Grantee Research Project Results
U.S. Environmental Protection Agency
Office of Research and Development
National Health and Environmental Effects Research Laboratory
CLOSED - FOR REFERENCES PURPOSES ONLY
Cooperative Training Partnership in Environmental Health Sciences Research
This is the initial announcement of this funding opportunity.
Funding Opportunity Number: EPA-G2015-ORD-C1
Catalog of Federal Domestic Assistance (CFDA) Number: 66.511
Solicitation Opening Date: September 24, 2014
Solicitation Closing Date: November 12, 2014, 11:59:59 pm Eastern Time
Technical Contact: Vanessa O'Neal (oneal.vanessa@epa.gov); phone: (919) 541-5680
Eligibility Contact: Ron Josephson (josephson.ron@epa.gov); phone: 703-308-0442
Electronic Submissions: Debra M. Jones (jones.debram@epa.gov); phone: 703-347-8081
SUMMARY OF PROGRAM REQUIREMENTS
Synopsis of Program:
The mission of the US Environmental Protection Agency (EPA) is to protect human health and the environment. The EPA’s Office of Research and Development (ORD) conducts timely, mission-relevant, solution-oriented research based on the principles of integrity, sustainability, and responsiveness to the needs of the Nation. The research products and outputs are utilized by the EPA to better determine toxicological hazards, define dose-response relationships, estimate human exposure characteristics, and assess potential susceptible or vulnerable populations in support of the Agency’s responsibility to provide risk assessment, policy analysis, regulatory standards for environmental hazards, and contribute to sustainable solutions to the Nation’s greatest environmental concerns. EPA’s ORD seeks applications to enter into cooperative agreements that will provide training opportunities for undergraduates, graduate students, and postdoctoral fellows on-site at one of the EPA/ORD National Health and Environmental Effects Research Laboratory's (NHEERL) Health Divisions, located at Research Triangle Park and/or Chapel Hill, North Carolina, or Ecology Divisions located at Gulf Breeze, Florida; Corvallis, Oregon; Newport, Oregon; Duluth, Minnesota; Narragansett, Rhode Island; and Grosse Ile, Michigan.
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.6), 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.B and V.C of this solicitation. Additional information can be found in Section I.A of the full announcement.
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: Cooperative agreement
Estimated Number of Awards: Approximately 5 awards.
Anticipated Funding Amount: Approximately $10 million total for all awards
Potential Funding per Award: Up to a total of $2,000,000 including direct and indirect costs, with a maximum duration of 3 years. Cost-sharing is not required. Proposals with budgets exceeding the total award limits will not be considered.
Eligibility Information:
This solicitation is available to each State, territory and possession, and Tribal nation of the U.S., including the District of Columbia, for public and private State universities and colleges, hospitals, laboratories, State and local government departments, other public or private nonprofit institutions, and in some cases, individuals or foreign entities. Profit-making firms are not eligible to receive assistance agreements from the EPA under this program. See full announcement for more details. Please review Section III.C to ensure compliance with EPA eligibility requirements specific to this competition.
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, How to Apply and Required Forms. 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: Vanessa O'Neal (oneal.vanessa@epa.gov); phone: (919) 541-5680
Eligibility Contact: Ron Josephson (josephson.ron@epa.gov); phone: 703-308-0442
Electronic Submissions: Debra M. Jones (jones.debram@epa.gov); phone: 703-347-8081
I. FUNDING OPPORTUNITY DESCRIPTION
There is a national need to train scientists in environmentally-related fields and to increase public understanding and knowledge in the environmental health sciences. The purpose of the assistance agreements to be supported under this RFA is to provide training opportunities for candidates whose areas of interest coincide with ongoing research at ORD’s National Health and Environmental Effects Research Laboratory (NHEERL) i.e., Toxicology (including Neurotoxicology, Cardiopulmonary and Immunotoxicology, Reproductive and Developmental Toxicology, Computational Toxicology and Systems Toxicology), Pharmacokinetics, Carcinogenesis, Environmental Epidemiology and Clinical Research, Biostatistics/Modeling, Sustainability and Systems Thinking, Risk and Exposure Assessment, Emissions Estimation, Life Cycle Analyses, and Risk Management and Mitigation.
ORD’s National Health and Environmental Effects Research Laboratory (NHEERL) seeks to establish a long-term Training Cooperative Partnership with one or more eligible applicants capable of managing an environmental sciences training program that is focused on effects-based research. It is anticipated that up to five cooperative agreements will be awarded to eligible applicant(s) or a consortium of eligible applicants from this solicitation. It is envisioned that this training program will complement highly successful training arrangements which already exist at various US universities and colleges, with modifications to include active participation of NHEERL scientists as mentors with university scientists. Collaborations and consortiums are encouraged.
The specific Strategic Goal(s) and Objective(s) from the EPA’s Strategic Plan that relate to this solicitation are:
Goal 1. Addressing Climate Change and Improving Air Quality, Objective 1.1: Address Climate Change, Objective 1.2: Improve Air Quality;
Goal 2. Protecting America’s Waters, Objective 2.1: Protect Human Health, Objective 2.2: Protect and Restore Watersheds and Aquatic Ecosystems;
Goal 3. Cleaning Up Communities and Advancing Sustainable Development, Objective 3.1: Promote Sustainable and Livable Communities;
Goal 4. Ensuring the Safety of Chemicals and Preventing Pollution, Objective 4.1: Ensure Chemical Safety
More information can be found in EPA’s FY 2011-2015 Strategic Plan
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.6), 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.B and V.C of this solicitation.
Please note that surveys, interviews, and focus groups with individuals may constitute human subjects research.
The additional level of review is conducted by the EPA Human Subjects Research Review Official (HSRRO). In making a determination about conditional and later final approval, the HSRRO will apply both EPA Regulation 40 CFR 26 and EPA Policy Order 1000.17 Change A1, where human exposure research is interpreted as any intervention that manipulates subjects’ environment (i.e., modifies subjects’ exposure).
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)
The authority for this RFA and resulting awards is contained in the Safe Drinking Water Act, Section 1442, 42 U.S.C. 300j-1; the Toxic Substances Control Act, Section 10, 15 U.S.C. 2609; the Federal Insecticide, Fungicide, and Rodenticide Act, Section 20, 7 U.S.C. 136r; the Clean Air Act, Section 103, 42 U.S.C. 7403; the Clean Water Act, Section 104, 33 U.S.C. 1254; and the Solid Waste Disposal Act, Section 8001, 42 U.S.C. 6981.
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), 40 CFR Part 45 (Training Assistance), and 40 CFR Parts 5 and 7 (Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance; and Nondiscrimination in Programs Receiving Federal Assistance from the Environmental Protection Agency). 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.
C. 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.
The purpose of this RFA is to solicit applications for cooperative agreements between the Office of Research and Development (ORD), National Health and Environmental Effects Research Laboratory (NHEERL) of the US Environmental Protection Agency (US EPA), and eligible applicants as described in Section III below, to train students and postdoctoral scientists in environmental sciences. The objectives of the cooperative agreements to be awarded under this RFA are to administer and conduct the training of postdoctoral fellows, graduate students, and undergraduate students in areas of environmental research with a focus on increasing public knowledge and training new scientists. The opportunity to gain research experience with senior scientists at one of the US EPA's premier environmental laboratories in Raleigh, Durham and Chapel Hill, North Carolina; Gulf Breeze, Florida; Corvallis and Newport, Oregon; Duluth, Minnesota; Narragansett, Rhode Island; or Grosse Ile, Michigan locations should enhance the experience and capabilities of students and position them to become leaders within the environmental health scientific community. Although applications that propose part-time residence at one of NHEERL's research facilities will be considered, proposals including full-time residency at one of these facilities during the research-intensive phases of training for postdoctoral fellows and graduate students is encouraged.
The partnership between a successful institution and ORD’s NHEERL would benefit the public by training a new generation of environmental health scientists. Cooperative training experience with scientists at ORD’s National Health and Environmental Effects Research Laboratory (NHEERL) could also provide a benefit to university faculty to access a broad range of knowledge, experience, and laboratory resources not normally available in a single academic environment. There will be an expectation that mentorship of students and postdoctoral scientists will be an active cooperative effort shared by EPA researchers and university faculty advisors. Training in professional scientific ethics and quality assurance will typically be provided both by the university and EPA programs. The cooperative training experience would include: problem and hypothesis formulation, experimental design, experiments conducted in the field or within NHEERL’s laboratory facilities, data analysis, quality assurance, reporting, presenting results and manuscript development and publication. Graduate students and postdoctoral researchers would be expected to present their research results in at least one regional or national level scientific conference.
In order to be eligible for funding, applications must propose collaboration with NHEERL in the training and mentoring of students and describe research and training relevant to NHEERL’s research and training opportunities. Examples of ongoing NHEERL research and training opportunities include, but are not limited to the following:
NHEERL Health Divisions (Research Triangle Park and Chapel Hill, NC):
- Use of molecular biology techniques to assess xenobiotic biotransformation in in vitro high throughput assays for evaluating chemical toxicity;
- Evaluation of mechanisms of developmental toxicity in the zebrafish model;
- Identification of gene signatures that predict chemical toxicity;
- Use of bioinformatics to identify potential pathways of chemically induced organ specific toxicity;
- Development of mechanism-based in vitro assays for thyroid disruption, Na/iodide symporter as a target for environmental chemicals;
- Cumulative risk of reproductive, developmental, and/or neurotoxicity: modeling dose response for exposure to multiple chemical/nonchemical stressors;
- Epigenomic responses to environmental exposures during development and effects on long-term health;
- In vitro approaches to rapid assessments of potential developmental and adult neurotoxicity;
- Basic and translational research on the role of genetics and epigenetic factors in determining susceptibility and response to air pollutants, mixtures, and photochemical smog;
- Clinical/dietary strategies to mitigate the effects of air pollutants on human health;
- Understanding the cellular and molecular mechanisms that control inflammatory responses induced by inhalation of ambient air pollutants, mixtures and photochemical smog;
- Identifying neighborhood epigenetic signatures that distinguish disadvantaged neighborhoods and can predict vulnerability to environmental health.
NHEERL Ecology Divisions (Gulf Breeze, FL; Corvallis, OR; Newport, OR; Duluth, MN; Narragansett, RI; and Grosse Ile, Michigan):
- Better understanding of stressor response by aquatic and aquatic-dependent species, ecosystems and watersheds;
- Effects of toxic chemicals on aquatic life at various levels of organization and in complex mixtures and media;
- Research approaches using systems biology theory and methods, bioinformatics, decision analysis, natural resources economics, social science, and sustainability theory and methods to address final ecosystem goods, services and benefits to communities and human health and well-being;
- Designs, approaches and indicators for aquatic ecosystem assessment, including streams, wetlands, and large aquatic systems such as the Great Lakes;
- Development and testing of models of fate and effects of chemicals and other stressors (such as invasive species) in aquatic ecosystems;
- Development and application of passive sampling methods at contaminated freshwater and coastal sites;
- Effects of emerging contaminants including engineered nanomaterials, pharmaceuticals, personal care products and plastics on coastal marine systems;
- Implementation of an adaptive management framework to manage, sustain, and restore natural systems, including managing reactive nitrogen and climate-related vulnerabilities;
- Application of data science and development of scientific software to support a broad array of environmental research questions;
- Development of spatially explicit models and other decision support tools to inform metropolitan resource managers of cost-effective approaches for implementing green infrastructure and other best management practices to sustain human health through the support of key ecosystem services;
- Analysis and assessment of the model portfolio used in Puget Sound monitoring, research, and forecasting;
- Development of models to forecast triple bottom line (environment-society-economy) responses to interventions to reduce inputs of nutrients, sediments and toxics at coastal and inland sites under alternative futures and climate change;
- Prediction of toxicological effects of persistent, bioaccumulative, and toxic compounds on diverse aquatic taxa using innovative molecular, whole organism, and modeling approaches;
- Development of quantitative and integrative systems approaches to sustainable nutrient and watershed management, sustainable communities and climate adaptation/resiliency.
Note: Applications that propose research/training associated with hydraulic fracturing will not be considered.
The outputs from these cooperative agreements will be opportunities for training candidates affiliated with eligible institutions. In addition, the candidates will receive financial assistance during their training and will have access to highly specialized laboratory facilities and equipment. The trainees are also provided the opportunity for specific mentoring/guidance by nationally/internationally recognized scientists at NHEERL.
An outcome of these cooperative agreements will be an increase in the knowledge and experience of the trainees as well as a strengthened scientific foundation to better understand toxicological hazards, dose-response relationships, and estimation of human exposure characteristics. This enhanced knowledge and hands on experience will enable trainees to discover sustainable solutions to solve current and future environmental health challenges and result in a trained workforce that will support EPA's mission and strategic goals.
To the extent practicable, 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 projects can take the form of wholly new applications or applications that build on existing knowledge and approaches for new uses. Proposals must include a discussion on how the proposed project is innovative (see Section IV.B.5). 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.” Proposals must include a discussion on how the proposed project will seek sustainable solutions that protect the environment and strengthen our communities (see Section IV.B.5). All of the above-mentioned innovation and sustainability definitions will be drawn upon in the review/evaluation process of recommending proposals (see Section V.A).
D. 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.
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) (PDF) (132 pp, 1.79 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.6) 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.B and V.C 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.
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 $10 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 5 awards under this RFA. Requests for amounts in excess of a total of $2,000,000, including direct and indirect costs, will not be considered. The total project period requested in an application submitted for this RFA may not exceed 3 years.
The EPA reserves the right to reject all applications and make no awards, or make fewer awards than anticipated, under this RFA. The EPA reserves the right to make additional awards under this announcement, consistent with Agency policy, if additional funding becomes available after the original selections are made. Any additional selections for awards will be made no later than six months after the original selection decisions.
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.
The Agency anticipates funding in the form of a cooperative agreement. Cooperative agreements permit substantial involvement between the EPA and the selected applicants in the performance of the work supported. Although EPA will negotiate precise terms and conditions relating to substantial involvement as part of the award process, EPA anticipates substantial involvement as follows:
- Senior scientists at ORD’s National Health and Environmental Effects Research Laboratory (NHEERL), in partnership with the successful applicant, will serve as training mentors for the students and postdoctoral scientists. ORD NHEERL researchers will partner with the successful applicant in placing high quality student and postdoctoral candidates who meet the academic standards of the institution at NHEERL research facilities in North Carolina, Florida, Oregon, Minnesota, Rhode Island, and/or Michigan.
- NHEERL mentors will work with the successful applicant to coordinate extramural student activities with relevant in-house research training activities.
- NHEERL research mentors will participate with the successful applicant in assisting students and postdoctoral scientists in development and preparation of written materials, such as journal articles and other products from these training activities.
- The EPA project officer will provide technical input on a regular basis through scheduled meetings to oversee this training program.
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 each State, territory and possession, and Tribal nation of the U.S., including the District of Columbia, for public and private State universities and colleges, hospitals, laboratories, State and local government departments, other public or private nonprofit institutions, and in some cases, individuals or foreign entities. Profit-making firms are not eligible to receive assistance agreements from the EPA under this program.
Eligible nonprofit organizations include any organizations that: 1) Are operated primarily for scientific, educational, service, charitable or similar purposes in the public interest; 2) Are not organized primarily for profit; and 3) 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 organizational eligibility should contact Ron Josephson (josephson.ron@epa.gov), phone: 703-308-0442.
B. Cost-Sharing
Institutional cost-sharing is not required.
C. Other
Applications must substantially comply with the application submission instructions and requirements set forth in Section IV of this announcement or they will be rejected. In addition, where a page limitation is expressed in Section IV with respect to parts of the application, pages in excess of the page limit will not be reviewed. Applications must be submitted through grants.gov or by other authorized alternate means (see Section IV.E. “Submission Instructions and Other Submission Requirements” for further information) on or before the solicitation closing date and time in Section IV of this announcement or they will be returned to the sender without further consideration. 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 that are found administratively acceptable will be subjected to a review for relevancy to EPA’s mission and priorities to support the advancement of environmental science. Specifically, applications must propose collaboration with NHEERL in the training and mentoring of students and describe research and training relevant to NHEERL’s research and training opportunities. Examples of relevant NHEERL research and training opportunities are described in Section I.C. If you are unsure as to whether the scope of the proposed work relates to NHEERL’s research and training opportunities, please contact the technical contact listed in Section VII. Applications will be rejected if they are found to lack relevance and do not comply with these requirements.
Consistent with Agency regulatory obligations, applicants for and/or recipients of EPA financial assistance are prohibited from discriminating on the basis of race, color, national origin, sex and handicap in their programs or activities. Therefore, applications that contain provisions wherein project decisions may be based on race, color, national origin, sex and handicap will not be considered.
Further, the National Health and Environmental Effects Research Laboratory is not conducting any effects research on any aspect of the hydraulic fracturing process. As such, applications that propose research/training associated with hydraulic fracturing will not be considered.
Applications deemed ineligible for funding consideration will be notified within fifteen calendar days of the ineligibility determination.
IV. APPLICATION AND SUBMISSION INFORMATION
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/cooperative agreements, and proposal assistance and communications, can be found at EPA Solicitation Clauses.
These, and the other provisions that can be found at the website link, are important, and applicants must review them when preparing applications for this solicitation. If you are unable to access these provisions electronically at the website above, please communicate with the EPA contact listed in this solicitation to obtain the provisions.
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 How to Apply and Required Forms), all necessary forms are included in the electronic application package.
An email will be sent by EPA to the Principal Investigator (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
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 projects 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.
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 How to Apply and Required Forms. The Key Contacts form should also be completed for major sub-agreements (i.e., primary investigators). Do not include information for consultants or other contractors. Please make certain that all contact information is accurate.
Table of Contents
Provide a list of the major subdivisions of the application indicating the page number on which each section begins.
Abstract (1 page)
It is critical that the abstract accurately describes the work being proposed and conveys all the essential elements of the proposal.
The abstract should include the information described below (a-g).
- 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: List the PI, then the name(s) of each co-PI who will significantly contribute to the project. 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 two subsections addressing: (1) the objectives of the project, and (2) the expected results (outputs/outcomes) of the project and how it addresses the needs identified in the solicitation.
Project Narrative (30 pages)
The Project Narrative is the technical proposal that discusses the technical approach and organizational capabilities for accomplishing the goals stated under Section I.C Specific Areas of Interest/Expected Outputs and Outcomes above. It must also address all of the technical and programmatic review criteria described in Section V of the announcement.
The narrative must not exceed thirty (30) 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 page limitation shall include all text, tables, figures, references, attachments, and appendices.
The project narrative should provide the following information:
- The proposed approach for partnership with NHEERL on collaborative training of students (postdoctoral, graduate, undergraduate). Applications that propose part-time residence at one of NHEERL's research facilities will be considered. However, proposals including full-time residency at one of these facilities during the research-intensive phases of training for postdoctoral fellows and graduate students is encouraged.
- The proposed approach for recruiting students and postdoctoral scientists of high quality and ability.
- The proposed approach for developing model student programs to balance on-campus coursework and other activities while leaving sufficient research time.
- The scientific and educational merit of the research training mechanism proposed.
- Innovation: Description of how the project shifts current research/training or engineering paradigms by using innovative theoretical concepts, approaches or methodologies, instrumentation or interventions applicable to one or more fields of research/training.
- Sustainability: Description of how the 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 activities that promote and incorporate sustainability principles.
- Institutional capability: experience and understanding of the management needs for this program, including recruitment of students, placement into the program for mentoring students and postdoctoral scientists in partnership with NHEERL senior research staff, and student progress review.
- Expected outputs and outcomes resulting from the project. The plan for tracking and measuring progress toward achieving the expected environmental outputs and outcomes including those identified in Section I.
- The qualifications and competence of proposed key personnel and adequacy of their time commitment to the project.
- Project schedules with associated milestones and target dates for completion.
- The approach, procedures, and controls for ensuring that awarded assistance funds will be expended in a timely and efficient manner and how project objectives will be successfully achieved within the project period.
- Cost-effectiveness of the budget structure. The project budget makes the most efficient use of Agency funds in collaborative training of students (postdoctoral, graduate undergraduate), for instance by minimizing direct costs for administrative support.
- Facilities and resources available for the project.
- Past Performance and Reporting History. The applicant shall provide information on the proposed Principal Investigator’s (PI's) past performance and reporting history under prior Federal and/or non-Federal assistance agreements (assistance agreements include grants and cooperative agreements but not contracts) in terms of: (i) the level of success in managing and completing each agreement, and (ii) history of meeting the reporting requirements and documenting progress towards achieving the expected results under each agreement.
The past performance and reporting history information is required only for the proposed PI's performance under federally and/or non-federally funded assistance agreements (assistance agreements include grants and cooperative agreements but not contracts) similar in size, scope and relevance to the proposed project that the proposed PI performed within the last three years. Note: If no prior past performance information and/or reporting history exists, you will be asked to so state.
The specific information required for each agreement is shown below.
- Name of Granting Agency.
- Grant/Cooperative agreement number.
- Grant/Cooperative agreement title.
- Brief description of the grant/cooperative agreement.
- A description of how the agreement is similar in size, scope and relevance to the proposed project and whether or not it was successfully managed and completed; if not successfully managed and completed, provide an explanation.
- Information relating to the proposed PI's past performance in reporting on progress towards achieving the expected results (outputs/outcomes) under the agreement. Include the history of submitting timely progress/final technical reports, describe how progress towards achieving the expected results was reported/documented, and if such progress was not being made, provide an explanation of whether, and how, this was reported.
- Total (all years) grant/cooperative agreement dollar value.
- Project period.
- Technical contact (project officer), telephone number, and Email address (if available).
In evaluating applicants under these factors in Section V, EPA will consider the information provided by the applicant and may also consider relevant information from other sources, including information from EPA files and from current and prior Federal agency grantors (e.g.; to verify and/or supplement the information provided by the applicant). Applicants whose proposed PI has no relevant past performance and/or reporting history, or for whom this information is not available, will be evaluated neither favorably nor unfavorably on these elements.
EPA Human Subjects Research Statement (HSRS) (4 pages)
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. While retaining the same notation, subparts B, C, and D are substantively different in 40 CFR 26 than in the more commonly cited 45 CFR 46. Particularly noteworthy is that 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. EPA Policy Order 1000.17 Change A1 further clarifies this definition to include any intervention that manipulates their environment (i.e. modifies subjects’ exposure). Research meeting the regulatory definition of observational research (any research that is not intentional exposure 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). These subparts also differ markedly from the language in 45 CFR 46. For more information, please see: Project Review by the Human Subjects Research Review Official (HSRRO).
Procedures for the review and oversight of human research subject to 40 CFR Part 26 are also provided in EPA Order 1000.17 Change A1. These include review of projects for EPA-supported human research by the EPA Human Subjects Research Review Official (HSRRO). EPA Order 1000.17 Change A1 requires preliminary approval by the HSRRO of all proposed EPA-supported human research before the agreement can be entered into. Additional requirements must be met and final approval received from the HSRRO before the research can begin. When reviewing human observational exposure studies, EPA Order 1000.17 Change A1 requires the HSRRO to apply the principles described in the SEAOES document (PDF) (132 pp, 1.79 MB) document and grant approval only to studies that adhere to those principles.
All applications submitted under this solicitation must include a HSRS as described below. Please use the definitions below to determine whether the proposed research involves human subjects, and then prepare a HSRS as explained below in the “HSRS Requirements” section.
Definitions (from 40 CFR Part 26 Subparts A, B, and C) to determine the involvement of human subjects in proposed research:
- "Human subject" means a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information.
- "Intervention" includes both physical procedures by which data are gathered and manipulations of the subject or the subject's environment that are performed for research purposes.
- "Interaction" includes communication or interpersonal contact between investigator and subject.
- "Private information" includes information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place, and information which has been provided for specific purposes by an individual and which the individual can reasonably expect will not be made public (for example, a medical record).
- "Individually identifiable" means the identity of the subject is or may readily be ascertained by the investigator or associated with the information.
- "Research involving the intentional exposure of a human subject" means a study of a substance in which the exposure to the substance experienced by a human subject participating in the study would not have occurred but for the human subject’s participation in the study. In addition, EPA Policy 1000.17 Change A1 requires the HSRRO to conceptualize intentional exposure research quite broadly:
- Research that includes the gathering of physiological measurements (e.g. monitoring a subject's cardio respiratory performance) or the collection of body fluids, tissue or expired air from subjects; or
- Research that requires subjects to perform specific tasks other than their normal activities or manipulates their environment (e.g., modifies their exposure); or
- Research that gathers or records private information (as defined in 40 CFR 26.102 (f)(2)) in a manner that associates such information with an identifiable subject.
"Observational research" means any human research that does not meet the definition of research involving intentional exposure of a human subject. Please note that surveys, interviews, and focus groups with individuals may constitute human subjects research. Additional information is available at: Making Funding Awards and Other Agreements that Support Human Subjects Research (HSR)
Human Subjects Research Statement (HSRS) Requirements
If the proposed research does not involve human subjects as defined above, provide the following statement in your application package as your HSRS: “The proposed research does not involve human subjects.” Applicants should provide a clear justification about how the proposed research does not meet the definition (for example, all samples come from deceased individuals OR samples are purchased from a commercial source and provided without identifiers, etc.).
If the proposed research does involve human subjects, then include in your application package a HSRS that addresses each applicable section listed below, referencing the specific location of the information in the Research Plan, providing the information in the HSRS, or explaining why the section does not apply to the proposed research. (Not all will apply.) Please use the definitions provided above to ensure consistency in the interpretation of terminology. Do not exceed four consecutively numbered, 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins.
NOTE: Before EPA approves any research involving human subjects, the requirements of the regulations at 40 CFR Part 26 must be met. Also, before EPA approves human observational exposure research, EPA will examine it to ensure consistency with the SEAOES Principles. The federal Office for Human Research Protections requires that federally funded human subjects research only be conducted at facilities covered by a Federalwide Assurance (FWA). An FWA is a document that designates the Institutional Review Board that will review and oversee the research, specifies the ethical principles under which the research will be conducted, and names the individuals who will be responsible for the proper conduct of the research. The factors below are not intended to be exhaustive of all those needed for the HSRRO to provide the final approval necessary for research to be conducted, but provide a basis upon which the HSRRO may grant the conditional approval necessary for the funding process to begin.
Items 1 – 9 must be completed for all studies involving human subjects. For studies involving intentional exposures (i.e. increases, decreases, or otherwise modifies subjects’ exposure), also complete Items 10 -14.
- Human Subjects involvement, characteristics, and design: Describe the proposed involvement of human subjects in the work being proposed.
- Benefits of research/value to society: Discuss the potential benefits of the research to the research participants and others, including the value of the knowledge to be gained by the research.
- Potential risks to subjects: Describe the potential risks to human subjects (e.g., physical, psychological, financial, legal, or other) and assess their likelihood and seriousness to the human subjects.
- Protection against risks: Describe planned procedures for protecting against or minimizing potential risks and assess their likely effectiveness.
- Protection of privacy and confidentiality: Describe how data, specimens, and/or records will be collected, managed, and protected, including at collaborating sites, if any, as well as at the primary site.
- Protection of vulnerable groups: Explain the rationale for inclusion of vulnerable populations and describe the additional protections in place, if any, for protecting vulnerable populations in the research.
- Risk/benefit relationship: Justify how the risks are reasonable in relation to expected benefits.
- Informed Consent Process: Describe planned procedures for the process of obtaining and maintaining informed consent. Include a description of the circumstances under which consent will be sought and obtained, who will seek it, the nature of the information to be provided to prospective subjects, and the method of documenting consent.
- Relationship between researcher and community: If the research will take place in a community setting, describe the procedures in place for defining the community, obtaining its involvement in the research, and establishing and maintaining trust.
Items 10-14: Projects involving the intentional exposure (i.e. increases, decreases, or otherwise modifies subjects’ exposure) of human subjects require additional justification. Note that intentional exposure of children, pregnant women or nursing women is prohibited, according to 40 CFR Part 26, subpart B. Please refer to the definition of “intentional exposure” described earlier in this section.
Please also note that projects involving intentional exposure of human subjects should only be considered if they have the potential of providing a clear health or environmental benefit or if acquisition of such information is not obtainable by any other means. In no case should the exposure cause lasting harm to study participants.
Provide the following for intentional exposure studies:
- Justification for exposure: Please provide the scientific background and rationale for the study design, subject selection, and value of the study to public health. Include any information about previous animal studies and (if available) human observational studies that justify the need for exposure research.
- Participant Selection and Informed Consent: Describe how subjects will be recruited for the study and how both participant selection and the informed consent process described earlier conform to best practices in exposure research.
- Compensation for Research Participation: Describe the amount of compensation being offered to participants, as well as the distribution plan, and justify these practices with respect to best practices in exposure research.
- Compensation for Research-Related Injury: Discuss how you plan to ensure that participants receive needed medical care for injuries incurred in the study, without cost to the participants.
- Appropriate Review and Oversight: Describe the constitution of the IRB that will review this research and defend its ability to consider whether the study(ies) has the potential of providing a clear health or environmental benefit to the community. In addition, describe the procedures for reporting adverse events or unanticipated problems to the IRB, as well as how these events will be analyzed with respect to risk to subjects.
The EPA HSRRO must also consider the following items to determine if the necessary conditions for scientifically and ethically acceptable intentional human dosing studies have been satisfied in order to approve intentional exposure research:
- prior animal studies and, if available, human observational studies;
- a demonstrated need for the knowledge to be obtained from intentional human dosing studies;
- justification and documentation of a research design and statistical analysis that are appropriate to address an important scientific question, including adequate power to detect appropriate effects;
- an acceptable balance of risks and benefits, and minimization of risks to participants;
- equitable selection of participants;
- free and informed consent of participants; and
- review by an appropriately constituted IRB.
Budget and Budget Justification
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 How to Apply and Required Forms. Only complete “Section B-Budget Categories”. Provide the object class budget category (a. - k.) amounts for each budget year under the “Grant Program, Function or Activity” heading. Each column reflects a separate budget year. For example, Column (1) reflects budget year 1. The total budget will be automatically tabulated in column (5).
If a subaward is included in the application, provide a separate SF-424A and budget justification for the subaward. Include the total amount for the subaward under “Other” in the master SF-424A.
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 EPA Solicitation Clauses if your organization intends to identify specific contractors, including consultants, and subawardees in your proposal.
Please note that institutional cost-sharing is not required.
Budget Justification [2 pages in addition to the Section IV.B.5. page limitations, not including additions under No. (7) below to support subawards]
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 two consecutively numbered (bottom center), 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins.
Budget information should be supported at the level of detail described below:
Personnel: List all staff positions by title. Give annual salary, percentage of time assigned to the project, total cost for the budget period, and project role. Compensation paid for employees engaged in cooperative agreement activities must be consistent with payments for similar work within the applicant organization. Note that for salaries to be allowable as a direct charge to the award, a justification of how that person will be directly involved in the project must be provided. General administrative duties such as answering telephones, filing, typing, or accounting duties are not considered acceptable.
Below is a sample computation for Personnel:
Position/Title Annual Salary % of Time Assigned to Project Cost Project Manager $70,000 50% $ 35,000 Env. Specialist $60,000 100% $ 60,000 Env. Health Tech $45,000 100% $ 45,000 Total Personnel $140,000 Note this budget category is limited to persons employed by the applicant organization ONLY. Those employed elsewhere are classified as subawardees, contractors or consultants. Contractors and consultants should be listed under the “Contractual” budget heading while subawards made to eligible subrecipients are listed under the “Other” budget heading.
Fringe Benefits: Identify the percentage used and the basis for its computation. Fringe benefits are for the personnel listed in budget category (1) above and only for the percentage of time devoted to the project. Fringe benefits include but are not limited to the cost of leave, employee insurance, pensions and unemployment benefit plans. The applicant should not combine the fringe benefit costs with direct salaries and wages in the personnel category.
Travel: Specify the estimated number of trips, purpose of each trip, number of travelers per trip, destinations, and other costs for each type of travel. Explain the need for any travel, paying particular attention to travel outside the United States.
Below is a sample computation for Travel:
Purpose of Travel Location Item Computation Cost EPA STAR Progress Review DC Lodging 4 people x $100 per night
x 2 nights$800 Airfare 4 people x $500 round trip $2,000 Per Diem 4 people x $50 per day
x 2 days$400 Total Travel $3,200 Equipment: Identify all tangible, non-expendable personal property to be purchased that has an estimated cost of $5,000 or more per unit and a useful life of more than one year. Details such as the type of equipment, cost, and a brief narrative on the intended use of the equipment for project objectives are required. Each item of equipment must be identified with the corresponding cost. General-purpose equipment (office equipment, etc.) must be justified as to how it will be used on the project. (Property items with a unit cost of less than $5,000 are considered supplies.)
Supplies: “Supplies” means tangible property other than “equipment.” Identify supplies to be used under the project. This may include: software, office supplies, and laboratory supplies such as reagents, chemicals and glassware. Specifically identify computers to be purchased or upgraded.
Contractual: Specify the amount you anticipate expending for services/analyses or consultants and specify the purpose of the contracts and estimated cost. Any procurement of services from individual consultants or commercial firms (including space for workshops) must comply with the competitive procurement requirements of 40 CFR Part 30.40-30.48 or 40 CFR 31.36, as appropriate. Please see EPA Solicitation Clauses for more details.
Examples of Contractual costs include:
- Consultants – Consultants are individuals with specialized skills who are paid at a daily or hourly rate. EPA’s participation in the salary rate (excluding overhead) paid to individual consultants retained by recipients or by a recipient's contractors or subcontractors is limited to the maximum daily rate for a Level IV of the Executive Schedule (formerly GS-18), to be adjusted annually.
- Equipment Rental – When there is a need to rent equipment for use on the project, provide information on the type of equipment to be rented, the purpose or use on the project, the length of time needed and the rental rate. Renting or leasing of equipment will require a lease vs. purchase cost analysis prior to approval.
- Facility Rental – When it is necessary to rent office or other facilities spaces for project implementation, and the space(s) are located off-site from the organization’s main facility in space not owned by the applicant organization, the cost of the rent may be charged against the award as a contractual expense if the space is used specifically for the project. The budget justifications should provide details on the monthly rental charge and if the rent is pro-rated to the project.
- Service or Maintenance Contracts – Costs should be in direct correlation to the use of the equipment for the project (i.e., if a particular machine is used 50% of the time for the project, the project should only be charged 50% of the service/maintenance costs). Provide details of the type of equipment and the amount of the service contract to be paid from EPA funds.
- Speaker/Trainer Fees – Information on speakers should include the fee and a description of the services they are providing.
Other: List each item in sufficient detail for the EPA to determine the reasonableness of its cost relative to the research to be undertaken. “Other” items may include publication costs, long distance telephone charges, and photocopying costs. Note that subawards, such as those with other universities for members of the research team, are included in this category. Subawards must have a separate 424A and budget justification, not to exceed one additional page each. Subawards may not be used to acquire services from consultants or commercial firms. Please see EPA Solicitation Clauses for more details.
Indirect Costs: Indirect costs are those incurred by the applicant for a common or joint purpose that benefit more than one cost objective or project, and are not readily assignable to specific cost objectives or projects as a direct cost. In order for indirect costs to be allowable, the applicant must have a negotiated indirect cost rate (e.g., fixed, predetermined, final or provisional), or must have submitted a proposal to their cognizant agency. If indirect costs are included in the budget, identify the cognizant agency and the approved indirect rate. If your organization does not have a cognizant agency, please note that in the budget justification and provide a brief explanation for how you calculated your indirect cost rate.
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 is not limited to traditional materials, but should provide materials to clearly and appropriately demonstrate that the investigator has the knowledge needed to perform their component of the proposed research. 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.
Alternative to a standard resume, you may use a profile such as an NIH BioSketch that can be generated in SciENcv (see Federal-Wide Researcher Profile Project for information on SciENcv; also see My NCBI Curriculum Vitae Web Application: SciENcv). These materials should generally conform to the requirements for a resume (e.g., content and page number).
Current and Pending Support
Complete a current and pending support form (provided at How to Apply and Required Forms) for
each investigator and important co-worker. Do not include current and pending support for consultants or other contractors. Include all current and pending research regardless of source.Note to all prospective applicants requiring multiple Current and Pending Support Form pages: Due to a limitation in Adobe Acrobat's forms functionality, additional pages cannot be directly inserted into the original PDF form and preserve the form data on the subsequent pages. Multiple page form submissions can be created in Acrobat 8 and later using the "PDF Package" option in the "Create PDF from Multiple Files" function. If you have an earlier version of Adobe Standard or Professional, applicants will need to convert each PDF page of the form to an EPS (Encapsulated Post Script) file before creating the PDF for submission. The following steps will allow applicants with earlier versions of Adobe Standard or Professional to create a PDF package:
- Populate the first page of the PDF, and save it as a EPS (Encapsulated Post Script) file.
- Reopen the form, and populate it with the data for page 2. Save this page as a different EPS file. Repeat for as many pages as necessary.
- Use Acrobat Distiller to convert the EPS files back to PDF.
- Open Acrobat Professional, and combine the individual pages into a combined PDF file.
Guidelines, Limitations, and Additional Requirements
Letters of Intent/Letters of Support
Letters of intent to provide resources for the proposed research or to document intended interactions are limited to one brief paragraph committing the availability of a resource (e.g., use of a person's time or equipment) or intended interaction (e.g., sharing of data, as-needed consultation) that is described in the Project Narrative. Letters of intent are to be included as an addition to the budget justification documents. EPA employees are not permitted to provide letters of intent for any application.
Letters of support do not commit a resource vital to the success of the proposal. A letter of support is written by businesses, organizations, or community members stating their support of the applicant's proposed project. EPA employees are not permitted to provide letters of support for any application.
Note: Letters of intent or support must be part of the application; letters submitted separately will not be accepted. Any letter of intent or support that exceeds one brief paragraph (excluding letterhead and salutations), is considered part of the Project Narrative and is included in the 30-page Project Narrative limit. Any transactions between the successful applicant and parties providing letters of intent or support financed with EPA assistance funds are subject to the contract and subaward requirements described here EPA Solicitation Clauses .
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:
Cooperative Training Partnership in Environmental Health Sciences Research, EPA-G2015-ORD-C1Confidentiality
By submitting an application in response to this solicitation, the applicant grants the EPA permission to make limited disclosures of the application to technical reviewers both within and outside the Agency for the express purpose of assisting the Agency with evaluating the application. Information from a pending or unsuccessful application will be kept confidential to the fullest extent allowed under law; information from a successful application may be publicly disclosed to the extent permitted by law.
C. Submission Dates and Times
Applications must be transferred to Grants.gov no later than 11:59:59 pm Eastern Time on the solicitation closing date. Applications transferred after the closing date and time will be returned to the sender without further consideration. EPA will not accept any changes to applications after the closing date.
It should be noted that this schedule may be changed without prior notification because of factors not anticipated at the time of announcement. In the case of a change in the solicitation closing date, a new date will be posted on the NCER web site (Research Funding Opportunities) and a modification posted on Grants.gov.
Solicitation Closing Date: November 12, 2014, 11:59:59 pm Eastern Time (applications must be submitted to Grants.gov by this time, see Section IV.E “Submission Instructions and Other Submission Requirements” for further information).
D. Funding Restrictions
The funding mechanism for all awards issued under ORD solicitations will consist of assistance agreements from the EPA. All award decisions are subject to the availability of funds. In accordance with the Federal Grant and Cooperative Agreement Act, 31 U.S.C. 6301 et seq., the primary purpose of an assistance agreement is to accomplish a public purpose of support or stimulation authorized by federal statute, rather than acquisition for the direct benefit or use of the Agency.
If you wish to submit applications for more than one ORD funding opportunity you must ensure that the work proposed in each application is significantly different from any other that has been submitted to the EPA or from any other financial assistance you are currently receiving from the EPA or other federal government agency.
Collaborative applications involving more than one institution must be submitted as a single administrative package from one of the institutions involved.
Each proposed project must be able to be completed within the project period and with the initial award of funds. Applicants should request the entire amount of money needed to complete the project. Recipients should not anticipate additional funding beyond the initial award of funds for a specific project.
E. Submission Instructions and Other Submission Requirements
Please read this entire section before attempting an electronic submission through Grants.gov.
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 RFA, including Section IV, and be received by the solicitation closing date identified above.
Note: Grants.gov submission instructions are updated on an as-needed basis. Please provide your Authorized Organizational Representative (AOR) with a copy of the following instructions to avoid submission delays that may occur from the use of outdated instructions.
Preparing for Submission. The electronic submission of your application must be made by an official representative of your institution who is registered with Grants.gov and is authorized to sign applications for Federal assistance. For more information on the registration requirements that must be completed in order to submit an application through grants.gov, go to Grants.gov and click on “Applicants” on the top of the page and then go to the “Get Registered” link on the page. If your organization is not currently registered with Grants.gov, please encourage your office to designate an Authorized Organization Representative (AOR) and ask that individual to begin the registration process as soon as possible. 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. Registration on grants.gov, SAM.gov, and DUNS number assignment is FREE.
To begin the application process under this announcement, go to Grants.gov and click on “Applicants” on the top of the page and then “Apply for Grants” from the drop-down menu and then follow the instructions accordingly. Please note: To apply through grants.gov, you must use Adobe Reader software and download the compatible Adobe Reader version. For more information about Adobe Reader, to verify compatibility, or to download the free software, please visit Adobe Reader Compatibility
You may also be able to access the application package for this announcement by searching for the opportunity on Grants.gov. Go to Grants.gov and then click on “Search Grants” at the top of the page and enter the Funding Opportunity Number, EPA-G2015-ORD-C1, or the CFDA number that applies to the announcement (CFDA 66.511), in the appropriate field and click the Search button. Alternatively, you may be able to access the application package by clicking on the Application Package button at the top right of the synopsis page for the announcement on Grants.gov. To find the synopsis page, go to Grants.gov and click “Browse Agencies” in the middle of the page and then go to “Environmental Protection Agency” to find the EPA funding opportunities.
Acknowledgement of Receipt. The complete application must be transferred to Grants.gov no later than 11:59:59 pm Eastern Time on the solicitation closing date (see “Submission Dates and Times”). Applications submitted through grants.gov will be time and date stamped electronically. Grants.gov provides an on-screen notification of successful initial transfer as well as an email notification of successful transfer from Grants.gov to EPA. While it is advisable to retain copies of these Grants.gov acknowledgements to document submission, the only official documentation that the application has been received by NCER is the email acknowledgement sent by NCER to the PI and the Administrative Contact. This email will be sent from receipt.application@epa.gov; emails to this address will not be accepted. If an email acknowledgment from receipt.application@epa.gov has not been received within 30 days of the solicitation closing date, immediately inform the Eligibility Contact shown in this solicitation. Failure to do so may result in your application not being reviewed.
Application Package Preparation. Your organization’s AOR must submit your complete application package electronically to EPA through Grants.gov (Grants.gov) no later than Month dd, 20yy, 11:59:59 pm Eastern Time. Please allow for enough time to successfully submit your application process and allow for unexpected errors that may require you to resubmit.
Please submit all of the application materials described below using the grants.gov application package that you downloaded using the instructions above. For additional instructions on completing and submitting the electronic application package, click on the “Show Instructions” tab that is accessible within the application package itself.
The application package consists of the following mandatory documents.
- Application for Federal Assistance (SF 424): Complete the form except for the “competition ID” field.
- EPA Key Contacts Form 5700-54: Complete the form. If additional pages are needed, see (d) below. SF-424A Budget Information for Non-Construction Programs: Only complete “Section B-Budget Categories”. Provide the object class budget category (a. - k.) amounts for each budget year under the “Grant Program, Function or Activity” heading. Each column reflects a separate budget year.
- Project Narrative Attachment Form (click on “Add Mandatory Project Narrative”): Attach a single electronic PDF file labeled “Application” that contains the items described in Section IV.B.3. through IV.B.10.a (Table of Contents, Abstract, Project Narrative, Human Subjects Research Statement (HSRS), Budget Justification, Resumes, Current and Pending Support, and Letters of Intent/Support) of this solicitation. In order to maintain format integrity, this file must be submitted in Adobe Acrobat PDF. Please review the PDF file for conversion errors prior to including it in the electronic application package; requests to rectify conversion errors will not be accepted if made after the solicitation closing date and time. If Key Contacts Continuation pages (see How to Apply and Required Forms) are needed, place them before the Table of Contents (Section IV.B.3.).
Once the application package has been completed, the “Submit” button should be enabled. If the “Submit” button is not active, please call Grants.gov for assistance at 1-800-518-4726. Applicants who are outside the U.S. at the time of submittal and are not able to access the toll-free number may reach a Grants.gov representative by calling 606-545-5035. Investigators should save the completed application package with two different file names before providing it to the AOR to avoid having to re-create the package should submission problems be experienced or a revised application needs to be submitted. Note: Revised applications must be submitted before the solicitation closing date and time.
Submitting the application. The application package must be transferred to Grants.gov by an AOR. The AOR should close all other software before attempting to submit the application package. Click the “submit” button of the application package. Your Internet browser will launch and a sign-in page will appear. Note: Minor problems are not uncommon with transfers to Grants.gov. It is essential to allow sufficient time to ensure that your application is submitted to Grants.gov BEFORE 11:59:59 pm Eastern Time on the solicitation closing date. The Grants.gov support desk operates 24 hours a day, seven days a week, except Federal Holidays.
A successful transfer will end with an on-screen acknowledgement. For documentation purposes, print or screen capture this acknowledgement. If a submission problem occurs, reboot the computer – turning the power off may be necessary – and re-attempt the submission.
Note: Grants.gov issues a “case number” upon a request for assistance.
Transmission Difficulties. If transmission difficulties that result in a late transmission, no transmission, or rejection of the transmitted application are experienced, and following the above instructions do not resolve the problem so that the application is submitted to Grants.Gov by the deadline date and time, follow the guidance below. The Agency will make a decision concerning each late submission on a case-by-case basis as to whether it should be forwarded for peer review. All emails, as described below, are to be sent to jones.debram@epa.gov with the FON in the subject line.
Please note that if the application you are submitting is greater than 70 MB in size, please call or send an email message to the Electronic Submissions Contact listed for this RFA. The Agency may experience technical difficulty downloading files of this size from Grants.gov. Therefore, it is important that the Agency verify that the file can be downloaded. The Agency will provide alternate submission instructions if the file cannot be downloaded.
- If you are experiencing problems resulting in an inability to upload the application to Grants.gov, it is essential to call Grants.gov for assistance at 1-800-518-4726 before the application deadline. Applicants who are outside the U.S. at the time of submittal and are not able to access the toll-free number may reach a Grants.gov representative by calling 606-545-5035. Be sure to obtain a case number from Grants.gov.
- Unsuccessful transfer of the application package: If a successful transfer of the application cannot be accomplished even with assistance from Grants.gov due to electronic submission issues, send an email message by 11:59:59 pm Eastern Time on the solicitation closing date. The email message must document the problem and include the Grants.gov case number as well as the entire application in PDF format as an attachment.
- Grants.gov rejection of the application package: If a notification is received from Grants.gov stating that the application has been rejected for reasons other than late submittal, promptly send an email to Debra M. Jones (jones.debram@epa.gov) with the FON in the subject line within one business day of the closing date of this solicitation. The email should include any materials provided by Grants.gov and attach the entire application in PDF format.
V. APPLICATION REVIEW INFORMATION
A. Technical Review
All eligible applications will be evaluated by EPA reviewers based on the criteria and process described below. The purpose is to evaluate the scientific merit of the proposal and the capability of the applicant to complete the project as proposed. Each application will be rated under a points system, with a total of 100 points possible. The individual scores of the EPA reviewers will be averaged resulting in a final score. Applications will be ranked in accordance with the final score. Preliminary funding recommendations will be provided to the selection official based on this ranking.
The following criteria will be used in the evaluation process:
- Proposed approach for partnership with NHEERL on collaborative training of students (postdoctoral, graduate, undergraduate) - (20%)
- Proposed approach for recruiting students and postdoctoral scientists of high quality and ability - (10%)
- Proposed approach for development of model student programs to balance on-campus coursework and other activities while leaving sufficient research time. Scientific and educational merit of the research training mechanism proposed. - (20%)
- The quality and extent to which the proposed project challenges and seeks to shift current research/training or engineering paradigms by using innovative theoretical concepts, approaches or methodologies, instrumentation or interventions applicable to one or more fields of research/training. - (5%)
- The quality and extent to which the proposed project embodies the principles of sustainability and seeks sustainable solutions that protect the environment and strengthen our communities. The sustainability primer (Sustainability Primer (PDF) (2 pp, 195 K)) provides examples of activities that promote and incorporate sustainability principles. - (5%)
- Institutional capability: Experience and understanding of the management needs for this program, including recruiting students, placement into the program for mentoring students and postdoctoral scientists in partnership with NHEERL senior research staff, and student progress review. - (5%)
- Expected outputs and outcomes resulting from the project are adequately described. The plan for tracking and measuring progress toward achieving the expected environmental outputs and outcomes including those identified in Section I is well defined. - (5%)
- The qualifications and competence of proposed key personnel and adequacy of their time commitment to the project. - (5%)
- The approach, procedures, and controls for ensuring timely and efficient expenditure of awarded assistance funds are well defined and acceptable. The approach for ensuring successful achievement of project objectives is adequate and in accordance with the narrative’s project schedule and milestones. The budget structure is cost-effective, including how the project budget makes the most efficient use of Agency funds in collaborative training of students (postdoctoral, graduate undergraduate), for instance by minimizing direct costs for administrative support. - (10%)
- The availability and/or adequacy of the facilities and equipment proposed for the project. Note any deficiencies that may interfere with the successful completion of the project. - (10%)
- Past Performance and Reporting History. - (5%)
The EPA will evaluate the proposed PI's past performance under prior Federal and/or non-Federal assistance agreements (assistance agreements include grants and cooperative agreements but not contracts) performed within the last three years that were similar in size, scope and relevance to the proposed project in two areas: First, in successfully managing and completing these prior assistance projects, including whether there is a satisfactory explanation for any lack of success. Second, in reporting progress toward achieving results (outputs/outcomes) under these agreements, including the proposed PI's history of submitting timely progress/final technical reports that adequately describe the progress toward achieving the expected results under the agreements. Any explanation of why progress toward achieving the results was not made will also be considered.
If the proposed PI has no relevant or available past performance and/or reporting information, the applicant will be given a neutral rating for those criteria. In evaluating applicants under this criterion the Agency may consider information from other sources including agency files and prior/current grantors (e.g., to verify and/or supplement the information provided by the applicant).
B. Human Subjects Research Statement (HSRS) Review
Applications that involve human subjects research studies will have their HSRS reviewed by EPA’s HSRRO prior to award. The HSRRO will review the information provided in the HSRS and the Project Narrative to determine if the ethical treatment of human subjects is described in a manner appropriate for conditional approval to be granted.
C. Funding Decisions
Final funding decisions are made by EPA/ORD management based on the results of the technical review and, where applicable, the EPA HSRRO’s assessment of the applicant’s HSRS (see Section IV.B.6). In addition, in making the final funding decisions, EPA/ORD management may also consider program balance and available funds. Applicants selected for funding will be required to provide additional information listed below under “Award Notices.” The application will then be forwarded to EPA’s Grants and Interagency Agreement Management Division for award in accordance with the EPA’s procedures.
VI. AWARD ADMINISTRATION INFORMATION
A. Award Notices
Applicants to be recommended for funding will be required to submit additional certifications and an electronic version of the revised project abstract. They may also be asked to provide responses to comments or suggestions offered by the EPA technical reviewers and/or submit a revised budget. The EPA Project Officer will contact the PI to obtain these materials.
The official notification of an award will be made by the Agency’s Grants and Interagency Agreement Management Division. Applicants are cautioned that only a grants officer is authorized to bind the Government to the expenditure of funds; preliminary selection by ORD management does not guarantee an award will be made. For example, statutory authorization, funding, or other issues discovered during the award process may affect the ability of EPA to make an award to an applicant. The award notice, signed by an EPA grants officer, is the authorizing document and will be provided through electronic or postal mail.
B. Disputes
Disputes related to this assistance agreement competition will be resolved in accordance with the dispute resolution procedures set forth in 70 FR 3629, 3630 (January 26, 2005) which can be found at Dispute Resolution Procedures. Questions regarding disputes may be referred to the Eligibility Contact identified below.
C. Administrative and National Policy Requirements
Additional provisions that apply to this solicitation and/or awards made under this solicitation, including but not limited to those related to DUNS, SAM, copyrights, disputes, and administrative capability, can be found at EPA Solicitation Clauses.
These, and the other provisions that can be found at the website link, are important, and applicants must review them when preparing applications for this solicitation. If you are unable to access these provisions electronically at the website above, please communicate with the EPA contact listed in this solicitation to obtain the provisions.
Expectations and responsibilities of ORD cooperative agreement holders are summarized in this section.
Approval of Changes after Award: Prior written approval of changes may be required from EPA. Examples of these changes are contained in 40 C.F.R. 30.25. Note: prior written approval is also required from the EPA Award Official for incurring costs more than 90 calendar days prior to award.
Human Subjects: A grant applicant must agree to meet all EPA requirements for studies using human subjects prior to implementing any work with these subjects. These requirements are given in 40 CFR Part 26. Studies involving intentional exposure of human subjects who are children or pregnant or nursing women are prohibited by Subpart B of 40 CFR Part 26. For observational studies involving children or pregnant women and fetuses please refer to Subparts C & D of 40 CFR Part 26. U.S. Department of Health and Human Services regulations at 45 CFR Part 46.101(e) have long required "... compliance with pertinent Federal laws or regulations which provide additional protection for human subjects." EPA’s regulation 40 CFR Part 26 is such a pertinent Federal regulation. Therefore, the applicant's Institutional Review Board (IRB) approval must state that the applicant's study meets the EPA's regulations at 40 CFR Part 26. No work involving human subjects, including recruiting, may be initiated before the EPA has received a copy of the applicant’s IRB approval of the project and the EPA has also provided approval. Where human subjects are involved in the research, the recipient must provide evidence of subsequent IRB reviews, including amendments or minor changes of protocol, as part of quarterly reports.
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)Data Access and Information Release: After award, all data first produced under the award must be made available to the ORD Project Officer without restriction and be accompanied by comprehensive metadata documentation adequate for specialists and non-specialists alike to be able to understand how and where the data were obtained and to evaluate the quality of the data. If requested, the data products and their metadata must be provided to the ORD Project Officer in a standard exchange format no later than the due date of the cooperative agreement's final report or the publication of the data product's associated results, whichever comes first.
Congress, through OMB, has instructed each federal agency to implement Information Quality Guidelines designed to "provide policy and procedural guidance...for ensuring and maximizing the quality, objectivity, utility, and integrity of information, including statistical information, disseminated by Federal agencies." The EPA's implementation may be found at EPA Information Quality Guidelines. These procedures may apply to data generated by recipients if those data are disseminated as described in the Guidelines.
Reporting:
The recipient must agree to provide quarterly progress reports and a final report.
The recipient must also agree to provide copies of any peer reviewed journal article(s) resulting from the project during the project period. In addition, the recipient should notify the ORD Project Officer of any papers published after completion of the cooperative agreement that were based on activities supported by the cooperative agreement.
Quality Assurance:
Trainees placed in EPA laboratories will be governed by the EPA quality system, as described in the approved quality management plan for the organization in which they are placed. Approved quality management plans are in full compliance with the EPA’s quality system requirements as expressed in these two documents:
- Policy and Program Requirements for the Mandatory Agency-wide Quality System, EPA CIO 2105.0, May 2000; and
- EPA Quality Manual for Environmental Programs, EPA CIO 2105-P-01-0, May 2000.
Trainees who are engaged in scientific research, including laboratory work must:
- Meet with the organization’s Quality Assurance Manager (QAM),
- Complete QA training prior to the initiation of research activities,
- Work under an approved quality assurance project plan (QAPP),
- As appropriate, use standard operating procedures (SOPs),
- As appropriate, follow the policies and procedures provided by the EPA National Geospatial Program, including the National Geospatial Data Policy (NGDP)
The mentor is responsible for ensuring compliance with these requirements. If the trainee will work under an existing, approved, QAPP, it will be provided to the trainee before work begins. Alternatively, the mentor may ask the trainee to develop a QAPP and/or SOP related to their work.
Acknowledgement of EPA Support: EPA’s full or partial support must be acknowledged in journal articles, oral or poster presentations, news releases, interviews with reporters and other communications. Any documents developed under this agreement that are intended for distribution to the public or inclusion in a scientific, technical, or other journal shall include the following statement:
This publication [article] was developed under Assistance Agreement No.________ awarded by the U.S. Environmental Protection Agency to [name of recipient]. It has not been formally reviewed by EPA. The views expressed in this document are solely those of [name of recipient or names of authors] and do not necessarily reflect those of the Agency. EPA does not endorse any products or commercial services mentioned in this publication.
Further information, if needed, may be obtained from the EPA contacts indicated below. Information regarding this RFA obtained from sources other than these Agency Contacts may not be accurate. Email inquiries are preferred.
Technical Contact: Vanessa O'Neal (oneal.vanessa@epa.gov); phone: (919) 541-5680
Eligibility Contact: Ron Josephson (josephson.ron@epa.gov); phone: 703-308-0442
Electronic Submissions: Debra M. Jones (jones.debram@epa.gov); phone: 703-347-8081
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.