Frequently Asked Questions for Investigators

General Questions (8)

General Questions

Who is eligible to apply for funding?

Researchers with advanced degrees (PhD, MD, or equivalent) who are affiliated with an established research organization can apply for funding. We welcome applications from researchers in the United States and elsewhere, as long as the proposed research targets HEI Energy's objectives in the Requests for Applications (RFAs).

Where do I send my application?

Email your application as a pdf to HEI Energy at energyfunding@healtheffects.org. The file size limit is 20 MB. If your file is larger, please reduce the file size or split into multiple files, with none exceeding the size limit of 20 MB, and send as attachments to separate emails. 

May I submit more than one preliminary application per RFA? May I apply to more than one RFA?

HEI Energy does not recommend sending more than one application, as the PI or co-PI, per RFA by the same scientist. However, being part of another application as a collaborator is acceptable, as is applying to more than one RFA at the same time.

What is the review process for applications?

Preliminary applications are reviewed by the Energy Research Committee, and selected applicants will be invited to submit a full application. Full invited applications are discussed first by an RFA review panel with appropriate expertise and subsequently by the Energy Research Committee, which makes the final funding recommendations to the HEI Energy Board.

How does HEI Energy handle conflicts of interest during the application process?

HEI-Energy guards against conflicts of interest with strict procedures that are modeled after those used by federal agencies such as the NIH. Please refer to the HEI Energy Conflict of Interest policy for more information.

What is the role of the Energy Research Committee?

The Energy Research Committee is an independent group of experts that develops and oversees the Energy Research Program. Working with HEI Energy staff, this Committee prepares Requests for Applications, reviews research applications, and recommends studies for funding to HEI’s Energy Board of Directors. Once a study has been funded, the Energy Research Committee provides technical oversight in the form of feedback on progress reports, interaction with investigators during webinars and site visits, and approval of contract renewals and amendments, and addresses any other challenges that may arise. The Committee and HEI Energy staff also work with investigators to coordinate stakeholder workshops in study locations.

What is the role of the Energy Review Committee?

The Energy Review Committee (to be formed after initiation of research funded by HEI Energy), which has no role in the review of applications or in the oversight of studies, provides an independent evaluation of the results of HEI Energy-funded studies. Research results are presented in the Final Investigators’ Report – a comprehensive final report that describes the study, its findings, and the investigators’ conclusions.  The Review Committee evaluates the Final Investigators’ Report by an unusually rigorous process that goes well beyond that generally used by journals. In addition, the Committee prepares a formal Commentary that is released along with the Final Investigators’ Report.

What is the purpose of HEI Energy workshops?

HEI Energy organizes webinars, workshops, and other forums to present research among all the investigators funded by HEI-Energy or to a broader audience of interested stakeholders, including HEI Energy sponsors, the Energy Research Committee, community members, policy-makers, members of the scientific community, and the general public.

HEI Energy also organizes workshops for investigators working under the same RFA to understand each other’s research better and to explore opportunities for coordination of studies and possible collaboration. Research Committee members and expert consultants also participate in these meetings.

Preliminary applications (5)

Preliminary applications

What are preliminary applications?

Preliminary applications are a mechanism for HEI Energy to preselect proposals when a large volume of proposals is expected. Investigators are asked to describe their research idea briefly (4 pages) and provide information on the feasibility of the research, experience of the research team, and an estimated budget.

How are preliminary applications evaluated?

The Energy Research Committee will assess all preliminary applications and invite a subset of applicants to submit a full application.

Does HEI Energy provide feedback?

After review, HEI Energy will request full applications from the most promising preliminary applications. HEI Energy may provide feedback to those who are invited to submit full applications but generally not to other applicants.

May I apply if my preliminary application was not selected?

No, HEI Energy accepts full applications by invitation only.

May I appeal the Committee's Decision?

No, the Committee's decisions are final.

For investigators currently funded by HEI Energy

Contracts and study oversight (7)

Contracts and study oversight

What is the difference between an HEI Energy contract and an NIH grant?

HEI Energy uses contracts rather than grants to make sure that the research does not substantially differ from what was originally proposed, as opposed to grants that are generally more open-ended. Researchers are held accountable for the work they proposed to do, and that HEI Energy has agreed to fund, within the stated timeframe and budget.  Any deviations from the original proposal – for example, to overcome any unanticipated challenges or opportunities – must be discussed with and approved by the Energy Research Committee. Any requests for changes to the research must be submitted in writing and, once approved, will be processed as contract amendments. Contracts are for one year and are subject to renewal annually.

What is the contract negotiation process?

Where necessary, the Energy Research Committee may recommend changes to the original proposal. HEI Energy staff will inform the investigator of the Committee’s recommendations and ask the investigator to modify the original proposal, budget, or both. All modifications will be reviewed by the Committee.  After approval of the proposal by the Board of Directors, HEI Energy initiates contract negotiation with the contract office of the investigator’s institution. During this process, HEI Energy staff will communicate with the investigator about additional necessary documentation, such as the Statement of Work. The Statement of Work provides a framework for the work to be performed in a given contract year, turning the broad goals described in a research proposal into actual tasks and deliverables. The Statement is part of the final, signed contract between the investigator’s institution and HEI Energy.

Once my application has been approved for funding, when may my study start?

Research may begin only on the effective date of the contract negotiated between the investigator’s institution and HEI Energy, and after all necessary documents have been submitted to HEI by the investigator, and any necessary approvals obtained.

Which studies require IRB approval? What if my study is exempt?

Investigators proposing studies that involve human subjects or data are required to obtain approval from their Institutional Review Board (IRB), or equivalent entity. Details are provided in the HEI Energy Quality Assurance and Quality Control Management Guidelines. Even if a study is considered exempt by the institution’s IRB, documentation submitted to the IRB and its determination of exemption should be provided to HEI Energy.  Because HEI Energy-sponsored research is partially funded with support from EPA, HEI Energy is required to submit the IRB documents to the EPA for review and approval.

What are the Quality Assurance / Quality Control (QA/QC) procedures?

All investigators should adhere to Quality Assurance / Quality Control (QA/QC) standards and guidelines applicable to their field of research and according to HEI Energy guidelines. The goal is to ensure that all studies produce reliable, meaningful and traceable data. Each investigator is required to submit a QA/QC plan to HEI Energy in accordance with U.S. EPA guidelines for use of existing data and collection of new data before the commencement of research. Final plans are due to HEI Energy two months after the effective date on the contract.

What is the Quality Assurance audit?

HEI Energy reserves the right to organize QA/QC audits, conducted by a third party, independent auditor. Details are provided in the Investigators Commitments document.

What if I need more time, or need to make other changes in the study?

If the originally proposed research does not progress as intended for unforeseen technical or other valid reasons, or if an alteration in the proposed plan is needed with the agreement and approval of the Energy Research Committee, a change, of course, may be negotiated with appropriate adjustments to the budget and time frame for the study in writing. HEI Energy will then process a contract amendment that documents the proposed changes.

Progress reports and site visits (3)

Progress reports and site visits

What is the purpose of progress reports and when are they due?

Progress reports are due bi-annually at predefined intervals after study initiation, except during the final year when a comprehensive final report is due instead of the last progress report. The Energy Research Committee will review the progress report and provide feedback. Investigators will address such comments in a response letter or in the next progress report. The first progress reports of the year are used to check on general progress and provide an opportunity for timely feedback from the Energy Research Committee. The second progress reports of the year also provide an opportunity for feedback from the Energy Research Committee and form the basis for contract renewal for the following year. The second bi-annual report/renewal application provides information on progress in meeting the goals for that year, including the results. It also presents a plan and detailed budget for the subsequent year, with an updated Statement of Work.

Is there a specific format for the progress reports? Where do I send the report?

About one month before the report is due, HEI Energy will send a reminder along with the report template, which should be completed and sent to energy@healtheffects.org. Please copy the HEI-Energy staff scientist assigned to your study on this email.

What is the purpose of site visits?

HEI Energy will initiate a site visit to the investigator’s laboratory to conduct a detailed scientific review and discuss progress, results, and the future course of work, and to discuss any concerns about progress or problems encountered during the study. Site visits are conducted by a few Energy Research Committee members, HEI Energy scientific staff, and external expert consultants, as needed. Alternatively, webinars can be held if an in-person visit is not feasible. Note that HEI Energy also reserves the right to conduct a site visit for QA/QC purposes (see Quality Assurance audit above).

Final report and review (5)

Final report and review

What is the Final Investigator’s Report and what are the requirements?

One of HEI Energy’s goals is to publish research reports that are of value to sponsors, scientists, regulators, government officials, and the interested public. When a study is completed, the investigator is required to submit a comprehensive final report that describes the study and its findings. Final reports must include all findings, regardless of whether the investigators regard them as important or unimportant with respect to their original aims or final conclusions.

What is the process for reviewing HEI Energy Investigators’ reports?

Upon receipt of a final report, HEI Energy sends it to external peer reviewers who are independent experts in relevant areas of research. The Energy Review Committee then discusses the report along with findings from peer reviewers and provides detailed feedback to the investigators’ team, including any requests for revisions and further analyses. The Committee reviews the revised report, decides whether it is acceptable for publication, and prepares a Commentary that will be part of the published report. The report is also edited by HEI Energy for clarity and consistency. Investigators have an opportunity to read the Commentary before it is published.

What is the HEI Energy Commentary?

The Energy Review Committee’s Commentary provides a succinct summary of the study and the findings and conclusions from the Committee’s extensive review. The Commentary also puts the research results into a broader context of related research, highlights its strengths and limitations, and discusses the interpretation, conclusions, and implications of the findings. The Commentary communicates the results to a broad audience that may not read the detailed, technical report. The Commentary is published by HEI Energy together with the Final Investigators’ Report as a Research Report and is made available to HEI Energy’s sponsors and the public on the HEI Energy website free-of-charge.

What is the HEI Energy Statement?

The HEI Energy Statement is a brief synopsis of the Investigators’ Report, highlighting the key results and the Energy Review Committee’s evaluation of the study. It is written for a general audience.

How do I acknowledge HEI Energy funding?

Article X of the HEI Energy contract provides language to acknowledge HE Energy funding in a disclaimer.

Data access (3)

Data access

How do I make my data accessible to the public?

The major responsibility for data management is delegated by HEI Energy to the investigator. Where data, metadata, and code are stored and how they are made accessible varies, depending on the kind of data. If the investigator does not have a preference, HEI Energy recommends the Harvard Dataverse, which is an open-source web repository, designed to share, preserve, cite, explore, and analyze research data.

Various levels of security and access can also be implemented, but HEI Energy’s goal is to make data access as simple as possible while respecting the rights of the investigators who generated the data and the confidentiality of any volunteers who may have participated in the study.  For more details, please refer to HEI Energy's Policy on Data Management, Preservation, and Access. The costs for data management should be included in the overall budget for the study.

For how long do I need to preserve data, metadata, and code?

HEI Energy requires that data, metadata, and code be saved in a usable form for at least 10 years and that the investigator inform HEI Energy when disposing of the data (see Policy on Data Management, Preservation, and Access). Reasonable costs associated with the transfer of data may be billed to the data or sample requestor.

Will HEI Energy assist with long-term preservation of environmental and biological samples?

HEI Energy may be able to pay for the long-term preservation of environmental data and samples depending on the associated costs and will make decisions about payment on a case-by-case basis.

Funding Sources (5)

Funding Sources

Where does HEI Energy funding come from?

HEI Energy receives balanced funding from the U.S. Environmental Protection Agency and the oil and natural gas industry. In addition, other public and private organizations in the United States may support special projects or research initiatives.

What role do HEI Energy sponsors play in guiding its research program?

HEI Energy sponsors provide input to developing HEI Energy’s Implementation Plan. The Plan provides broad guidelines for HEI Energy’s research directions. Sponsors are not involved in developing RFAs, although they review and comment on a final draft of each major RFA.

What role do HEI Energy sponsors play in reviewing research reports and publications?

HEI Energy sponsors are not involved at any stage in reviewing HEI Energy research during study selection, study oversight, evaluation of an investigator’s report, preparation of commentaries, or the final publication of the Investigator report. However, workshops sponsored by HEI Energy provide opportunities for informal communication between investigators, sponsors, and others about the research.

Can HEI Energy sponsors receive funding from HEI Energy?

No, sponsors or their employees cannot receive HEI Energy funding. However, HEI Energy-funded investigators may collaborate with sponsors, for example, to avail themselves of specific expertise, equipment, or facilities. In such cases, the plans for such collaboration should be included in the application; however, HEI Energy funds may not be used in any way to pay for sponsor participation.  If opportunities for such collaboration arise during the course of the study, the investigator must inform HEI Energy and obtain approval.

Do HEI Energy sponsors participate in workshops?

Yes. Technical experts, including sponsor employees, often participate in workshops and may be invited to speak. However, any suggestions or recommendations they provide to HEI Energy investigators are not binding; only the Energy Research Committee may provide such recommendations.