Grantee Research Project Results
U.S. Environmental Protection Agency
Office of Research and Development
National Center for Environmental Research
National Priorities: Impacts of Water Conservation on Water Quality in Premise Plumbing and Water Distribution Systems
CLOSED: FOR REFERENCE PURPOSES ONLY
This is the initial announcement of this funding opportunity.
Funding Opportunity Number: EPA-G2016-ORD-B1
Catalog of Federal Domestic Assistance (CFDA) Number: 66.511
Solicitation Opening Date: February 1, 2016
Solicitation Closing Date: March 17, 2016, 11:59:59 pm Eastern Time
Technical Contact: Ben Packard (packard.benjamin@epa.gov); phone: 202-564-7673
Eligibility Contact: Ron Josephson (josephson.ron@epa.gov); phone: 202-564-7823
Electronic Submissions: Debra M. Jones (jones.debram@epa.gov); phone: 202-564-7839
Access Standard Forms (How to Apply and Required Forms)
View research awarded under previous solicitations Past Research Funding Opportunities
SUMMARY OF PROGRAM REQUIREMENTS
Synopsis of Program:
Drinking water is a high-priority research area in EPA’s Office of Research and Development (ORD). The responsibility to ensure that public water systems provide safe drinking water is shared by EPA, the various states, tribal nations, water systems, and the general public, as mandated by the Safe Drinking Water Act (SDWA). Section 1442 of this Act authorizes EPA to conduct research, studies, and demonstrations related to the causes, diagnosis, treatment, control, and prevention of diseases resulting from contaminants in drinking water, or to the provision of a dependably safe supply of drinking water.
As consumers become more aware of the need for water conservation, they are decreasing water consumption which has led to lower flows of water being conveyed in water systems and buildings designed to manage higher flows. In turn, these lower flows influence water quality, costs, energy consumption, and public health. As water shortages and competition for water resources increase the need for using water more efficiently, we need to consider how systems and buildings can be better designed, renovated, or managed so that water can be used efficiently while ensuring public health and safety.
EPA is issuing this Request for Applications (RFA) to fund research into issues of water quality and availability related to distribution systems and premise plumbing systems under lower-flow conditions. The National Research Council (NRC) defines “premise plumbing” as that portion of the distribution system from the main water ferrule or water meter to the consumer’s tap in homes, schools, and other buildings. The national scope and high priority of these issues of water quality and availability related to premise plumbing and water distribution systems is evidenced by this NRC report, which attests that a substantial proportion of the nation’s waterborne disease outbreaks is attributable to issues within these systems. Increasing potential incidences of disinfection residual loss due to the high water age will only exacerbate this situation (NRC, 2005).
The EPA currently supports a number of drinking water-related research grants resulting from previous solicitations. Information regarding current research can be found on EPA’s Research Grants web site.
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.C.5.c of this solicitation), and if the project involves human subjects research, it will be subject to an additional level of review prior to funding decisions being made as described in Sections V.C and V.D of this solicitation. 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:
Basic Information about Human Subjects Research
Basic EPA Policy for Protection of Subjects in Human Research Conducted or Supported by EPA
Award Information:
Anticipated Type of Award: Grant or cooperative agreement
Estimated Number of Awards: Approximately two awards
Anticipated Funding Amount: Approximately $3,978,000 total in federal funds for all awards.
Potential Funding per Award: Up to a total of approximately $1,989,000 in federal funds, including direct and indirect costs, with a maximum duration of three years. Each applicant must contribute a minimum 25 percent match that may include in-kind contributions (see Section III.B. for more detail).
Cost-sharing is required. Proposals with budgets including a federal contribution exceeding the total maximum federal award limit will not be considered. Each applicant must contribute a minimum 25% non-federal match. Maximum award is $1,989,000 EPA funds + $497,250 (the minimum matching non-federal contribution based on a federal award of this amount). Including matching, projects can exceed $2,486,250, however the federally funded portion of the budget must not exceed $1,989,000. In order to be eligible for funding consideration, applicants must demonstrate in their application how they will meet the required minimum 25% match in accordance with 2 CFR §200.306.
Eligibility Information:
Nonprofit organizations and nonprofit colleges and universities located in the United States are eligible. Foreign entities, individuals, States, including the District of Columbia and State and local government departments, territories, possessions, and Tribal nations of the U.S., are not eligible to apply under this RFA. Profit-making firms are not eligible to receive assistance agreements from EPA under this program. See full announcement for more details.
Application Materials:
To apply under this solicitation, use the application package available at Grants.gov (for further submission information see Section IV.F. “Submission Instructions and other Submission Requirements”). Note: With the exception of the current and pending support form (available at Research Funding Opportunities: How to Apply and Required Forms), all necessary forms are included in the electronic application package. Make sure to include the current and pending support form in your Grants.gov submission.
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 unique entity identifier (formerly ‘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, see Section IV.A below for additional guidance and instructions.
Agency Contacts:
Technical Contact: Ben Packard (packard.benjamin@epa.gov); phone: 202-564-7673
Eligibility Contact: Ron Josephson (josephson.ron@epa.gov); phone: 202-564-7823
Electronic Submissions: Debra M. Jones (jones.debram@epa.gov); phone: 202-564-7839
I. FUNDING OPPORTUNITY DESCRIPTION
A. Introduction
Drinking water is a high-priority research area in EPA’s Office of Research and Development (ORD). The responsibility to ensure that public water systems provide safe drinking water is shared by EPA, the various states, tribal nations, water systems, and the general public, as mandated by the Safe Drinking Water Act (SDWA). Section 1442 of this Act authorizes EPA to conduct research, studies, and demonstrations related to the causes, treatment, control, and prevention of diseases resulting from contaminants in drinking water, or to the provision of a dependably safe supply of drinking water.
As consumers become more aware of the need for water conservation, they are decreasing water consumption which has led to lower flows of water being conveyed in water systems and buildings designed to manage higher flows. In turn, these lower flows influence water quality, costs, energy consumption, and public health. As water shortages and competition for water resources increase the need for using water more efficiently, we need to consider how systems and buildings can be better designed, renovated, or managed so that water can be used efficiently while ensuring public health and safety.
EPA is issuing this Request for Applications (RFA) to fund research into issues of water quality and availability related to distribution systems and premise plumbing systems under lower-flow conditions. The National Research Council (NRC) defines “premise plumbing” as that portion of the distribution system from the main water ferrule or water meter to the consumer’s tap in homes, schools, and other buildings. The national scope and high priority of these issues of water quality and availability related to premise plumbing and water distribution systems is evidenced by this NRC report, which attests that a substantial proportion of the nation’s waterborne disease outbreaks is attributable to issues within these systems. Increasing potential incidences of disinfection residual loss due to the high water age will only exacerbate this situation (NRC, 2005).
The EPA currently supports a number of drinking water-related research grants resulting from previous solicitations. Information regarding current research can be found on EPA’s Research Grants web site.
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.C.5.c of this solicitation), and if the project involves human subjects research, it will be subject to an additional level of review prior to funding decisions being made as described in Sections V.C and V.D of this solicitation.
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).
For more specific information including guidance and training, see:
Basic Information about Human Subjects Research
Basic EPA Policy for Protection of Subjects in Human Research Conducted or Supported by EPA
B. Background
Water conservation efforts over the past twenty years have led to large reductions in water and energy consumption in many US communities. These efforts have frequently led to flat or decreased treated water consumption rates, in spite of increasing populations in served communities. In turn, lower water consumption rates have led to lower flows and hence longer travel times throughout the water distribution and premise plumbing systems. Additionally, some studies have linked these lower flows to a number of problems affecting water quality and availability. The NRC report cited the impact of lower flows and lower temperatures (to address scalding and energy efficiency), on greater loss of residual disinfectants and increased formation of biofilms, creating more conducive environments for pathogens such as Legionella pneumophila and Mycobacteria species.
Studies have also shown that low flow rates and prolonged contact times with distribution system mains and piping materials have led to increases in corrosion, deposition of corrosion byproduct sediment, depletion of disinfectant residuals, mobilization of trace metals, and a decrease in the effectiveness of corrosion control treatment. Other studies have demonstrated that increased contact times, which can occur in conveyance systems and storage tanks, may result in higher disinfection byproduct levels (AWARRF, 2006; Sohn, et al. 2004). Lastly, it is common knowledge that disinfectant residuals can vary both across the distribution system and within buildings.
To address these problems, EPA is calling for research into a number of issues, described in greater detail below. These research issues include such items as providing a greater understanding of health risks associated with low flows and of methods to appropriately size water distribution systems so that pipes provide the appropriate flow, at the available water pressure, to meet the real demand on the systems at an acceptable velocity (hereinafter referred to as “right-sizing”).
The specific Strategic Goal and Objective from the EPA’s Strategic Plan that relate to this solicitation are:
Goal 2: Protecting America's Waters, Objective 2.1: Protect Human Health,
The EPA’s FY 2014-18 Strategic Plan can be found at: EPA Strategic Plan
C. Authority and Regulations
The authority for this RFA and resulting awards is contained in the Consolidated Appropriations Act, 2016, P.L. 114-113, and the Safe Drinking Water Act, Section 1442, 42 U.S.C. 300j-1.
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. Note: Applications dealing with any aspect of or related to hydraulic fracking will not be funded by EPA through this program.
Applicable regulations include: 2 CFR Part 200, 2 CFR Part 1500, and 40 CFR Part 40 (Research and Demonstration Grants).
D. Specific 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.
EPA is interested in applications that incorporate all of the following research needs and are national in scope:
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Research on water conservation trends.
The successful applicant should propose to enhance the public understanding of the infrastructural changes that influence low-flow in the water distribution system and in premise plumbing. To achieve this outcome, the successful applicant should conduct a literature and data review summarizing trends in water conservation in the US over the past twenty years. This literature review will inform the development of data and models relative to research area #2 below, “Research on the effect of water flow on water quality.” The review should leverage existing available information pertaining to reductions in water use and, where applicable, evaluate similar problems with premise plumbing that other countries have experienced and solutions they have developed.The literature review should include trends in treated water consumption volumes versus population change, flow volume changes by water-using device, as well as increases in the number of water conserving devices installed by consumers. A summary of water-related requirements for Leadership in Energy and Environmental Design (LEED) certifications (e.g., certified, silver, gold, platinum) and water efficiency criteria established by Federal, state and local governments should be included in the review. The literature review should include a discussion of what have been the primary drivers of water conservation over the last twenty years. Drivers should include (but are not limited to) federal and state requirements, changes to codes, the rise of green building certifications and ratings systems (such as the LEED certification), the availability of new technologies in water using products and systems and costs. These summaries are to be put into the context of their impact on drinking water quality.
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Research on the effect of water flow on water quality.
To enhance the public understanding of variable flow on water quality, the successful applicant should aim to answer basic research questions and to develop new data including data on energy use, and water quality measurements. The data will be publicly accessible and machine readable, facilitated by open-data architecture such as XML. Issues that should be addressed include, but are not limited to:- premise plumbing technologies including low-flow fixtures and hot water systems
- the effects of pipe material (e.g., iron, copper, lined cement, poly vinyl chloride, cross linked high density polyethylene (PEX)),
- the effect of differences of representative water chemistries,
- the effects of water treatment practices.
This data should inform the development of models to estimate changes in water quality (e.g., disinfectant loss, biofilm growth, and use of lead free plumbing) based on a range of theoretical flow decreases estimated from the literature review. These models should span the entire distribution system, including premise plumbing in individual homes, as well as large buildings (e.g., hospitals, apartment complexes, schools). The attributes of water quality incorporated into the model should include flow rates, contact times with distribution system mains and piping materials, deposition of corrosion, byproduct sediment, depletion of disinfectant residuals, the growth of biofilm and opportunistic pathogens, mobilization of trace metals, decrease in effectiveness of corrosion control treatment and release of various metals in both chlorinated and chloraminated systems. Although the models should be national in scope, they should account for regional differences in water efficiency standards. Data gaps for model development should be addressed through pilot and/or full scale distribution system/premise plumbing simulators that closely mimic real distribution/premise plumbing systems.
As mentioned, these models should estimate the potential presence and potential proliferation of opportunistic pathogens in premise plumbing under various flow conditions (e.g., Legionella pneumophila, Mycobacterium spp., Pseudomonas aeruginosa, Acanthamoeba spp., and Naegleria fowleri). Additionally, the models should quantitatively assess the increased risks to public health posed by these pathogens taking into consideration population at greatest risk and the types of facilities in which they can be found. This will help risk managers make decisions on where to best focus efforts when they may have limited resources.
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Development of a decision-support tool.
The successful applicant should develop a decision-support tool (DST) that is web-based and incorporates background information, data, and models as described above. Issues that should be addressed by the DST include, but are not limited to:- “right-sizing” (defined above) and for materials selection such as pipe material, pipe size, and placement of hot water systems within buildings,
- the effect of plumbing designs and stagnation times including where in the system water quality might be affected,
- sampling points to determine water quality and disinfectant residuals,
- requirements for additional on-site operations and maintenance practices and supplemental water treatment,
- variation in building type (such as hospitals, schools, apartment complexes, and single family homes).
The DST should also be comprehensible and accessible to the general public and should inform interested stakeholders including, for example, municipal or county governments as they develop plumbing codes and standards. Furthermore, it should enable decision makers like home owners, building designers, building managers, and assisted living facility managers to optimize water and energy conservation in premise plumbing, while minimizing adverse effects on public health and the environment.
Proposals which do not address all of the research needs above may not be rated as highly under the evaluation process described in Section V.
Expected outcomes of the awards under this RFA include an improved understanding of the impacts of water conservation on water quality in premise plumbing and water distribution systems. The research should help the general public, including building designers and state and local officials, understand the consequences of low flow conditions in premise plumbing and develop potential solutions to mitigate these problems in both old and new buildings. The expected outputs include new data sets to fill knowledge gaps, decision support tools, models, demonstration and case studies, reports, presentations, and peer-reviewed journal publications.To the extent practicable, research proposals must embody innovation and sustainability. Innovation for the purposes of this RFA is defined as the process of making changes; a new method, custom or device. Innovative research can take the form of wholly new applications or applications that build on existing knowledge and approaches for new uses. Research proposals must include a discussion on how the proposed research is innovative (see Section IV.C.5.a). The concept of sustainability is based on language in the U.S. National Environmental Policy Act of 1969 (NEPA). This definition is reiterated in Executive Order 13514, Federal Leadership in Environment, Energy, and Economic Performance, stating that the goal of sustainability is to, “create and maintain conditions, under which humans and nature can exist in productive harmony, that permit fulfilling the social, economic, and other requirements of present and future generations.” Research proposals must include a discussion on how the proposed research will seek sustainable solutions that protect the environment and strengthen our communities (see Section IV.C.5.a). ORD will draw from all of the above-mentioned innovation and sustainability definitions in the review/evaluation process of recommending research proposals (see Section V.A).
E. References
AWARRF. Formation and Decay of Disinfection By-Products in the Distribution System. 2006. American Water Works Association, Denver, CO.
National Research Council. Public Water Supply Distribution Systems: Assessing and Reducing Risks -- First Report. The National Academies Press, 2005.
Sohn, J., G. Amy, J. Cho, Y, Lee, Y. Yoon. “Disinfectant decay and disinfection by-products formation model development: chlorination and ozonation by-products.” Water Research 38 (2004): 2461-2478.
F. Special Requirements
Agency policy and ethical considerations prevent EPA technical staff and managers from providing applicants with information that may create an unfair competitive advantage. Consequently, EPA employees will not review, comment, advise, and/or provide technical assistance to applicants preparing applications in response to EPA RFAs. EPA employees cannot endorse any particular application.
Multiple Investigator applications may be submitted as: (1) a single Lead Principal Investigator (PI) application with Co-PI(s) or (2) a Multiple PI application (with a single Contact PI). If you choose to submit a Multiple PI application, you must follow the specific instructions provided in Sections IV. and V. of this RFA. For further information, please see the EPA Implementation Plan for Policy on Multiple Principal Investigators.
This solicitation provides the opportunity for the submission of applications for projects that may involve human subjects research. There are many scientific and ethical considerations that must be addressed in such studies by the study sponsor and research team, including, but not limited to, those related to recruitment, retention, participant compensation, third-party issues, researcher-participant interactions, researcher-community interactions, communications, interventions, and education. All such research must comply with the requirements of 40 CFR Part 26, and any human observational exposure studies must also adhere to the principles set forth in the Scientific and Ethical Approaches for Observational Exposure Studies (SEAOES) (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.C.5.c of this solicitation) and if the project involves human subjects research, it will be subject to an additional level of review prior to funding decisions being made as described in Sections V.C and V.D of this solicitation.
Groups of two or more eligible applicants may choose to form a consortium and submit a single application for this assistance agreement. The application must identify which organization will be the recipient of the assistance agreement and which organizations(s) will be subawardees of the recipient.
The application should include a plan (see “Data Plan” in section IV.C.5.d) to make available to the National Center for Environmental Research (NCER) project officer all data generated (first produced under the award) from observations, analyses, or model development used under an agreement awarded from this RFA. The data must be available in a format and with documentation such that they may be used by others in the scientific community.
These awards may involve the collection of “Geospatial Information,” which includes information that identifies the geographic location and characteristics of natural or constructed features or boundaries on the Earth or applications, tools, and hardware associated with the generation, maintenance, or distribution of such information. This information may be derived from, among other things, a Geographic Positioning System (GPS), remote sensing, mapping, charting, and surveying technologies, or statistical data.
It is anticipated that a total of approximately $3,978,000 in federal funds 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 2 awards under this RFA. Requests for amounts in excess of a total of $1,989,000 in federal funds, including direct and indirect costs, will not be considered. In addition, a minimum 25% non-federal match (which may include in-kind contributions (see Section III.B. for more details) equal to a minimum of $497,250 (assuming the applicant requests $1,989,000 in EPA funds) must be included. Applications which do not demonstrate how the minimum 25% non-federal match will be met will not be considered. The total project period requested in an application submitted for this RFA may not exceed 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.
EPA may award both grants and cooperative agreements under this announcement.
Under a grant, EPA scientists and engineers are not permitted to be substantially involved in the execution of the research. However, EPA encourages interaction between its own laboratory scientists and grant Principal Investigators after the award of an EPA grant for the sole purpose of exchanging information in research areas of common interest that may add value to their respective research activities. This interaction must be incidental to achieving the goals of the research under a grant. Interaction that is “incidental” does not involve resource commitments.
Where appropriate, based on consideration of the nature of the proposed project relative to the EPA’s intramural research program and available resources, the EPA may award cooperative agreements under this announcement. When addressing a research question/problem of common interest, collaborations between EPA scientists and the institution’s principal investigators are permitted under a cooperative agreement. These collaborations may include data and information exchange, providing technical input to experimental design and theoretical development, coordinating extramural research with in-house activities, the refinement of valuation endpoints, and joint authorship of journal articles on these activities. Proposals may not identify EPA cooperators or interactions; specific interactions between EPA’s investigators and those of the prospective recipient for cooperative agreements will be negotiated at the time of award.
A. Eligible Applicants
This solicitation is available to nonprofit organizations and nonprofit colleges and universities
located in the U.S. Foreign entities, individuals, States, including the District of Columbia and State and local government departments, territories, possessions, and Tribal nations of the U.S., are not eligible to apply under this RFA. Profit-making firms are not eligible to receive assistance agreements from the EPA under this program.
Eligible nonprofit organizations and nonprofit colleges and universities include any organizations that:
- Are operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest;
- Are not organized primarily for profit; and
- Use its net proceeds to maintain, improve, and/or expand its operations.
However, nonprofit organizations described in Section 501(c) (4) of the Internal Revenue Code that lobby are not eligible to apply.
National laboratories funded by Federal Agencies (Federally-Funded Research and Development Centers, “FFRDCs”) may not apply. FFRDC employees may cooperate or collaborate with eligible applicants within the limits imposed by applicable legislation and regulations. They may participate in planning, conducting, and analyzing the research directed by the applicant, but may not direct projects on behalf of the applicant organization. The institution, organization, or governance receiving the award may provide funds through its assistance agreement from the EPA to an FFRDC for research personnel, supplies, equipment, and other expenses directly related to the research. However, salaries for permanent FFRDC employees may not be provided through this mechanism.
Federal Agencies may not apply. Federal employees are not eligible to serve in a principal leadership role on an assistance agreement, and may not receive salaries or augment their Agency’s appropriations in other ways through awards made under this program.
The applicant institution may enter into an agreement with a Federal Agency to purchase or utilize unique supplies or services unavailable in the private sector to the extent authorized by law. Examples are purchase of satellite data, chemical reference standards, analyses, or use of instrumentation or other facilities not available elsewhere. A written justification for federal involvement must be included in the application. In addition, an appropriate form of assurance that documents the commitment, such as a letter of intent from the Federal Agency involved, should be included.
Potential applicants who are uncertain of their eligibility should contact Ron Josephson (josephson.ron@epa.gov) in NCER, phone: 202-564-7823.
B. Cost-Sharing
Each applicant must contribute a minimum 25% non-federal match which may include in-kind contributions. In order to be eligible for funding consideration, applicants must demonstrate in their application how they will meet the required minimum 25% match in accordance with 2 CFR §200.306.
The cost share/match may be provided in cash or can come from in-kind contributions, such as the use of volunteers and/or donated time, equipment, etc., subject to the regulations governing matching fund requirements at 2 CFR §200.306. Cost share/matching funds are considered grant funds and are included in the total award amount.
All contributions, including cash and third party in-kind, shall be accepted as cost sharing or matching when such contributions meet all of the following criteria: (1) Are verifiable from the non-Federal entity's records; (2) Are not included as contributions for any other Federal award; (3) Are necessary and reasonable for proper and efficient accomplishment of project or program objectives; (4) Are allowable under Subpart E—Cost Principles of 2 CFR Part 200; (5) Are not paid by the Federal Government under another Federal award, except where the Federal statute authorizing a program specifically provides that Federal funds made available for such program can be applied to matching or cost sharing requirements of other Federal programs; (6) Are provided for in the approved budget when required by the Federal awarding agency; and (7) Conform to other provisions of 2 CFR Part 200, as applicable.
Any restrictions on the use of grant funds (examples of funding restrictions are described in Section IV.E of this announcement) also apply to the use of cost share/matching funds.
C. Other
Applications must substantially comply with the application submission instructions and requirements set forth in Section IV of this announcement or they will be rejected. In addition, where a page limitation is expressed in Section IV with respect to parts of the application, pages in excess of the page limit will not be reviewed. In addition, applications must be submitted through Grants.gov as stated in Section IV of this announcement (except in the limited circumstances where another mode of submission is specifically allowed for as explained in Section IV) on or before the application submission deadline published in Section IV of this announcement. Applicants are responsible for following the submission instructions in Section IV of this announcement (see Section IV.F. “Submission Instructions and Other Submission Requirements” for further information) to ensure that their application is timely submitted. Applications submitted after the submission deadline will be considered late and deemed ineligible without further consideration unless the applicant can clearly demonstrate that it was late due to EPA mishandling or because of technical problems associated with Grants.gov or relevant SAM.gov system issues. An applicant’s failure to timely submit their application through Grants.gov because they did not timely or properly register in SAM.gov or Grants.gov will not be considered an acceptable reason to consider a late submission. Applicants should confirm receipt of their application with the Electronic Submissions Contact shown in this solicitation as soon as possible after the submission deadline—failure to do so may result in your application not being reviewed.
Also, applications exceeding the funding limits or project period term described herein will be rejected without review. Further, applications that fail to demonstrate a public purpose of support or stimulation (e.g., by proposing research which primarily benefits a Federal program or provides a service for a Federal agency) will not be funded.
Applications deemed ineligible for funding consideration will be notified within fifteen calendar days of the ineligibility determination.
IV. APPLICATION AND SUBMISSION INFORMATION
Additional provisions that apply to this solicitation and/or awards made under this solicitation, including but not limited to those related to confidential business information, contracts and subawards under grants, and proposal assistance and communications, can be found at EPA Solicitation Clauses.
These, and the other provisions that can be found at the website link, are important, and applicants must review them when preparing applications for this solicitation. If you are unable to access these provisions electronically at the website above, please communicate with the EPA contact listed in this solicitation to obtain the provisions.
Formal instructions for submission through Grants.gov are in Section F.
A. Grants.gov Submittal Requirements and Limited Exception Procedures
Applicants, except as noted below, must apply electronically through Grants.gov under this funding opportunity based on the Grants.gov instructions in this announcement. If an applicant does not have the technical capability to apply electronically through Grants.gov because of limited or no internet access which prevents them from being able to upload the required application materials to Grants.gov, the applicant must contact OGDWaivers@epa.gov or the address listed below in writing (e.g., by hard copy, email) at least 15 calendar days prior to the submission deadline under this announcement to request approval to submit their application materials through an alternate method.
Mailing Address:
OGD Waivers
c/o Barbara Perkins
USEPA Headquarters
William Jefferson Clinton Building
1200 Pennsylvania Ave., N. W.
Mail Code: 3903R
Washington, DC 20460
Courier Address:
OGD Waivers
c/o Barbara Perkins
Ronald Reagan Building
1300 Pennsylvania Ave., N.W.
Rm # 51267
Washington, DC 20004
In the request, the applicant must include the following information:
Funding Opportunity Number (FON)
Organization Name and DUNS
Organization’s Contact Information (email address and phone number)
Explanation of how they lack the technical capability to apply electronically through Grants.gov because of: 1) limited internet access or 2) no internet access which prevents them from being able to upload the required application materials through Grants.gov.
EPA will only consider alternate submission exception requests based on the two reasons stated above and will timely respond to the request -- all other requests will be denied. If an alternate submission method is approved, the applicant will receive documentation of this approval and further instructions on how to apply under this announcement. Applicants will be required to submit the documentation of approval with any initial application submitted under the alternative method. In addition, any submittal through an alternative method must comply with all applicable requirements and deadlines in the announcement including the submission deadline and requirements regarding proposal content and page limits (although the documentation of approval of an alternate submission method will not count against any page limits).
If an exception is granted, it is valid for submissions to EPA for the remainder of the entire calendar year in which the exception was approved and can be used to justify alternative submission methods for application submissions made through December 31 of the calendar year in which the exception was approved (e.g., if the exception was approved on March 1, 2015, it is valid for any competitive or non-competitive application submission to EPA through December 31, 2015). Applicants need only request an exception once in a calendar year and all exceptions will expire on December 31 of that calendar year. Applicants must request a new exception from required electronic submission through Grants.gov for submissions for any succeeding calendar year. For example, if there is a competitive opportunity issued on December 1, 2015 with a submission deadline of January 15, 2016, the applicant would need a new exception to submit through alternative methods beginning January 1, 2016.
Please note that the process described in this section is only for requesting alternate submission methods. All other inquiries about this announcement must be directed to the Agency Contact listed in Section VII of the announcement. Queries or requests submitted to the email address identified above for any reason other than to request an alternate submission method will not be acknowledged or answered.
B. Application Package Information
Use the application package available at Grants.gov (see Section IV.F. “Submission Instructions and Other Submission Requirements”). Note: With the exception of the current and pending support form (available at Research Funding Opportunities: How to Apply and Required Forms), all necessary forms are included in the electronic application package. Make sure to include the current and pending support form in your Grants.gov submission.
An email will be sent by NCER to the Lead/Contact PI and the Administrative Contact (see below) to acknowledge receipt of the application and transmit other important information. The email will be sent from receipt.application@epa.gov; emails to this address will not be accepted. If you do not receive an email acknowledgement within 10 calendar days of the submission closing date, immediately inform the Electronic Submissions Contact shown in this solicitation. Failure to do so may result in your application not being reviewed. See Section IV.F. “Submission Instructions and Other Submission Requirements” for additional information regarding the application receipt acknowledgment.
C. Content and Form of Application Submission
The application is made by submitting the materials described below. Applications must contain all information requested and be submitted in the formats described.
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Standard Form 424
The applicant must complete Standard Form 424. Instructions for completion of the SF424 are included with the form. (However, note that EPA requires that the entire requested dollar amount appear on the SF424, not simply the proposed first year expenses. Note that a minimum 25% non-federal cost share/match must be included.The form must contain the signature of an authorized representative of the applying organization.
Applicants are required to provide a unique entity identifier (formerly ‘DUNS number’) when applying for federal grants or cooperative agreements. Organizations may receive a unique entity identifier, at no cost, by calling the dedicated toll-free request line at 1-866-705-5711, or visiting the website at: Dun & Bradstreet Exit.
Executive Order 12372, “Intergovernmental Review of Federal Programs,” does not apply to the Office of Research and Development's research and training programs unless EPA has determined that the activities that will be carried out under the applicants' proposal (a) require an Environmental Impact Statement (EIS), or (b) do not require an EIS but will be newly initiated at a particular site and require unusual measures to limit the possibility of adverse exposure or hazard to the general public, or (c) have a unique geographic focus and are directly relevant to the governmental responsibilities of a State or local government within that geographic area.
If EPA determines that Executive Order 12372 applies to an applicant's proposal, the applicant must follow the procedures in 40 CFR Part 29. The applicant must notify their state's single point of contact (SPOC). To determine whether their state participates in this process, and how to comply, applicants should consult Intergovernmental Review (SPOC List) . If an applicant is in a State that does not have a SPOC, or the State has not selected research and development grants for intergovernmental review, the applicant must notify directly affected State, area wide, regional and local entities of its proposal.
EPA will notify the successful applicant(s) if Executive Order 12372 applies to its proposal prior to award.
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Key Contacts
The applicant must complete the “Key Contacts” form found in the Grants.gov application package. An “Additional Key Contacts” form is also available at Research Funding Opportunities: 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.
For Multiple PI applications: The Additional Key Contacts form must be completed (see Section I.F. for further information). Note: The Contact PI must be affiliated with the institution submitting the application. EPA will direct all communications related to scientific, technical, and budgetary aspects of the project to the Contact PI; however, any information regarding an application will be shared with any PI upon request. The Contact PI is to be listed on the Key Contact Form as the Project Manager/Principal Investigator (the term Project Manager is used on the Grants.gov form, the term Principal Investigator is used on the form located on EPA's Research Grants web site). For additional PIs, complete the Major Co-Investigator fields and identify PI status next to the name (e.g., “Name: John Smith, Principal Investigator”).
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Table of Contents
Provide a list of the major subdivisions of the application indicating the page number on which each section begins.
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Abstract (1 page)
The abstract is a very important document in the review process. Therefore, it is critical that the abstract accurately describes the research being proposed and conveys all the essential elements of the research. Also, the abstracts of applications that receive funding will be posted on the EPA's Research Grants web site.
The abstract should include the information described below (a-h). Examples of abstracts for current grants may be found on the EPA's Research Grants web site.
- Funding Opportunity Title and Number for this proposal.
- Project Title: Use the exact title of your project as it appears in the application. The title must be brief yet represent the major thrust of the project. Because the title will be used by those not familiar with the project, use more commonly understood terminology. Do not use general phrases such as “research on.”
- Investigators: For applications with multiple investigators, state whether this is a single Lead PI (with co-PIs) or Multiple PI application (see Section I.F.). For Lead PI applications, list the Lead PI, then the name(s) of each co-PI who will significantly contribute to the project. For Multiple PI applications, list the Contact PI, then the name(s) of each additional PI. Provide a web site URL or an email contact address for additional information.
- Institution(s): In the same order as the list of investigators, list the name, city and state of each participating university or other applicant institution. The institution applying for assistance must be clearly identified.
- Project Period and Location: Show the proposed project beginning and ending dates and the performance site(s)/geographical location(s) where the work will be conducted.
- Project Cost: Show the total funding requested from the EPA (include direct and indirect costs for all years) as well as the non-federal cost share. Demonstrate how you will meet the required match requirement.
- Project Summary: Provide three subsections addressing: (1) the objectives of the study (including any hypotheses that will be tested), (2) the experimental approach to be used (a description of the proposed project), and (3) the expected results (outputs/outcomes) of the project and how it addresses the research needs identified in the solicitation, including the estimated improvement in risk assessment or risk management that will result from successful completion of the proposed work.
- Supplemental Keywords: Without duplicating terms already used in the text of the abstract, list keywords to assist database searchers in finding your research. A list of suggested keywords may be found at: Research Funding Opportunities: How to Apply and Required Forms.
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Research Plan, Quality Assurance Statement, Human Subjects Research Statement, Data Plan and References
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Research Plan (15 pages)
Applications should focus on a limited number of research objectives that adequately and clearly demonstrate that they meet the RFA requirements. Explicitly state the main hypotheses that you will investigate, the data you will create or use, the analytical tools you will use to investigate these hypotheses or analyze these data, and the results you expect to achieve. Research methods must be clearly stated so that reviewers can evaluate the appropriateness of your approach and the tools you intend to use. A statement such as: “we will evaluate the data using the usual statistical methods” is not specific enough for peer reviewers.This description must not exceed fifteen (15) consecutively numbered (bottom center), 8.5x11-inch pages of single-spaced, standard 12-point type with 1-inch margins. While these guidelines establish the minimum type size requirements, applicants are advised that readability is of paramount importance and should take precedence in selection of an appropriate font for use in the proposal.
The description must provide the following information:
- Objectives: List the objectives of the proposed research and the hypotheses being tested during the project, and briefly state why the intended research is important and how it fulfills the requirements of the solicitation. This section should also include any background or introductory information that would help explain the objectives of the study. If this application is to expand upon research supported by an existing or former assistance agreement awarded under an EPA program, indicate the number of the agreement and provide a brief report of progress and results achieved under it.
- Approach/Activities: Outline the research design, methods, and techniques that you intend to use in meeting the objectives stated above.
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- Innovation: Describe how your project shifts current research or engineering paradigms by using innovative theoretical concepts, approaches or methodologies, instrumentation or interventions applicable to one or more fields of research.
- Sustainability: Describe how your project embodies the principles of sustainability and seeks sustainable solutions that protect the environment and strengthen our communities. The sustainability primer (Sustainability Primer (PDF) (2 pp, 195 K)) provides examples of research activities that promote and incorporate sustainability principles.
- Expected Results, Benefits, Outputs, and Outcomes: Describe the expected outputs and outcomes resulting from the project. This section should also discuss how the research results will lead to solutions to environmental problems and improve the public’s ability to protect the environment and human health. A clear, concise description will help NCER and peer reviewers understand the merits of the research.
- Project Management: Discuss other information relevant to the potential success of the project. This should include facilities, personnel expertise/experience, project schedules with associated milestones and target dates, proposed management, interactions with other institutions, etc. Describe the approach, procedures, and controls for ensuring that awarded grant funds will be expended in a timely and efficient manner and detail how project objectives will be successfully achieved within the grant period. Describe how progress toward achieving the expected results (outputs and outcomes) of the research will be tracked and measured. Applications for multi-investigator projects must identify project management and the functions of each investigator in each team and describe plans to communicate and share data.
- Appendices may be included but must rema
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The perspectives, information and conclusions conveyed in research project abstracts, progress reports, final reports, journal abstracts and journal publications convey the viewpoints of the principal investigator and may not represent the views and policies of ORD and EPA. Conclusions drawn by the principal investigators have not been reviewed by the Agency.