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
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National Center for Innovation in Small Drinking Water Systems Webinar
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National Center for Innovation in Small Drinking Water Systems
This is the initial announcement of this funding opportunity.
Funding Opportunity Number: EPA-G2013-STAR-G1
Catalog of Federal Domestic Assistance (CFDA) Number: 66.509
Solicitation Opening Date: May 23, 2013
Solicitation Closing Date: August 21, 2013, 11:59:59 pm Eastern Time
Eligibility Contact: Ron Josephson (josephson.ron@epa.gov); phone: 703-308-0442
Electronic Submissions: Todd Peterson (peterson.todd@epa.gov); phone: 703-308-7224
Technical Contact: Barbara Klieforth (klieforth.barbara@epa.gov); phone: 703-347-8044
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 for a National Research Center that will: identify, develop, demonstrate and facilitate widespread acceptance and applicability of novel and innovative technologies and approaches to measure or treat groups of microbiological or chemical contaminants, or their precursors; apply novel new information technology systems; and improve the sustainability of small drinking water systems. While larger Community Water Systems (CWS) serve a greater proportion of the overall population, ninety-two percent of the nation's CWS serve communities with populations of 10,000 or less and supply drinking water for more than fifty-three million Americans. These small systems do not typically have the resources to seek out, evaluate and apply innovative approaches that could provide better drinking water contamination solutions and improve public health protection. Public health-associated violation rates are consistently more than 3 times higher among those CWS that serve less than 10,000 than the larger systems. Because it is so challenging for these small systems to comply with existing standards, progression of public health standards on a national level is hindered.
This “National Center for Innovation in Small Drinking Water Systems” (Center) will: conduct research; develop and demonstrate innovative and sustainable technologies; advance the state-of-the-art nationally and internationally; leverage modern data and information systems; foster interaction among technology developers, end-users, and other stakeholders; provide education, training and technical assistance; and collaborate with local, regional (multi-state), and national water technology innovation efforts.
Under this solicitation, the successful applicant will lead the Center. The successful applicant, with any of its subgrantees or partners, is strongly encouraged to work with small drinking water systems (end-users), state primacy agencies, other research institutions, and other stakeholders to facilitate the introduction of innovations to small systems nationwide. Although EPA cannot fund commercialization, applicants are strongly encouraged to leverage existing collaborative, regional (multi-state) water technology innovation and adoption efforts.
To be successful, an application should demonstrate a macro-level understanding of: the current state of small systems in the United States; EPA regulations and factors contributing to non-compliance; financial and operational constraints; technologies generally used as well as cutting edge technologies; barriers and successful approaches to adoption of innovative technologies; and approaches to improve the long-term resilience of small systems in the face of constant economic and environmental challenges. Innovations in technologies and approaches must have strong potential for adoption by U.S. small drinking water systems. For example, proposed technologies and approaches should be able to efficiently treat or mitigate groups of contaminants or contaminant precursors in drinking water sources and systems, while allowing for a more cost-effective, streamlined approach.
Drinking Water Strategy, will contribute uniquely to the overall research objectives of EPA’s Safe and Sustainable Water Research Program, and will complement on-going efforts in EPA’s Office of Research and Development.
This solicitation provides the opportunity for the submission of applications for projects that may involve human subjects research. Human subjects research supported by the EPA is governed by EPA Regulation 40 CFR Part 26 (Protection of Human Subjects). This includes the Common Rule at subpart A and prohibitions and additional protections for pregnant women and fetuses, nursing women, and children at subparts B, C, and D. Research meeting the regulatory definition of intentional exposure research found in subpart B is prohibited by that subpart in pregnant women, nursing women, and children. Research meeting the regulatory definition of observational research found in subparts C and D is subject to the additional protections found in those subparts for pregnant women and fetuses (subpart C) and children (subpart D). All applications must include a Human Subjects Research Statement (HSRS, as described in Section IV.B.8), 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.
Guidance and training for investigators conducting EPA-funded research involving human subjects may be obtained here:
Ethics, Regulations, and Policies (https://www.epa.gov/osainter/phre/policy.htm)
Human Subjects Research at the Environmental Protection Agency: Ethical Standards and Regulatory Requirements (https://www.epa.gov/osainter/phre/phre_course/index.htm)
Award Information:
Anticipated Type of Award: Grant
Estimated Number of Awards: One award
Anticipated Funding Amount: Approximately $4.1 million total
Potential Funding per Award: Up to a total of $4,100,000, including direct and indirect costs, with a maximum duration of 3 years. Cost-sharing is not required. Proposals with budgets exceeding the total award limits will not be considered.
Eligibility Information:
Public nonprofit institutions/organizations (includes public institutions of higher education and hospitals) and private nonprofit institutions/organizations (includes private institutions of higher education and hospitals) located in the U.S., state and local governments, Federally Recognized Indian Tribal Governments, and U.S. territories or possessions are eligible to apply. See full announcement for more details.
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, 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: Ron Josephson (josephson.ron@epa.gov); phone: 703-308-0442
Electronic Submissions: Todd Peterson (peterson.todd@epa.gov); phone: 703-308-7224
Technical Contact: Barbara Klieforth (klieforth.barbara@epa.gov); phone: 703-347-8044
I. FUNDING OPPORTUNITY DESCRIPTION
A. Introduction
Drinking water systems use treatment technologies to meet established regulatory requirements. The systems range from point-of-use devices (e.g., an in-home filter on a tap) for small systems that serve less than 10,000 people, to complex systems that serve large municipalities and populations. The approaches range from simple, single technologies that address easily treated contaminants; to trains of technologies that may include advanced treatment technologies that treat various types of challenging contaminants; to technologies that address more specialized needs (e.g., desalination).
Small drinking water systems are challenged to provide safe water with often limited technical, managerial, and financial resources. Small systems do not uniformly have the trained personnel or other resources to seek out and evaluate innovative technologies that may more affordably and effectively solve their drinking water contamination problems or improve operational efficiency. As a result, these systems are often slow to adopt new technologies that could improve the resilience, operational efficiency and cost of service. Tried and true technologies are often considered “safest” for treatment works to continue using or adopting; however the systems could benefit from innovative technologies that perform better, require less maintenance, are easier to operate, last longer, use less energy, utilize new information technology advances, deliver consistent drinking water in compliance with established standards and regulations and cost less. Innovative technologies may also be needed if existing technologies cannot treat drinking water so that it complies with all Federal, state, and local standards. Of particular interest are technology or management strategies that facilitate small system compliance with multiple rules (e.g., disinfection by-product regulations, surface water treatment rules, groundwater rule, Copper and Lead rule, or the Arsenic rule). Another consideration is the varying technology approval processes carried out by state regulatory officials. These often include long periods of technology testing in one state that may not be acceptable to other states. Although the new technologies in question may be more efficient and cost-effective, this lack of transferability may impede broader adoption. Solutions to these challenges lie in strong networks of researchers, technology developers, end-users and other enabling institutions that will streamline adoption of innovative technologies to this sector.
EPA is interested in supporting research, development, demonstrations, frameworks, models and other actions to facilitate the substitution of existing methods with more innovative and sustainable treatment technologies that will advance the ability of CWS to protect the health of the communities they serve. Applicants are strongly encouraged to partner with small drinking water systems, state primacy agencies that may accept the proposed technologies, regional (multi-state) water technology innovation collaborations that can help bring these and other connections together, and other appropriate stakeholders. For purposes of this solicitation, water technology innovation collaborations refer to regional, geographic concentrations of interconnected firms (businesses, suppliers, and service providers) and supporting institutions (local government, business chambers, universities, investors, and others) that work together in an organized manner to promote economic growth and technological innovation (e.g., water technology innovation clusters). Please refer to Contracts and Subawards if your organization intends to identify an independent third party evaluator in your proposal and intend to use EPA funds to compensate them. Long-term plans for the continuance of the Center are encouraged.
NOTE: In June, 2011, EPA issued a complementary solicitation, Research and Demonstration of Innovative Drinking Water Treatment Technologies in Small Systems, for individual project grants. Grantees under this solicitation will be encouraged to collaborate, as appropriate. Details on each project can be found at: Research and Demonstration of Innovative Drinking Water Treatment Technologies in Small Systems
Research and demonstrations funded through this solicitation will complement on-going efforts in ORD’s Safe and Sustainable Water Research Program.
This solicitation provides the opportunity for the submission of applications for projects that may involve human subjects research. Human subjects research supported by the EPA is governed by EPA Regulation 40 CFR Part 26 (Protection of Human Subjects). This includes the Common Rule at subpart A and prohibitions and additional protections for pregnant women and fetuses, nursing women, and children at subparts B, C, and D. Research meeting the regulatory definition of intentional exposure research found in subpart B is prohibited by that subpart in pregnant women, nursing women, and children. Research meeting the regulatory definition of observational research found in subparts C and D is subject to the additional protections found in those subparts for pregnant women and fetuses (subpart C) and children (subpart D). All applications must include a Human Subjects Research Statement (HSRS, as described in Section IV.B.8), 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.
Guidance and training for investigators conducting EPA-funded research involving human subjects may be obtained here:
Ethics, Regulations, and Policies (https://www.epa.gov/osainter/phre/policy.htm)
Human Subjects Research at the Environmental Protection Agency: Ethical Standards and Regulatory Requirements (https://www.epa.gov/osainter/phre/phre_course/index.htm)
B. Background
One of the high-priority research areas identified by EPA’s Office of Research and Development (ORD) is safe and sustainable drinking water. Under the 1996 Amendments to the Safe Drinking Water Act (SDWA), the responsibility for ensuring safe drinking water and protecting water quality in the United States is shared by EPA, states, tribal nations, local governments, water utilities/companies and the public. Public drinking water systems must comply with the standards and regulations put forth by these various levels of government. The SDWA, for example, requires EPA to undertake actions to assess and manage the risks posed by drinking water contaminants. These actions include the establishment and maintenance of national lists of “primary” regulated contaminants that have legally enforceable standards, “secondary” contaminants with non-enforceable guidelines, and unregulated contaminants to be considered in review and development of new regulations. Public health-associated violation rates (those pertaining to exceedance of maximum contaminant level or non-performance of a treatment technique or process) are chronically more than 3 times higher among those CWS that serve less than 10,000 than the larger systems. Because it is so challenging for these small systems to comply with existing standards, progression of public health protection on a national level is hindered.
The current assessment and regulatory process under SDWA primarily addresses contaminants on an individual basis. Given the number of regulated and unregulated contaminants awaiting review, or re-review, the current process could take decades to address those that may truly pose a public health risk or that may cause problems to water treatment systems. The traditional framework of contaminant assessment and management can necessitate significant effort for state and local governments, as well as water utilities trying to deal effectively with multiple requirements for regulated and unregulated contaminants. In addition, the current framework does not fully take into account that people and the environment are continuously exposed to multiple contaminants through multiple routes.
Consistent with the Office of Water’s Drinking Water Strategy, EPA is committed to improving the sustainability of small drinking water systems, moving beyond a contaminant-by-contaminant approach and minimizing compliance costs. EPA is soliciting research, development and demonstration of technologies and approaches that will: advance the ability to address groups of contaminants; foster the development of novel and broad applicability of viable treatment technologies; improve monitoring capability; utilize modern information technology advances; and leverage U.S. regional (multi-state) water technology innovation efforts (e.g., water technology innovation clusters).
To meet the water challenges of today and into the future, EPA established a Drinking Water Strategy to foster development of drinking water technologies that address health risks posed by a broad array of contaminants, and to address contaminants as groups so that enhancement of drinking water protection can be achieved more cost-effectively. ORD’s research programs ( are designed to develop sustainable solutions to the nation's highest priority science needs. ORD’s integrated programs provide the scientific foundation, methods, and tools the Agency needs to fulfill its mission of protecting human health and the environment. The Science to Achieve Results (STAR) grants program is integral to these efforts.
Ninety two percent of the nation's 51,460 Community Water Systems (CWS) serve less than 10,000 people each and are regulated by EPA and delegated states and tribes. Chemical and microbiological contaminants enter drinking water sources from a variety of inputs including: natural occurrence; improperly disposed wastes; agricultural and urban runoff; untreated wastewaters discharged to surface water; disinfection by-products; and aging distribution systems.
On a national basis, small CWS often do not possess the means to evaluate and adopt new technology. Frequently, these systems are operated by municipalities that must balance resources between drinking water plant operation and other public services. In addition, they have even more difficult choices in selecting drinking water treatments given diminishing economies of scale and limited resources. Treatment by small systems is often limited to disinfection, highlighting the need for scalable technologies that reduce the production of disinfection by-products. Fostering the development, demonstration and acceptance of affordable, efficient, and user-friendly technologies will better equip small systems to address health risks posed by a broad array of contaminants and facilitate better regulatory compliance. To be sustainable, technologies must be practicable and efficient in regard to water and material resources, energy requirements, cost, operation and maintenance, staffing and educational requirements, as well as in treatment or mitigation effectiveness, and should employ modern information technology. They may also be feasible for larger systems with appropriate modifications.
It is envisioned that a National Center for Innovation in Small Drinking Water Systems will provide national and international leadership in advancing the state of the art in this field. It will facilitate and coordinate the identification, development, demonstration, and dissemination of novel and innovative treatment technologies, as well as their adoption by drinking water systems across the country. It will be a national resource for fostering communication among technology developers, users, and other stakeholders and providing education, training, and technical assistance by, for example, leveraging regional (multi-state) water technology innovation efforts.
Synthetic and naturally-occurring chemicals and microbiological contaminants found in surface water, groundwater, finished drinking water and wastewaters pose a host of management challenges and potential health risks for communities served by public community water systems. To confront this and accelerate the advancement of sustainable drinking water treatment, new and innovative technologies and approaches are needed that can address groups of contaminants or contaminant precursors from drinking water sources and systems, addressing possible risk tradeoffs. EPA is interested in supporting efforts that may transform how small municipalities and water utilities address existing and emerging groups of contaminants or their precursors, using innovative approaches to improve system resilience and improve monitoring capability that will allow them to balance cost effectiveness and efficiency. Emphasis will be on demonstrating technologies and approaches in small systems, i.e., those serving 10,000 persons or less.
Innovative solutions that address groups of water contaminants are expected to minimize compliance costs and surpass a contaminant-by-contaminant approach. Applications should describe and justify how contaminants to be addressed will be grouped. Examples of microbial contaminant groupings include, but are not limited to: microbial agents that are naturally occurring in water (Legionella, toxic algae); are associated with water treatment and distribution systems (Biofilms, Mycobacterium); are nuisance organisms (algae, mussels); have common disease mechanisms; or are simply classified as bacteria, viruses, protozoa, amoebae, or algae. Chemical contaminants might, for example, be grouped by such parameters as: chemical structure; reaction and combustion by-products; physical qualities, such as volatility; water treatment and distribution system by-products and leachates; source or contaminant precursors (e.g., total organic carbon, bromide, or nitrogenous compounds that react with disinfection or distribution system processes); having a similar health endpoint; that can be treated using the same technology or treatment technique; or those that are likely to co-occur.
Evaluating the performance and quality assurance of technologies that are being demonstrated is often best accomplished by using models that will result in robust consensus-based testing protocols and yield credible unbiased data.
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 2.1: Protect Human Health
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 Safe Drinking Water Act, Section 1442, 42 U.S.C. 300j-1, and the Clean Water Act, Section 104, 33 U.S.C. 1254.
For research with an international aspect, the above statutes are supplemented, as appropriate, by the National Environmental Policy Act, Section 102(2)(F).
Note that a project’s focus is to consist of activities within the statutory terms of EPA’s financial assistance authorities; specifically, the statute(s) listed above. Generally, a project must address the causes, effects, extent, prevention, reduction, and elimination of water pollution or the prevention of physical and mental diseases and other impairments of man resulting directly or indirectly from contaminants in water, or to the provision of a dependably safe supply of drinking water. These activities should relate to the gathering or transferring of information or advancing the state of knowledge. Proposals should emphasize this “learning” concept, as opposed to “fixing” an environmental problem via a well-established method. Proposals relating to other topics which are sometimes included within the term “environment” such as recreation, conservation, restoration, protection of wildlife habitats, etc., must describe the relationship of these topics to the statutorily required purpose of pollution prevention 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 or health-related objective.
EPA recognizes the need to improve the sustainability of small systems, complement traditional technologies, improve monitoring/sensing approaches, and capitalize on modern information technology advances. To accomplish this, EPA is seeking integrated, trans-disciplinary proposals that will: significantly advance the pragmatic advantages and implementation of innovative treatment technologies and approaches for groupings of current and emerging contaminants; improve use of novel sensing and monitoring technologies; and employ modern information technology capability to better enable the delivery of safe water in small drinking water systems.
To this end, a National Center for Innovation in Small Drinking Water Systems will conduct research, develop and demonstrate innovative, readily implementable and sustainable technologies; advance the state of the art nationally and internationally; utilize modern data and information systems; foster interaction among technology developers, end-users, and other stakeholders; provide education, training and technical assistance; and collaborate with local, regional (multi-state) water technology innovation and adoption efforts. Demonstrations should address sustainability factors to include cost-effectiveness, robustness, and ease of use. Applications should document how the proposed Center will provide national leadership to coordinate and facilitate an increase in the focus, knowledge, and efforts devoted to the improved sustainability of small drinking water systems.
A Research Center, as intended in this RFA, entails multidisciplinary, thematic approaches to research needs on a much broader scale than individual projects. A Center allows for flexibility in examining not just the most recent science, but the full complement of considerations that may impact an issue, be they social, economic, or technical. In promoting integrated, trans-disciplinary research, EPA seeks applications that demonstrate that the research team has worked together to design the proposed program, ensure that the Center reflects the input and interactions of different disciplines within the team, and that the Center as a whole reflects the collective thinking of a multidisciplinary team. It is not sufficient to list a collection of insular projects even if they address complementary topics. EPA recognizes that tight scientific integration can be a challenge, but this is a high priority for the Agency. Applicants are expected to: demonstrate how the various activities and projects contained within their proposals are integrated; encourage participation of investigators with the needed expertise and qualifications; employ cutting-edge technologies and approaches; and engage eligible stakeholders and partners who can help the Center achieve the goals of this RFA. This RFA presents the opportunity for investigators from different disciplines and organizations to work together on larger problems than can be addressed in a single grant proposal. Although EPA is not requiring a minimum number of individual research projects, applicants are expected to propose a sufficient number of projects within the Center to adequately address the research needs described in this RFA.
Points to consider when preparing your research plan:
This RFA aims to facilitate improvements in the effectiveness and sustainability of small drinking water systems with a focus on groups of microbiological and chemical contaminants or contaminant precursors stemming from, but not limited to, disinfection by-products and ineffectively maintained distribution systems, agricultural activities, inappropriately disposed of wastes, improperly treated wastewaters discharged to surface waters, or naturally-occurring substances. Applicants should provide a rationale for the strategy selected and a detailed description of their approach to identifying the group(s) of contaminants to be treated; the innovative technologies they will identify, develop and demonstrate; novel monitoring and sensing approaches; and improvements in system sustainability that leverage modern information technology.
Demonstrations must involve new or experimental, technologies, methods, or approaches, where the results will be disseminated. The results are expected to help others at local, regional and national levels gain knowledge in these areas in a manner by which this conservative market sector can be positively impacted. The results must be credible, and thus likely to be successfully adopted by the small drinking water system sector. A project that is simply intended to carry out a task rather than transfer information, facilitate adoption or advance the state-of -knowledge is not a demonstration, however worthwhile the project may be.
Specific Research and Demonstration Areas of Interest:
The primary goal of this RFA is to support research, identification, development, demonstration and ease of acceptance and applicability of technologies and approaches that can reduce, control or eliminate known or anticipated groups of contaminants, improve measurement and monitoring, apply novel information technology systems, enhance management practices and improve the sustainability of small drinking water systems.
In support of this goal, applications should be responsive to all of the research questions listed below:
- By what means will you identify, develop, enhance or improve technological and information management innovations so that, relative to existing practices, small drinking water system operations are: more affordable, reliable, simpler to operate and maintain, easier to monitor and control, or less energy-intensive, all while removing or mitigating groups of contaminants (or their precursors) from drinking water, and improving system sustainability?
- How will the performance and sustainability of innovations be demonstrated? What means will be used to facilitate national acceptance and ready applicability of the innovations? How will collaboration on both be ensured?
- By what metrics will the results and outputs of the Center’s research, identification, demonstration and implementation efforts be shown to have drinking water quality improvements, public health benefits, and optimal costs and energy usage?
For demonstrations, applicants are encouraged to consider potential users of any proposed technology, how demonstrations can be conducted, and adoption facilitated under conditions that are reflective of or typical of small drinking water systems across the country so that the results will be widely applicable. Potential users of technologies include state and local governments, water treatment systems, scientific research groups, and other parties. Partnerships and collaborations are strongly encouraged and will be evaluated as part of the peer review evaluation under Section V. Please refer to Contracts and Subawards if your organization intends to identify a collaborator, including an independent third party evaluator in your proposal, and intend to use EPA funds to compensate the collaborator. For proposed technologies, consideration as to how they may be made adaptable for use in varying conditions across the country (based, for example, on different size systems, numbers and types of contaminants, climate, water availability, and nature of distribution system) would add value.
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; new methods, strategies or devices. 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.6.). 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.6.). ORD will draw from all of the above-mentioned innovation and sustainability definitions in the review/evaluation process for research proposals (see Section V.A).
Outputs from the proposed Center may include:
- User friendly websites, data sets, testing protocols, reports, presentations, education and training modules, and trade and peer-reviewed publications, etc., that describe how newly developed or demonstrated drinking water technologies and approaches will reduce, mitigate, and control emerging or known groups of contaminants, improve operational efficiency and effectiveness, utilize new innovative monitoring and sensing systems, and utilize modern information technology in small drinking water systems.
- Products, systems or approaches that will enable the widespread utilization of innovative technology by small drinking water system operators, state regulatory officials and others.
- Products or systems that will encourage small drinking water systems to use enhanced management and information technology that will be less time-consuming and resource-intensive and enable them to more readily make long-term capital investment decisions.
- Increased interaction between key sectors, technology developers, regulatory officials, water system end users and other enabling stakeholder groups that may advance the state of the art.
Outcomes from the proposed Center may include:
- More reliable and efficient management of co-occurring contaminants or groups of contaminants or their precursors with concomitant public health benefits.
- Widespread availability of novel technologies and approaches, demonstration protocols and results for use by state and local agencies and other interested parties.
- Implementation of demonstrated innovative, cost-effective technologies and approaches for small community drinking water systems.
- Improvement of state and local agencies’ capacity to enable compliance with drinking water standards.
- Increased capability of small drinking water system operators and improved sustainability of small drinking water systems.
- Reduction of public health risks from drinking water contaminants and increased consumer confidence in the ability of CWS to deliver safe and reliable drinking water.
E. References
Desai, S and Klanecky, DA. The Sustainability Challenge: Meeting the Needs of the Water-Energy Nexus. Chemical Engineering Progress 4: 22-27 (2011).
Deslauriers, SA, Kanzaki, M, Bulkley JW, and Keoleian, GA. U.S. Wastewater Treatment, Center for Sustainable Systems Fact Sheet, CSS04-14. Ann Arbor, MI: University of Michigan, 2004.
European Commission – Joint Research Centre – Institute for Environment and Sustainability. International Life Cycle Data System (ILCD) Handbook – General guide for Life Cycle Assessment – Detailed guidance, First edition. Luxembourg, 2010.
Manley, JB, Anastas, PT, and Cue, BW. Frontiers in Green Chemistry: meeting the grand challenges for sustainability in R&D and manufacturing. Journal of Cleaner Production 16: 743-750 (2008).
National Research Council (NRC). (2009b). Enhancing the Effectiveness of Sustainability Partnerships. National Academies Press, Washington. ISBN-13: 978-0-309-12993-0.
National Research Council (NRC). (2001). Classifying Drinking Water Contaminants for Regulatory Consideration. National Academies Press, Washington. ISBN- 0-309-07408-8.
National Academy of Sciences, National Research Council. (1997). Safe Water from Every Tap: Improving Water Service to Small Communities, Committee on Small Water Supply Systems. National Academy Press, Washington, DC. ISBN-10:0-309-05527-X.
U.S. Environmental Protection Agency (USEPA), (2011). Drinking Water Strategy.
U.S. Environmental Protection Agency (USEPA), (2012). Water Cluster Research Projects.
U.S. Environmental Protection Agency, (2012). Water System Partnerships.
U.S. Environmental Protection Agency, (2012). Small Public Water Systems and Capacity Development.
U.S. Environmental Protection Agency (USEPA), (2011). National Characteristics of Drinking Water Systems Serving 10,000 or Fewer People.
U.S. Environmental Protection Agency, (2010). Paradigm for Addressing Drinking Water Contaminants As Groups to Enhance Public Health Protection – EPA Draft Discussion Paper
U.S. Environmental Protection Agency, (2010). Treating Contaminants of Emerging Concern – A Literature Review Database, EPA-820-R-10-002.
U.S. Environmental Protection Agency (USEPA). (2009). Factoids: Drinking Water and Groundwater Statistics for 2009.
U.S. Environmental Protection Agency, (2008). Emerging Technologies for Wastewater Treatment and In-Plant Wet Weather Management, EPA 832-R-06-006.
U.S. Environmental Protection Agency, (2006). Much Effort and Resources Needed to Help Small Drinking Water Systems Overcome Challenges, Report No. 2006-P-00026.
Water Environment Research Foundation (WERF). Energy Efficiency in Value Engineering: Barriers and Pathways, Report No. OWSO6R07a. Water Environment Research Foundation.(2010).
Water Environment Research Foundation (WERF). Overview of State Energy Reduction Programs and Guidelines for the Wastewater Sector, Report No. OWSO6R07b. Water Environment Research Foundation. (2010).
West Virginia University. Treatment Technologies for Small Drinking Water Systems, Tech Brief (PDF) (2 pp, 2.28 MB) National Drinking Water Clearinghouse, West Virginia University.
William McDonough & Michael Braungart, Cradle to Cradle – Remaking the Way We Make Things, North Point Press, A division of Farrar, Straus and Giroux, New York, 2002.
World Commission on Environment and Development (WCED). Our Common Future. Oxford: Oxford University Press. ISBN 0-19-282080-X. (1987)
F. Special Requirements
Agency policy and ethical considerations prevent EPA technical staff and managers from providing applicants with information that may create an unfair competitive advantage. Consequently, EPA employees will not review, comment, advise, and/or provide technical assistance to applicants preparing applications in response to EPA RFAs. EPA employees cannot endorse any particular application.
Multiple Investigator applications may be submitted as: (1) a single Lead Principal Investigator (PI) application with Co-PI(s) or (2) a Multiple PI application (with a single Contact PI). If you choose to submit a Multiple PI application, you must follow the specific instructions provided in Sections IV. and V. of this RFA. For further information, please see the EPA Implementation Plan for Policy on Multiple Principal Investigators.
This solicitation provides the opportunity for the submission of applications for projects that may 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.8) 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.
Groups of two or more eligible applicants may choose to form a Center 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. For applicants proposing a subgrant(s) in the application, please see Section IV.B.12 of this solicitation for budget information and refer to Contracts and Subawards for information regarding how an applicant's proposed subawardee(s) will be evaluated.
The application shall include a plan (see “Data Plan” in section IV.B.9) 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.
As described more fully in Section IV, each application should address the following items (for content and form of application submission and page limitations, see Section IV.B).
- Center Description (5-page limit): Applications should describe the overall goals, objectives, and approach for the Center, including how the Center will pursue a multidisciplinary and thematic approach to the problems to be investigated. The application should describe how the Center’s work is innovative and will seek sustainable solutions that protect the environment, strengthen our communities and foster prosperity. The application should also describe the Center’s commitment to educating the next generation of scientists and engineers on the development and demonstration of: novel and sustainable drinking water treatment technologies that better enable small systems to control groups of contaminants to maintain compliance with applicable drinking water regulations; improved monitoring and sensing techniques; and modern information technology approaches.
- Research Project Descriptions (15-page limit for each project description): Applications should contain one or more projects that address the research questions described above in Section I.D. Each of the specific individual research projects should be completely described according to the instructions in Section IV below. Individual project descriptions should explain how the project fits into the overall Center’s program and relates to other projects in the application.
- Administrative Unit Description (15-page limit): The Center shall have an Administrative Unit which provides oversight, coordination and integration of the Center’s activities. Describe how the Administrative Unit will coordinate the research activities and how the program will be integrated internally. Center proposals should take a multidisciplinary approach and indicate how programmatic and funding decisions will be made; how project objectives will be successfully achieved in a timely manner; how investigators from different disciplines within the Center will communicate on a regular basis about the development and progress of Center projects; how progress toward achieving the expected results (outputs and outcomes) will be monitored and measured; who will set priorities and who will ensure the quality of the research. The approach, procedures, and controls for ensuring that awarded grant funds will be expended in a timely and efficient manner should also be described. In conducting its research, development and demonstration, the Center should apply measures of success or progress, including developing and promoting the use of statistically valid protocols to evaluate program effectiveness and applying metrics to evaluate the project’s success, progress, or effectiveness.
It is anticipated that a total of approximately $4.1 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 one award under this RFA. Requests for amounts in excess of a total of $4,100,000 including direct and indirect costs, will not be considered. The total project period requested in an application submitted for this RFA may not exceed 3 years.
The EPA reserves the right to reject all applications and make no awards, or make fewer awards than anticipated, under this RFA. The EPA reserves the right to make additional awards under this announcement, consistent with Agency policy, if additional funding becomes available after the original selections are made. Any additional selections for awards will be made no later than six months after the original selection decisions.
EPA intends to award only grants under this announcement.
Under a grant, EPA scientists and engineers are not permitted to be substantially involved in the execution of the research. However, EPA encourages interaction between its own laboratory scientists and grant Principal Investigators after the award of an EPA grant for the sole purpose of exchanging information in research areas of common interest that may add value to their respective research activities. This interaction must be incidental to achieving the goals of the research under a grant. Interaction that is “incidental” does not involve resource commitments.
A. Eligible Applicants
Public nonprofit institutions/organizations (includes public institutions of higher education and hospitals) and private nonprofit institutions/organizations (includes private institutions of higher education and hospitals) located in the U.S., state and local governments, Federally Recognized Indian Tribal Governments, and U.S. territories or possessions are eligible to apply. Profit-making firms are not eligible to receive assistance agreements from the EPA under this program.
Eligible nonprofit organizations include any organizations that meet the definition of nonprofit in OMB Circular A-122, located at 2 CFR Part 230. However, nonprofit organizations described in Section 501(c) (4) of the Internal Revenue Code that lobby are not eligible to apply.
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 Ron Josephson (josephson.ron@epa.gov) in NCER, phone: 703-308-0442.
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.
Applications exceeding the funding limits or project period term described herein will be returned without review.
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
Additional provisions that apply to this solicitation and/or awards made under this solicitation, including but not limited to those related to confidential business information, contracts and subawards under grants, and proposal assistance and communications, can be found at EPA Solicitation Clauses
These, and the other provisions that can be found at the website link, are important, and applicants must review them when preparing applications for this solicitation. If you are unable to access these provisions electronically at the website above, please communicate with the EPA contact listed in this solicitation to obtain the provisions.
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.
Summary of Page Limitations for Application Content:
Descriptions must be single-spaced on 8.5x11-inch pages, with standard 12-point type and 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 following page limitations may not be exceeded (excess pages will not be reviewed):
- Abstracts: 1-page abstract for the Center as a whole; 1-page abstracts for each proposed research project
- Center Description: 5 pages
- Research Plan(s):15 pages for each research project description
- Quality Management Plan: 5 pages
- Human Subjects Research Statement: 6 pages
- Data Plan: 2 pages
- Administrative Unit: 15 pages
- Budget Justification: 2 pages per research project; 2 pages for the Administrative Unit
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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 SF424, not simply the proposed first year expenses.) The form must contain the signature of an authorized representative of the applying organization.
Applicants are required to provide a “Dun and Bradstreet Data Universal Numbering System” (DUNS) number when applying for federal grants or cooperative agreements. Organizations may receive a DUNS number by calling 1-866-705-5711 or by visiting the web site at Dun and Bradstreet.
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 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.