Title : Environmentally Benign Chemical Synthesis and Processing Research on Pollution Prevention at its Source A University-Industry Cooperative Program Type : Program Guideline NSF Org: MPS / CHE Date : March 1, 1992 File : nsf9213 ****************************************************************************** This File has been updated 10/31/96 to reflect the proper address of the: National Science Foundation 4201 Wilson Boulevard Arlington, VA 22230 For more information call: (703)306-1234 ****************************************************************************** Environmentally Benign Chemical Synthesis and Processing Research on Pollution Prevention at its Source A University-Industry Cooperative Program Sponsored by the National Science Foundation Division of Chemical and Thermal Systems Division of Chemistry With participation by the chemical and allied industries represented by the Council for Chemical Research Environmentally Benign Chemical Synthesis and Processing Joint Program Announcement of the National Science Foundation and the Council for Chemical Research, Inc. This Announcement describes a joint initiative of the National Science Foundation (NSF) and the Council for Chemical Research, Inc. (CCR) to support fundamental research directed toward Environmentally Benign Chemical Synthesis and Processing. The Program will support pre-competitive research projects in chemical engineering and chemistry aimed at reducing pollution at its source. Active participation by scientists and engineers in the chemical, pharmaceutical, agrichemical, electronics, and energy industries dependent on chemistry-based manufacturing is required. Introduction and Rationale The Toxic Release Inventory, first required by the Environmental Protection Agency in 1987, has made the public acutely aware of the billions of pounds of chemicals released into the environment each year as a byproduct of manufacturing processes carried out by the Nation's chemical and chemistry- dependent industries. Although the U.S. position in the world economy is enhanced enormously by the positive trade balance enjoyed by the chemical and allied industries, chemicals that go up the stacks and down the drains are both a serious detriment to the environment and a waste of valuable natural resources. Current recognition that economic competitiveness and environmental protection are mutually improved by waste reduction has precipitated major efforts to improve the chemical syntheses and processing methods employed by U.S. industries. While zero discharge and zero waste are unattainable in practice, byproduct production and pollution at the manufacturing source can nonetheless be minimized; much basic research is yet needed to accomplish this. This joint initiative, sponsored by the National Science Foundation, and enlisting the participation of industries represented by the Council for Chemical Research, joins university and industrial researchers in designing environmentally benign synthesis and processing methodologies which will undergird the clean, efficient, and profitable industries of tomorrow in the production of chemicals, pharmaceuticals, plastics and fibers, electronics, agriculture, and energy. The National Science Foundation, through its Divisions of Chemistry and Chemical and Thermal Systems, anticipates providing approximately $2,000,000 per year in awards under this initiative, with a prospect of possible future growth. Grants will be to university-based engineers and scientists, working individually or in small groups, on projects which will advance the concepts and technologies of environmentally benign synthesis and processing. As detailed below, projects to be considered under this rubric must have intellectual participation by an industrial research partner. Financial contribution to the research by the industrial partner is not required, but it is viewed as highly desirable and it is likely to be a natural outcome in the most effective academic-industrial partnerships. The Council for Chemical Research has agreed to act as a broker in this research program, to assist university researchers in developing the necessary liaisons with appropriate industrial counterparts. Because industry representatives to the CCR are typically at the Research Director level, university-based engineers and scientists will enjoy access to industrial research partners and problems at the highest levels. Research Scope The focus of this initiative is fundamental research in engineering and chemistry that will lead to the discovery and development of advanced, environmentally benign methods for chemical synthesis and processing in industry. Much beneficial waste reduction and reduced emissions can result directly from good economics and good housekeeping -- as in controlling fugitive emissions by proper attention to tanks, valves, vents, and the like. Little or no fundamental research is necessary to speed these improvements. Similarly, research areas such as remediation, tracking, and monitoring the fate of chemicals in the biosphere -- though important -- are already supported through other U.S. government programs. This joint initiative of the NSF and CCR is intended to finance long-range research supporting new synthetic methodologies, novel process designs and process improvements that reduce the potential for environmental release in the first place. Projects are sought which can lead to feedstock substitutions, alternative synthetic and separation procedures, more specific and efficient catalysts, product reformulations, and process modifications which would minimize byproduct formation and reduce waste production at the source. Industrial participation in the design and evaluation of such research will ensure the viability of proposed projects in real-world manufacturing situations. Increased energy efficiency correlates well with reduced environmental emissions, so research in support of enhanced energy efficiency is also appropriate. The most significant problems and creative solutions will be identified by academic and industrial investigators, working together on challenges posed by real problems in chemical manufacturing. Projects must show appropriateness to current national concerns for pollution reduction or prevention; vague arguments that the proposed research may eventually reduce pollution are not compelling. Nevertheless, proposed research must be fundamental in nature. Some appropriate problems and areas of research are illustrated by the following examples, though eligible projects are by no means restricted to these cases. New chemistries and methodologies for on-demand, on-site production and consumption of toxic intermediates for use in manufacturing. New, more highly selective catalysts to increase product yield and reduce byproduct formation in chemical manufacturing. Low-energy separation technologies for feedstock purification and recycling. Improved membranes and membrane/molecular sieve technologies that integrate transport and reaction to enhance specificity. Alternative chemical syntheses that bypass toxic feedstocks and solvents such as chloro- and nitrocarbons. New processing methods that eliminate production of hard-to-entrap micron- sized aerosols. Alternative chemical syntheses that eliminate or combine process steps, resulting in a net reduction of pollutants. Design of novel low-temperature or other energy-efficient methods for chemical synthesis and processing. This initiative particularly seeks innovative and high risk/high payoff ideas. It does not invite studies of "the problem", but rather specific approaches to possible solutions. Although the focus is on experimental problems, appropriate theoretical and modelling studies relevant to improvements in the environmental compatibility and efficiency of chemical manufacturing and processing are also eligible. Since the preparation of competitive research proposals is very time consuming, it is also well to present a few examples of what this initiative is not: Not pollution control; Not research on processes to remove pollutants from waste streams; Not membrane separations unless the membrane is in the process to improve selectivity or process efficiency; Not catalysis for reaction rate enhancement alone. In short, this initiative addresses concerns in pollution prevention and reduction, not concerns in waste treatment. Collaborations Truly innovative ideas seem to arise more frequently at interfaces where investigators of different backgrounds and perspectives interact. To stimulate the breakthroughs that cross-fertilization can produce, collaborations between chemical engineers and chemists or between engineers/chemists and industrial colleagues, microbiologists, environmental scientists, and other researchers with complementary expertise are strongly encouraged. To ensure that the proposed project is relevant and appropriate to significant manufacturing and environmental problems, proposals must document the extent of intellectual participation of an industrial partner. Financial participation and other services in kind by the industrial partner are strongly encouraged, but are not required. Many university-based researchers will already have established industrial contacts and previous interactions which lead naturally to proposals under this initiative. Academic chemists and engineers needing assistance in forming university-industry connections for this Program are invited to seek assistance through the CCR (see below). Proposal Format and Eligibility Stipulations Proposals should be prepared according to instructions in Grants for Research and Education in Science and Engineering ("GRESE," NSF Publication 90-77, rev. August, 1990). Applicants are strongly advised to be sure they are using the most current version of GRESE, which is revised periodically. The cover page of the proposal should indicate in the upper left hand corner the appropriate NSF Division for review of the proposal: Chemistry (CHE), or Chemical and Thermal Systems (CTS), or both jointly (CHE/CTS). The upper right hand corner of the cover page should indicate that the proposal is being submitted for consideration under the Environmentally Benign Chemical Synthesis and Processing Initiative (NSF 92-13). The proposal must be signed by the principal investigator(s) and the authorized institutional official(s). Letters of commitment from cooperating industrial and academic organizations, whether or not they would receive funds from an NSF award, must be included in an appendix. Both individuals and research groups at academic research institutions in the United States are invited to submit proposals. In either case, a proposal should present an integrated research plan with clearly defined objectives. The expected roles, biographical background and proposed contributions of all participants, academic and industrial, must be described. Proposals requesting general support for a program or laboratory are not appropriate to this Program. Though proposals are required to document industrial participation, the academic submitter must assume primary responsibility for management of the research and administration of any award funds. Funds from NSF provided under this Program are not intended to support the routine research activities of an industrial research laboratory. Note also the comments under Publication and Patent Policy below. Every proposal must also contain, within the usual NSF 15-page limit, a one- to two-page "environmental impact statement" which describes how the proposed research is expected to contribute to the programmatic goal of reducing pollution at the source. It is expected that awards made in this Program will be for periods of two to three years. Separate budgets for each year of the proposed activity must be provided. Industrial contributions, whether by direct funding or by services in kind, should be specified. Evaluation of Proposals As outlined in GRESE, all NSF proposals are reviewed for merit according to four selection criteria: (1) research performance competence; (2) intrinsic merit of the research; (3) utility or relevance of the research; and (4) effect of the research on the infrastructure of science and engineering. Reviewers will be asked to pay particular attention to the third evaluation criterion, as this Program stresses the application of fundamental research to real-world problems that demand solution. Hence, the "environmental impact statement" must make a clear connection between the proposed research and the applicability to synthesis or process modifications that reduce emissions to the environment. Contributions of the research to the education of future chemists and chemical engineers with improved expertise in the environmental issues of chemical process and product design are also important. Mail review, review panels, or a combination of the two may be used to assist in the evaluation of proposals. Merit review will include evaluation by both academic and industrial experts. By submitting a proposal to this initiative, the proposer grants NSF permission to share the proposal with such referees. Persons contemplating proposals who wish to maintain confidentiality of proprietary information should discuss these concerns in advance with the appropriate NSF program officer (see below). Deadline Dates In the Division of Chemical and Thermal Systems, the deadline for receipt of proposals under this Initiative is April 30 annually. CTS also requires a tentative cover page and one-page summary by April 10, to expedite proposal handling. In the Division of Chemistry there will be no deadlines; proposals for Environmentally Benign Chemical Synthesis and Processing will be accepted in all Chemistry subdisciplinary programs at any time. However, researchers should be aware that full merit review of proposals typically requires about six months, so that proposals received after March 1 usually cannot be funded within the current fiscal year. All proposals (10 copies) should be addressed to: National Science Foundation Data Support Services Section, Room 223 Attn: Environmentally Benign Chemical Synthesis and Processing (NSF 92-13) 1800 G Street, N.W. Washington, D.C. 20550 Remember that the cover page should specify the appropriate receiving division, CTS or CHE. Inquiries and Additional Information Inquiries concerning this Announcement may be directed to: in the Division of Chemical and Thermal Systems: Dr. Henry A. McGee, Jr. Division Director (202) 357-9606 voice telephone (202) 357-5184 FAX, preferred in the Division of Chemistry: Dr. Margaret A. Cavanaugh Program Director, Inorganic Chemistry (202) 357-7499 voice telephone (202) 357-1067 FAX at the Council for Chemical Research: Dr. Frederick C. Leavitt Executive Director 1620 L Street, N.W., Suite 825 Washington, D.C. 20036 (202) 429-3971 Copies of all relevant NSF publications, including GRESE (NSF 90-77), Grant Opportunities for Chemists (NSF 90-142), and this Announcement (NSF 92-13) are available at no cost from: National Science Foundation Forms and Publications, Room 232 1800 G Street, N.W. Washington, D.C. 20550 If you are a user of electronic mail and have access to either BITNET or Internet, you may order publications electronically. BITNET users should address requests to pubs@nsf; Internet users should send requests to pubs@nsf.gov. In your request, include the NSF publication number and title, number of copies, your name, and a complete mailing address. Publications will be mailed within two days of receipt of request. Copies of the text of most program announcements and other key NSF publications are also available electronically. You can get information fast through STIS (Science and Technology Information System), NSF's online publishing system, described in NSF 91-10 (rev. 10/4/91), the "STIS flyer." To get a paper copy of the flyer, call the NSF Publications Section at 202- 357-7861. For an electronic copy, send an E-mail message to stisfly@nsf.gov (Internet) or stisfly@nsf (BITNET). Grant General Conditions NSF Grants are administered in accord with either the NSF Grant General Conditions (GC-1) or the Federal Demonstration Project General Terms and Conditions (FDP-II), depending on the awardee institution. Copies of these documents may be requested at no cost from the Forms and Publications Unit (address above). More comprehensive information is contained in the NSF Grant Policy Manual (NSF 88-47), available through a subscription from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402. The National Science Foundation provides awards for research in the sciences and engineering. The awardee is wholly responsible for the conduct of such research and preparation of the results for publication. The Foundation, therefore, does not assume responsibility for such findings or their interpretation. The Foundation welcomes proposals on behalf of all qualified scientists and engineers, and strongly encourages women, minorities, and persons with disabilities to compete fully in any of the research and research-related programs described in this document. In accordance with Federal statutes and regulations and NSF policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, denied the benefits of, or be subject to discrimination under, any program or activity receiving financial assistance from the National Science Foundation. Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to work on an NSF project. See the Program Announcement, or contact the program coordinator in the Directorate for Education and Human Resources (202-357-7456). The Foundation has a TDD (Telephonic Device for the Deaf) capability at (202) 357-7492. Catalog of Federal Domestic Assistance Numbers 47.041; 47.049. Publication and Patent Policy Research projects under this Initiative are pre-competitive and, consistent with preserving patent opportunities, timely publication of results is expected. Patent rights to inventions under NSF-sponsored projects are governed by NSF policy, as expressed in Section 650 of Title 45 of the Code of Federal Regulations and in accordance with Public Law 96-517 (the Bayh- Dole Act). Small-business firms and nonprofit organizations, including universities, usually receive patent rights to any inventions they make during Federally supported research. Universities and industrial organizations that propose to collaborate on a project under this Announcement should reach their agreement as to the disposition of patent rights from the project before submitting the proposal to NSF. ACKNOWLEDGEMENT: Cover illustration copyright Exxon Chemical Company, a division of Exxon Corporation 1991, reprinted by permission. From a paper on "Economics of Environmental Control" by Richard P. Herbst.