Grantee Research Project Results
OVERVIEW INFORMATION
U.S. Environmental Protection Agency
National Center for Environmental Research
National Priorities: PER- AND POLYFLUOROALKYL SUBSTANCES
CLOSED - FOR REFERENCES PURPOSES ONLY
This is the initial announcement of this funding opportunity.
Funding Opportunity Number: EPA-G2018-ORD-A1
Catalog of Federal Domestic Assistance (CFDA) Number: 66.511
Solicitation Opening Date: May 4, 2018
Solicitation Closing Date: June 18, 2018: 11:59:59 pm Eastern Time
Access Standard Forms (How to Apply and Required Forms)
View research awarded under previous solicitations (Research Grant Areas)
SUMMARY OF PROGRAM REQUIREMENTS
Synopsis of Program:
The U.S. Environmental Protection Agency (EPA) is issuing this Request for Applications (RFA) to better understand the impacts of per- and poly-fluoroalkyl substances (PFAS) on water quality and availability across the U.S. The Agency is seeking new information on 1) the fate and transport of short (C4 to C7) and long-chain (≥ C8) PFAS in the environment, including per- and poly-fluorinated carboxylic acids, sulfonic acids, and ethers, and associated precursor and transformation products; 2) comprehensive human and ecosystem exposure to PFAS; and 3) PFAS toxicity, modes of action, physiologically-based pharmacokinetics and pharmacodynamics, and other topics related to hazard assessment. Proposals may address any or all of these topic areas in support of the development of robust risk assessments for human and ecological exposure to PFAS in water.
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.D and V.E of this solicitation.
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
Estimated Number of Awards: Approximately 2 awards
Anticipated Funding Amount: Approximately $3,968,800 total for all awards
Potential Federal Funding per Award: Up to a total of $1,984,400, including direct and indirect costs, with a maximum duration of 3 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. The minimum 25% non-federal match, equal to a minimum of $496,100 (assuming the applicant requests $1,984,400 in EPA funds) must be included. Including matching, projects can exceed $2,480,500 (if the applicant proposes more than the minimum required non-federal match), however the federally funded portion of the budget must not exceed $1,984,400. 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:
Public and private nonprofit institutions and public and private universities and colleges located in the United States are eligible. Foreign entities, 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 (e.g.‘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: Michael Hiscock (hiscock.michael@epa.gov); phone: 202-564-4453
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
One of the high-priority research areas identified by the EPA Office of Research and Development (ORD) is drinking water. Under the 1996 Amendments to the Safe Drinking Water Act (SDWA), the responsibility for ensuring public water systems provide safe and sufficient drinking water is divided among the EPA, states, tribal nations, water systems, and the public. In addition, under the Clean Water Act (CWA), EPA has established requirements for setting water quality standards and regulating pollutant discharges into U.S. waters. PFAS are a potential risk to the waters of the U.S.
EPA is issuing this call for research to better understand the impacts of PFAS on water quality and availability across the U.S. The Agency is seeking new information on 1) the fate and transport of short (C4 to C7) and long-chain (≥ C8) PFAS in the environment, including per- and poly-fluorinated carboxylic acids, sulfonic acids, and ethers and associated precursors and transformation products; 2) comprehensive human and ecosystem exposure to PFAS; and 3) PFAS toxicity, modes of action, physiologically-based pharmacokinetics and pharmacodynamics, and other topics related to hazard assessment. Proposals may address any or all of these topic areas in support of the development of robust risk assessments for human and ecological exposure to PFAS in water. The research is intended to inform new strategies that protect public health and the environment from PFAS exposure and adverse outcomes. The research will also support states and municipalities in developing PFAS standards and policies that address water quality and availability challenges.
The research will build on the current understanding of fate and transport characteristics and behavior, exposure profiles, and toxicological effects of PFAS chemicals, such as perfluorooctane sulfonate (PFOS) and perfluorooctanoic acid (PFOA). It should also provide information on other PFAS including but not limited to: perfluoroalkyl acids (PFAAs); per- and poly-fluorinated carboxylic acids, sulfonic acids, and ethers; per- and poly-fluoropolyethers (PFPE); and PFAS precursors, byproducts and transformation products.
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 website.
EPA recognizes that it is important to engage all available minds to address the environmental challenges the nation faces. At the same time, EPA seeks to expand the environmental conversation by including members of communities which may have not previously participated in such dialogues to participate in EPA programs. For this reason, EPA strongly encourages all eligible applicants identified in Section III, including minority serving institutions (MSIs), to apply under this opportunity.
For purposes of this solicitation, the following are considered MSIs:
- Historically Black Colleges and Universities, as defined by the Higher Education Act (20 U.S.C. § 1061). A list of these schools can be found at White House Initiative on Historically Black Colleges and Universities;
- Tribal Colleges and Universities, as defined by the Higher Education Act (20 U.S.C. § 1059(c)). A list of these schools can be found at American Indian Tribally Controlled Colleges and Universities;
- Hispanic-Serving Institutions (HSIs), as defined by the Higher Education Act (20 U.S.C. § 1101a(a)(5)). There is no list of HSIs. HSIs are institutions of higher education that, at the time of application submittal, have an enrollment of undergraduate full-time equivalent students that is at least 25% Hispanic students at the end of the award year immediately preceding the date of application for this grant; and
- Asian American and Native American Pacific Islander-Serving Institutions; (AANAPISIs), as defined by the Higher Education Act (20 U.S.C. § 1059g(a)(2)). There is no list of AANAPISIs. AANAPISIs are institutions of higher education that, at the time of application submittal, have an enrollment of undergraduate students that is not less than 10 % students who are Asian American or Native American Pacific Islander.
B. Background
PFAS are a large group of approximately 5,000 human-derived chemicals that are used in a large number of consumer products and industrial applications (1, 2). Major uses that contribute to environmental releases include fire training and fire response; industrial production from primary and secondary manufacturing; landfills; and wastewater treatment operations (3, 4). Once present in the environment, PFAS are transported via water and air. Soil may be contaminated from air and water, or from the application of commercial or industrial products, biosolids, and sludges (5). Humans are exposed to PFAS in a variety of ways, including consumption of drinking water and food, contact with commercial products (e.g., food-packaging materials, water and stain repellents, treated fabrics), inhalation of residues in household dust and indoor air, and for some, through occupational exposure (6). Due to the ubiquitous nature of PFAS chemicals, the vast majority of the global population has been exposed to PFAS, as demonstrated by numerous reports of PFAS detected in human blood samples (7, 8). Yet, of the entire group of PFAS chemicals, relatively few have been studied for their chemical properties, occurrence or health impacts. Very limited information is available for the majority of these chemicals regarding environmental fate and transport, human and ecological exposure, human health risks, and persistent, bioaccumulative and toxic (PBT) potential.
The understanding of adverse toxicological impacts from some PFAS is greater than for others. For example, such information on PFOA and PFOS has resulted in decreased use of long-chain PFAS (see Table 1 for EPA PFAS activities). This is largely the result of their bioaccumulation and persistence in the human body. PFOA and PFOS are also highly stable in the environment, and not degraded by hydrolysis, photolysis, biologically-catalyzed reactions or other degradation processes (9). Thus, these chemicals are persistent, and have been observed globally in environmental media, including surface water, groundwater, drinking water, wastewater, landfill leachates, soils, and biota. PFOA and PFOS are also not subject to biochemical metabolism, and their rate of elimination is exceedingly slow. Human and animal exposures have been associated with developmental growth deficits, altered serum cholesterol, endocrine disruption, immune suppression, liver damage and possibly cancer (10).
The following groups of PFAS would especially benefit from additional research:
- Short-chain PFAS (C4 to C7)
- PFAS found as residuals from manufacturing processes
- Alternatives for long-chain PFAS (≥ C8) such as per- and poly-fluoroethers
- PFAS generated through environmental chemical transformation
Table 1. EPA PFAS activities since 2000 (https://www.epa.gov/pfas)
2000-2002 | EPA initiates voluntary phase-out of PFOS and related compounds. EPA publishes Significant New Use Rules (SNUR) on PFOS and related compounds. |
| 2006 | EPA launches 2010/2015 PFOA Stewardship Program with eight companies to reduce PFAS emissions and product content by 95% by 2010 and 100% by 2015. |
| 2009 | EPA publishes Method 537 for measuring PFOA, PFOS and 12 other PFAS in drinking water. |
| 2013-2015 | Drinking water systems are required to monitor six PFAS under the Third Unregulated Contaminant Monitoring Rule (UCMR3). |
| 2016 | EPA publishes non-regulatory, non-enforceable Lifetime Drinking Water Health Advisory levels of 70 µg/L for PFOA and PFOS, either individually or combined. |
| 2016 | EPA publishes the Contaminant Candidate List 4 (CCL4) of unregulated contaminants known or anticipated to occur in public water systems which may require regulation under the Safe Drinking Water Act, including PFOA and PFOS. |
To better understand the persistent water quality and availability challenges of PFAS, EPA is issuing this RFA to spur interdisciplinary research that generates new information for assessing PFAS fate and transport, exposure, and toxicity. The goals of the RFA align with the FY 2018-2022 EPA Strategic Plan, Goal 1 – Core Mission, Objective 1.2 – Provide for Clean and Safe Water. The proposed research will provide the best available science needed to broadly address PFAS nationwide. The research will also improve the scientific foundation for environmental policy and decision-making related to PFAS, and will ultimately reduce risks to human health and the environment from PFAS.
C. Authority and Regulations
The authority for this RFA and resulting awards is contained in the Safe Drinking Water Act, 42 U.S.C. 300j-1, Section 1442, the Clean Water Act, 33 U.S.C. 1254, Section 104(b)(3), and the Consolidated Appropriations Act, 2018, P.L. 115-141.
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. Further note applications dealing with any aspect of or related to hydraulic fracking will not be funded by EPA through this program.
Additional 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.
The activities to be funded under this announcement support EPA’s FY 2018-22 Strategic Plan. Activities to be funded under this announcement support Goal 1: Core Mission, Objective 1.2: Provide for Clean and Safe Water, of EPA’s FY 2018-22 Strategic Plan.
- Safe and sustainable water resources
The proposed research supports strategies for evaluating PFAS, an emerging and complex water resource challenge of the 21st Century. Through the development of new information on the fate and transport, exposure, and toxicity of PFAS, researchers will provide information to enable states, tribes, and local communities to assess, manage, and communicate the risk from PFAS contamination, in support of safe and clean drinking water nationwide. All applications must be for projects that support the goals and objectives identified above.
EPA requires that grant applicants adequately describe environmental outputs and outcomes to be achieved under assistance agreements (see EPA Order 5700.7A1, Environmental Results under Assistance Agreements. Applicants must include specific statements describing the environmental results of the proposed project in terms of well-defined outputs and, to the maximum extent practicable, well-defined outcomes that will demonstrate how the project will contribute to the priorities described above.
The Agency is soliciting research that will advance current knowledge of PFAS fate and transport, human and ecological exposure, and toxicity. Proposed approaches, tools, and data should contribute to enabling states, tribes, and local communities to make informed decisions about the assessment, management, and communication of risk from PFAS contamination in water. Note that the research should be nationally applicable, providing information relevant to stakeholders across the country. The research should also focus on water quality (by evaluating the impact of PFAS in drinking water, surface water, and groundwater) and water quantity (to the extent that improving water quality increases the amount of safe drinking water available to the public). Applicants should address at least one of the three research areas described below and be national in scope. Applications may respond to one research area in detail or integrate across two or three research areas. Applications should clearly indicate which research area(s) the application is addressing. Proposals that address more than one research area will not necessarily be rated more highly than those that address just one of the areas.
1. PFAS fate and transport
Develop fate and transport information for evaluating water quality and availability effects of short and long-chain PFAS (including PFOA/PFOS alternatives, precursors, residuals, and transformation products) that are present in the environment. Proposals may include:
- PFAS and co-contaminants introduced from source areas;
- movement in the environment (e.g., advection, dispersion, diffusion, sorption, leaching, partitioning to non-aqueous phase liquids, volatilizing, deposition, and other surface interactions);
- transport properties such as solubility and vapor pressure; and
- transformations and degradations, including polymers and oligomers, occurring in the environment such as through chemical or biological processes.
This information should be placed in the context of estimating concentrations in surface water, groundwater, and soil (including soils amended with biosolids, sludges, or influenced by leachates). By advancing fate and transport information and properties, the research will inform risk assessment applicable in communities throughout the U.S.
2. PFAS human and ecological exposure
Develop data on the processes and pathways leading to human and ecological exposure to PFAS for evaluating water quality and availability impacts throughout the U.S. This effort should include total or cumulative exposures to PFAS chemicals across chemical classes and structures.
- Proposals may include:
- Occurrence, identity, sources, and concentrations of PFAS and PFAS precursors in surface and groundwater nationwide;
- Information on the behavior of PFAS chemicals during wastewater reuse, treatment and disposal;
- Human activity patterns which contribute to or control water exposure;
- Relative source contribution of PFAS exposure to humans and ecosystems via different pathways (food, drinking water, household contact, etc.); and
- Behavior of chemical mixtures as well as individual chemicals leading to exposure.
This information should be developed to better understand human and ecological exposures to PFAS chemicals and precursors, to better inform risk assessment and risk mitigation approaches by communities throughout the U.S.
3. PFAS toxicity
Develop PFAS toxicity data for evaluating the water quality and availability impacts of the range of short and long-chain PFAS (including PFOA/PFOS alternatives, precursors, residuals, and transformation products) throughout communities in the U.S. Proposals may:
- Expand current understanding of the adverse health and aquatic and terrestrial ecological effects produced by PFAS. This may include a more in-depth description of the known toxicological profiles of PFAS (hepatotoxicity, developmental toxicity, immunotoxicity, neurotoxicity, tumor induction and endocrine disruption), but discovery of novel toxicities from exposure to PFAS (particularly new chemicals and across a range of doses and assessment endpoints) is a higher priority. In addition, proposed toxicokinetic research to characterize the absorption, distribution, metabolism, and excretion (ADME) properties of the entire class of chemicals (such as physiologically based pharmacokinetic [PBPK] and ecological models) may be considered;
- Explore the cellular and molecular mechanisms of PFAS toxicity (such as activation of nuclear receptors for metabolic sensing) to provide broad coverage for legacy and new PFAS that will facilitate extrapolation of laboratory in vitro and in vivo data for human health and ecological risk assessments, as well as design of screening and predictive tools for computational modeling of PFAS toxicity;
- Design and conduct biomonitoring or epidemiological studies to improve linkage of toxicological findings derived from laboratory models to real-world exposure in humans and wildlife; and
- Develop and test practical methods for assessing risk from exposure to complex mixtures of PFAS in the environment. This may include known concepts such as relative potency and toxic equivalency factors but novel approaches which address potential interactions within PFAS mixtures is a higher priority.
This information should be developed to better understand human and ecological effects resulting from exposure to PFAS chemicals and precursors, to better inform risk assessment and risk mitigation approaches by communities throughout the U.S.
Proposals which are not national in scope may not be rated as highly under the evaluation process described in Section V.
Outputs expected from the research funded under this RFA include peer-reviewed publications, presentations, guidance documents, models, demonstrations, and case studies that help communities, municipalities, states, regions, and the public understand and respond to the risks associated with PFAS in water. Outcomes expected from the research funded under this RFA include better planning and decision-making to prevent future PFAS exposures and adverse health effects and a greater awareness of how to restore water quality and availability in PFAS-contaminated areas.
- OECD. OECD/UNEP Global PFC Group, Synthesis Paper on Per- and Polyfluorinated Chemicals (PFCs), Environment, Health and Safety, Environment Directorate, OECD, 2013.
- Buck, R.C., Franklin, J., Berger, U., Conder, J.M., Cousins, I.T., de Voogt, P., Jensen, A.A., Kannan, K., Mabury, S.A., and S.P.J. van Leeuwen. Pefluoroalkyl and Polyfluoroalkyl Substances in the Environment: Terminology, Classification, and Origins, Integr. Environ. Assess. Manag.,7(4), 513-541, 2011.
- Backe, W.J., Day, T.C., and J. A. Field. Zwitterionic, Cationic, and Anionic Fluorinated Chemicals in Aqueous Film Forming Foam Formulations and Groundwater from U.S. Military Bases by Nonaqueous Large-Volume Injection HPLC-MS/MS, Environ. Sci. Technol., 47, 5226-5234, 2013.
- Hu, X.C., Andrews, D.Q., Lindstrom, A.B., Bruton, T.A., Schaider, L.A., Grandjean, P., Lohmann, R., Carignan, C.C., Blum, A., Balan, S.A., Higgins, C.P., and E.M. Sunderland. Detection of Poly- and Perfluoroalkyl Substances (PFASs) in U.S. Drinking Water Linked to Industrial Sites, Military Fire Training Areas, and Wastewater Treatment Plants. Environ. Sci. Technol. Lett., 3, 344-350, 2016.
- ITRC. Environmental Fate and Transport for Per- and Polyfluoroalkyl Substances (PFAS) Fact Sheet. Interstate Technology & Regulatory Council, Washington, DC, Scheduled for release February, 2018.
- Vestergren, R. and Cousins, I.T. Tracking the Pathways of Human Exposure to Perfluorocarboxylates. Environ. Sci. Technol., 43, 5565–5575, 2009.
- Calafat, A.M.; Wong, L.-Y., Kuklenyik, Z., Reidy, J.A., and L.L. Needham. Polyfluoroalkyl Chemicals in the U.S. Population: Data from the National Health and Nutrition Examination Survey (NHANES) 2003-2004 and Comparisons with NHANES 1999-2000. Environ. Health Perspect., 115, 1596–1602, 2007.
- CDC. Fourth National Report on Human Exposure to Environmental Chemicals. Centers for Disease Control and Prevention, Atlanta, GA, 2015.
- Lindstrom, A.B., Strynar, M.J., and E.L. Libelo. Polyfluorinated Compounds: Past, Present, and Future. Environ. Sci. Technol., 45 (19), 7954–7961, 2011.
- ATSDR. Draft Toxicological Profile for Perfluoroalkyls. Agency for Toxic Substances and Disease Registry. August, 2015.
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 (RBM Toolkit - Research Business Models Working Group).
This solicitation provides the opportunity for the submission of applications for projects that may involve human subjects research. All applications must include a Human Subjects Research Statement (HSRS; described in Section IV.C.5.c of this solicitation). If the project involves human subjects research, it will be subject to an additional level of review prior to funding decisions being made as described in Sections V.D and V.E of this solicitation.
Groups of two or more eligible applicants may choose to form a consortium and submit a single application for this assistance agreement. The application must identify which organization will be the recipient of the assistance agreement and which organizations(s) will be subawardees of the recipient.
The application should include a plan (see “Data Plan” in section IV.C.5.d) to make available to the NCER project officer all data generated (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 $3,968,800 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 $1,984,400 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 $496,100 (assuming the applicant requests $1,984,400 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 intends to award only grants under this announcement.
Under a grant, EPA scientists and engineers are not permitted to be substantially involved in the execution of the research. However, EPA encourages interaction between its own laboratory scientists and grant Principal Investigators after the award of an EPA grant for the sole purpose of exchanging information in research areas of common interest that may add value to their respective research activities. This interaction must be incidental to achieving the goals of the research under a grant. Interaction that is “incidental” does not involve resource commitments.
This solicitation is available to public and private nonprofit institutions and public and private universities and colleges located in the United States. Foreign entities, 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.
Non-profit organization, as defined by 2 CFR Part 200, means any corporation, trust, association, cooperative or other organization that: (1) is operated primarily for scientific, educational, service, charitable or similar purposes in the public interest; (2) is not organized primarily for profit; and (3) uses its net proceeds to maintain, improve and/or expand its operations. While not considered to be a “non-profit organization(s)” as defined by 2 CFR Part 200, Institutions of Higher Education are, nevertheless, eligible to submit applications under this RFA. Hospitals that meet the definition of nonprofit at 2 CFR 200.70 are also eligible to apply. For-profit colleges, universities, trade schools, and hospitals are ineligible. 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 cost share/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.
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.
Also, applications exceeding the funding limits or project period term described herein will be rejected without review. Applications which do not provide the required non-federal cost share/match will be deemed ineligible. 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 Jessica Durand
USEPA Headquarters
William Jefferson Clinton Building
1200 Pennsylvania Ave., N. W.
Mail Code: 3903R
Washington, DC 20460
Courier Address:
OGD Waivers
c/o Jessica Durand
Ronald Reagan Building
1300 Pennsylvania Ave., N.W.
Rm # 51278
Washington, DC 20004
In the request, the applicant must include the following information:
Funding Opportunity Number (FON)
Organization Name and Unique Entity Identifier (e.g., 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, 2017, it is valid for any competitive or non-competitive application submission to EPA through December 31, 2017). 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, 2017 with a submission deadline of January 15, 2018, the applicant would need a new exception to submit through alternative methods beginning January 1, 2018.
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 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 (e.g., ‘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 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 at How to Apply and Required Forms). 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 EPA’s Research Grants website.
The abstract should include the information described below (a-h). Examples of abstracts for current grants may be found on EPA’s Research Grants website.
- 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 website 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. Indicate 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: 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, how it supports the Agency’s research priorities, 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.
- 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 remain within the 15-page limit.
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Quality Assurance Statement (3 pages)
For projects involving environmental data collection or processing, conducting surveys, modeling, method development, or the development of environmental technology (whether hardware-based or via new techniques), provide a Quality Assurance Statement (QAS) regarding the plans for processes that will be used to ensure that the products of the research satisfy the intended project objectives. Follow the guidelines provided below to ensure that the QAS describes a system that complies with ANSI/ASQC E4, Specificati
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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.