissions?
The focus of this solicitation is on the development and analysis of new data sets, primarily from measurements in the field. Applicants are strongly encouraged to leverage planned or ongoing field studies such as SOAS described above. Proposals for modeling projects or the development of new model methods and parameters should demonstrate a strong linkage to a field campaign.
The outputs of the proposed projects include reports, presentations, and peer-reviewed journal publications describing measurements and insights into the formation of organic compounds from a mixture of anthropogenic and biogenic emissions and climatically relevant properties of organic aerosols as well as improved air quality models. The expected outcomes of this research are an improved understanding of the important processes and species for organic aerosol formation from the mixture of anthropogenic and biogenic emissions and a better knowledge of organic aerosol formation and their properties which will allow for their improved representation in air quality models. These more accurate air quality models will be used to develop more successful air quality management strategies as well as plans that incorporate the climatic influence of organic aerosols into future strategies addressing air pollution problems.
E. References
Arneth, A., et al. Global terrestrial isoprene emission models: sensitivity to variability in climate and vegetation, Atmospheric Chemistry and Physics, 11, 8037-8052, 2011
Carlton, A.G., et al. To What Extent Can Biogenic SOA be Controlled? Environmental Science and Technology, 44, 3376-3380, 2010
Carlton, A.G., et al. Model representation of secondary organic aerosol in CMAQv4.7, Environ. Sci. Technol., 44(22), 8553–8560, 2010
Crounse, J.D., et al., Peroxy radical isomerization in the oxidation of isoprene. Physical Chemistry Chemical Physics, 13(30): p. 13607‐13613, 2011
Ervens, B.; Feingold, G.; Frost, G. J.; Kreidenweis, S. M. A modeling study of aqueous production of dicarboxylic acids: 1. Chemical pathways and speciated organic mass production, J. Geophys. Res., 109, D15205, 2004
Fall, R. Abundant Oxygenates in the Atmosphere: A Biochemical Perspective, Chemical Reviews, 103 (12), pp 4941–4952, 2003
Foley, K. M., et al., Incremental testing of the Community Multiscale Air Quality (CMAQ) modeling system version 4.7, Geosci. Model Dev., 3, 205–226, doi:10.5194/gmd-3-205-2010, 2010
Fry, J.L., et al., Organic nitrate and secondary organic aerosol yield from NO3 oxidation of beta-pinene evaluated using a gas‐phase kinetics/aerosol partitioning model. Atmospheric Chemistry and Physics 9(4): p. 1431‐1449, 2009
Galloway, M. M., Huisman, A. J., Yee, L. D., Chan, A. W. H., Loza, C. L., Seinfeld, J. H., and Keutsch, F. N.: Yields of oxidized volatile organic compounds during the OH radical initiated oxidation of isoprene, methyl vinyl ketone, and methacrolein under high-NOx conditions, Atmos. Chem. Phys., 11, 10779-10790, 2011
Goldstein, A.H., et al., Biogenic carbon and anthropogenic pollutants combine to form a coolinghaze over the southeastern United States. Proceedings of the National Academy of Sciences of the United States of America, 106: p. 8835‐8840, 2009
Hecobian, A., Water-Soluble Organic Aerosol material and the light-absorption characteristics of aqueous extracts measured over the Southeastern United States, Atmos. Chem. Phys., 10, 5965-5977, 2010
Herrmann, F., et al., Hydroxyl radical (OH) yields from the ozonolysis of both double bonds for five monoterpenes. Atmospheric Environment, 44, p. 3458‐3464, 2010
Jang, M., 2002. Heterogeneous Atmospheric Aerosol Production by Acid-Catalyzed Particle-Phase Reactions. Science, 298, 814-817.
Karl, T. et al., Efficient Atmospheric Cleansing of Oxidized Organic Trace Gases by Vegetation, Science, 330, pp. 816-819, 2010
Lee S, Wang Y, Russell AG (2010) Assessment of Secondary Organic Carbon in the Southeastern United States: A Review. Journal of the Air & Waste Management Association 60, 1282-1292.
Lim, H.-J.; Carlton, A. G.; Turpin, B. J. Isoprene forms secondary organic aerosol through cloud processing: model simulations, Environ. Sci. Technol., 39 4441—4446, 2005
NRC 2004: National Research Council, Air Quality Management in the United States, National Academies Press, Washington DC
Offenberg, J.H., et al., Influence of Aerosol Acidity on the Formation of Secondary Organic Aerosol from Biogenic Precursor Hydrocarbons. Environmental Science & Technology, 43(20): p. 7742‐7747, 2009
Paulot, F., et al., Isoprene photooxidation: new insights into the production of acids and organic nitrates. Atmospheric Chemistry and Physics, 9(4): p. 1479‐1501, 2009
Shapiro, E.L., et al., Light‐absorbing secondary organic material formed by glyoxal in aqueous aerosol mimics. Atmospheric Chemistry and Physics, 9, p. 2289‐2300, 2009
Surratt et al., Reactive intermediates revealed in secondary organic aerosol formation from isoprene. Proceedings of the National Academy of Sciences of the United States of America, 107, 6640–6645, 2010
Warneck, P. In-cloud chemistry opens pathway to the formation of oxalic acid in the marine atmosphere, Atmos. Environ. 37, 2423—2427, 2003
Warneke, C., et al., Biogenic emission measurement and inventories determination of biogenic emissions in the eastern United States and Texas and comparison with biogenic emission inventories. Journal Of Geophysical Research‐Atmospheres, 115: p. D00F18, 2010
Volkamer, R., F. San Martini, L. T. Molina, D. Salcedo, J. L. Jimenez, and M. J. Molina, A missing sink for gas-phase glyoxal in Mexico City: Formation of secondary organic aerosol, Geophys. Res. Lett., 34, L19807, 2007
Yu S, Dennis RL, Bhave PV, Eder BK (2004) Primary and secondary organic aerosols over the United States: estimates on the basis of observed organic carbon (OC) and elemental carbon (EC) and air quality modeled primary OC/EC ratios. Atmospheric Environment 38, 5257-5268.
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.
Please note: Early career projects will not accommodate a Multiple PI application. Early career projects shall be submitted as a single Lead PI application. 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. The application must include an early career verification (see “Early Career Verification” in Section IV.B.5.d).
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 $2.9 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 5 regular and 3 early career awards under this RFA. Requests for amounts in excess of a total of $400,000 for regular awards and $300,000 for early career awards, including direct and indirect costs, will not be considered. The total project period requested in an application submitted for this RFA may not exceed 3 years.
The EPA reserves the right to reject all applications and make no awards, or make fewer awards than anticipated, under this RFA. The EPA reserves the right to make additional awards under this announcement, consistent with Agency policy, if additional funding becomes available after the original selections are made. Any additional selections for awards will be made no later than 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. 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 to the extent authorized by law. Examples are purchase of satellite data, 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 research performed by PIs 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.
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. The application must include an early career verification (see “Early Career Verification” in Section IV.B.5.d).
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
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 current and pending support form (available at Forms and Standard Instructions Download Page (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.
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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 Dun & Bradstreet web site.
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 the Intergovernmental Review (SPOC List) . 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.
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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 (available at Forms and Standard Instructions Download Page (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). 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”).
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Table of Contents
Provide a list of the major subdivisions of the application indicating the page number on which each section begins.
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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: (available at Forms and Standard Instructions Download Page (https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms)).
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Research Plan, Quality Assurance Statement, Data Plan, Early Career Verification and References
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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 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.
- Appendices may be included but must remain within the 15-page limit.
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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.
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Data Plan (2 pages)
Provide a plan to make all data resulting from an agreement under this RFA available in a format and with documentation/metadata such that they may be used by others in the scientific community. This includes both primary and secondary or existing data, i.e., from observations, analyses, or model development collected or used under the agreement. Applicants who plan to develop or enhance databases containing proprietary or restricted information must provide, within the two pages, a strategy to make the data widely available, while protecting privacy or property rights.
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Early Career Verification (1 page)
To be eligible for an early career award, the PI must verify that he/she:
- Holds a doctoral degree in a field of science or engineering by the closing date of the RFA;
- Is untenured at the closing date of the RFA, and
- Is, or expects to 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 by the award date.
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.
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References: References cited are in addition to other page limits (e.g. research plan, quality assurance statement, data plan).
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Budget and Budget Justification
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Budget
Prepare a master budget table using “SF-424A Budget Information for Non-Construction Programs” (aka SF-424A), available in the Grants.gov electronic application package and also at (available at Forms and Standard Instructions Download Page (https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms)). Only complete “Section B-Budget Categories”. Provide the object class budget category (a. - k.) amounts for each budget year under the “Grant Program, Function or Activity” heading. Each column reflects a separate budget year. For example, Column (1) reflects budget year 1. The total budget will be automatically tabulated in column (5).
If a subaward is included in the application, provide a separate SF-424A and budget justification for the subaward. Include the total amount for the subaward under “Other” in the master SF-424A.
Applicants may not use subagreements to transfer or delegate their responsibility for successful completion of their EPA assistance agreement. Therefore, EPA expects that subawards or subcontracts should not constitute more than 40% of the total direct cost of the total project budget. If a subaward/subcontract constitutes more than 40% of the total direct cost, additional justification may be required before award, discussing the need for the subaward/subcontract to accomplish the objectives of the research project. Please see Section IV. D below if your organization intends to identify specific contractors, including consultants, and subawardees in your proposal.
Please note that institutional cost-sharing is not required. However, if voluntary cost-sharing is proposed, a brief statement concerning cost-sharing should be added to the budget justification.
Please note that when formulating budgets for proposals/applications, applicants must not include management fees or similar charges in excess of the direct costs and indirect costs at the rate approved by the applicant’s cognizant audit agency, or at the rate provided for by the terms of the agreement negotiated with EPA. The term "management fees or similar charges" refers to expenses added to the direct costs in order to accumulate and reserve funds for ongoing business expenses, unforeseen liabilities, or for other similar costs that are not allowable under EPA assistance agreements. Management fees or similar charges may not be used to improve or expand the project funded under this agreement, except to the extent authorized as a direct cost of carrying out the scope of work.
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Budget Justification [2 pages in addition to the Section IV.B.5. page limitations, not including additions under Nos. (6) and (7) below to support contracts and subawards]
Describe the basis for calculating the personnel, fringe benefits, travel, equipment, supplies, contractual support, and other costs identified in the itemized budget. The budget justification should not exceed two consecutively numbered (bottom center), 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins.
Budget information should be supported at the level of detail described below:
- Personnel: List all staff positions by title. Give annual salary, percentage of time assigned to the project, total cost for the budget period, and project role.
- Fringe Benefits: Identify the percentage used and the basis for i
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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.