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

Recipients List

Performance and Effectiveness of Green Infrastructure Stormwater Management Approaches in the Urban Context: A Philadelphia Case Study

This is the initial announcement of this funding opportunity.

 

Presentations:

STAR Progress Review for Philadelphia Green Infrastructure Grants (PDF) Dr. Jim Johnson(14 pp, 3 MB, 05/17/2017)

What Critical Steps Need to Occur and Pivotal Links Need to be Established For The Successful Adoption and Implementation of GI Practices (PDF) Dr. Tom Ballestero(60 pp, 4 MB, 05/18/2017)

Using demonstrations, how can GI practices in highly urbanized communities be systematically evaluated in terms of the early benefits, long-term performance effectiveness, and economic viability (PDF) Dr. Laura Toran (42 pp, 5 MB, 05/18/2017)

How Can Cities Establish Sub-watershed Scale Approaches to Monitor and Evaluate Both the Individual Performance and Combined Effectiveness of GI Practices (PDF) Dr. Robert Traver (50 pp, 22 MB, 05/18/2017)

EPA STAR Progress Review Meeting: Incentivizing Green Infrastructure in Philadelphia (PDF) Dr. David Hsu(52 pp, 6 MB, 05/08/2017)

What are the benefits of urban GI to neighborhoods and communities and how can they best be evaluated, both quantitatively and qualitatively, addressing ancillary value, ecosystem services, monetization, neighborhood livability, etc (PDF) Dr. Arthur McGarity (69 pp, 5 MB, 05/18/2007)

Funding Opportunity Number: EPA-G2012-STAR-G1

Catalog of Federal Domestic Assistance (CFDA) Number: 66.509

Solicitation Opening Date: September 20, 2012
Solicitation Closing Date: January 8, 2013, 11:59:59 pm Eastern Time

Eligibility Contact: Bronda Harrison (harrison.bronda@epa.gov); phone: 703-347-8080
Electronic Submissions: Todd Peterson (peterson.todd@epa.gov); phone: 703-308-7224
Technical Contact: Angela Page (page.angelad@epa.gov); phone: 703-347-8046

Table of Contents:
SUMMARY OF PROGRAM REQUIREMENTS
	Synopsis of Program
	Award Information
	Eligibility Information
	Application Materials
	Agency Contacts
I. FUNDING OPPORTUNITY DESCRIPTION
	A. Introduction
	B. Background
	C. Authority and Regulations
	D. Specific Areas of Interest/Expected Outputs and Outcomes
	E. References
	F. Special Requirements
II. AWARD INFORMATION
III. ELIGIBILITY INFORMATION
	A. Eligible Applicants
	B. Cost Sharing
	C. Other
IV. APPLICATION AND SUBMISSION INFORMATION
	A. Internet Address to Request Application Package
	B. Content and Form of Application Submission
	C. Submission Dates and Times
	D. Funding Restrictions
	E. Submission Instructions and Other Submission Requirements
V. APPLICATION REVIEW INFORMATION
	A. Peer Review
	B. Programmatic Review
	C. Funding Decisions
VI. AWARD ADMINISTRATION INFORMATION
	A. Award Notices
	B. Disputes
	C. Administrative and National Policy Requirements
VII. AGENCY CONTACTS

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 to conduct research on and demonstration of the performance and effectiveness of green infrastructure (GI) practices at the urban watershed-level.  For this Request for Applications (RFA), the city of Philadelphia, Pennsylvania, specifically the 40,500 acre Philadelphia Combined Sewer Overflow (CSO) area, will serve as the geographic study area.  Successful projects should leverage resources and utilize strategic partnerships to address the complexities of urban communities and contribute to a more holistic understanding of the potential of green infrastructure in the urban water cycle.

This solicitation does not provide the opportunity for the submission of applications for projects that involve human subjects research. Human subjects research supported by the EPA is governed by EPA Regulation 40 CFR Part 26 (Protection of Human Subjects). Applications proposing human subjects research will not be considered for funding and will be deemed ineligible.

Human subjects research precluded from this RFA includes:

Projects that collect data from or about humans which meet the regulatory definition of research with human subjects and are thereby subject to the requirements of EPA Regulation 40 CFR Part 26 and EPA Order 1000.17 Change A1.  This includes projects conducted under programs that are not considered research for other purposes. For example, some demonstration programs and some public health practice programs may include research activities.  Projects that utilize surveys about people or contain identifiable private information also constitutes human subjects research and are not allowable under this solicitation.  All applications must include a Non-Human Subjects Research Determination (as described in Section IV.B.5.c) verifying that the proposed research will not involve human subjects.

Award Information:
Anticipated Type of Award: Grant or Cooperative Agreement
Estimated Number of Awards: Approximately 3 awards
Anticipated Funding Amount: Approximately $3 million total for all awards
Potential Funding per Award: Up to a total of $1,000,000, including direct and indirect costs, with a maximum duration of 4 years.  Cost-sharing is not required.  Proposals with budgets exceeding the total award limits will not be considered.

Eligibility Information:
Public nonprofit institutions/organizations (includes public institutions of higher education and hospitals) and private nonprofit institutions/organizations (includes private institutions of higher education and hospitals) located in the U.S., state and local governments, Federally Recognized Indian Tribal Governments, and U.S. territories or possessions are eligible to apply.  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, 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: Bronda Harrison (harrison.bronda@epa.gov); phone: 703-347-8080
Electronic Submissions: Todd Peterson (peterson.todd@epa.gov); phone: 703-308-7224
Technical Contact: Angela Page (page.angelad@epa.gov); phone: 703-347-8046

I. FUNDING OPPORTUNITY DESCRIPTION

A. Introduction
One of the high-priority research areas identified by the EPA Office of Research and Development (ORD) is the impact of incorporating green infrastructure (GI) as a tool to protect the quantity and quality of water.  EPA hopes the expanded use of GI to protect and restore waters will help create more environmentally and economically sustainable communities.  To accomplish this, EPA recognizes that it will be important for experts from multiple disciplines to work alongside municipal and community-level stakeholders throughout the research and assessment process in order to identify and demonstrate innovative, efficient, and cost effective solutions.  The U.S. EPA is interested in supporting research and demonstration projects proposing to improve the understanding of the performance and effectiveness of green infrastructure, including the combined effects of multiple GI tools, approaches or methodologies in highly urbanized areas.  For the purposes of this RFA, highly urbanized areas tend to be dense communities with a high percentage of impervious surfaces, a high potential for disturbed urban soils, buried infrastructure, and other complicating factors.  Additionally, these communities may also have complex and layered social and political systems.

EPA recognizes that Scientific, Technical, Engineering and Mathematical (STEM) competence is essential to the Nation’s future well being in terms of national security and competitive economic advantage. For instance, the health and vitality of the economy is predicated, in part, on the availability of an adequate supply of scientists, technicians, engineers and mathematicians, to develop innovative technologies and solutions.  In other words, this country must engage all available minds to address the challenges it faces.  Minorities and women historically have been under-represented in the STEM fields. Therefore, the Federal government, including the EPA, should strive to enhance the research and educational capabilities of Minority Academic Institutions (MAIs) and to increase participation by women and under-represented minorities in the STEM fields. As a result, EPA strongly encourages eligible applicants serving communities that have not previously participated in the environmental conversation, including Minority Academic Institutions, as defined in Section I.C., to apply.

For the purposes of this RFA, the Office of Science and Technology Policy (OSTP) definition is used. The OSTP describes STEM as including physical and natural sciences, technology, engineering, and mathematics disciplines, topics, or issues (including environmental science education or environmental stewardship) and STEM education as formal or informal education that is primarily focused on physical and natural sci­ences, technology, engineering, and mathematics disciplines, topics, or issues (including environmental science education or environmental stewardship) (OSTP STEM Education Portfolio, December, 2011). STEM components may also include an interdisciplinary approach, whereby science and math skills and concepts are integrated into an engineering or problem solving process that utilizes appropriated technologies.

Eligible applicants as defined in Section III, including Minority Academic Institutions (MAIs) described below, are strongly encouraged to apply for funding under this competition.  For purposes of this solicitation, the following are considered MAIs:

1. Historically Black Colleges and Universities, as defined by the Higher Education Act (20 U.S.C. Sec. 1061).  A list of these schools can be found at White House Initiative on Historically Black Colleges and Universities;
2. Tribal Colleges and Universities, as defined by the Higher Education Act (20 U.S.C. Sec. 1059(c)).  A list of these schools can be found at White House Initiative on Tribal Colleges and Universities;
3. Hispanic-Serving Institutions (HSIs), as defined by the Higher Education Act (20 U.S.C. Sec. 1101a(a)(5).  There is no list of HSIs.  HSIs are institutions of higher education that, at the time of application submittal, have an enrollment of undergraduate full-time equivalent students that is at least 25% Hispanic students at the end of the award year immediately preceding the date of application for this grant;  and
4. Asian American and Native American Pacific Islander-Serving Institutions (AANAPISIs), as defined by the Higher Education Act (20 U.S.C. Sec. 1059g(a)(2)).  There is no list of AANAPISIs.  AANAPISIs are institutions of higher education that, at the time of application submittal, have an enrollment of undergraduate students that is not less than 10 % students who are Asian American or Native American Pacific Islander.

B. Background
Through the Clean Water Act (CWA), EPA has the responsibility for regulating Combined Sewer Overflows (CSOs) which are a national problem affecting 32 states (including the District of Columbia).  CSO communities are regionally concentrated in older communities in the Northeast and Great Lakes regions. In a 2004 report to Congress, EPA estimated that about 850 billion gallons of untreated wastewater and stormwater are released each year in the United States (U.S EPA, 2004).  In highly urbanized environments, more than 90% of rainwater may run off impervious surfaces and enter sewer systems.  When the combination of sewage and runoff exceeds the system’s capacity, untreated raw sewage discharges directly to surface streams.  CSOs represent a significant threat to both human health and environmental quality.  Stormwater runoff can also lead to flooding, damage to infrastructure, and erosion of surface streams.

Green Infrastructure refers to the use of more natural approaches and technologies that promote cycling of water through infiltration or evapotranspiration in order to capture and use these resources to restore and maintain natural hydrology.  GI and related innovative technologies are emerging in communities as effective practices to manage wet weather flows.  For these communities, GI can be a cost-effective, flexible, and environmentally-sound tool to manage stormwater runoff as a resource and reduce overflows from combined sewer systems.  Increasingly, cities are becoming interested in using GI to meet Clean Water Act requirements and improve the livability of their neighborhoods.  Mounting data suggests that incorporating GI provides a variety of benefits to the community beyond stormwater management. These benefits are particularly enhanced in urban and suburban areas where green space can be limited and environmental damage may be more extensive.  The EPA Administrator recently issued, A Strategic Agenda to Protect Waters and Build More Livable Communities through Green Infrastructure, that outlines activities to help make GI an available tool to communities for meeting requirements under the Clean Water Act. Conversely, urban communities seeking to adopt GI must also be aware of the challenges and extensive web of collaborations with stakeholders, including multiple city departments and local organizations, planners and developers, necessary to make GI adoption successful. 

In spite of these challenges, several US cities are emerging as GI leaders, eager to incorporate GI as a key component in their plans to meet CWA requirements.  Philadelphia, Pennsylvania is one of these cities.  Philadelphia’s Green City, Clean Waters program presents a broad and long-term investment in green stormwater management practices. The city of Philadelphia has one of the oldest sewer systems in the country and serves as a model for the incorporation of GI via its overall stormwater management plan. The city’s sewer system includes both combined sewer systems and separate sewer systems (SSOs).  The Philadelphia Water Department (PWD) has developed the Green City, Clean Waters plan (technically known as the CSO Long Term Control Plan (LTCP) Update) that details how the city will invest $1.6 billion during the next 20 years to significantly reduce CSOs.  The Green City, Clean Waters plan relies heavily on GI such as restored stream corridors and wetlands, rain gardens, and green roofs to meet federal requirements for stormwater runoff management. The PWD vision behind the Green City, Clean Waters Plan is to, “unite the City of Philadelphia with its water environment, creating a green legacy for future generations while incorporating a balance between ecology, economics and equity.”  The PWD believes that GI will be an “essential factor in making their vision a reality.” These practices, when fully implemented, will effectively manage most one-inch storms, reducing CSO discharges by 25 billion gallons per year.

The EPA recognizes the importance of the Philadelphia’s Plan and the city’s efforts to reduce CSOs, protect waterways, and enhance community livability. The city’s commitment to using GI, the challenges they face, and their leadership role in helping to move GI forward makes Philadelphia an ideal location to focus GI research and demonstration.  This RFA is focused on the 64 square miles covered by Philadelphia’s Long Term Control Plan for CSO discharges.

The specific Strategic Goal and Objective from the EPA’s Strategic Plan that relate to this solicitation are:

Goal 2: Protecting America's Waters, Objective 2.2: Protect and Restore Watersheds and Aquatic Ecosystems,

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 Water Act, Section 104, 33 U.S.C. 1254.

For research with an international aspect, the above statutes are supplemented, as appropriate, by the National Environmental Policy Act, Section 102(2)(F).

Note that a project’s focus is to consist of activities within the statutory terms of EPA’s financial assistance authorities; specifically, the statute(s) listed above.  Generally, a project must address the causes, effects, extent, prevention, reduction, and elimination of 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.

Demonstrations must involve new or experimental, technologies, methods, or approaches, where the results of the project will be disseminated so that others can benefit from the knowledge gained in the demonstration project.  A project that is accomplished through the performance of routine; traditional or established practices, or a project that is simply intended to carry out a task rather than transfer information or advance the state of knowledge, however worthwhile the project may be, is not a demonstration.

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.

This solicitation is designed to support collaborative and transdisciplinary research partnerships that increase current knowledge of the performance and effectiveness of green infrastructure at the sub-watershed scale in the urban context. Under this RFA, the Agency is soliciting research and demonstration projects to elucidate “high-performing next generation GI practices” that will change how stormwater is managed in urban communities so that it becomes more sustainable.  Proposals must include the city of Philadelphia, Pennsylvania, specifically the 40,500 acre Philadelphia Combined Sewer Overflow (CSO) area, as a geographic study area.  Applications must clearly identify the geographical study area(s) of the proposed work.

In addition, applications under this solicitation should address at least two of the following five research areas and should identify key STEM, and environmental education components within their proposed research.  STEM components may also include an interdisciplinary approach, whereby science and math skills and concepts are integrated into an engineering or problem solving process that utilizes appropriated technologies.

Please note: applicants do not need to address all areas of interest.  Doing so does not necessarily make a proposal more competitive.

1. Using demonstrations, how can Green Infrastructure practices in highly urbanized communities be systematically evaluated in terms of the early benefits, long-term performance effectiveness, and economic viability?
2. How can cities establish sub-watershed scale approaches to monitor and evaluate both the individual performance and combined effectiveness of GI practices?  What local parameters will affect the scalability and transferability of these approaches?  How can cities use lessons learned from these scaled approaches to guide successful implementation and adaptive management strategies?
3. How can GI controls for stormwater be designed, built, and maintained through alternative finance mechanisms, especially in underserved and economically disadvantaged areas?  Identify the critical regulatory, credit or incentive, and financial structures which must be in place in order to support alternative financing for GI.
4. What are the benefits of urban GI to neighborhoods and communities and how can they best be evaluated, both quantitatively and qualitatively, addressing ancillary value, ecosystem services, monetization, neighborhood livability, etc?
5. What critical steps need to occur and pivotal links need to be established (such as relationships between municipalities and communities) for the successful adoption and implementation of GI practices and approaches within urban communities?

Proposals should reflect a well formed research partnership and propose a holistic research program exploring multiple aspects of urban scale GI.

Definitions:
By using the phrase, “high-performing next generation GI practices,” we emphasize that these practices should be innovative and designed with the latest understanding of GI.  These systems will be cost efficient without unnecessary redundancies and offer advances in performance as compared to conventional systems.  We are expecting applicants to further define the next generation of GI practices through the research activities described in their applications and subsequently pursued if selected for award.

By using the term, “performance,” we refer to the ability of an individual GI practice to capture, infiltrate, and/or evapotranspire water (water quantity reduction) and/or remove nutrients and other pollutants (water quality protection) as designed.

By using the term “effectiveness,” we refer to impact of multiple GI practices on the receiving system.

By using the phrase “highly urbanized” we are emphasizing that these are dense communities with a high percentage of impervious surfaces and a high potential for distributed urban soils, buried infrastructure, and other complicating factors.  These communities may also have complex and layered social and political systems.

Expected Outputs and Outcomes:
The expected outputs of the proposed projects to be awarded under this RFA include reports, presentations, publications, case studies, and other communications that describe the research and demonstration of GI practices, monitoring and management strategies, transferability, and scalability.  Outputs should be targeted to both the general public; K-12 audiences, as well as the scientific and professional communities. The expected outcome of the research and demonstration projects is to provide CSO cities and urban communities and the professional community at large with the ability to reliably and more cost-effectively manage stormwater, reduce CSO’s, and improve urban sustainability resulting in cleaner water and more resilient and livable communities.

Example outputs from this research could include:

• Reports, presentations, and peer-reviewed journal publications related to GI performance and effectiveness, valuation of benefits, etc.
• Tools, metrics and technologies that enable an accurate assessment of a GI practice through a consideration of its complete life cycle.
• Models and methodologies that will provide data for the design of sustainable GI.
• Development of models to demonstrate planned performance and effectiveness of GI practices nationwide.
• Development of tools and protocols for urban GI site assessment.
• Holistic design and adaptive management strategies for green infrastructure.

Example outcomes from this research could include:

• Increased ability to reliably and more cost-effectively manage stormwater, reduce CSO’s, and improve urban sustainability.
• Increased adoption of GI in the urban context.
• Increased community involvement in planning, constructing, maintaining, and monitoring urban GI practices.

Transfer of Results:
Applications should discuss plans to disseminate research results over the life of the project.  Applicants should consider a variety of dissemination methods in order to ensure that the information is provided to residents of traditionally underserved and environmentally disproportionate communities.  Applicants should describe in their Research Plan how they will disseminate results to community members, local stakeholders, watershed organizations, municipalities, state primacy agencies, the EPA, and other potentially interested parties. A desirable outcome is to have a process that facilitates the integration of research activities into the teaching of STEM at all education levels (e.g., K-12, undergraduate and graduate school).

To the extent practicable, research proposals must embody innovation and sustainability.  Innovation for the purposes of this RFA is defined as the process of making changes; a new method, custom or device.  Innovative research can take the form of wholly new applications or applications that build on existing knowledge and approaches for new uses.  Research proposals must include a discussion on how the proposed research is innovative (see Section IV.B.5.a).  The concept of sustainability is based on language in the U.S. National Environmental Policy Act of 1969 (NEPA).  This definition is reiterated in Executive Order 13514, Federal Leadership in Environment, Energy, and Economic Performance, stating that the goal of sustainability is to, “create and maintain conditions, under which humans and nature can exist in productive harmony, that permit fulfilling the social, economic, and other requirements of present and future generations.” Research proposals must include a discussion on how the proposed research will seek sustainable solutions that protect the environment and strengthen our communities (see Section IV.B.5.a).  ORD will draw from all of the above-mentioned innovation and sustainability definitions in the review/evaluation process of recommending research proposals (see Section V.A).

E. References
Maryland Environmental Literacy Standards

Philadelphia’s Green City Clean Waters Website.

The White House, Office of Science and Technology Policy, (2011).  The Federal Science, Technology, Engineering, and Mathematics (STEM) Education Portfolio.

U.S. Environmental Protection Agency, (2012). Draft Environmental Justice and Equitable Development Report.

U.S. Environmental Protection Agency. EPA’s Environmental Justice Website.

U.S. Environmental Protection Agency, (2004). 2004 EPA Report to Congress, Impacts and Control of CSOs and SSOs, (EPA 833-R-04-001).

U.S. Environmental Protection Agency. EPA’s Green Infrastructure Website

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.

This solicitation does not provide the opportunity for the submission of applications for projects that involve human subjects research.  Human subjects research supported by the EPA is governed by EPA Regulation 40 CFR Part 26 (Protection of Human Subjects).   Applications proposing human subjects research will not be considered for funding and will be deemed ineligible.  Human subjects research precluded from this RFA includes projects that collect data from or about humans which meet the regulatory definition of research with human subjects and are thereby subject to the requirements of EPA Regulation 40 CFR Part 26 and EPA Order 1000.17 Change A1.  This includes projects conducted under programs that are not considered research for other purposes. For example, some demonstration programs and some public health practice programs may include research activities. Projects that utilize surveys about people or contain identifiable private information also constitutes human subjects research and are not allowable under this solicitation.  All applications must include a Non-Human Subjects Research Determination (as described in Section IV.B.5.c), verifying that the proposed research will not involve human subjects.

Groups of two or more eligible applicants may choose to form a consortium and submit a single application for this assistance agreement.  The application must identify which organization will be the recipient of the assistance agreement and which organizations(s) will be subawardees of the recipient.

The application shall include a plan (see “Data Plan” in section IV.B.5.d) to make available to the NCER project officer all data generated (first produced under the award) from observations, analyses, or model development 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.

II. AWARD INFORMATION

It is anticipated that a total of approximately $3 million will be awarded under this announcement, depending on the availability of funds, quality of applications received, and other applicable considerations.  The EPA anticipates funding approximately 3 awards under this RFA.  Requests for amounts in excess of a total of $1,000,000, including direct and indirect costs, will not be considered.  The total project period requested in an application submitted for this RFA may not exceed 4 years. 

The EPA reserves the right to reject all applications and make no awards, or make fewer awards than anticipated, under this RFA.  The EPA reserves the right to make additional awards under this announcement, consistent with Agency policy, if additional funding becomes available after the original selections are made.  Any additional selections for awards will be made no later than six months after the original selection decisions.

EPA may award both grants and cooperative agreements under this announcement.

Under a grant, EPA scientists and engineers are not permitted to be substantially involved in the execution of the research.  However, EPA encourages interaction between its own laboratory scientists and grant Principal Investigators after the award of an EPA grant for the sole purpose of exchanging information in research areas of common interest that may add value to their respective research activities.  This interaction must be incidental to achieving the goals of the research under a grant.  Interaction that is “incidental” does not involve resource commitments.

Where appropriate, based on consideration of the nature of the proposed project relative to the EPA’s intramural research program and available resources, the EPA may award cooperative agreements under this announcement.  When addressing a research question/problem of common interest, collaborations between EPA scientists and the institution’s principal investigators are permitted under a cooperative agreement.  These collaborations may include data and information exchange, providing technical input to experimental design and theoretical development, coordinating extramural research with in-house activities, the refinement of valuation endpoints, and joint authorship of journal articles on these activities.  Proposals may not identify EPA cooperators or interactions; specific interactions between EPA’s investigators and those of the prospective recipient for cooperative agreements will be negotiated at the time of award.

III. ELIGIBILITY INFORMATION

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.

Foreign governments, international organizations, and non-governmental international organizations/institutions 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.

Potential applicants who are uncertain of their eligibility should contact Bronda Harrison (harrison.bronda@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.  In addition, applications proposing human subjects research will not be considered for funding and will be deemed ineligible.  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 that do not include the city of Philadelphia, Pennsylvania, specifically the 40,500 acre Philadelphia Combined Sewer Overflow (CSO) area as a geographic study area, will not be considered.

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.

 

 

 

 

1. 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 D&B 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 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.

2. 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”).

3. Table of Contents

   Provide a list of the major subdivisions of the application indicating the page number on which each section begins.

4. 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.

   1. Funding Opportunity Title and Number for this proposal.
   2. 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.”
   3. 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.
   4. Institution(s): 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.
   5. Project Period and Location: Show the proposed project beginning and ending dates and the performance site(s)/geographical location(s) where the work will be conducted. Note that applications must include the city of Philadelphia, Pennsylvania, specifically the 40,500 acre Philadelphia Combined Sewer Overflow (CSO) area, as a geographic study area.
   6. Project Cost: Show the total funding requested from the EPA (include direct and indirect costs for all years).
   7. 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.
   8. 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).

5. Research Plan, Quality Assurance Statement, Non-Human Subjects Research Determination, Data Plan, and References

    

    

   1. 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:

      1. 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.
      2. Approach/Activities: Outline the research design, methods, and techniques that you intend to use in meeting the objectives stated above.
      3. Innovation: Describe how your project shifts current research or engineering paradigms by using innovative theoretical concepts, approaches or methodologies, instrumentation or interventions applicable to one or more fields of research.
      4. Sustainability: Describe how your project embodies the principles of sustainability and seeks sustainable solutions that protect the environment and strengthen our communities. The Sustainability Primer (PDF) (2 pp, 195 K) provides examples of research activities that promote and incorporate sustainability principles.
      5. 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 be disseminated and how the 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.
      6. 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.
      7. Appendices may be included but must remain within the 15-page limit.

   2. Quality Assurance Statement (3 pages)

      For projects involving environmental data collection or processing, 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.)

      1. 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.)
      2. 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.
      3. Address each of the following project elements as applicable:

          

          

          

         1. 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.)

            1. 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).
            2. 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.
            3. 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.
            4. 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.

         2. Use of existing/secondary data (i.e., data previously collected for other purposes or from other sources):

            1. 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.
            2. Specify the source(s) of the secondary data and discuss the rationale for selection.
            3. Establish a plan to identify the sources of the secondary data in all deliverables/products.
            4. Specify quality requirements and discuss the appropriateness for their intended use. Accuracy, precision, representativeness, completeness, and comparability need to be addressed, if applicable.
            5. Describe the procedures for determining the quality of the secondary data.
            6. Describe the plan for data management/integrity.

         3. 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.

         4. 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.)

            1. 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.
            2. Discuss verification techniques to ensure the so