Grantee Research Project Results
U.S. Environmental Protection Agency
Office of Research and Development
National Center for Environmental Research
Science to Achieve Results (STAR) Program
CLOSED - FOR REFERENCES PURPOSES ONLY
National Center for Sustainable Water Infrastructure Modeling Research
This is the initial announcement of this funding opportunity.
Funding Opportunity Number: EPA-G2014-STAR-H1
Catalog of Federal Domestic Assistance (CFDA) Number: 66.509
Solicitation Opening Date: January 13, 2014
Solicitation Closing Date: March 10, 2014, 11:59:59 pm Eastern Time
Technical Contact: Michael Hiscock (hiscock.michael@epa.gov); phone: 703-347-0258
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), as part of its Science to Achieve Results (STAR) program, is seeking initial applications proposing the creation of a National Center for Sustainable Water Infrastructure Modeling Research (Center) that facilitates technology transfer of open source water infrastructure models and shares green infrastructure tools and research advancements with local communities and stakeholders. EPA will review the initial applications based on the initial application review criteria in Section V and the submitters of the highest-ranked initial applications will be asked to submit full applications. Prior to submitting full applications, finalists will be invited to meet as a group with EPA’s National Risk Management Research Laboratory to learn more about EPA capabilities and plans for sustainable water infrastructure models. To ensure equal access to information for all finalists, one meeting will be held at EPA in Cincinnati, OH on April 23, 2014. There will be videoconferencing available for those who do not, or cannot, attend in person and a meeting summary will be provided to all finalists (see section V for further information).
The objective of the award to be made under this solicitation is to establish a Center that coordinates the following three critical and integrated core components to the advancement of sustainable water models and model research:
- Novel Research that engages sustainable water infrastructure models, modelers, model users and stakeholders towards improving real time control of water systems, advancing water infrastructure software design, building the next generation of water modeling tools, and providing solutions to such difficult problems as climate change and extreme events, population growth, water security to detect and monitor contaminants, and environmental compliance;
- Community Support and Outreach that fosters and trains a growing global community of sustainable water infrastructure modelers, model users, and stakeholders; and
- Model and Code Development that maintains, supports and helps develop freely available software models of sustainable stormwater, wastewater, and water supply systems.
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 full applications must include a Human Subjects Research Statement (HSRS, see Section V.B.), 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.D and V.E of this solicitation.
Guidance and training for investigators conducting EPA-funded research involving human subjects may be obtained here:
Ethics, Regulations, and Policies
Human Subjects Research at the Environmental Protection Agency: Ethical Standards and Regulatory Requirements
Award Information:
Anticipated Type of Award: Cooperative Agreement
Estimated Number of Awards: 1 award
Anticipated Funding Amount: Approximately $4.0 million total.
Potential Funding per Award: Up to a total of $4.0 million, including direct and indirect costs, with a maximum duration of five 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 United States, 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 submit your initial application under this solicitation, use the application package available at Grants.gov (for further submission information see Section IV.E. “Submission Instructions and other Submission Requirements”). The necessary forms for submitting a STAR application will be found on the National Center for Environmental Research (NCER) web site, Forms and Standard Instructions Download Page. If your organization is not currently registered with Grants.gov, you need to allow approximately one 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.
After the review of the initial applications, finalists will be provided information for the content, and deadline, for submission of the full application package.
Agency Contacts:
Technical Contact: Michael Hiscock (hiscock.michael@epa.gov); phone: 703-347-0258
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
The U.S. Environmental Protection Agency (EPA), as part of its Science to Achieve Results (STAR) program, is seeking initial applications proposing the creation of a National Center for Sustainable Water Infrastructure Modeling Research (Center) that facilitates technology transfer of open source water infrastructure models and shares green infrastructure tools and research advancements with local communities and stakeholders. To respond to this request for initial applications, applicants will submit: an SF 424 (application for federal assistance); Key Contacts form; SF 424A (budget information for non-construction programs); an abstract; a research plan (not to exceed eight pages); budget justification; and two-page resumes of investigators (see Section IV for further information). EPA will review the initial applications based on the initial application review criteria in Section V and the submitters of the highest-ranked initial applications will be asked to submit full applications.
The objective of the award to be made under this solicitation is to establish a Center that coordinates the following three critical and integrated core components to the advancement of sustainable water models and model research:
- Novel Research that engages sustainable water infrastructure models, modelers, model users and stakeholders towards improving real time control of water systems, advancing water infrastructure software design, building the next generation of water modeling tools, and providing solutions to such difficult problems as climate change and extreme events, population growth, water security to detect and monitor contaminants, and environmental compliance;
- Community Support and Outreach that fosters and trains a growing global community of sustainable water infrastructure modelers, model users, and stakeholders; and
- Model and Code Development that maintains, supports and helps develop freely available software models of sustainable stormwater, wastewater, and water supply systems.
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 full applications must include a Human Subjects Research Statement (HSRS, see Section V.B.), 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.D and V.E of this solicitation.
Guidance and training for investigators conducting EPA-funded research involving human subjects may be obtained here:
Ethics, Regulations, and Policies
Human Subjects Research at the Environmental Protection Agency: Ethical Standards and Regulatory Requirements
B. Background
Sustainable water infrastructure models are used throughout the world for the planning, analysis, design, and research of stormwater, wastewater, and drinking water distribution management. Sewer and storm water management models are used in designing and sizing drainage system components for flood control, evaluating the impact of inflow and infiltration on sanitary sewer overflows, generating non-point source pollutant loadings for waste load allocation studies, and evaluating the effectiveness of best management practices for reducing wet weather pollutant loadings (Nix, 1994). Water distribution system models are used in capital improvement planning, studying disinfectant loss and by-product formation, evaluating alternative strategies for improving water quality, planning cost-effective programs of targeted pipe cleaning and replacement, and designing sampling programs (AWWA, 2012).
The EPA has a long history of developing free open source sustainable water infrastructure models for modeling runoff, storm and combined sewer flows and drinking water distribution systems (US. EPA, 2005; U.S. EPA, 2006). Its two flagship models, Storm Water Management Model (SWMM) and EPANET, have been used in thousands of applications throughout the world and have been incorporated into several commercial software packages (e.g., Bentley 
; Innovyze ).
SWMM (U.S. EPA, 2010) is widely used for planning, analysis and design related to stormwater runoff, combined sewers, sanitary sewers, and other drainage systems in urban areas. With the recent inclusion of hydrologic performance of specific types of green infrastructure low impact development controls (LID), the model can be used to consider both grey infrastructure approaches for managing stormwater (e.g., pipes, tunnels, high rate treatment), and the potentially more cost effective green infrastructure approaches for managing stormwater (e.g., rain gardens, permeable pavement, rain barrels). EPANET (U.S. EPA, 2000) was developed to help water utilities maintain and improve the quality of water delivered to consumers through drinking water distribution systems. EPANET can also be used to plan and improve a system's hydraulic performance. The model can assist with pipe, pump, and valve placement; sizing; energy minimization; fire flow analysis; vulnerability studies; and operator training. Together, these models provide municipalities the tools to develop the most cost effective green and grey water infrastructure options to reduce the release of untreated wastewater and improve the availability of safe drinking water.
Under this solicitation, the EPA is seeking to provide the initial five years of funding to establish a Center that i) facilitates the technology transfer and public water modeling community ownership of open source water infrastructure models and ii) shares green infrastructure tools and research advancements with local communities and stakeholders.
This announcement seeks initial applications for a National Center for Sustainable Water Infrastructure Modeling Research (Center) which can benefit from EPA Office of Research and Development expertise in sustainable water infrastructure modeling. A cooperative agreement award is similar to a grant award, in that both support research to accomplish a public purpose; however, in a cooperative agreement there is substantial involvement in the research, community support and outreach, and model and code development by EPA. More detail on EPA’s proposed involvement is provided in Section II.
While EPA has expertise in open source sustainable infrastructure water models and wishes to cooperate with the future Center, it is important to note that the focus of the proposed research and the breadth of models to be considered by the Center should not be limited to EPANET and SWMM. The inclusion of EPANET and SWMM is not a requirement for this Center.
The proposed Center will support the Agency’s Green Infrastructure Strategy, 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.
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
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 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 cooperative 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 is interested in supporting a National Center for Sustainable Water Infrastructure Modeling Research (Center) to i) promote research and development of computational models focused on answering key questions related to planning, managing and operating water resource systems and ii) develop a sustainable water infrastructure modeling community and lead cutting edge research in the field of sustainable water infrastructure. Although EPA cannot fund commercialization, applicants are strongly encouraged to leverage resources and collaborative opportunities, and build on those resources and collaborative opportunities throughout the life of the Center with the goal of achieving self-sufficiency by the end of the five year project period. While the ultimate structure of the Center will be determined by the applicant, activities within each of the Center’s three core components could include some or all, and would not necessarily be limited to, the following research areas:
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Novel Research that engages sustainable water infrastructure models, modelers, model users and stakeholders towards improving real time control of water systems, advancing water infrastructure software design, building the next generation of water modeling tools, and providing solutions to such difficult problems as climate change, water security, and environmental compliance.
A critical component of the Center will include being a leader in advancing the research field of sustainable water infrastructure. Applications under this solicitation should strive to address as many of the following research areas as possible:
- Development and successful demonstration of computer simulation and decision support models that improve or optimize real time operation and control of water distribution, stormwater runoff, and wastewater collection systems.
- Demonstration and improvement of models that provide sustainable and robust solutions to such difficult problems as climate change and extreme events, population growth, water security to detect and monitor contaminants, and environmental compliance. (i.e. How can sustainable infrastructure models incorporate life-cycle analysis and life-cycle cost tools in order to enable cost comparison between green and gray infrastructure? How can sustainable infrastructure models produce the actionable information necessary to provide a vision for the way cities should be adapting to climate and increased frequency or intensity of extreme events?)
- Identifying and demonstrating improvements that can be made to the algorithms and software design used in the current generation of water simulation and decision support models.
- Identifying what the next generation of water modeling tools will look like and what specific questions they will address.
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Community Support that fosters, supports and trains a growing global community of sustainable water infrastructure modelers, model users, and stakeholders.
In order to engage and promote the development of a vibrant and sustainable water infrastructure community, a successful Center may focus community support activities within two general areas – i) training and ii) outreach. Training could include workshops on applying the supported models to targeted application areas, community modeling camps, “hack-a-thons”, a how to manual for targeted application areas, web-based discussion forums for individual sustainable infrastructure models, conference participation and training sessions, short courses, or tutorials. Outreach efforts should seek to broaden the community to include model users and stakeholders. In reaching out to the modeling community for voluntary participation, the Center should have a mechanism to incorporate voluntary model and code improvements. Software maintenance and outreach for the supported models within the Center could include an on-line help desk to get help with supported Center products, a software clearinghouse to download the supported Center products, development assistance to add new science to the supported Center products, on-line software documentation for supported Center products, and a Data Clearinghouse to access sustainable water infrastructure data from around the community. Applications under this solicitation should strive to address as many of the following research areas regarding community support as possible:
- Define the modeling and stakeholder community this Center will reach out to and engage. What sustainable infrastructure models or types of models will the Center initially support? By what process will the types of models supported evolve with time?
- How will the Center reach out to and engage the modeling community?
- What core resources will the Center provide to the community?
- How will the proposed research and interactive modeling be used and embraced by the community?
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Model and Code Development that maintains, supports and helps develop freely available software models of sustainable stormwater, wastewater, and water supply systems.
Community-based improvement and innovation of supported model codes will be an essential component of the Center. Model and code development of supported models could include a code repository with concurrent versioning control, a bug tracking system, and QA/QC for updating new releases. The development of a structure to scientifically review, validate, test, QA/QC, and incorporate new code into existing supported models would be encouraged. The application should discuss the process by which the Center will accept and evaluate outside community sourced contributions for code improvements and modules for existing and future models (for example, creating architecture within the models for plug-in applications). Applications under this solicitation should strive to address as many of the following research areas regarding model and code development as possible:
- What is the best method for sharing existing model code and developing or incorporating new tools into sustainable infrastructure models?
- How can the proposed Center best utilize and assimilate the skills and expertise of the user community?
- How can new tools and components – such as climate change adaptation, life cycle analysis, and green versus gray cost comparisons – be integrated into the Center-supported models by users while maintaining the version control necessary for the Center and the larger modeling community?
The focus of the research component of this solicitation is on the development and improvement of computer models used to simulate, design, and operate water supply, stormwater runoff, and wastewater collection systems. Applicants are encouraged to develop partnerships with water, stormwater, and wastewater managers to serve as a source of data and to demonstrate the value of the research to the water modeling community. The research question of how models provide sustainable and robust solutions should include a discussion of the data to be used, evaluations to be performed, quality control, reliability, and confidence with which the community considers the models.
The outputs of the Center will include a data warehouse, model and model code clearinghouse, community support services, reports, presentations, and peer reviewed journal publications describing the advances made in modeling of water infrastructure systems as well as software packages that implement these advances.
The expected outcomes of this Center are an improved ability to manage water supplies, runoff, and wastewater collection in both a cost-effective, sustainable and environmentally sound manner that considers the cost-benefit in terms of combinations of sustainable (green) and conventional (grey) infrastructure strategies. Improved water infrastructure models will be used to develop more successful water resources and water quality management strategies that provide improved decision making capabilities to reduce economic and impaired water risk on both a local and regional scale.
To the extent practicable, full applications must embody innovation and sustainability. Full applications must include a discussion on how the proposed research is innovative and include a discussion on how the proposed research will seek sustainable solutions that protect the environment and strengthen our communities. Additional details on application content and instructions for submitting full applications will be provided to finalists in the Spring of 2014.
- AWWA (2012). Computer Modeling of Water Distribution Systems, AWWA Manual M32, 3rd Edition, American Water Works Association, Denver, CO.
- Nix, S.J. (1994). Urban Stormwater Modeling and Simulation, CRC Press, Boca Raton, FL
- U.S. EPA (2000). EPANET 2 Users Manual, EPA/600/R-00/057, U.S. Environmental Protection Agency, Cincinnati, OH.
- U.S. EPA (2005). Water Distribution System Analysis: Field Studies, Modeling and Management, EPA/600/R-06/028, U.S. Environmental Protection Agency, Cincinnati, OH.
- U.S. EPA (2006). BMP Modeling Concepts and Simulation, EPA/600/R-06/033, U.S. Environmental Protection Agency, Cincinnati, OH.
- U.S. EPA (2010). Storm Water Management User’s Manual Version 5.0, EPA/600/R-05/040, U.S. Environmental Protection Agency, Cincinnati, OH.
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 (Research Business Models Working Group).
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 full applications must include a Human Subjects Research Statement (HSRS; see Section V.B.) 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.D and V.E of this solicitation.
Groups of two or more eligible applicants may choose to form a consortium and submit a single application for this assistance agreement. The application must identify which organization will be the recipient of the assistance agreement and which organizations(s) will be subawardees of the recipient.
Notwithstanding the provisions of 40 CFR Part 30.36 or 40 CFR Part 31.34, the applicant agrees that any software developed under the award will be released under an open source license.
The full application submitted by finalists shall include a plan (see Section V.B.) 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 $4.0 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 1 award under this RFA. Requests for amounts in excess of a total of $4.0 million, including direct and indirect costs, will not be considered. The total project period requested in an application submitted for this RFA may not exceed 5 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 will award a cooperative agreement 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. For this solicitation, EPA’s contribution will be in the form of in-kind resources and services, such as staff hours, computing facilities, and/or laboratory services or equipment. EPA staff expertise and technical capabilities would make it possible for EPA to support and collaborate with the Center in the following areas:
- Supporting and collaborating with the Center in model improvement, model version control, and in sustainable water modeling research topics and projects.
- Serving as collaborators on selected research projects undertaken by the Center, pursuant to EPA staff areas of expertise and available resources.
- Participating in the Center’s efforts to provide training and other forms of outreach for the models that it supports. This could include jointly designing the content of training workshops, sharing in the teaching of these workshops, and helping to design web pages and other forms of social media outreach.
Initial and full proposals may not identify EPA cooperators or interactions; specific interactions between EPA’s investigators and those of the prospective recipient for cooperative agreements will be negotiated at the time of award.
A. Eligible Applicants
Public nonprofit institutions/organizations (includes public institutions of higher education and hospitals) and private nonprofit institutions/organizations (includes private institutions of higher education and hospitals) located in the U.S., state and local governments, Federally Recognized Indian Tribal Governments, and U.S. territories or possessions are eligible to apply. Profit-making firms are not eligible to receive assistance agreements from the EPA under this program.
Eligible nonprofit organizations include any organizations that meet the definition of nonprofit in OMB Circular A-122, located at 2 CFR Part 230. However, nonprofit organizations described in Section 501(c) (4) of the Internal Revenue Code that lobby are not eligible to apply.
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
Initial applications must substantially comply with the initial 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 initial application, pages in excess of the page limit will not be reviewed. Initial 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, initial applications exceeding the funding limits or project period term described herein will be returned without review. Further, initial 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.
Initial 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 of Initial Applications 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 initial application is made by submitting the materials described below. Initial 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.) 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 initial 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 initial 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 initial 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 initial applications with multiple investigators, state whether this is a single Lead PI (with co-PIs) or Multiple PI initial application (see Section I.F.). For Lead PI initial applications, list the Lead PI, then the name(s) of each co-PI who will significantly contribute to the project. For Multiple PI initial 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).
- Project Summary: Provide three subsections addressing: (1) the objectives of the study (including any hypotheses that will be tested), (2) the experimental and organizational 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 (8 pages)
Initial 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 reviewers.
This description must not exceed eight (8) 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 Research Plan should describe the applicant’s plan for establishing a Center to perform the proposed research and should highlight the Center’s overall goals, objectives, and approach. The description should also explain how the Center will conduct its research to accomplish the purposes of this RFA. The description should explain how the Research Subproject(s) will integrate the three core components of the Center: 1. Novel Research, 2. Community Support and Outreach, and 3. Model and Code Development to seek sustainable water infrastructure modeling solutions that protect the environment and strengthen our communities. The application should also describe the Center’s initial plans towards self-sufficiency by the end of the project period. The applicant should explain how they will engage and support the modeling community for the supported models.
The description for the initial proposal 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.
- Approach/Activities: Outline the research design, methods, and techniques that you intend to use in meeting the objectives stated above.
- Expected Results, Benefits, Outputs, and Outcomes: Describe the results you expect to achieve during the project (outputs) and the potential benefits of the results (outcomes). Describe how progress toward achieving the expected results (outputs and outcomes) of the research will be tracked and measured. 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 the 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. Initial 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 8-page limit.
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References: References cited are in addition to other page limits (e.g. research plan).
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Budget and Budget Justification
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Budget
Prepare a master budget table using “SF-424A Budget Information for Non-Construction Programs” (aka SF-424A), available in the Grants.gov electronic application package and also at Forms and Standard Instructions Download Page. Only complete “Section B-Budget Categories”. Provide the object class budget category (a.-k.) amounts for budget years 1-4 under the Grant Program, Function or Activity heading. Each column reflects a separate budget year. For example, Column (1) reflects budget year 1. Provide a separate 424A with the total budget for years 1-4 in Column (1) and year 5 in Column (2). Column 5 of the second 424A will display the overall project total.
Applicants may not use subagreements to transfer or delegate their responsibility for successful completion of their EPA assistance agreement. Therefore, EPA expects that subawards or subcontracts should not constitute more than 40% of the total direct cost of the total project budget. If a subaward/subcontract constitutes more than 40% of the total direct cost, additional justification may be required before award, discussing the need for the subaward/subcontract to accomplish the objectives of the research project. Please refer to Contracts and Subawards if your organization intends to identify specific contractors, including consultants, and subawardees in your proposal.
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Budget Justification [1 page in addition to the Section IV.B.5. page limitations.]
Briefly describe the basis for calculating the personnel, fringe benefits, travel, equipment, supplies, contractual support, and other costs identified in the SF-424A. The budget justification should not exceed one, 8.5x11-inch page of single-spaced, standard 12-point type with 1-inch margins. This description is intended only to provide a budget overview; detailed budget information will be requested of those applicants who are invited subsequently to develop full applications.
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Resumes
Provide resumes for each investigator and important co-worker. You may include resumes from staff of subawardees such as universities. Do not include resumes of consultants or other contractors. The resume for each individual must not exceed two consecutively numbered (bottom center), 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins.
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Guidelines, Limitations, and Additional Requirements
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Funding Opportunity Number(s) (FON)
At various places in the application, applicants are asked to identify the FON.
The Funding Opportunity Number for this RFA is:
National Center for Sustainable Water Infrastructure Modeling Research, EPA-G2014-STAR-H1 -
Confide
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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.