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
Measurements and Modeling for Quantifying Air Quality and Climatic Impacts of Residential Biomass or Coal Combustion for Cooking, Heating, and Lighting
This is the initial announcement of this funding opportunity.
Funding Opportunity Number:
Measurements and Modeling for Quantifying Air Quality and Climatic Impacts of Residential Biomass or Coal Combustion for Cooking, Heating, and Lighting:
EPA-G2012-STAR-E1
Early Career: Measurements and Modeling for Quantifying Air Quality and Climatic Impacts of Residential Biomass or Coal Combustion for Cooking, Heating and Lighting:
EPA-G2012-STAR-E2
Catalog of Federal Domestic Assistance (CFDA) Number: 66.509
Solicitation Opening Date: March 19, 2012
Solicitation Closing Date: June 19, 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: John Dawson (dawson.john@epa.gov); phone: 703-347-8109
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 research on quantifying, via field measurements and modeling, the improvements in climate and ambient and indoor air quality, and the subsequent impacts on health and welfare, resulting from ongoing, planned, or potential interventions in cooking, heating, or lighting practices. This research should focus on communities in the developing world and on Indian tribes and Alaska Native groups.
This solicitation provides the opportunity for the submission of applications for projects that involve human subjects research. All applications must include a Human Subjects Research Statement (HSRS, as described in Section IV.B.5.c), and if the project involves human subjects research, it will be subject to an additional level of review prior to funding decisions being made as described in Sections V.C and V.D of this solicitation.
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 2 regular and 2 early career awards
Anticipated Funding Amount: Approximately $3.5 million total for all awards
Potential Funding per Award: Up to a total of $1.5 million for regular awards and $250,000 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. 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 (https://www.epa.gov/research-grants/funding-opportunities-how-apply-and-required-forms). If your organization is not currently registered with Grants.gov, you need to allow approximately one week to complete the registration process. This registration, and electronic submission of your application, must be performed by an authorized representative of your organization.
If you do not have the technical capability to utilize the Grants.gov application submission process for this solicitation, call 1-800-490-9194 or send a webmail message 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: John Dawson (dawson.john@epa.gov); phone: 703-347-8109
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 Air, Climate, and Energy research program announces an extramural funding competition supporting research on the impacts on air quality and climate from residential cooking, heating, or lighting, with a focus on the developing world and on Indian tribes and Alaska Native groups. This research will quantify the extent to which interventions for cleaner cooking, heating, or lighting can impact air quality and climate, which in turn affect human health and welfare. More information about ongoing EPA efforts regarding cookstoves can be found at Science Matters newsletter.
This solicitation provides the opportunity for the submission of applications for projects that involve human subjects research. All applications must include a Human Subjects Research Statement (HSRS, as described in Section IV.B.5.c), and if the project involves human subjects research, it will be subject to an additional level of review prior to funding decisions being made as described in Sections V.C and V.D of this solicitation.
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
In much of the developing world, the unventilated, indoor burning of solid fuels is used for cooking food and for heating or lighting homes. More than 3 billion people worldwide rely on the burning of wood, dung, crop residues, charcoal, or coal in traditional stoves for their cooking or heating (IEA, 2009). Exposure to cookstove emissions, particularly indoor exposure, leads to an estimated 2 million deaths each year and ranks as one of the five worst overall health risk factors in poor developing countries. Emissions from cookstove use have been linked to adverse respiratory, cardiovascular, neonatal, and cancer outcomes in the developing world (Smith et al., 2004).
On a smaller geographical scale, indoor cooking has also been linked to acute lower respiratory illness in Navajo children (Robin et al., 1996). Due to the lack of electricity or other utilities in a significant fraction of Navajo and other Native American homes (EIA, 2000), many members of these communities rely on indoor burning of coal or other fuels, which leads to high indoor pollutant concentrations (Bunnell et al., 2010). Additionally, the unique weather and land conditions of Alaska necessitate high rates of residential burning in Alaska Native villages. This makes residential burning a common cause of degraded indoor air quality in Alaska Native homes (EPA, 2010).
The burning of solid fuels for residential cooking, heating, and lighting results in high emissions of and exposures to carbonaceous aerosols and other pollutants. The health impacts from indoor combustion are due to the emissions of particulate matter, such as carbonaceous aerosols, and other air pollutants, such as polycyclic aromatic hydrocarbons (Rajput et al., 2010; Hays et al., 2003; Shen et al., 2011). Residential cookstoves are estimated to contribute approximately one-fifth of total global black carbon emissions. Black carbon, which absorbs light of all wavelengths, has been identified (Jacobson, 2001; Ramanathan and Carmichael, 2008) as one of the main contributors to global warming. Atmospheric brown clouds (Ramanathan et al., 2005) cover much of Asia and the Indian Ocean, and these clouds, consisting largely of carbonaceous aerosols from biomass burning and fossil fuels, contribute significantly to regional warming, in addition to warming from greenhouse gases. Moreover, the darkening of snow by deposited black carbon is an important mechanism by which these aerosols impact the climate (Flanner et al., 2007). Additionally, these particles impact the climate in non-radiative ways through their effects on clouds, precipitation, and water availability. For example, Ramanathan et al. (2005) found that atmospheric brown clouds, which are comprised largely of cookstove emissions, can significantly alter the South Asian monsoon.
The exact impacts of residential cookstoves and solid fuels are difficult to quantify. The rate and composition of emissions may vary greatly depending on the type of stove used, the fuel used, and the mode of operation (MacCarty et al., 2008). The climatic impacts due to those emissions vary based on the rate and composition of the emissions, atmospheric process, and location. The location of the emissions is especially important in areas where the aerosols can reach snow- or ice-covered areas, such as the Himalayas, where they can decrease albedo and accelerate melting. There are also relatively few measurements of particulate matter in most of the developing world and in Indian Country and Alaska Native villages, making accounting for the impacts of cookstoves and solid fuels even more challenging.
Residential burning for cooking, heating, and lighting is commonly associated with impoverished communities that have specific constraints on their ability to change-over to other fuel types or technologies. A particularly important factor is the local availability of alternative cleaner fuels, which varies regionally. In addition to being a key factor in implementation, the local availability of an alternative fuel is also important to consider from a sustainability standpoint. While alternative fuels may provide cleaner emissions at the point of use, the benefits of a certain fuel may be undermined by emissions and costs associated with the production and transport of the candidate fuel to specific regions. These ancillary emissions may pose less of a concern for exposure, if physically removed from populations; however, these emissions are still relevant for climate.
Given the complexities in evaluating the health and climate impacts of residential burning in the developing world and in Indian Country and Alaska Native villages, research is needed to pinpoint the most beneficial strategies for reducing black carbon and other emissions from this source. New stove technologies have the potential to reduce emissions from cookstoves nearly to the levels of clean fuels such as liquefied petroleum gas (Wilkinson et al., 2009), but many require specific and/or highly processed fuels, which increases the cost (Venkataraman et al., 2010). The reduced emissions from these cleaner stoves could dramatically improve public health in developing regions. Similarly, the reduced emissions could also be beneficial for climate, helping to slow regional warming. This climate benefit, however, is difficult to quantify, and could be an important outcome from proposed research under this RFA on the effects of cleaner technologies. Measurements of indoor and ambient air quality would be needed in order to quantify how these fuels affect air quality, climate, and health, and the extent to which a change to cleaner fuels can improve the environment. Modeling allows the impacts over a broader area to be quantified and allows various technological or climatic scenarios to be explored.
Research on domestic burning in the developing world or among indigenous communities benefits substantially from partnerships with the community in which the research is occurring. The benefits of such partnerships include greater community acceptance and awareness of the research and its results as well as a more accurate understanding of how cookstoves and other combustion sources are used in practice. Community partnerships also provide insight into the technical and social constraints and opportunities that may impact choices in home heating, lighting, or cooking stove technology and fuel type. Recent research on cooking practices in developing countries suggests that deviations from conventional fuel use and cooking routines can represent significant cultural and social barriers to cookstove adoption despite associated health benefits or time savings (Slaski and Thurber, 2009; Troncoso et al, 2007). Organizations with experience in such issues are more likely to have the cultural and technological knowledge necessary to assure the long-term acceptability and sustainability of various intervention options. Groups such as the Partnership for Clean Indoor Air bring together “resources and expertise to reduce smoke exposure from cooking and heating practices in households around the world.” Similarly, the Global Alliance for Clean Cookstoves works with “public, private, and non-profit partners to help overcome the market barriers that currently impede the production, deployment, and use of clean cookstoves in the developing world.” Many other institutions, such as environmental and public health groups, universities, and research organizations have ongoing partnerships with communities affected by indoor combustion, working with communities to maximize opportunities for cleaner cooking, heating, and lighting. Research including partnerships with organizations such as these can benefit from their experience in similar efforts.
This RFA seeks research on quantifying the improvements in climate and ambient and indoor air quality, and the subsequent impacts on health and welfare, resulting from ongoing, planned, or potential interventions in cooking, heating, or lighting practices in a developing part of the world or among Indian tribes or Alaska Native groups. Interventions may include cleaner-burning cookstoves, processed biomass fuels, fuel-switching, education, training, or other novel ideas.
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 1.1: Address Climate Change
More information can be found in EPA’s FY 2014-2018 Strategic Plan
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.
Researchers applying for Regular awards should use both modeling and measurements of ambient or indoor air quality to address at least one of the following questions:
- How would a feasible set of interventions for residential cooking, heating, or lighting in a developing part of the world impact air quality and climate?
- What is the realistic range and timeframe of foreseeable benefits to air quality and climate of various interventions in cooking, heating, or lighting practices in a developing part of the world, considering regional constraints (e.g., acceptability and availability of different technologies or fuels) and sustainability of alternate fuels or technologies?
Researchers applying for Early Career awards should use measurements (or both measurements and modeling) of ambient or indoor air quality to address at least one of the following questions:
- How would a feasible set of interventions for residential heating or lighting in Indian tribal or Alaska Native households impact air quality?
- How would a feasible set of interventions for residential cooking in Indian tribal or Alaska Native households impact air quality?
For this research, partnerships with organizations with existing cooking-, heating-, or lighting-related expertise in communities negatively affected by emissions from household cooking, heating, or lighting are strongly encouraged. Researchers are also strongly encouraged to consider the impacts on human health and welfare that result from the changes in air quality and climate that occur. In these research questions, “air quality” refers to ambient or indoor concentrations of air pollutants that affect public health, and “climate” refers to both radiative (e.g. temperature, radiative forcing, etc.) and non-radiative effects (e.g. precipitation changes, hydrologic cycle changes, water availability, cloud cover, etc.) at the local-to-regional scale or the global scale.
The outputs of the proposed projects include reports, presentations, and peer-reviewed journal publications describing the ways in which interventions for residential cooking, heating, or lighting affect air quality and climate. The expected outcome of this research is a quantitative understanding of how cleaner fuels, technologies, and practices for residential cooking, heating, or lighting will affect air quality and climate and, in turn, human health and welfare.
E. References
Bunnell, J.E., Garcia, L.V., Furst, J.M., Lerch, H., Olea, R.A., Suitt, S.E., and Kolker, A. (2010) Navajo coal combustion and respiratory health near Shiprock, New Mexico. Journal of Environmental and Public Health 2010, doi:10.1155/2010/260525.
Energy Information Administration (EIA) (2000) Energy consumption and renewable energy development potential on Indian Lands (PDF) (68 pp, 3.41 MB), April 2000.
Environmental Protection Agency (EPA) (2010) Alaska Native village air quality fact sheet series: Wood smoke, August 2010.
Flanner. M.G., Zender. C.S., Randerson. J.T., and Rasch. P.J. (2007) Present‐day climate forcing and response from BC in snow. Journal of Geophysical Research‐Atmospheres 112 (D11) (doi:10.1029/2006JD008003).
Hays, M.D., et al. (2003) Polycyclic aromatic hydrocarbon size distributions in aerosols from appliances of residential wood combustion as determined by direct thermal desorption—GC/MS. Journal of Aerosol Science 34, 1061-1084.
International Energy Agency (2009) World energy outlook 2009, International Energy Agency (ISBN: 978‐92‐64‐06130‐9).
Jacobson, M.Z. (2001) Strong radiative heating due to the mixing state of BC in atmospheric aerosols. Nature 409.
MacCarty, et al. (2008) A laboratory comparison of the global warming impact of five major types of biomass cooking stoves. Energy for Sustainable Development XII.
Rajput, N., Pyari, A.A., Saini, M.K., Kumari, K.M., Lakhani, A. (2010) Assessment of PAH Toxicity and Mutagenicity in Emissions from Coal and Biofuel Combustion. Journal of Environmental Science & Engineering 52, 185-192.
Ramanathan, V., C. Chung, D. Kim, T. Bettge, L. Buja, J. T. Kiehl, W. M. Washington, Q. Fu, D. R. Sikka, and M. Wild, 2005: Atmospheric Brown Clouds: Impacts on South Asian Climate and Hydrological Cycle. Proceedings of the National Academy of Sciences, Vol. 102, No. 15, 5326-5333.
Ramanathan, V., and Carmichael, G., (2008) Global and regional climate changes due to black carbon. Nature Geoscience 1, 221‐227.
Robin LF, et al. (1996) Wood-burning stoves and lower respiratory illnesses in Navajo children, Pediatr Infect Dis J. 15, 859-865.
Shen, G.F., et al. (2011) Emissions of PAHs from Indoor Crop Residue Burning in a Typical Rural Stove: Emission Factors, Size Distributions, and Gas-Particle Partitioning. Environmental Science and Technology 45, 1206-1212.
Slaski, X., and M. Thurber. 2009. Research Note: Cookstoves and obstacles to technology adoption by the poor. PESD Working Paper #89 (PDF) (8 pp, 494 K). Stanford University, Freeman Spogli Institute for International Studies October 2009.
Smith K.R., Mehta S., and Maeusezahl‐Feuz M. (2004) Indoor smoke from household solid fuels. In Comparative quantification of health risks: global and regional burden of disease due to selected major risk factors, M. Ezzati, A.D. Rodgers, A.D. Lopez, and C.L.J. Murray eds., World Health Organization, Geneva, Switzerland.
Troncoso, K., A. Castillo, O. Masera, L. Merino. (2007) Social perceptions about a technological innovation for fuel wood cooking: Case study in rural Mexico. Energy Policy 35, 2799-2810.
Venkataraman C., et al. (2010) The Indian National Initiative for Advanced Biomass Cookstoves: the benefits of clean combustion. Energy for Sustainable Development 14, 63‐72.
Wilkinson P., Smith K.R., Davies M., Adair H., Armstrong B.G., Barrett M.,, et al. (2009) Public health benefits of strategies to reduce greenhouse‐gas emissions: household energy. The Lancet 374.
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).
This solicitation provides the opportunity for the submission of applications for projects that involve human subjects research. There are many scientific and ethical considerations that must be addressed in such studies by the study sponsor and research team, including, but not limited to, those related to recruitment, retention, participant compensation, third-party issues, researcher-participant interactions, researcher-community interactions, communications, interventions, and education. All such research must comply with the requirements of 40 CFR Part 26, and any human observational exposure studies must also adhere to the principles set forth in the Scientific and Ethical Approaches for Observational Exposure Studies (SEAOES) (EPA/600/R-08/062) document. SEAOES, which was published by researchers in EPA and which discusses the principles for the ethical conduct of human research studies, serves as a resource for applicants interested in applying under this solicitation. References to “SEAOES Principles” in this solicitation refers, in general, to the issues of interest in conducting human subjects research studies that maintain the highest scientific and ethical standards and safety during the conduct of these studies. All applications must include a Human Subjects Research Statement (HSRS; described in Section IV.B.5.c) and if the project involves human subjects research, it will be subject to an additional level of review prior to funding decisions being made as described in Sections V.C and V.D of this solicitation.
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 $3.5 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 two regular and two early career awards under this RFA. Requests for amounts in excess of a total of $1.5 million for regular awards and $250,000 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 three 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 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.
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Funding Opportunity Title and Number for this proposal.
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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.”
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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.
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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.
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Project Period and Location: Show the proposed project beginning and ending dates and the geographical location(s) where the work will be conducted.
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Project Cost: Show the total dollars requested from the EPA (include direct and indirect costs for all years).
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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.
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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: 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, Human Subjects Research Statement, 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:
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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.
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Approach/Activities: Outline the research design, methods, and techniques that you intend to use in meeting the objectives stated above.
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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.
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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.
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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.)
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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.)
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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.
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Address each of the following project elements as applicable:
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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).
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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.
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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.
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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.
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Use of existing/secondary data (i.e., data previously collected for other purposes or from other sources):
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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.
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Specify the source(s) of the secondary data and discuss the rationale for selection.
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Establish a plan to identify the sources of the secondary data in all deliverables/products.
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Specify quality requirements and discuss the appropriateness for their intended use. Accuracy, precision, representativeness, completeness, and comparability need to be addressed, if applicable.
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Describe the procedures for determining the quality of the secondary data.
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Describe the plan for data management/integrity.
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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.
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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.
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Discuss verification techniques to ensure the source code implements the model correctly.
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Discuss validation techniques to determine that the model (assumptions and algorithms) captures the essential phenomena with adequate fidelity.
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Discuss plans for long-term maintenance of the model and associated data.
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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.
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Describe the technical and quality specifications of each technology component or process that is to be designed, fabricated, constructed, and/or operated.
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Discuss the procedure to be used for documenting and controlling design changes.
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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.
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Discuss the documentation requirements for operating instructions/guides for maintenance and use of the system(s) and/or process(s).
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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).
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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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Human Subjects Research Statement (HSRS) (4 pages)
All human research studies conducted or supported by EPA are governed by EPA regulations at 40 CFR Part 26 (Protection of Human Subjects). This includes the Basic Federal Policy for the Protection of Human Research Subjects, also known as the Common Rule, at subpart A and additional prohibitions and special protections for pregnant women, nursing women, and children in research conducted or supported by EPA at subparts B, C, and D. Depending upon the type of research being conducted, additional subparts of 40 CFR Part 26 may be relevant.
Procedures for the review and oversight of human research subject to 40 CFR Part 26 are also provided in EPA Order 1000.17 Change A1. These include review of projects for EPA-supported human research by the EPA Human Subjects Research Review Official (HSRRO). EPA Order 1000.17 Change A1 requires preliminary approval by the HSRRO of all proposed EPA-supported human research before the agreement can be entered into. Additional requirements must be met and final approval received from the HSRRO before the research can begin. When reviewing human observational exposure studies, EPA Order 1000.17 Change A1 requires the HSRRO to apply the principles described in the SEAOES document and grant approval only to studies that adhere to those principles.
All applications submitted under this solicitation must include a HSRS as described below. Use the definitions below to determine whether the proposed research involves human subjects, and then prepare a HSRS as explained below in the “HSRS Requirements” section.
Definitions (from 40 CFR Part 26 Subparts A, B, and C)
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.
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