Grantee Research Project Results
U.S. Environmental Protection Agency
Office of Research and Development
National Center for Environmental Research
CLOSED - FOR REFERENCES PURPOSES ONLY
National Priorities: Systems-Based Strategies to Improve The Nation’s Ability to Plan And Respond to Water Scarcity and Drought Due to Climate Change
This is the initial announcement of this funding opportunity.
Funding Opportunity Number: EPA-G2014-ORD-L1
Catalog of Federal Domestic Assistance (CFDA) Number: 66.511
Solicitation Opening Date: June 20, 2014
Solicitation Closing Date: August 5, 2014, 11:59:59 pm Eastern Time
Technical Contact: Angela Page (page.angelad@epa.gov); phone: 703-347-8046
Eligibility Contact: Ron Josephson (josephson.ron@epa.gov); phone: 703-308-0442
Electronic Submissions: Todd Peterson (peterson.todd@epa.gov); phone: 703-308-7224
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) is seeking applications that take a systems view to investigate how drought (seasonal and prolonged), exacerbated, by climate change, may impact surface water and groundwater quality and availability. EPA is interested in characterizing and predicting water quality as it relates to drought and subsequent drought-related events, such as changes in surface runoff and wildfire. The Agency is also seeking information on changes in water quality that are driven by other variations in the hydrologic cycle (extreme events or climate change). For example, flooding following drought and wildfires, timing and intensity of spring runoff, etc. EPA is also interested in research that investigates management options for communities to plan and adapt to these changing scenarios. The goal of this Request for Applications (RFA) is to provide information on these complex interactions and devise innovative and sustainable management strategies for communities, municipalities, water managers, natural resource managers, and other stakeholders to protect our nation’s ground and surface water resources from potential decrease in water quality and availability.
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.5.c), and if the project involves human subjects research, it will be subject to an additional level of review prior to funding decisions being made as described in Sections V.C and V.D of this solicitation.
Guidance and training for investigators conducting EPA-funded research involving human subjects may be obtained here:
Making Funding Awards and Other Agreements that Support Human Subjects Research (HSR)
Human Subjects Research at the Environmental Protection Agency: Ethical Standards and Regulatory Requirements
Award Information:
Anticipated Type of Award: Grant or Cooperative Agreement
Estimated Number of Awards: Approximately four awards
Anticipated Funding Amount: Approximately $4 million total in federal funds for all awards. Minimum 25 percent non-federal cost share is required for each award.
Potential Funding per Award: Up to a total of $1,000,000 in federal funds, including direct and indirect costs, with a maximum duration of three years. Each applicant must contribute a minimum 25 percent match that may include in-kind contributions (see Section III.B. for more detail). Thus, if the maximum is awarded, then the award will be $1,000,000 EPA funds + a minimum of $250,000 non-federal matching from the applicant. Proposals with budgets exceeding the EPA (federal) funding limit of $1,000,000 will not be considered. In order to be eligible for funding consideration, applicants must demonstrate in their application how they will meet the required minimum 25% match in accordance with 40 CFR Part 30.23.
Eligibility Information:
Nonprofit organizations, including nonprofit colleges and universities located in the United States are eligible. Foreign entities, individuals, States, including the District of Columbia and State and local government departments, territories, possessions, and Tribal nations of the U.S., are not eligible to apply under this RFA. Profit-making firms are not eligible to receive assistance agreements from EPA under this program. 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 an 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 month to complete the registration process. Please note that the registration process also requires that your organization have a DUNS number and a current registration with the System for Award Management (SAM) and the process of obtaining both could take a month or more. Applicants must ensure that all registration requirements are met in order to apply for this opportunity through grants.gov and should ensure that all such requirements have been met well in advance of the submission deadline. 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:
Technical Contact: Angela Page (page.angelad@epa.gov); phone: 703-347-8046
Eligibility Contact: Ron Josephson (josephson.ron@epa.gov); phone: 703-308-0442
Electronic Submissions: Todd Peterson (peterson.todd@epa.gov); phone: 703-308-7224
I. FUNDING OPPORTUNITY DESCRIPTION
A. Introduction
Clean, safe, and available ground and surface water resources are essential for human and ecosystem health and economic livelihood. Increasing demands on water resources from the energy, agriculture, industry/manufacturing, and residential sectors, coupled with changes in population growth, land use practices, and aging water infrastructure systems pose substantial threats to the Nation’s water resources. Extreme weather events and climate change are expected to increase the frequency and severity of droughts and precipitation anomalies, subsequent wildfires (where relevant), and runoff that will ultimately impact the quality and availability of surface water and groundwater. Changes in water quality that are driven by these variations in the hydrologic cycle (extreme events or climate change) may have social, economic, and environmental consequences. Characterizing and predicting water quality relative to drought and subsequent drought-related events, such as changes in surface runoff and wildfire, are also important to broaden our understanding of water quality and availability.
The U.S. Environmental Protection Agency (EPA) is seeking applications that take a systems view to investigate how drought (seasonal and prolonged), exacerbated, by climate change, may impact surface water and groundwater quality and availability. EPA is interested in characterizing and predicting water quality as it relates to drought and subsequent drought-related events, such as changes in surface runoff and wildfire. The Agency is also seeking information on changes in water quality that are driven by other variations in the hydrologic cycle (extreme events or climate change). For example, flooding following drought and wildfires, timing and intensity of spring runoff, etc). EPA is also interested in research that investigates management options for communities to plan and adapt to these changing scenarios. The goal of this Request for Applications (RFA) is to provide information on these complex interactions and devise innovative and sustainable management strategies for communities, municipalities, water managers, natural resource managers, and other stakeholders to protect our nation’s ground and surface water resources from potential decrease in water quality and availability.
EPA’s Office of Research and Development’s (ORD) Safe and Sustainable Water Resources (SSWR) Program (About the Safe and Sustainable Water Resources Research Program) is conducting complementary research to develop resilient and adaptive systems to plan for and manage potential impacts of extreme climatic events and their resultant impacts on water quality and availability for surface and groundwater.
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.5.c), and if the project involves human subjects research, it will be subject to an additional level of review prior to funding decisions being made as described in Sections V.C and V.D of this solicitation.
Guidance and training for investigators conducting EPA-funded research involving human subjects may be obtained here:
Making Funding Awards and Other Agreements that Support Human Subjects Research (HSR)
Human Subjects Research at the Environmental Protection Agency: Ethical Standards and Regulatory Requirements
B. Background
Climate change is recognized as one of the defining challenges for the 21st century. Climate and freshwater systems form a complex web of interconnections such that as one system changes the other system also experiences a change (Watson et al., 1997). Climate change is expected to affect the amount, location, and fractions of water in the ice, liquid, and vapor phases in the atmosphere. Extreme weather events have occurred throughout Earth’s history; however, climate change is expected to increase the probability of future extreme events due to regionally warmer climate conditions with altered precipitation patterns causing more frequent and intense droughts, flash floods, or wildfires. These weather extremes are expected to adversely impact surface water and ground water, and may ultimately affect human and ecosystem health (Funkey et al., 2014). As warming trends continue, more precipitation will be in the form of rain instead of snow, accompanied by earlier snow melt, which in turn increases more rapid spring runoff and risk of flooding in early spring and low stream flows and water scarcity in late summer and early fall (Trenberth, 2011). Drier and warmer summers lead to droughts, heat waves, poor air quality, and high fire risk (Meehl et al., 2007) impacting health, ecosystem resources, and water quality. Intense rain events and flooding in areas affected by wildfire pose additional challenges to physical, chemical and biological conditions in aquatic systems. As these conditions persist–precipitation anomalies and increasing temperatures–many regions of the United States will become increasingly vulnerable to drought (Bufe, 2013).
Unlike other natural hazards (e.g., hurricanes, floods, tornadoes), drought is frequently gradual and cumulative in nature and this slows the recognition of the extent of the impacts on the environment, economy and society. As expressed by the European Parliament's Committee on the Environment, Public Health and Food Safety 
(Farmer et.al, 2008), water scarcity and droughts can significantly impact ecosystems through a variety of ways such the drying of wetlands that may result in waterborne pollutants becoming more concentrated thus altering river biota. More specifically, drought erodes soil, increases susceptibility to stormwater runoff during rainy periods, degrades surface water quality and reduces municipal and industrial water supplies. It also contributes to declining forest health and forest and rangeland fires.
The impacts of drought on water quality have also been shown to have severe societal and economic impacts (Dugan et al., 2009). Except for Hurricanes Katrina and Sandy, droughts are two of the top four most expensive U.S. weather-related disasters since 1980 according to NOAA's National Climatic Data Center. June 2012 ranked in sixth place for the greatest percent area of the contiguous United States covered by moderate or greater drought, since record keeping began in 1895. Projections of U.S. population increases, specifically in regions with limited water resources, create concerns about the ability to provide affordable and sustainable quantities and quality of water. Land-use and land-cover changes, due to development and other human-driven alterations, further reduce water storage and degrades water quality (Hudnell, 2008). Increasing water demands from multiple sectors— energy, agriculture, industry, municipalities, ecosystem maintenance, and recreation–create additional pressures on surface and ground water resources (Steffen et al., 2014). Meanwhile, as droughts become more prevalent, communities may rely on water of reduced quality or increase reliance on groundwater. To adapt to our changing world, collaborative partnerships among multi-use sectors will help communities find ways to effectively manage water quantity and quality issues. Characterizing and predicting water quality as it relates to drought and subsequent drought-related events, such as changes in surface runoff and wildfire, are important in developing water management strategies. It is also important to understand complex changes in water quality that are driven by other variations in the hydrologic cycle (extreme events or climate change).
These drought-related issues have been recognized as a critical component of national policies1 . A strategy for communities to respond and adapt to these events, while daunting, is essential for water use and management scenarios to provide resilient water resources in atypical (drought years) and typical (approximating expected average rainfall) years where extreme weather events may significantly impact water resources. Treatment methods for waterborne contaminants (e.g. nutrients, salinity, organic and metal contaminants and microbes) are needed to assure human and ecological health. In addition, decision tools and technical support are needed to enable communities to forecast the likelihood of these extreme events to occur and to assess the potential impacts on water resources under such extreme conditions and natural disasters.
These tools must also support management decisions to adapt to and mitigate the effects of extreme weather events on water resources due to climate. The efficacy of creative management approaches must be determined to assist communities in choosing management options for water resources to reduce the impact and plan for drought (Rogers, 1983).
The expected outputs under the awards anticipated from this announcement include guidance documents, decision support tools, models, demonstration and case studies, reports, presentations, and peer-reviewed journal publications. These could, for example, take the form of:
- Surface water and groundwater mapping and monitoring tools based on remote sensing and satellite technologies
- Strategies to obtain continuous monitoring and feedback data to support water management
- Awareness of behavioral support and economic analyses of water treatment needed to support drought management
- Assessment of drought-driven changes in water quality and water management technologies
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 2011-2015 Strategic Plan
1 As part of the President’s Climate Action Plan, the Administration launched a National Drought Resilience Partnership in November 2013 to help communities access the drought assistance they need. In February 2014, President Obama met with the western governors on drought and wildfire and has committed to help impacted farmers, ranchers, small businesses and communities respond to these challenges. The following month, Congress passed, and the President signed, the National Integrated Drought Information System Reauthorization Act, which ensures that the federal government can continue to provide timely, effective drought warning forecasts and vital support to communities that are vulnerable to drought.
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 air pollution, water pollution, solid/hazardous waste pollution, toxic substances control, or pesticide control depending on which statute(s) is listed above. These activities should relate to the gathering or transferring of information or advancing the state of knowledge. Proposals should emphasize this “learning” concept, as opposed to “fixing” an environmental problem via a well-established method. Proposals relating to other topics which are sometimes included within the term “environment” such as recreation, conservation, restoration, protection of wildlife habitats, etc., must describe the relationship of these topics to the statutorily required purpose of pollution prevention and/or control.
Applicable regulations include: 40 CFR Part 30 (Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations), 40 CFR Part 31 (Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments) and 40 CFR Part 40 (Research and Demonstration Grants). Applicable OMB Circulars include: OMB Circular A-21 (Cost Principles for Educational Institutions) relocated to 2 CFR Part 220, OMB Circular A-87 (Cost Principles for State, Local and Indian Tribal Governments) relocated to 2 CFR Part 225, and OMB Circular A-122 (Cost Principles for Non-Profit Organizations) relocated to 2 CFR Part 230.
D. Specific Research Areas of Interest/Expected Outputs and Outcomes
Note to applicant: The term “output” means an environmental activity, effort, and/or associated work products related to an environmental goal or objective, that will be produced or provided over a period of time or by a specified date. The term “outcome” means the result, effect or consequence that will occur from carrying out an environmental program or activity that is related to an environmental or programmatic goal or objective.
This RFA is seeking applications that take a systems view to investigate how drought, exacerbated by climate change, may impact surface water and groundwater quality and availability. This RFA is soliciting innovative and sustainable technologies, models and approaches, including management and decision support tools, to advance knowledge of how drought (seasonal and prolonged) and wildfires, combined with other changes in the hydrologic cycle, impact the water quality and availability of surface water and groundwater. Specifically, researchers will investigate the direct and secondary interrelated impacts of extreme weather events and climate change on surface and groundwater water quality and availability for the protection of human and ecosystem health, and develop innovative, cost-effective management options that address these impacts.
Applicants should respond to the five questions below in their applications:
- How does drought (seasonal and prolonged), exacerbated by extreme weather and climate change, affect water quality and availability of surface water and groundwater?
- How do subsequent drought related events, such as changes in surface runoff and wildfire, lead to additional changes in water quality and availability?
- How can changes in water quality driven by other variations in the hydrological cycle related to drought, such as changes in the timing and intensity of spring snowmelt and runoff, affect water quality?
- What adaptive management strategies and innovative, cost-effective technologies provide communities and ecosystems with protection and resilience against direct and secondary drought related impacts exacerbated by climate change?
- How can the proposed management strategies and technologies be demonstrated in different communities to facilitate adoption of sustainable water management?
Expected outcomes of the awards under this RFA include an improved understanding of how drought, exacerbated by extreme weather events and climate change, and their subsequent impacts, such as wildfires reduced instream flow and groundwater recharge, and changes in the pattern of runoff, influence water quality and availability of surface water and groundwater. The research should help state, local and other decision makers understand the consequences of policy options and guidance aimed at drought management at the watershed level. The expected outputs include guidance documents, decision support tools, models, demonstration and case studies, reports, presentations, and peer-reviewed journal publications.
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
Bufe, Mary, Direct potable-water reuse debuts in Texas, Water Environment Federation, August 2013, Vol. 25, No.8
Dugan, N.R, Williams, D.J, Meyer, M. Schneider, R.R, Speth, T.F., and Metz, D.H. The impact of temperature on the performance of anaerobic biological treatment of perchlorate in drinking water. Water Research 03/2009; 43(7):1867-78
Farmer, A., Bassi, S., and Fergusson, M. Study for the European Parliament's Committee on the Environment, Public Health and Food Safety, Study Policy Department Economic and Scientific Policy – Water Scarcity and Droughts. Institute for European Environmental Policy. London, United Kingdom. 2008.
Funkey, C.P., Conley, D.J., Reuss, N.S., Humborg, C, Jilbert, T., and Slomp, C.P. Hypoxia Sustains Cyanobacteria Blooms in the Baltic Sea, Environ Sci Technol. Mar 4, 2014; 48(5): 2598–2602.
Hudnell, H.K. Cyanobacterial Harmful Algal Blooms: State of the Science and Research, Springer Science, 2008, LOC 2007939828, New York, NY, USA
Meehl, G.A., Solomon, S., Qin, D., Manning, M, Chen, Z, Marquis, M, Averyt, K.B., Tignor, M. and Miller, H.L. Global Climate Projections, Climate Change 2007: The Physical Science Basis. Contribution of Working Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA, 2007.
Rogers, Everett M., Diffusion of Innovation, New York; NY, Free Press, 1983
Steffen, M.M., Zhu, Z., McKay, R.M.L., Wilhelm, S.W. Taxonomic assessment of a cyanobacterial shift in hypereutrophic Grand Lake St Marys (Ohio, USA), Harmful Algae 01/2014; 33:12-18.
The National Oceanic Atmospheric Administration. National Climatic Data Center. Billion-Dollar Weather/Climate Disasters
Trenberth, K.E., Changes in precipitation with climate change. Clim Res 47: 123–138. 2011.
The State of Israel, National Water Efficiency Report, Ministry of National Infrastructures Planning Department, Water Authority, April, 2011.
U.S. Environmental Protection Agency, Control and Mitigation of Drinking Water Losses in Distribution Systems , EPA 816-R-10-019, November, 2010.
Watson, R.T., Zinyowera, M.C., and Moss, R.H. The Regional Impacts of Climate Change: An Assessment of Vulnerability. Intergovernmental Panel on Climate Change. Cambridge University Press, Cambridge, U.K., 1997.
World Health Organization, Department for International Development (DFID). Vision 2030: The Resilience of Water Supply and Sanitation in the Face of Climate Change, WHO, 2013. Vision 2030: The resilience of water supply and sanitation in the face of climate change Summary and policy implications
The Whitehouse. The President’s Climate Action Plan. The Executive Office of the President. (2013). THE PRESIDENT’S CLIMATE ACTION PLAN (PDF) (21pp, 310 K)
The White House. Council on Environmental Quality. Introducting the National Drought Resilience Partnership. Introducing the National Drought Resilience Partnership. 2013.
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) (PDF) (133 pp, 1.21 MB) document. SEAOES, which was published by researchers in EPA and which discusses the principles for the ethical conduct of human research studies, serves as a resource for applicants interested in applying under this solicitation. References to “SEAOES Principles” in this solicitation refers, in general, to the issues of interest in conducting human subjects research studies that maintain the highest scientific and ethical standards and safety during the conduct of these studies. All applications must include a Human Subjects Research Statement (HSRS; described in Section IV.B.5.c) and if the project involves human subjects research, it will be subject to an additional level of review prior to funding decisions being made as described in Sections V.C and V.D of this solicitation.
The application should 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.
It is anticipated that a total of approximately $4 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 4 awards under this RFA. Requests for amounts in excess of a total of $1,000,000 in federal funds, including direct and indirect costs, will not be considered. In addition, a minimum 25% non-federal match (which may include in-kind contributions (see Section III.B. for more details)) equal to a minimum of $250,000 (assuming the applicant requests $1,000,000 in EPA funds) must be included. Applications which do not demonstrate how the minimum 25% non-federal match will be met will not be considered. The total project period requested in an application submitted for this RFA may not exceed three years.
The EPA reserves the right to reject all applications and make no awards, or make fewer awards than anticipated, under this RFA. The EPA reserves the right to make additional awards under this announcement, consistent with Agency policy, if additional funding becomes available after the original selections are made. Any additional selections for awards will be made no later than six months after the original selection decisions.
In appropriate circumstances, EPA reserves the right to partially fund proposals/applications by funding discrete portions or phases of proposed projects. If EPA decides to partially fund a proposal/application, it will do so in a manner that does not prejudice any applicants or affect the basis upon which the proposal/application, or portion thereof, was evaluated and selected for award, and therefore maintains the integrity of the competition and selection process.
EPA may award both grants and cooperative agreements under this announcement.
Under a grant, EPA scientists and engineers are not permitted to be substantially involved in the execution of the research. However, EPA encourages interaction between its own laboratory scientists and grant Principal Investigators after the award of an EPA grant for the sole purpose of exchanging information in research areas of common interest that may add value to their respective research activities. This interaction must be incidental to achieving the goals of the research under a grant. Interaction that is “incidental” does not involve resource commitments.
Where appropriate, based on consideration of the nature of the proposed project relative to the EPA’s intramural research program and available resources, the EPA may award cooperative agreements under this announcement. When addressing a research question/problem of common interest, collaborations between EPA scientists and the institution’s principal investigators are permitted under a cooperative agreement. These collaborations may include data and information exchange, providing technical input to experimental design and theoretical development, coordinating extramural research with in-house activities, the refinement of valuation endpoints, and joint authorship of journal articles on these activities. Proposals may not identify EPA cooperators or interactions; specific interactions between EPA’s investigators and those of the prospective recipient for cooperative agreements will be negotiated at the time of award.
A. Eligible Applicants
This solicitation is available to nonprofit organizations, including nonprofit colleges and universities located in the U.S. Foreign entities, individuals, States, including the District of Columbia and State and local government departments, territories, possessions, and Tribal nations of the U.S., are not eligible to apply under this RFA. Profit-making firms are not eligible to receive assistance agreements from the EPA under this program.
Eligible nonprofit organizations include any organizations that:
- Are operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest;
- Are not organized primarily for profit; and
- Use its net proceeds to maintain, improve, and/or expand its operations.
However, nonprofit organizations described in Section 501(c) (4) of the Internal Revenue Code that lobby are not eligible to apply.
National laboratories funded by Federal Agencies (Federally-Funded Research and Development Centers, "FFRDCs") may not apply. FFRDC employees may cooperate or collaborate with eligible applicants within the limits imposed by applicable legislation and regulations. They may participate in planning, conducting, and analyzing the research directed by the applicant, but may not direct projects on behalf of the applicant organization. The institution, organization, or governance receiving the award may provide funds through its assistance agreement from the EPA to an FFRDC for research personnel, supplies, equipment, and other expenses directly related to the research. However, salaries for permanent FFRDC employees may not be provided through this mechanism.
Federal Agencies may not apply. Federal employees are not eligible to serve in a principal leadership role on an assistance agreement, and may not receive salaries or augment their Agency's appropriations in other ways through awards made under this program.
The applicant institution may enter into an agreement with a Federal Agency to purchase or utilize unique supplies or services unavailable in the private sector to the extent authorized by law. Examples are purchase of satellite data, chemical reference standards, analyses, or use of instrumentation or other facilities not available elsewhere. A written justification for federal involvement must be included in the application. In addition, an appropriate form of assurance that documents the commitment, such as a letter of intent from the Federal Agency involved, should be included.
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
Each applicant must contribute a minimum 25% non-federal match which may include in-kind contributions. In order to be eligible for funding consideration, applicants must demonstrate in their application how they will meet the required minimum 25% match in accordance with 40 CFR Part 30.23.
The cost share/match may be provided in cash or can come from in-kind contributions, such as the use of volunteers and/or donated time, equipment, etc., subject to the regulations governing matching fund requirements at 40 CFR Part 30.23. Cost share/matching funds are considered grant funds and are included in the total award amount.
All contributions, including cash and third party in-kind, shall be accepted as cost sharing or matching when such contributions meet all of the following criteria: (1) Are verifiable from the recipient’s records; (2) Are not included as contributions for any other federally-assisted project or program; (3) Are necessary and reasonable for proper and efficient accomplishment of project or program objectives; (4) Are allowable under the applicable cost principles; (5) Are not paid by the Federal Government under another award, except where authorized by Federal statute to be used for cost sharing or matching; (6) Are identified in the approved budget; and (7) Conform to other provisions of Circular A–110 (Relocated to 2 CFR, Part 215), as applicable.
Any restrictions on the use of grant funds (examples of funding restrictions are described in Section IV.D of this announcement) also apply to the use of cost share/matching funds.
C. Other
Applications must substantially comply with the application submission instructions and requirements set forth in Section IV of this announcement or they will be rejected. In addition, where a page limitation is expressed in Section IV with respect to parts of the application, pages in excess of the page limit will not be reviewed. Applications must be submitted through grants.gov or by other authorized alternate means (see Section IV.E. “Submission Instructions and Other Submission Requirements” for further information) on or before the solicitation closing date and time in Section IV of this announcement or they will be returned to the sender without further consideration. Also, applications exceeding the funding limits or project period term described herein will be returned without review. Further, applications that fail to demonstrate a public purpose of support or stimulation (e.g., by proposing research which primarily benefits a Federal program or provides a service for a Federal agency) will not be funded.
Applications deemed ineligible for funding consideration will be notified within fifteen calendar days of the ineligibility determination.
IV. APPLICATION AND SUBMISSION INFORMATION
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 Contracts and Subawards
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), all necessary forms are included in the electronic application package.
An email will be sent by NCER to the Lead/Contact PI and the Administrative Contact (see below) to acknowledge receipt of the application and transmit other important information. The email will be sent from receipt.application@epa.gov; emails to this address will not be accepted. If you do not receive an email acknowledgment within 30 days of the submission closing date, immediately inform the Eligibility Contact shown in this solicitation. Failure to do so may result in your application not being reviewed. See Section E. “Submission Instructions and Other Submission Requirements” for additional information regarding the application receipt acknowledgment.
B. Content and Form of Application Submission
The application is made by submitting the materials described below. Applications must contain all information requested and be submitted in the formats described.
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Standard Form 424
The applicant must complete Standard Form 424. Instructions for completion of the SF424 are included with the form. (However, note that EPA requires that the entire requested dollar amount appear on the SF424, not simply the proposed first year expenses.) Note that a minimum 25% non-federal cost share/match must be included. 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 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.
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Key Contacts
The applicant must complete the “Key Contacts” form found in the Grants.gov application package. An “Additional Key Contacts” form is also available at Forms and Standard Instructions Download Page. The Key Contacts form should also be completed for major sub-agreements (i.e., primary investigators). Do not include information for consultants or other contractors. Please make certain that all contact information is accurate.
For Multiple PI applications: The Additional Key Contacts form must be completed (see Section I.F. for further information). Note: The Contact PI must be affiliated with the institution submitting the application. EPA will direct all communications related to scientific, technical, and budgetary aspects of the project to the Contact PI; however, any information regarding an application will be shared with any PI upon request. The Contact PI is to be listed on the Key Contact Form as the Project Manager/Principal Investigator (the term Project Manager is used on the Grants.gov form, the term Principal Investigator is used on the form located on NCER’s web site). For additional PIs, complete the Major Co-Investigator fields and identify PI status next to the name (e.g., “Name: John Smith, Principal Investigator”).
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Table of Contents
Provide a list of the major subdivisions of the application indicating the page number on which each section begins.
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Abstract (1 page)
The abstract is a very important document in the review process. Therefore, it is critical that the abstract accurately describes the research being proposed and conveys all the essential elements of the research. Also, the abstracts of applications that receive funding will be posted on the NCER web site.
The abstract should include the information described below (a-h). Examples of abstracts for current grants may be found on the NCER web site.
- Funding Opportunity Title and Number for this proposal.
- Project Title: Use the exact title of your project as it appears in the application. The title must be brief yet represent the major thrust of the project. Because the title will be used by those not familiar with the project, use more commonly understood terminology. Do not use general phrases such as “research on.”
- Investigators: For applications with multiple investigators, state whether this is a single Lead PI (with co-PIs) or Multiple PI application (see Section I.F.). For Lead PI applications, list the Lead PI, then the name(s) of each co-PI who will significantly contribute to the project. For Multiple PI applications, list the Contact PI, then the name(s) of each additional PI. Provide a web site URL or an email contact address for additional information.
- Institution(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.
- 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.
- Project Cost: Show the total funding requested from the EPA (include direct and indirect costs for all years) as well as the non-federal cost share. Demonstrate how you will meet the required match requirement.
- Project Summary: Provide three subsections addressing: (1) the objectives of the study (including any hypotheses that will be tested), (2) the experimental approach to be used (a description of the proposed project), and (3) the expected results (outputs/outcomes) of the project and how it addresses the research needs identified in the solicitation, including the estimated improvement in risk assessment or risk management that will result from successful completion of the proposed work.
- Supplemental Keywords: Without duplicating terms already used in the text of the abstract, list keywords to assist database searchers in finding your research. A list of suggested keywords may be found at: Forms and Standard Instructions Download Page.
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Research Plan, Quality Assurance Statement, Human Subjects Research Statement, Data Plan, Early Career Verification and References
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Research Plan (15 pages)
Applications should focus on a limited number of research objectives that adequately and clearly demonstrate that they meet the RFA requirements. Explicitly state the main hypotheses that you will investigate, the data you will create or use, the analytical tools you will use to investigate these hypotheses or analyze these data, and the results you expect to achieve. Research methods must be clearly stated so that reviewers can evaluate the appropriateness of your approach and the tools you intend to use. A statement such as: “we will evaluate the data using the usual statistical methods” is not specific enough for peer reviewers.
This description must not exceed fifteen (15) consecutively numbered (bottom center), 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins. While these guidelines establish the minimum type size requirements, applicants are advised that readability is of paramount importance and should take precedence in selection of an appropriate font for use in the proposal.
The description must provide the following information:
- Objectives: List the objectives of the proposed research and the hypotheses being tested during the project, and briefly state why the intended research is important and how it fulfills the requirements of the solicitation. This section should also include any background or introductory information that would help explain the objectives of the study. If this application is to expand upon research supported by an existing or former assistance agreement awarded under the program, indicate the number of the agreement and provide a brief report of progress and results achieved under it.
- Approach/Activities: Outline the research design, methods, and techniques that you intend to use in meeting the objectives stated above, including climate change adaptation considerations described in Section I to ensure that the project achieves its expected outcomes even as climate changes.
- 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.
- 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.
- Expected Results, Benefits, Outputs, and Outcomes: Describe the results you expect to achieve during the project (outputs) and the potential benefits of the results (outcomes). This section should also discuss how the research results will lead to solutions to environmental problems and improve the public’s ability to protect the environment and human health. A clear, concise description will help NCER and peer reviewers understand the merits of the research.
- Project Management: 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. Describe the approach, procedures, and controls for ensuring that awarded grant funds will be expended in a timely and efficient manner and detail how project objectives will be successfully achieved within the grant period. Describe how progress toward achieving the expected results (outputs and outcomes) of the research will be tracked and measured. Applications for multi-investigator projects must identify project management and the functions of each investigator in each team and describe plans to communicate and share data.
- Appendices may be included but must remain within the 15-page limit.
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Quality Assurance Statement (3 pages)
For projects involving environmental data collection or processing, conducting surveys, modeling, method development, or the development of environmental technology (whether hardware-based or via new techniques), provide a Quality Assurance Statement (QAS) regarding the plans for processes that will be used to ensure that the products of the research satisfy the intended project objectives. Follow the guidelines provided below to ensure that the QAS describes a system that complies with ANSI/ASQC E4, Specifications and Guidelines for Quality Systems for Environmental Data Collection and Environmental Technology Programs. Do not exceed three consecutively numbered, 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins.
NOTE: If selected for award, applicants will be expected to provide additional quality assurance documentation.
Address each applicable section below by including the required information, referencing the specific location of the information in the Research Plan, or explaining why the sec
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The perspectives, information and conclusions conveyed in research project abstracts, progress reports, final reports, journal abstracts and journal publications convey the viewpoints of the principal investigator and may not represent the views and policies of ORD and EPA. Conclusions drawn by the principal investigators have not been reviewed by the Agency.