(NSF) - MUSES - Industrial Ecology

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Modeling Trade-offs in the Management of Toxic Metals Used in the
Electronics Industry: Development of a Policy Evaluation Tool
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Page 2 of 2
PROJECT SUMMARY:
Electrical and electronic equipment (EEE) has become globally ubiquitous. The fast pace of
technological innovation quickly makes obsolete many products even if they are still functional. As a
result, the volume of electrical and electronic waste (“e-waste”) has been growing steadily. The difficulty
of managing e-waste is compounded by the variety of products contributing to the waste flow and by the
presence of hazardous materials, including heavy metals such as lead (Pb), cadmium, and mercury.
Numerous initiatives, both legislative and voluntary, are currently under consideration at all levels: local,
state, federal, and international. A key directive from the European Union will soon require the
replacement of lead-based solders with alternative solder alloys. Some questions have been raised
regarding the environmental and human health effects of these alternatives. Furthermore, the effect on
engineering performance and the economic vitality of the US electronics industry are unclear.
With respect to the intellectual merit of the proposed project, this multi-disciplinary project has two goals.
The first goal is to conduct analyses to answer key questions related to the lead-free solder controversy.
More generally, our second goal is to develop an analytical tool that can be used to inform public policy
decisions regarding the use, disposal, recycling, and replacement of toxic metals contained in electronic
devices. Although previous studies have shown that the alternative lead-free solders are also
environmentally questionable, none of these studies provide results that can be used to inform public
policy makers. Our proposed methodology will include the use of life cycle analysis, green accounting,
burden of disease analysis, product reliability analysis, and technical cost modeling for assessing the
impacts of proposed legislation on environmental quality, human health, engineering performance, and
economic strength. In addition, cost-benefit analysis and decision analysis will be used to evaluate tradeoffs between impact categories and to compare the merits of various policies. With these combined
methodologies, we anticipate developing a novel, disaggregated life cycle assessment, with a common
valuation unit associated with all impacts. The proposed project will complement the team’s ongoing
research and educational outreach activities that are supported by various extramural and central
university sources. The project team will integrate expertise from environmental analysis and public
health, environmental health management, and materials science; chemical, environmental and materials
engineering; and life cycle analysis, systems analysis, risk assessment, economics, and public policy.
With respect to the broader impact of the proposed project, we anticipate that the proposed project will
promote teaching and learning within various audiences, including underrepresented minorities, as the
result of our educational outreach activities, such as graduate and undergraduate research, curriculum
development at multiple academic levels, and community outreach activities for K-12 students and the
general public about e-waste management. In terms of infrastructure enhancement, this project will foster
and support the development and use of a computer-based model that will be beneficial for analyzing
complex dimensions of a multi-disciplinary topic. Furthermore, this project will lead to the strengthening
of collaborative interactions that cross the traditional boundaries by bringing together researchers in
different academic disciplines, different academic institutions, and different geographic regions. The
results of our work will be communicated through professional publications and educational outreach
activities to a wide audience, including our professional peers, the general public, and policy makers
within the government community. Finally, we firmly believe that our proposed project will greatly
benefit society, for e-waste is upon us. It is imperative that we determine the best methods to deal with
both the quantity and toxicity of e-waste. The educational and research outcomes of our project will
provide guidance to policy makers, to product designers, and to the consumers (users, and disposers) of
electrical and electronic equipment.
TABLE OF CONTENTS
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Section
Total No. of
Pages in Section
Page No.*
(Optional)*
Cover Sheet for Proposal to the National Science Foundation
1
A
Project Summary
B
Table of Contents
1
C
Project Description (Including Results from Prior
NSF Support) (not to exceed 15 pages) (Exceed only if allowed by a
specific program announcement/solicitation or if approved in
advance by the appropriate NSF Assistant Director or designee)
15
D
References Cited
4
E
Biographical Sketches
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Budget
(not to exceed 1 page)
(Not to exceed 2 pages each)
12
23
(Plus up to 3 pages of budget justification)
G
Current and Pending Support
10
H
Facilities, Equipment and Other Resources
3
I
Special Information/Supplementary Documentation
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J
Appendix (List below. )
(Include only if allowed by a specific program announcement/
solicitation or if approved in advance by the appropriate NSF
Assistant Director or designee)
Appendix Items:
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Complete both columns only if the proposal is numbered consecutively.
PROJECT DESCRIPTION:
1. Background
Electrical and electronic equipment (EEE) is ever more present in automobiles, home appliances
(refrigerators, air conditioners, microwave ovens, etc.), information technology equipment (phones, fax
machines, computers, etc.), toys (electronic games), and medical equipment (scanners). In addition, the
fast pace of technological innovation quickly makes obsolete many products even if they are still
functional. As a result, the volume of electrical and electronic waste (“e-waste”) is growing steadily.
According to the United States Environmental Protection Agency (EPA), more than 4.6 million tons of ewaste was disposed of in landfills in the US in the year 2000 [EPA 2000]; this amount is projected to
grow fourfold in the next few years [SVTC 2002], especially as people discard old TV sets in favor of
new high definition TVs. Furthermore, it is estimated that approximately 75% of obsolete electronics are
currently being stored, rather than disposed of, in the hope of finding value in the obsolete devices [EPA
2000].
The difficulty of managing e-waste is compounded by the variety of products contributing to the waste
flow and by the presence of hazardous materials, including heavy metals such as lead (Pb), cadmium, and
mercury. The increasing complexity of electronic products and the lack of adequate information from
manufacturers make the handling of e-waste more delicate and thus more costly [Tojo et al. 2001]. It is
estimated that, because many batteries (including car batteries) have been removed from the waste stream,
electronic products are now the largest contributor of heavy metals to the solid waste stream [EPA 2000].
Of particular concern is the use of lead in these products.
Lead (Pb) is of great concern because it is widely recognized as one of the most ubiquitously distributed
toxic metals used in industries across many sectors. The background concentration of lead in the Earth’s
crust is 16 µg/g but human industrial activities have resulted in lead concentrations several orders of
magnitude above background levels in soils (up to 5,000 µg/g), freshwater (up to 10 µg/L), and air (up to
10 µg/m3) [Pang 1995]. The global distribution of lead, coupled with its well-documented deleterious
effects on biological systems makes it one of the most hazardous environmental toxicants. Exposure to
lead is known to have several adverse health effects, such as neurological, reproductive, renal, and
hematological disorders [WHR 2002]. Children are especially at risk because play behavior increases the
opportunity for exposure to lead through contaminated dust, and blood lead levels above 10 µg/dL have
been linked to the impairment of cognitive development [Juberg 2000].
The US has a long history of leading environmental initiatives to phase out or restrict the end-of-life
disposal of lead-containing consumer products, including tetraethyl lead in gasoline, lead-acid batteries,
and the use of leaded solders in water distribution systems. However, in the case of electrical and
electronic products, the US is currently behind the European Union and Japan in the design and
implementation of legislative strategies to limit or eliminate the use of lead [Schoenung et al. 2003]. For
instance, the Waste Electrical and Electronic Equipment and Reduction of Hazardous Substances
(WEEE/RoHS) directives require that all electronic products made, sold, and imported into the European
Union be lead-free by July 2006 [Cox and Grys 2003a, 2003b]. Despite the fact that lead in solder
represents less than one percent of all lead produced [Smith 2001] and that tin-lead solder has been the
industry standard for decades, this directive is forcing the electronics industry to seriously evaluate leadfree alternative solders.
Several studies have been completed on various lead-free alternative solders and the extent to which they
satisfy engineering, process and design requirements [NCMS 2001, NEMI 2001, CAVE 2001, Alpha-Fry
Technologies 2001]. As a result of these studies, several alternative solders have been identified [Dowds
2002, Lee 1999]; the preferred choice for most applications is tin-silver-copper (SnAgCu) [Puttlitz 2001,
Shapiro et al. 2003]. Several researchers, including members of our team, have studied the comparative
environmental and human health impacts of tin-lead and a variety of the alternative solders [Allenby
1992, Turbini et al. 2000, Griese 2002, IKP 2002, Ku 2002, Geibig 2002, Socolof et al. 2003]. All of
these studies have demonstrated that although lead is a known toxicant, the alternative solder metals also
present a variety of environmental impacts, especially when the entire life cycle is considered. Silver
appears to be of particular concern.
Despite the consistent findings among these studies, the WEEE directive still stands, and the US
electronics industry is being forced to either give up market share or evaluate alternative alloys that may
present another set of long term environmental and public health impacts. Moreover, US policy makers
must now evaluate legislative strategies that not only address the ever-increasing quantity of toxic ewaste, but also account for industry’s response to foreign legislation. The results of the above studies
provide limited guidance from a policy-making perspective, because they do not attempt to quantitatively
combine different types of environmental and human health impacts into a meaningful measurement
indicator. Furthermore, the engineering and economic impacts of a change in solder composition, such as
that caused by changes in manufacturing or testing procedures, are not considered in any of these studies.
The purpose of the proposed project is to extend our prior and ongoing work to conduct a complete,
comprehensive, impact assessment study, the results of which can provide guidance both to policy makers
and to the consumers (users, and disposers) of EEE. We aim to move beyond what has been accomplished
in the past and combine a variety of methodologies taken from different disciplines such as economics,
environmental analysis, and decision theory to systematically and quantitatively evaluate the tradeoffs
between environmental quality, human health, engineering performance, and economic strength
associated with the use of lead-based and lead-free solder in electrical and electronic products. The entire
life cycle, including raw material extraction, manufacturing, use and end-of-life management will be
considered within the analysis. A computer model will be developed that will be used as a tool for this
analysis. More details are provided in the Research Plan and Education Plan sections of this proposal.
2. Results of Prior (Ongoing) NSF Work
In October 2002 we began our NSF MUSES planning grant. The focus of this multidisciplinary researchplanning program was to study the biocomplex dimensions of industrial ecology concerning the fate of
toxic metals in the public domain. The goals were twofold, first to establish a team of investigators to
develop a specific research agenda for the present proposal to the NSF MUSES program; and secondly to
conduct a pilot case study to generate preliminary results and testable hypotheses.
In accord with our plan we selected the key investigators for our multidisciplinary research team. A
partnership is now established between University of California Davis (UCD), University of California
Irvine (UCI) and University of Tennessee Knoxville (UTK). Details on the team members and their
respective areas of expertise are presented in Sections 4B and 5B. Also, on the UC campuses, we
recruited and hired two new postdoctoral researchers and three graduate students. We have also
established good working relationships with other colleagues from industry, government and abroad. We
are particularly grateful to have established links with researchers at foreign institutions such as Lund
University in Sweden and Fraunhofer Institute in Germany, because foreign legislation and the response
of foreign corporations has had a great deal of influence on the current situation with lead-free solders.
We are hopeful that during the implementation of the proposed project, we will be able to formally
engage with at least one of these organizations.
In addition, new relationships continue to be developed and nurtured. For instance, in November 2002,
we conducted a site visit to the Hewlett-Packard recycling facility in Roseville, California. This
nationally unique facility specializes in the recycling of various electronic products, some of which
contain lead. We traced the lead-containing product of the recycling facility to a metal processing
company located in Canada and established relations there. In addition, we are currently negotiating
collaboration with the California Department of Toxic Substances to collect data that are relevant to our
pilot study regarding the modeling of the impact of electronic waste disposal pathways on environmental
quality. Furthermore, on April 3rd and 4th, 2003, we will host an international educational symposium and
workshop on research and practical aspects of lead-free electronic products. The symposium will be held
at the Beckman Center for the National Academy of Science in Irvine. We are expecting participants from
the US and abroad that represent academia, industry, and governmental regulatory agencies at both the
state and national level. Our goals for this symposium are to promote the awareness of the various issues
(manufacturing, environmental, public health, and economics), to facilitate dialogue among different
disciplines, and, in the long run, to see a microelectronics industry that is more environmentally friendly.
With respect to the pilot case study, our goal was to develop robust approaches for decision-making under
conditions where multiple datasets intersect to predict toxic metal flows in the electronics industry and the
consequent environmental impacts.
Specifically, the pilot case study involved four objectives:
1. To review current and pending initiatives, both domestic and foreign, that are designed to encourage
the elimination of lead from electronic devices, specifically in its use as a solder material.
2. To conduct critical assessment of the status of toxic metals particularly lead, but also potential
substitutes to lead-based solders, currently used in the microelectronics sector with emphasis on
quantitative assessment of human health impacts from exposures, environmental impact of the
generation, recycling, and disposal of these toxic metals, and the contribution of current
manufacturing practices on the economic strength of the electronics industry.
3. To quantitatively evaluate and rank the implications of alternative policy scenarios involving
recycling and/or using lead-free materials according to impacts on human health, environmental
quality, and economic measures.
4. To conduct decision analysis that identifies the trade-offs among the options identified under goal 3,
and to use the information for providing recommendations on possible policy alternatives, with
respect to solder materials in electronic devices, that would best balance the economic impacts with
the environmental impacts.
We have made significant progress on these four objectives. We have reviewed current and pending
initiatives, both domestic and foreign, designed to encourage the elimination of lead from electronic
devices. We have conducted a preliminary analysis of emerging perspectives on regional and international
legislation, materials engineering, and environmental management strategies regarding the lead content of
electronic products. Certain aspects of this work have been incorporated into a manuscript that is
currently under review for publication in the Journal of Industrial Ecology [Schoenung et al. 2003].
We have conducted our critical assessment of the status of lead and its potential substitutes used in the
microelectronics sector. We have found that there are significant tradeoffs with lead-based as well as
lead-free solder choices [Ku et al. 2003], thus indicating that there is no one, clear solution to the leadfree controversy. Furthermore, we have found that industry is moving most rapidly to the lead-free
alternative of a tin-silver-copper solder [Shapiro et al. 2003]. From this analysis we have decided to focus
the remainder of our pilot study on the single comparison between tin-lead solder and the lead-free solder
alternative of tin-silver-copper. We have selected the functional unit for our study, and defined it as a unit
volume of solder. Finally, through the planning grant, we have defined our quantitative methodology for
evaluating and ranking the solder alloys according to impacts on human health, environmental quality,
and economic measures. This methodology is described within the Research Plan.
3. Research Plan
A.
Goal and Objectives
The overall purpose of the proposed project is to conduct analyses that will allow us to answer key
questions related to the lead-free solder controversy. Toward this end, we have established two primary
research goals. The first goal is to develop an analytical tool that can be used to inform public policy
decisions in relationship to the use, disposal, recycling, and replacement of toxic metals contained in
electronic devices. Such a tool will evaluate the environmental and public health impacts of various
alternative materials throughout the life cycle, from raw material extraction through manufacturing, use,
and end-of-life management including disposal, recycling and reuse. This tool will be a significant
extension of established life cycle assessment (LCA) tools in that it will attempt to disaggregate effects
both in space and in time, and it will convert physical outputs into value based environmental burdens to
assess sustainability impacts as well as consider the cost benefits.
Our second goal is to utilize our tool to conduct analyses and to answer key questions related to the leadfree solder case study. The tool will be used to evaluate the combined environmental, health, engineering
and economic impact of various scenarios of the future and various public policy options such as bans on
either material use or disposal, mandated recycling or reuse, and limits on exports of e-waste. Although
we will strive to employ methodologies that will make our tool robust enough for analyzing applications
other than the lead in electronics case study, it is a primary goal of ours to develop a flexible and userfriendly tool that we can use to successfully address issues specific to this case study. For instance, the
effect of the WEEE directive on both environmental quality and economic vitality is unclear at this time,
and needs to be addressed. Also, initiatives that encourage recycling may be hindered by the lead-free
initiatives, as some incompatibilities in materials processing may result.
In order to achieve these goals, this research project will entail focusing on four objectives:
1.
2.
3.
To develop a decision tree that defines the scope of possible future scenarios under
consideration, such as those resulting from changes in economic factors, technology, public
policy, and/or disposal preferences and options.
To conduct a critical assessment of the overall impact of the solder material used in electronic
applications, with emphasis on the quantitative assessment of:
a) Environmental impacts that result from the extraction of raw materials, changes in
manufacturing and assembly procedures, and the recycling, reuse, and disposal of
electronic waste.
b) Human health impacts due to direct occupational exposures of workers and indirect
exposure of the public through inefficient product use, recycling and disposal.
c) Engineering impacts that result from changes in product design and from requalification requirements.
d) Economic impacts that result from choices made regarding process technology, raw
material supply, and material recovery.
To quantitatively evaluate the implications of moving from one scenario to another on the
decision tree, thereby identifying tradeoffs between alternatives.
4.
To evaluate the path through the decision tree that would result from various public policy
options.
B.
Research Methods and Scope
This project focuses on solder used in electronic devices. Initially, the solder used on printed wiring
boards for computer motherboards will be used as the point of reference, and our functional unit will be a
unit volume of solder. However, the methodology and the analytical tool that result should be sufficiently
versatile to be adaptable for capturing tradeoffs for other applications as well. As a result, it will be
important during the management of this program to continuously evaluate the scope and direction of the
research. In addition, changes in external forces such as legislative and voluntary initiatives will need to
be continuously monitored throughout the duration of this program.
Objective 1 – Decision Tree Development
Our approach to the vast range of possible future scenarios for solder selection and end-of-life
management of electronic waste is to create a decision tree. This decision tree starts from the present
situation and then considers each change one factor at a time. Factors that dictate which branch within
the tree will be taken include economic tradeoffs and external factors, which are described below under
Objectives Three and Four. A representative decision tree is shown in Figure 1.
Comparative Policy Design and Assessment
Model
Output 2
Model
Output 1
Decision 2
Decision 1
Voluntary, Mandatory, State, National, and International
1.
Impact Assessment (Environmental, Health, Engineering and Economic)
2.
Quantitative Evaluation (Cost-Benefit Analysis, Decision Analysis, and Green Accounting)
3.
Educational Outreach (Toxic Release Inventory, Public Right-To-Know, and Behavior Changes)
4.
Legislative Enforcement and Industrial Compliance (Secondary Impacts and Costs)
Landfill
Recycle
Export
Incinerate
Landfill
Recycle
Export
Lead Solders
Lead Free Solders
(Tin-Lead)
(Tin-Silver-Copper)
Incinerate
Current
Baseline
Assembly
Practices
Figure 1. Sample decision tree rooted in the current assembly practices, with decision branches reaching
upward, until outcomes of each decision path are evaluated with the goal of informing public policy.
Figure 1 demonstrates the branching effect relative to decision-making amongst various scenarios. It
begins with the tree rooted in the current situation. Branches extend up in both directions, indicating that
they are not to be prejudged as either better or worse. Ultimately, at the top of the tree, we reach our goal
of being able to inform policy making with scientifically based results.
For the example decision tree in Figure 1, the tree is rooted in the current situation of using metallic
solder based technology for electronic device assembly. Moving up the branches of the tree, the first
decision is made: to use lead-based solder (tin-lead) or lead-free solder (tin-silver-copper). The second
decision is a choice among end-of-life management methods: landfill, recycle, export, or incinerate.
Decision branches can be easily added to or modified within the tree. For instance, we might want to
consider more than one recycling method or the use of a different assembly method other than metalbased solders. We might also want to consider distributed choices such as 80% landfill, 20% recycle. For
ease of comparison, the branches farthest to the left always represent the current practices in the US, e.g.,
conventional electronic assembly methods, tin-lead solder use, and landfilling of electronic waste.
The example decision tree in Figure 1 also presents the various types of model outputs we intend to
generate. For instance, at the primary level of output we will provide impact assessment, quantitative
evaluation, and educational outreach, as well as evaluation of legislative enforcement and industrial
compliance impacts and costs. To do so, we will use the methodologies described in the rest of this
section of this proposal. Our ultimate goal is to use the results generated at this primary level of output to
provide the second level of output, namely a comparative assessment of the direct and secondary impacts
that would result from various policy alternatives under consideration for the management of toxic metals
in electronic waste.
Objective 2 – Impact Assessment
Our approach to the assessment of environmental, human health, and economic impact will build on the
research we have already begun, some of which is summarized above. This approach utilizes a
combination of methodologies, including life cycle assessment (LCA), lessons from green accounting,
burden of disease analysis, product reliability analysis, and technical cost modeling.
Before describing these methodologies, it is important at this point to highlight ongoing work being
conducted at UTK, which is not summarized in the UCI-NSF MUSES summary above. Because of the
questions that surround the alternative solder materials, especially those containing silver, the EPA,
within its Design for the Environment (DfE) Program, has sponsored the University of Tennessee (UTK)
to conduct a complete, comprehensive life cycle assessment of tin-lead and alternative solder alloys.
[Geibig 2002]. This ongoing effort involves a large consortium of industry, university, non-government
and government entities. The purpose of the study “is three-fold: (1) to establish an objective, scientific
baseline that evaluates the life-cycle environmental impacts of selected lead-free solder alternatives and
tin-lead solder using LCA methodologies; (2) to evaluate the effects of lead-free solders on leachability,
recycling, and reclamation at the end-of-life, and (3) to identify data gaps or other potential areas of
analysis for future investigation by EPA or industry. This study will evaluate the solder alternatives and
consider impacts related to material consumption, energy, air resources, water resources, landfills, human
toxicity, ecological toxicity, leachability, and recycling [Socolof and Geibig 2002].”
Life cycle assessment provides the necessary framework to assure that the entire life cycle is taken into
consideration, from resource extraction through manufacture, use, and end-of-life management [Curran
1996]. Furthermore, the LCA approach systematically and quantitatively addresses all sources of
environmental impact including energy consumption, and air, water, and land based emissions/byproducts. As mentioned above, Jack Geibig and Maria Socolof have experience with LCA, in general
[Socolof et al. 1999, 2000, 2001], and as applied to the issue of lead-based vs. lead-free solders, as used
in electronic devices [Socolof et al. 2003].
Life cycle assessment has some limitations, however, as normally practiced. The lack of temporal
boundaries limits the effectiveness of LCA by assuming that all impacts are generated simultaneously.
Spatial boundaries are often set at a global scale, making it difficult to apply LCA directly to policy
analysis, where the interests of the legislative body (and their stakeholders) are more regional (local,
statewide, or national), rather than global and can be temporally dependent. Green accounting is an
attempt to correct the Gross Domestic Product (GDP) to account for environmental damage from various
forms of pollution and resource depletion [Atkinson and Hamilton 1996]. Like LCA, green accounting
has been criticized for excessive aggregation. As a consequence, various attempts have been made to
account for spatial and temporal effects [Bartelmus 1999, El-Serafy 1997]. We propose to incorporate
lessons learned from green accounting, to modify the LCA approach in order to perform a disaggregated
analysis and to try to value environmental damage. Jean-Daniel Saphores has relevant experience with
green accounting.
Burden of disease analysis systematically and quantitatively evaluates the attributable risk and
contribution of a substance to the general burden of disease within a population [Ezzati et al. 2002]. Two
analytic programs are widely used within the health impact field to derive composite measures of disease
burden: “Disability Adjusted Life Years (DALY)” and the “Health Life Years (HealYs)” [Murray and
Lopez 1996, Hyder et al. 1998]. Landrigan et al. [2002] have conducted an assessment of the impact of
lead on public health in terms of monetary costs to society. Dele Ogunseitan has experience with these
two programs used to calculate the attributable risk and contributions of lead to the burden of disease in
countries where leaded gasoline is still used [Ogunseitan et al. 2000, Smith and Ogunseitan 2001]. Maria
Socolof also has years of experience with human health risk assessment and life cycle impact assessment.
Product reliability testing is a systematic means of evaluating the performance of an engineered product.
If the product is being re-designed, such as for implementation of a new solder material, it is imperative to
assure that the new design satisfies all existing product design specifications and reliability requirements.
For assemblies on printed wiring boards, preparation for reliability testing might include several steps:
pre-assembly testing and inspection, application of solder paste, placement and attachment of various
board components (such as integrated circuits), reflow of the solder, cleaning, and then additional testing
[Shapiro et al. 2003]. Reliability testing often includes accelerated cycles at elevated temperatures.
Andrew Shapiro has extensive experience with such tests. In addition, countless engineering performance
studies are underway to characterize lead-free solder. The results of such studies will be considered when
evaluating the engineering impacts of various paths on our decision tree.
Technical cost modeling is a systematic and quantitative approach used to evaluate the costs of producing
various engineered products, using various process methods [Busch and Field III 1988], and is derived
from the well-established methodology developed by Peters and Timmerhaus [1991] for evaluating the
costs associated with chemical engineering plants. This methodology builds total cost as a matrix of costs
distributed by cost factors (labor, energy, materials, capital) and costs distributed by unit operation
(individual process steps in a manufacturing process flow diagram). These costs are derived from product
specific, process specific and economic inputs. Consequently, cost drivers are easily identified and
sensitivity analyses are easy to conduct. Julie Schoenung has years of experience in the development, use
and application of technical cost modeling, both from an academic perspective [Schoenung 1991] and as a
consultant to industry.
The outcomes for this objective will include, for each scenario on the decision tree (relative to the present
representative situation), (a) a classified and characterized inventory of environmental impacts, (b) an
evaluation of exposure pathways, attributable risks, and contribution to the burden of disease, (c) an
assessment of the product re-design requirements, and (d) an assessment of direct material, manufacturing
and end-of-life management costs. Because all of the above methodologies require substantial data, it can
be expected that there will exist a reasonable level of uncertainty in some of the data and that some data
will be non-existent, thus requiring assumptions to be made. In all cases, such unavailable and uncertain
data will be clearly identified and tracked through the subsequent evaluation objectives. Furthermore,
sensitivity analyses will be performed to identify where data collection efforts should be concentrated and
to detect parameters that can be neglected because of their minimal influence on the outcomes.
Objective 3 – Quantitative Evaluation of Tradeoffs
Our approach to the quantitative evaluation of tradeoffs will employ a variety of methodologies, including
cost-benefit analysis and decision analysis.
Cost-benefit analysis is a well-established, systematic and quantitative methodology used extensively in
engineering economic studies, especially for making choices among alternatives that directly or indirectly
affect public sector stakeholders [Blank & Tarquin 2002]. This methodology accounts for benefits and
disbenefits to the stakeholders, and compares the value of these to the costs. This methodology also
allows benefits and costs that are difficult to accurately determine to be dealt with explicitly, or with
values that are subject to the stakeholders’ point of view. Limitations of the standard approach are well
understood [Dixit and Pindyck 1994], especially when it comes to the joint effects of uncertainty and
irreversibility. One problem with applying cost-benefit analysis is the difficulty of quantifying
environmental and health impacts. However, several researchers, such as Freeman [1993], have
developed a variety of techniques that can be used to quantify these impacts. Jean-Daniel Saphores has
conducted research in the area of decision-making under uncertainty and has some experience in using
valuation methods [Saphores and Aguilar 2003].
Decision analysis is also a well-established, systematic and quantitative methodology that is particularly
useful in making decisions between multiple alternatives when there are multiple objectives and when the
outcomes are uncertain. Decision analysis tools that have been linked to LCA include multi-criteria
decision analysis [Miettinen and Hamalainen 1997], multiple-attribute decision analysis (MADA) [Steen
1999], and multi-attribute value (or utility) theory (MAVT or MAUT) [Seppala et al. 2001]. Seppala et al.
highlight that these tools provide a framework for structuring the impact assessment results into a model
that can capture the value (or utility) of the attributes (or impact category), as well as evaluate the
feasibility of normalization, weighting, and aggregation. Moreover, sensitivity analyses are easily
conducted, thus allowing uncertainty to be quantified and characterized. Julie Schoenung has experience
with MAUT, from the perspective of materials selection decisions made on the basis of engineering and
economic considerations [Rothman et al. 1987].
The outcomes of this objective will be comparative analyses of the various scenarios presented on the
decision tree (see Objective 1), relative to environmental, human health, engineering and economic
impacts. Tradeoffs among these various impacts will be ascertained. In addition, sensitivity analyses will
be performed that will capture the uncertainty associated with these comparisons and their respective
tradeoffs.
Objective 4 – Policy Implications
Our approach to this objective will entail:
1.
2.
3.
the identification of feasible policy alternatives,
an assessment of the consequences of policy alternatives, relative to the decision tree and,
ultimately, the environmental, human health, engineering, and economic impacts
quantified in Objectives 2 and 3, and
further assessment of policy alternatives relative to the corresponding requirements for
legislative enforcement and industrial compliance, if implemented.
Using legislative, economic and voluntary initiatives currently in effect or under development as
examples, feasible policy alternatives might include: product stewardship initiatives, material bans,
mandatory recycling requirements, mandatory labeling policies, take-back programs, deposit-refund
systems, fines, and other financial incentives. A more comprehensive list will be developed during the
program. Each of these policy alternatives will represent a specific path on the decision tree. For
instance, a ban on a specific material such as lead would force the decision tree path toward the decision
to not use tin-lead solder. Depending on the results derived in Objective 3, the overall impact of this
scenario may not, indeed, be preferable to that of the present, representative situation. In fact, previous
examples have been shown where proposed policy would actually result in more severe impacts
[Besnainou and Goybet 1995]. Even when policy is designed to accommodate trade-offs between these
areas of direct impact (environmental quality, human health, engineering product reliability, and
economic strength), it is important to recognize that policy, when implemented, also has secondary
impacts as the result of the need for legislative enforcement and the need to ensure industrial compliance.
These secondary impacts could sway the balance on the trade-offs evaluated directly, and will thus be
considered before making recommendations on preferred policy alternatives.
Outcomes of our research will be discussed with policy makers from various federal and state agencies,
such as the US EPA, the California Integrated Waste Management Board (CIWMB) and the California
Department of Toxic Substances Control (DTSC). Using their feedback, we will develop policy proposals
for better managing toxic metals in electronic products.
4. Management Plan
A.
Management Structure
We believe we have put together a team of experts that not only will work well together, but that
represent the broad range of expertise needed for evaluating the complex issues outlined in this proposal,
as depicted graphically in Figure 2. In alphabetical order, Jack Geibig brings to the team a background in
chemical and environmental engineering and extensive experience in LCA. Dele Ogunseitan provides
extensive experience in the areas of environmental toxicology and public health. Jean-Daniel Saphores is
our economist, with additional expertise in engineering and decision-making under uncertainty. Julie
Schoenung has a broad range of experience in materials science and engineering, systems analysis,
decision theory, economics and management, as well as pollution prevention. Andrew Shapiro brings
years of direct industrial experience to the team, with a particular focus on electronics packaging and
microelectronics assembly manufacturing. Maria Socolof has experience in environmental health
management and LCA. More specifics on the qualifications of each team member are provided below.
From the pragmatic perspective of project administration, Julie Schoenung has been identified as the lead
PI because of her broad range of experience that touches most of the disciplines represented by the other
team members. Furthermore, it should be clarified that on this submission, Julie Schoenung replaced
Dele Ogunseitan as lead PI (he is the lead PI on the planning grant) in part because the team firmly
believes that the team is stronger with each member leading a major initiative. Julie Schoenung will be
responsible for leading the team along the management plan, outlined below, and for ensuring that
progress is made and milestones are achieved. At UCI, Dele Ogunseitan will be the lead PI, and at UTK,
Jack Geibig will be the lead PI. Each of the lead PIs will monitor the progress for the activities taking
place at their respective institutions and will be the main point of contact for each other and for Julie
Schoenung.
Ogunseitan
Socolof
Human
Health
Saphores
Socolof
Ogunseitan
Ecosystem
Quality
Geibig
Socolof
Saphores
Ogunseitan
Best Management
Policy for
Electronic Waste
Economic
Costs
Enforcement
and
Compliance
Shapiro
Schoenung
Geibig
Product
Reliability
Schoenung
Shapiro
Saphores
Figure 2. Schematic representation of the multi-disciplinary team and their respective roles in evaluating
the five impact categories that influence the choice of the best management policy for electronic waste.
B.
Qualifications of Principal Investigator and Senior Personnel
Professor Julie Schoenung is a materials engineer with a strong background in materials systems analysis
and process economics. Her faculty appointment is in the department of Chemical Engineering &
Materials Science at the University of California, Davis. She has conducted important interdisciplinary
research on the industrial use of various chemical elements such as germanium, gallium, and silicon in
electronic and ceramic applications. She has also conducted material selection and cost-modeling
analyses for materials use in key industries such as electronics, automotive, and aerospace. Prof.
Schoenung also has experience with life cycle analysis and the application of decision trees in evaluating
alternatives.
Professor Oladele Ogunseitan is an environmental health scientist in the department of Environmental
Analysis and Design at the University of California, Irvine. He also maintains an affiliation with the UC
Irvine Center for Occupational and Environmental Health. His research involves the industrial output and
post-consumer fate of toxic chemicals such as mercury, lead, pesticides, and polyaromatic hydrocarbon
compounds in the environment. He has conducted research on risk assessment in genetic engineering, and
on ecological bioremediation and health effects of environmental contaminants. Under a project
supported by the Global Forum for Health Research at the World Health Organization, Prof. Ogunseitan
used the composite measures of disease burden, HeaLY and DALY to assess the contribution of
environmental risk factors, including lead, to the burden of disease in developing countries.
Professor Jean-Daniel Saphores was trained as an economist, as a civil engineer and as an environmental
systems engineer. His specialization is in environmental and resource economics, with an emphasis on
decision-making under uncertainty using tools from finance (real options). His primary appointment is in
the department of Planning, Policy and Design in the School of Social Ecology at UCI, but he also has
joint appointments in the department of Economics in the School of Social Sciences, and in the
department of Civil and Environmental Engineering. Prof. Saphores has conducted research on economic
analysis and environmental impact of policy options in various industrial sectors, including
transportation, agriculture, and energy.
Professor Andrew Shapiro is a materials scientist in the department of Chemical Engineering and
Materials Science at UCI. He has extensive experience in microelectronics fabrication industries such as
Rockwell International, Hughes Aircraft, Broadcom, and VSK Photonics. He currently holds a position at
the California Institute of Technology, Jet Propulsion Laboratory. Prof. Shapiro has seven patents on low
temperature co-fired ceramic technology and electronics manufacturing.
Mr. Jack Geibig is an environmental engineer with the Center for Clean Products and Clean Technologies
at the University of Tennessee, Knoxville. He has extensive experience leading collaborative, multistakeholder research focused on the evaluation and adoption of new, cleaner products and production
methods, including substitutes for toxic chemicals. His research has included the evaluation of
alternatives to the use of lead as a surface finish in printed wiring board (PWB) manufacturing, and to the
use of thiourea in PWB plating chemistries. Under a project funded by the U.S. Environmental Protection
Agency and members of the electronics industry, Mr. Geibig is currently leading research to evaluate the
life-cycle environmental and human health impacts of lead and lead-free solder products used in
electronics manufacturing.
Ms. Maria Socolof is an environmental health scientist with the Center for Clean Products and Clean
Technologies at UTK. She has worked in partnership with industry, government, and public interest
groups to educate them on the human health risks associated with products and processes, and to promote
the principles of life-cycle thinking. Ms. Socolof has led research to evaluate the environmental and
human health life-cycle impacts of desktop computer displays, and is currently conducting research as a
co-leader of the Center’s life-cycle assessment of lead and lead-free solder products. Ms. Socolof also
has extensive experience in public and human health risk assessment while leading a National
Environmental Policy Act (NEPA) program at a national laboratory.
C.
Evaluation, Assessment and Reporting of Research Progress
The PI and senior personnel will hold bi-monthly conference calls to track progress and make decisions
about future directions. The entire team of PI, senior personnel, postdoctoral researchers and graduate
students will meet for a formal review every six months. These meetings will provide the opportunity for
assessing focus areas that need to be adjusted, methods that need refinement, and timelines that need
modification.
As summarized in the biographical sketches and conflict of interest spreadsheet, the team members have
extensive contacts with other individuals throughout academia, industry, schools, science centers, and
government, both within the US and abroad. This resource will be utilized to establish an advisory panel
for this project. The members of this advisory panel will provide guidance on the direction of the
program, both through one-on-one interactions and through occasional participation at the review
meetings. Furthermore, these panel members will serve as a source of information for the researchers on
this project. Opportunities for formal collaboration with these colleagues, especially those from other
countries, will be investigated throughout the duration of the project.
In addition to the conference calls, review meetings and interactions with the advisory panel, the team
will prepare annual reports to the National Science Foundation, as required.
Management (Research) Plan
Objective R1: Decision Tree Development
Task R1.1: Definition of Decision Factors
Task R1.2: Consideration of Distributed Factors
Objective R2: Impact Assessment
Task R2.1: Life Cycle Assessment
Task R2.2: Green Accounting and Disaggregated LCA
Task R2.3: Burden of Disease Analysis
Task R2.4: Product Reliability Analysis
Task R2.4: Technical Cost Modeling
Objective R3: Quantitative Evaluation of Trade-offs
Task R3.1: Environmental Impacts
Task R3.2: Human Health Impacts
Task R3.3: Engineering Impacts
Task R3.4: Economic Impacts
Task R3.5: Cost-Benefit Analysis
Task R3.6: Decision Analysis
Objective R4: Policy Implications
Task R4.1: Identification of Feasible Policy Alternatives
Task R4.2: Tracing of Policy Alternatives on Decision Tree
Task R4.3: Assessment of Policy Implications
Task R4.4: Evaluation of Enforcement/Compliance Issues
Overall Management and Reporting
Task R5.1: Bi-Monthly Conference Calls
Task R5.2: Semi-Annual Review Meetings
Task R5.3: Annual Reports
Lead
Support
Julie
Julie
Team
Team
Jack
Jean-Daniel
Dele
Andrew
Julie
Maria
Team
Maria
Julie
Andrew
Maria
Dele
Andrew
Julie
Jean-Daniel
Julie
Jack
Maria
Julie
Jean-Daniel
Team
Team
Jean-Daniel Team
Julie
Team
Team
Team
Julie
Julie
Julie
Team
Team
Team
5. Education Plan
A.
Goals & Methods
Our team has established four education objectives for this project:
1. To educate the next generation of college students on the values of multi-disciplinary work, and
on the development and use of tools and methods for evaluating complex problems.
2. To educate a broad student audience on the complexity of materials use, selection and design,
when taking into consideration the consequential impact on society.
3. To educate the general public and K-12 students on the complex interactions between science and
society, and the effects of their own individual decisions.
4. To educate the professional community on the importance of societal impacts in all engineering,
economic, and policy decision-making.
With respect to the first goal, to educate the next generation of college students, our methods will include
research opportunities for both graduate students and undergraduate students on this and related projects.
With respect to the second goal, to educate a broad student audience, our methods will include various
levels of curriculum development. Last year, we offered a seminar series of invited speakers. We have
established a course in industrial ecology/environmental sustainable manufacturing that will be offered
annually at one of the UC campuses. This year, this course is being offered as a team-taught
undergraduate course with Andrew Shapiro as the lead instructor. Lecture modules will be developed for
use in a variety of courses, including introductory survey courses in materials such as ENG 45 at UCD
and E54 at UCI, core materials science and engineering courses such as MSE 172/2721 at UCI and EMS
1882 at UCD, and core courses in chemical engineering such as ECH 158A3 at UCD.
With respect to the third goal, to educate the general public and K-12 students, we will work with various
local, state, and national agencies, as well as school districts to find collaborative ways for educating the
public on the importance of their own decisions relative to toxic materials and solid waste management.
For example, we will build on the relationship between UT’s Center for Clean Products and Clean
Technologies and the National Recycling Coalition to offer Earth Day activities. We will also build on the
relationship between Prof. Ogunseitan and the UCI Recycling Initiative. New relationships will also be
fostered, such as between UCD and Explorit, a local science museum that draws an audience from both
the Sacramento and San Francisco Bay areas, and directs its programs to K-12 students.
With respect to the fourth goal, to educate the professional community, we will continue to organize
conferences and conference sessions, to participate in professional conferences and to publish papers on
our work. At this time, we are in the midst of organizing a one-and-a-half day conference on Electronic
Design, Manufacturing, and the Environment. We also have recently presented our work at a similar
conference that was held at UCLA. We have six papers submitted for presentation at conferences and
three submitted for publication.
B.
Qualifications of Personnel
The members of our team represent a wealth of experience as educators. Four of the team members are
faculty members with a broad range of teaching experiences. One of these, Dele Ogunseitan, was recently
acknowledged with Professor of the Year Award, and a nomination for the Distinguished Teacher Award.
The others are well-respected, creative, and motivated educators. Jean-Daniel Saphores has teaching
experience in Canada and in the US, in economics and in engineering. Andrew Shapiro has years of
experience teaching various materials science courses, at all academic levels. In addition to her teaching
experience in materials engineering, process economics and pollution prevention, Julie Schoenung has
experience working with local school districts, particularly as a steering committee member for their
science education initiatives. The remaining team members, Jack Geibig and Maria Socolof, provide
extensive experience interacting with the public, with industry, and with local, state, and federal
organizations. All team members are highly qualified to supervise students doing research, to present and
publish research findings, and to participate in and organize conferences and seminars. The team has
established a track record of successfully working together to provide educational outreach (e.g., the
seminar series and conference mentioned above). Our capabilities in this area have been recognized by
the financial support provided for these activities4.
1
Electronic Packaging.
Materials Design.
3
Process Economics and Optimization for Chemical Engineers.
4
AT&T Foundation Industrial Ecology Faculty Fellowship Program, UC-Discovery Program, and UCI’s Executive
Vice Chancellor’s Program for Multi-Disciplinary Research.
2
C.
Evaluation and Assessment of Methods and Progress
As part of our management plan and program review process, we will periodically evaluate our progress
in achieving our four education goals. We will also assess the methods being used, especially if we
encounter difficulty in successfully achieving the goals. For example, we will track the number of
students actively participating in our research work and their rate of degree completion; we will monitor
the extent to which the curriculum modules and courses are offered and review the student responses to
these offerings; we will monitor the effectiveness of the community outreach activities through level of
participation and functional growth; and we will track the number of professional activities and outcomes
produced by the team.
Education Plan
Objective E1: To educate the next generation of college students …
Task E1.1: Supervise Graduate Students and Post Graduate Researchers
Task E1.2: Supervise Undergraduate Students through Independent Study
Objective E2: To educate a broad student audience …
Task E2.1: Team taught course on industrial ecology and DfE
Task E2.2: Course module for introductory materials science course
Task E2.3: Course modules for core materials science courses
Task E2.4: Course modules for core chemical engineering courses
Objective E3: To educate the general public and K-12 students …
Task E3.1: Earth Day activities with National Recycling Coalition
Task E3.2: Recycling Initiative
Task E3.3: Science Centers such as Explorit
Task E3.4: School District Opportunities
Objective E4: To educate the professional community …
Task E4.1: UC Discovery Conference
Task E4.2: Journal of Industrial Ecology Paper
Task E4.3: IEEE Paper
Task E4.4: ECTC Paper and Presentation
Task E4.5: ISIE Presentation
Task E4.6: Greece Presentation
Task E4.7: Continued submission of papers and abstracts
Task E4.8: Continued organization of conferences/symposia
Evaluation and Assessment of Education Methods and Progress
Lead
Support
Team
Team
Andrew
Julie
Andrew
Julie
Team
Andrew
Julie
Team
Jack
Dele
Julie
Julie
Team
Team
Team
Team
Andrew
Julie
Andrew
Julie
Jean-Daniel
Dele
Team
Team
Julie
Team
Team
Team
Team
Team
Team
Team
6. Broader Impacts
A.
Promote Teaching, Training, and Learning
The aspects of our project that focus on teaching training and learning are summarized in our educational
plan. These activities will have a broader impact because they will allow the next generation of students
to experience first hand the joy, challenge and importance of multi-disciplinary work. Furthermore, these
activities will educate young students, teachers, and the community about the importance of a materials
life cycle, the relative impacts of different materials/processes on the environment, and the significance of
choices made by individuals in influencing environmental impact and corporate decision- making.
B.
Underrepresented Groups
Our project will have an impact on underrepresented groups because three of the team members will be
able to serve as role models to this community, as two are women and another is an African American.
Professor Schoenung has previous experience as the Faculty Advisor for the student chapter of the
Society of Women Engineers and for the Minority Engineering Program. She has mentored numerous
undergraduate and graduate women researchers, including two who were involved in the initial stages of
researching the legislative issues and toxicity issues, respectively, surrounding lead-free solders. In his
role as Graduate Advisor for the Department of Environmental Analysis and Design, Professor
Ogunseitan has worked extensively to attract and recruit minority students into the graduate degree
program through an NSF funded “Fast Track to the Professoriate” grant awarded to UCI. He is currently
supervising two of these students under the general curriculum of industrial ecology. In addition, Prof.
Ogunseitan is supervising undergraduate students’ research projects under the NSF funded “Minority
Undergraduate Biomedical Research Program,” also awarded to UCI. The current project will provide a
valuable additional opportunity for underrepresented undergraduate and graduate students to participate in
a long term research endeavor that can solidify early involvement in the science enterprise.
C.
Infrastructure
This project will foster and support the development and use of a computer-based model that will be
beneficial for analyzing complex dimensions of a multi-disciplinary topic, including aspects that relate to
engineering, science, environmental and public health, economics and public policy. Furthermore, this
project will lead to the strengthening of collaborative interactions that cross the traditional boundaries by
bringing together researchers in different academic disciplines, different academic institutions, and
different geographic regions.
D.
Dissemination
The results of this project will be disseminated broadly. Several of the mechanisms for dissemination are
listed in our education plan, including outreach to both the professional and local communities.
Furthermore, with the focus of our research being the development of a tool that is effective for analyzing
the impact of public policy, it will be imperative for us to interactive effectively and frequently with
appropriate policy-making bodies, both at the state and federal level.
E.
Benefits to Society
Electronic waste poses a severe threat to the US waste management community and to the electronics
industry. The results of our research will provide guidance on appropriate policy options that can be used
to help mitigate this crisis, while effectively accounting for the balance between industrial stability,
consumer choices and environmental and public health.
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Dowds, S., (2002) "Pb-Free Solder Paste." Industrial Ecology Seminar, University of California,
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217-229.
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methods, Resources for the Future, Washington, D.C.
Geibig, J., (2002) "EPA/Industry Design for the Environment Program." First International
Conference on Lead-Free Electronic Components and Assemblies, San Jose, CA.
Griese, H., (2002) "Sustainable development of information and communication technology and
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Irvine.
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Life Years." American Journal of Public Health, 88, 196-202.
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Ku, A. (2002). "Evaluation of the Feasibility of Lead-Free Solders," Masters of Science,
University of California, Irvine.
Ku, A., Ogunseitan, O. A., Saphores, J.-D., Shapiro, A. A., and Schoenung, J. M., (2003) "LeadFree Solder: Issues of Toxicity, Availability and Impacts fo Extraction." The 53rd
Electronic Components and Technology Conference (ECTC), New Orleans.
Landrigan, P. J., Schechter, C. B., Lipton, J. M., Fahs, M. C., and Schwartz, J. (2002).
"Environmental Pollutants and Disease in American Children. Estimates of Morbidity,
Mortality, and Costs for Lead Poisoning, Asthma, Cancer, and Developmental
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Microelectronics, 29-34.
Miettinen, P., and Hamalainen, R. P. (1997). "How to benefit from decision analysis in
environmental life cycle assessment (LCA)." European Journal of Operational Research,
102, 279-294.
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Health Organization, Harvard School of Public Health and the World Bank Geneva.
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2001(10/11/01). http://lead-free.ncms.org
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in a changing global environment, World Health Organization and the World Bank,
Bangkok, Thailand.
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A. Rattner, G. A. Burton, and J. C. J. Cairns, eds., Lewis Publishers, Boca Raton, FL,
356-391.
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Engineers, 4th edition, McGraw-Hill Inc.
Puttlitz, K. J., (2001) "Eliminating Lead (PB) in Electronic Assemblies." 2001 IEEE
International Symposium on Electronics and the Environment presentation, Denver, CO.
Rothman, E. P., Schoenung, J. M., and Clark, J. P. (1987). "Markets for Advanced Structural
Ceramics." Resources Policy.
Saphores, J.-D., and Aguilar, I., (2003). "Industrial odors and residential property values - A
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American Ceramic Society Bulletin, 70(1), 112-116.
Schoenung, J. M., Ogunseitan, O. A., Saphores, J.-D. M., and Shapiro, A. A. (2003). "Industrial
Ecology of Lead (Pb) in Electronics, Part I: Perspectives on Legislation, Materials
Engineering and Environmental Management." submitted to Journal of Industrial
Ecology.
Seppala, J., Basson, L., and Norris, G. "Decision Analysis Frameworks for Life-Cycle Impact
Assessment." Journal of Industrial Ecology, 5(4), 45-68.
Shapiro, A. A., Bonner, J. K., Ogunseitan, O. A., Saphores, J.-D., and Schoenung, J. M., (2003)
"Implications of PB-Free Microelectronics Assembly in Aerospace Applications." IEEE
Transactions on Components and Packaging Technologies.
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Legislature." (09/27/02). http://www.svtc.org/media/releases/ccc_81502.htm.
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Mines, 44.1-44.10.
Smith, T., and Ogunseitan, O. A. (2001). "Burden of disease from lead (Pb) exposure in Nigerian
Children." Children's Environmental Health II: A Global Forum for Action, Washington,
DC.
Socolof, M. L., and Geibig, J., (2002). "Design for the Environment (DfE) Program Lead-Free
Solder Project: Goal Definition and Scope."
Socolof, M. L., Geibig, J., and Swanson, M. B., (2003) "Cradle to Gate Toxic Impacts of
Solders: A Comparison of Impact Assessment Methods." 2003 IEE International
Symposium on Electronics and the Environment, Boston, MA.
Socolof, M. L., Overly, J. G., Kincaid, L. E., and Geibig, J. R., (2001). "Desktop Computer
Displays: A Life-Cycle Assessment." EPA-744-R-01-004a.
http://www.epa.gov/oppt/dfe/pubs/comp-dic/lca/index.htm
Socolof, M. L., Overly, J. G., Kincaid, L. E., Singh, D., and Hart, K., (2000) "Preliminary LifeCycle Assessment Results for the Design for the Environment Computer Display
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Socolof, M. L., Swanson, M. B., Kincaid, L. E., and Overly, J. G., (1999) "An Environmental
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Tojo, N., Lindhqvist, T., and Davis, G., (2001) "EPR Programme Implementation: Institutional
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Seminar on Extended Producer Responsibility, Paris, France.
Turbini, L. J., Munie, G. C., Bernier, D., Gamalski, J., and Bergman, D. W., (2000) "Examining
the Environmental Impact of Lead-Free Soldering Alternatives." 2000 IEEE
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World Health Organization. (2002). "World Health Report (WHR)."
BIOGRAPHICAL SKETCH
JULIE M. SCHOENUNG
a. PROFESSIONAL PREPARATION:
Institution
Major
Degree
Year
Massachusetts Institute of Technology
Materials Engineering
Ph.D.
Minor, Program in Management from the Sloan School of Management.
1987
Massachusetts Institute of Technology
M.S.
1985
B.S.
1983
Materials Engineering
University of Illinois – Urbana/Champaign Ceramic Engineering
b. APPOINTMENTS:
• University of California, Davis, CA
Associate Professor, Chemical Engineering and Materials Science. Oct. 2002 - Present
• University of California, Irvine, CA.
Associate Professor, Civil & Environmental Engr. April 2001 - 2002.
Participating Faculty Member:
Interdisciplinary Environmental Engineering Graduate Program
Interdisciplinary Operations Research Graduate Program
Visiting Scientist, Chemical & Biochemical Engr. and Material Science Summer 1993.
Lecturer, Graduate School of Management. Spring 1988.
• California State Polytechnic University, Pomona, CA.
Professor, Chemical and Materials Engineering, 1994 - 2001.
Associate Professor, Chemical and Materials Engr. 1991 - 1994.
Assistant Professor, Chemical and Materials Engr. 1989 - 1991.
Department Chair, Chemical and Materials Engineering. 1992 - 1998.
Acting Department Chair. June 1990 - March 1991, Feb. - Aug. 1992.
Director, Graduate Studies & Engr. Institute, Col. of Engr. Sept. 1991 - Aug. 1992.
• Max-Planck Institut Fuer Metallforschung, Stuttgart, Germany.
Visiting Scientist. March - Aug. 1997.
• IBIS Associates Inc., Wellesley, MA.
Consultant. Jan. 1989 - May 1995.
Project Manager. June 1986 - Jan. 1989.
• International Business Machines (IBM), San Jose, CA.
Junior Engineer. Summer 1982. Advanced Manufacturing Engineering.
c. PUBLICATIONS: (a list of up to 5 publications most related to proposed project and up
to 5 other significant publications)
FIVE RELEVANT PUBLICATIONS:
1. J.M. Schoenung and J.P. Clark, "Technology Assessment of the Demand for Germanium in
World Market Economies," Technological Forecasting and Social Change, Vol 30, No 1,
(1986).
2. J.M. Schoenung and J.P. Clark, "Technology Assessment of the Worldwide Demand for
Gallium in Electronic Devices," J of Metals, Vol. 39, No. 6, pp. 36-38, 1987.
3. J.M. Schoenung, "Markets for Advanced Ceramics in Engines," Materials and Society, Vol.
13, No. 3, pp 233-246 (1989).
4. J.M. Schoenung, "An Analysis of the Economics of Silicon Nitride Powder Production," Am.
Ceramic Society Bulletin, Vol. 70, No. 1, pp. 112-116, (1991).
5. J. Schoenung, “Cost Modeling and Analysis for Advanced Structural Silicon Nitride
Turbomachinery Ceramics,” Cer Engr and Sci Proc, Vol. 20, Issue 3, pp. 209-216, 1999.
FIVE IMPORTANT PUBLICATIONS:
1. Y. Wu, X. Zeng, E. Lavernia and J.M. Schoenung, "Reactive Atomization of Silicon to Form
In-Situ Oxide Sintering Aids," Metallurgical and Materials Transactions, Vol. 27A, pp.
2115-2121, August 1996.
2. J-C Wuu and J.M. Schoenung, "Synthesis of silicon nitride powder through nitrogen gas
atomization," Journal of Materials Science, 29 (1994) 6259-6267.
3. J. Schoenung, “Advanced Structural Ceramics: Markets and Production Costs,”
Encyclopedia of Materials: Science and Technology, eds. K.H.J. Buschow, R.W. Cahn, M.C.
Flemings, B. Ilschner, E. J. Kramer, and S. Mahajan, Pergamon (Elsevier), Oxford, UK,
2001.
4. J. He, M. Ice, J.M. Schoenung, D.H. Shin, and E.J. Lavernia, “Thermal Stability of
Nanostructured Cr3Cr2-NiCr Coatings,” Journal of Thermal Spray Technology, Vol. 10 (2)
June 2001, pp. 293-300.
5. L. Ajdelsztajn, J.A. Picas, G.E. Kim, F.L. Bastian, and J. Schoenung, “Oxidation Behavior of
HVOF Sprayed Nanocrystalline NiCrAlY Powder,” Materials Science and Engineering A, in
press.
d. SYNERGISTIC ACTIVITIES:
• AT&T Industrial Ecology Faculty Fellow, 2002.
• Max Planck Institut Research Fellowship, 1997.
LIST OF INDUSTRIAL COLLABORATIONS
• Alcan Aluminum Corp., MA; Dow Corning Corp., MI; E.I. dupont de Nemours, DE
Exxon Engineering Research and Development, NJ; Hosokawa Micron International, Inc., NY;
Industry, Science and Technology, Nova Scotia, CANADA; Inland Steel Research Center, IN;
Lockheed Corporation, CA; Nanophase Technologies Corp., IL; National Renewable Energy
Laboratory (U.S. Department of Energy), CO; NERCO Inc. (Northern Energy Resources Corp.),
OR; Praxair, Inc., NY; U.S. Bureau of Mines, Washington D.C.; U.S. Office of Technology
Assessment, Washington, D.C.; Wacker Chemical, MI
e. COLLABORATORS & OTHER AFFILIATIONS:
Ph.D. Dissertation Advisor: Professor J.P. Clark (MIT)
Postdoctoral Advisees: Jianghong He (UC-Irvine)
Graduate Students at UC-Irvine: Anna Ku, Hun-Kyun Bae, Jichun Ye.
Collaborators at UC-Irvine: Professors Oladele Ogunseitan; J-D. Saphores; E.J. Lavernia; F.A.
Mohamed; J. Earthman; Andrew Shapiro.
Collaborators at Other Institutions: Professor S.R. Nutt (USC, Los Angeles); George Kim
(Perpetual Technologies); Virgin Provenzano (NIRL).
BIOGRAPHICAL SKETCH
Jack R. Geibig, P.E.
Senior Research Associate
Center for Clean Products and Clean Technologies
Energy Environment and Resources Center
University of Tennessee,
Knoxville, TN 37996-4134
PROFESSIONAL PREPARATION:
Institution
Wayne State University, Detroit
Major
Chemical Engineering
Degree
University of Tennessee, Knoxville
Civil and Environmental
M.S.
B.S.
Year
1993
2001
Appointments:
University of Tennessee, Center for Clean Products and Clean Technologies, Senior Research
Associate, 1994- present.
Five Closely Related Publications:
•
Socolof, M.L., J.G. Overly, L.E. Kincaid, J.R. Geibig. 2001. Desktop Computer Displays:
A Life-Cycle Assessment, Volume 1 and 2. U.S. Environmental Protection Agency,
Office of Pollution Prevention and Toxics, Washington, D.C.(EPA 744-R-01-004)
•
Geibig, J.R. and M.B. Swanson. 2001. Printed Wiring Board Surface Finishes: Cleaner
Technologies Substitutes Assessment- Volumes I and II. U.S. Environmental Protection
Agency, Office of Pollution Prevention and Toxics, Washington, D.C. (EPA 744-R-01003). <http://www.epa.gov/opptintr/dfe/pubs/pwb/ctsasurf/pwb-pub.htm>
•
Geibig J.R. , Kincaid, L.E., J. Sparks, and W. Miller. 2001. ALife Cycle Management in
the Automotive Supply Chain: Results of a Survey of Saturn Tier 1 Suppliers.@ SAE Total
Life Cycle Conference 2000, Detroit, Michigan. (SAE 2000-01-1463)
•
Kincaid, L.E., J.R. Geibig, and M.B. Swanson. 1997. Printed Wiring Board Cleaner
Technologies Substitutes Assessment: Making Holes Conductive. Volumes I and II.
Design for the Environment Printed Wiring Board Project. U.S. Environmental
Protection Agency (EPA 744-R-97-002)
<http://www.epa.gov/opptintr/dfe/pubs/pwb/ctsa/index.htm>
Five Other Publications:
•
Swanson, M.B., and J.R. Geibig. 2001. Alternative Adhesive Technologies in the Foam
Furniture and Bedding Industries: A Cleaner Technologies Substitutes Assessment.
Volume 2: Risk Screening and Comparison. Draft. U.S. Environmental Protection
Agency, Office of Pollution Prevention and Toxics, Washington, D.C.
<http://eerc.ra.utk.edu/ccpct/aap1.html>
•
K. Wolf, M. Swanson, J. Geibig, J. Sparks, and W. Hanson. 2001. AAlternative Adhesive
Use in Furniture-related Industries: Evaluation of Performance, Cost, and Risk.@
Pollution Prevention Review, Winter.
•
Sawhney, R., M. Upton, and J.R. Geibig.1998. AA Comprehensive Profile for
Benchmarking and Improving Processes Utilizing Simulation Modeling.@ IPC Expo 1998
Proceedings, Long Beach, California.
Synergistic Activities:
•
Worked in partnership with government, industry, and public interest groups to educate
them on cleaner production and life-cycle assessment techniques for electronic products
(since 1995).
•
Conducted seminars with regional industry associations on evaluations of alternative
processes and materials to eliminate thiourea (1997) and lead (2001) from the PWB
manufacturing process.
•
Speaker at industry conferences (IPC Expo 2000, JEDEC Lead-Free Conference 2002 )
on the application of life-cycle assessment and cleaner technology principles to lead use
in electronics.
•
Participated in EPA-sponsored outreach seminars with community worker and
environmental groups on technologies for mitigating occupational and environmental
impacts within the electronics manufacturing sector (1998).
•
Developed research tools for the promotion of clean production principles in the areas of
cleaner technology assessment and supply chain management.
Collaborations and Other Affiliations:
F. Abrams, IPC- Association for Connecting Electronics Industries, Northbrook, IL.
T. Brady, Intel Corporation, Santa Clara, CA.
A. Brinkley, International Business Machines, NY
H. Evans, Electronics Industries Alliance, Arlington, VA.
J. Gleason, Hewlett Packard, Palo Alto, CA
K. Hart, U.S. Environmental Protection Agency, Washington, DC.
R. Herber, Cookson-Fry Technologies, Newark, NJ
C. Keenan, Abt Associates, Cambridge, MA.
L. Kincaid, University of Tennessee, Knoxville, TN.
L. Lockie, South Coast Air Management Quality District, Diamond Bar, CA.
S. Meghreblian, Saturn Corporation, Spring Hill, TN.
W. Miller, General Motors Corporation, Detroit, MI
J. Overly, University of Tennessee, Knoxville, TN.
K. Pierre, U.S. Environmental Protection Agency, Washington, D.C.
D. Singh, U.S. Environmental Protection Agency, Washington, D.C.
M. Socolof, University of Tennessee, Knoxville, TN.
J. Sparks, U.S. Environmental Protection Agency, Washington, D.C.
M. Swanson, University of Tennessee, Knoxville, TN.
K. Wolf, Institute for Research and Technical Assistance, Santa Monica, CA.
Other collaborators and affiliations listed on Conflict of Interest table.
Graduate Advisors:
Dr. Bruce Robinson , University of Tennessee, Knoxville
Dr. Chris Cox, University of Tennessee, Knoxville
ThesisAdvisor/Sponsor during last five years:
M.S. Thesis Project Advisor/Co-Advisor/Sponsor
University of Tennessee- Purshotam Juriasingani, Jennie Ducker, Jeng-Hon Su, Aaron Damrill
University of Lund, Sweden- Ulrika Kindesjo
BIOGRAPHICAL SKETCH
OLADELE A. OGUNSEITAN
a. PROFESSIONAL PREPARATION:
Institution
Major
University of Ife, Nigeria
Microbiology
University of Ife, Nigeria
Microbiology
University of Tennessee, Knoxville Microbiology
University of California, Berkeley Environmental Health Sciences
University of California, Berkeley International Health
Degree
B.Sc.
M.Sc.
Ph.D.
M.P.H.
Certificate
b. APPOINTMENTS:
Year
Title
1999 - 2000 Faculty Fellow
Department
Environment and Natural
Resources Program,
Kennedy School of Government
Location
Harvard University
1999 – 2000 Investigator
Marine Biological Laboratory
Woods Hole, MA
1998 -
Associate Professor
Department of Environmental
Analysis and Design
School of Social Ecology
UC-Irvine
1992 – 1998 Assistant Professor
Department of Environmental
Analysis and Design
School of Social Ecology
UC-Irvine
1990 - 1992
Assistant Research
Professor
Department of Environmental
Analysis and Design
School of Social Ecology
UC-Irvine
1988 - 1990
Postdoctoral
Researcher
Department of Environmental
Analysis and Design
School of Social Ecology
UC-Irvine
Year
1980
1982
1988
1998
1998
c. PUBLICATIONS: (a list of up to 5 publications most related to proposed project and up
to 5 other significant publications)
Five Publications Most Related to the Project
Ogunseitan, O.A., S. Yang, and J.E. Ericson. 2000. Microbial delta-aminolevulinate
dehydratase as a biosensor of lead (Pb) bioavailability in contaminated environments.
Soil Biology and Biochemistry. 32:1899-1906.
Ogunseitan, O.A., S. Yang, and E. Scheinbach. 1999. The delta-aminolevulinate
dehydratase of Vibrio alginolyticus is resistant to lead (Pb). Biological Bulletin 197:283284.
Ogunseitan, O.A. 1998. Protein method for investigating mercuric reductase gene
expression in aquatic environments. Appl. and Environ. Microbiology. 64:695-702.
Chang J., J. Hong, O.A. Ogunseitan, and B.H. Olson. 1993. Interaction of mercuric ions
with the bacterial growth medium and its effect on enzymatic reduction of mercury.
Biotechnology Progress. 9:526-532.
Ogunseitan, O.A. 1992. Redefining the role of environmental microbiology in the new
industrial ecology. Paper presented at the annual conference of the Society for Industrial
Microbiology. San Diego, CA.
Five other publications
Ogunseitan O.A. and B.H. Olson. 1991. Potential for Genetic Enhancement of Bacterial
Detoxification of Mercury Waste. In: Smith, R., and T. Mishra (Editors) Mineral
Bioprocessing. Engineering Foundation. New York.
Ogunseitan, OA. 2002. Episodic bioavailability of environmental mercury: Implications for
the biotechnological control of mercury pollution. African J. Biotechnology 1:1-9
Ogunseitan, O.A. 1999. Microbial proteins as biomarkers of ecosystem health. In K. Scow
et al., (Editors) Integrated Assessment of Ecosystem Health. CRC Press, Boca Raton,
FL.
Ogunseitan, O.A. 2001. Assessing microbial proteomes in the environment. In: Bitton, G.
(ed.) Encyclopedia of Environmental Microbiology. John Wiley & Sons, New York.
Ogunseitan, O.A., J. LeBlanc, and E. Dalmasso. 2001. Microbial community proteomics.
In: Rochelle, P.A. (Ed). Environmental Molecular Microbiology: Protocols and
Applications. New Horizon Scientific Press, England.
d. SYNERGISTIC ACTIVITIES:
The team of faculty submitting this proposal was awarded two consecutive AT&T Industrial
Ecology Faculty Fellowships (2002/2003). The fellowship program helped develop the first
coordinated teaching and research programs on the theme of industrial ecology at UCI. I am
serving as the Principal Investigator for an NSF Biocomplexity (MUSES) planning grant for the
proposal under consideration. I am also serving as PI on a seed grant awarded to the team from
the UC Toxic Substances Research and Teaching Program on the relevance to California of the
topic proposed here. I am serving as the PI for a grant awarded to the team by the UCI
Executive Vice Chancellor’s office to support activities towards a multidisciplinary UCI Center
for Industrial Ecology (2002-2004). This grant will facilitate the cohesiveness of the
interdisciplinary team and the preparation of large multi-investigator proposals on the theme of
industrial ecology. The team will co-teach a graduate course in industrial ecology (2003-2004).
In April 2003, the team will host an international conference on Environmentally Sustainable
Electronics at the Beckman Center for the National Academy of Sciences on the UCI campus.
e. COLLABORATORS & OTHER AFFILIATIONS:
Ph.D. Thesis Advisor: Professor Gary Sayler, University of Tennessee, Knoxville
Post-Doctorate Advisor: Professor Betty H. Olson, University of California, Irvine
My own Graduate and Post-doctorate Advisees: Dr. Peter Noble (Postdoc; Now at UWSeattle); Dr. Qui Xee (Postdoc; Now UCSD); Stacy Yang (Grad. Student; Hong Kong).
Collaborators at UC-Irvine: Professors. J. Schoenung; J.-D. Saphores; A. Shapiro; J. Ericson
Other Collaborators: Professors R. Miller (Oklahoma State); W. Clark (Harvard).
BIOGRAPHICAL SKETCH
JEAN-DANIEL M. SAPHORES
a. PROFESSIONAL PREPARATION:
Institution
Major
Cornell University
Agricultural Economics
Degree
Ph.D.
Year
1997
Cornell University
Economics
M.S.
1994
Cornell University
Environmental Systems Engineering M.S.
1994
University of Colorado, Boulder
Geotechnical Engineering
1989
M.S.
b. APPOINTMENTS:
Assistant Professor, Urban and Regional Planning, UC-Irvine, CA
Assistant Professor, Department of Economics, Université Laval, Québec
Post-Doctoral Fellow, Department of Economics, Université Laval, Québec
Summer Intern, The World Bank, Washington, D.C.
Research/Teaching Assistant, Cornell University, Ithaca, NY
Staff Engineer, Woodward-Clyde Consultants, Denver, CO,
Research/Teaching Assistant, University Of Colorado, Boulder, CO
Staff Engineer, Woodward-Clyde Consultants, Denver, CO
07/00-date
08/97-08/00
01/97-07/97
07/96-09/96
09/91-12/96
09/89-08/91
09/87-08/89
9/86-08/87
c. PUBLICATIONS: (a list of up to 5 publications most related to proposed project and up
to 5 other significant publications)
Saphores, J.-D. and P. Carr, "Real Options and the Timing of Implementation of Emission
Limits Under Ecological Uncertainty," in Project Flexibility, Agency, and Competition:
New Developments in the Theory and Applications in Real Options, M. Brennan and L.
Trigeorgis, eds. (Oxford University Press, 2000).
Saphores J.-D., L. Khalaf, and D. Pelletier, “On ARCH and Jumps in Natural Resource
Prices, An Application To Pacific Northwest Stumpage Prices,” American Journal of
Agricultural Economics, forthcoming.
Meyburg A.H., J.-D. Saphores, and R.E. Schuler, “The Economic Impacts of a DivisibleLoad Permit System for Heavy Vehicles,” Transportation Research, Part A, 32A.2
(February 1998).
Saphores J.-D., “The Economic Threshold with a Stochastic Pest Population: A Real Options
Approach,” American Journal of Agricultural Economics 82, 541-555.
Saphores J.-D., and B. Bakshi, “Global Warming, Forests, and Biodiversity,” Energy
Studies Review, forthcoming.
Additional Publications
Meyburg A.H., J.-D. Saphores, and R.E. Schuler, “Collecting Usage Data for Analyzing a
Heavy Vehicles Divisible Load Permit,” Transportation Research Board (TRB) Record
(January, 1996).
Pak R.Y.S. and J.-D. Saphores, “Rocking Rotation of a Rigid Disc in a Half-Space,”
International Journal of Solids and Structures, 28.3 (1991) 389-401.
Pak R.Y.S. and J.-D. Saphores, “Torsion of a Rigid Disc in a Half-Space,” International
Journal of Engineering Science, 29.1 (1991) 1-12.
Pak R.Y.S. and J.-D. Saphores, “On the Response of a Partially Embedded Rod to
Axial Load,” Journal of Applied Mechanics, 58 (June 1991) 599-602.
d. SYNERGISTIC ACTIVITIES:
Co-organizer of an International Colloquium on “Ecology and Economics,” (“3èmes Journées
du GREEN-CIRANO”) in Québec City, December 3-4, 1999.
AT&T Industrial Ecology Faculty Fellow, 2002.
Member: American Economic Association
Association of Environmental and Resource Economists
American Association of Agricultural Economists
Canadian Economic Association
Western Economic Association
e. COLLABORATORS & OTHER AFFILIATIONS:
Masters Thesis and Ph.D. Dissertation Advisors at Cornell University: Professors Jon
Conrad; David Ruppert; William Schultze; Peter Carr; Jean-Thomas Bernad (France);
Joseph Doucet (France).
Graduate Students Supervised at UC-Irvine: Rams Kanouni; Hilary Nixon; Ismael
Aguilar.
Other Collaborators at UC-Irvine: Professors Marlon Boarnet; Luis Suarez-Villa; Dele
Ogunseitan; Julie Schoenung; Andrew Shapiro.
BIOGRAPHICAL SKETCH
ANDREW SHAPIRO
a. PROFESSIONAL PREPARATION:
Institution
University of California, Berkeley
Major
Chemical Engineering,
Degree
B.S.
Year
1981
University of California, Los Angeles
Materials Science
and Engineering
M.S.
1989
University of California, Irvine
Materials Science
and Engineering
Ph.D.
1998
b. APPOINTMENTS:
Year
Title
2000–present
Assistant Adjunct Professor
1998 – 2000
Lecturer
Department,
Chemical Engineering
and Materials Science
Location
UC-Irvine
Chemical Engineering
and Materials Science
UC-Irvine
c. PUBLICATIONS: (a list of up to 5 publications most related to proposed project and up
to 5 other significant publications)
(In order of relevance to proposal)
“Stress Testing of a Recrystallizing CaO-B2O3-SiO2 Glass Ceramic with Ag Electrodes for High
Frequency Packaging”, with N. Kubota, K. Yu and M.L. Mecartney, Journal of Electronic
Materials, April 2001.
“The Effect of Environmental Conditions on Thick Film High Temperature Superconducting
YBa2Cu3Ox.” Proceedings, ISHM International Symposium on Microelectronics. Baltimore,
October 1989, p.24.
“An Investigation in Delamination in High Density Multilayer Interconnect (HDMI) Circuits”
Proceedings, The DuPont Symposium on Polymers in Microelectronics, May 1998, with S.
Greiner, S. Bagen and Y. Kim.
“A Comparison of Microstrip Models to Low Temperature Cofired Ceramic - Silver Microstrip
Measurements, with M.L. Mecartney and H.P. Lee ” manuscript in press, Microelectronics
Journal.
“Packaging Materials for High Frequency Applications.” Proceedings, ETRONIX, Anaheim,
February 2001, with F.G.Shi and J.Q.Huang.
“Mixing it Up with OC-192 CMOS Transceivers.” Communications Systems Design,
December 2000, p75 with M. Green and A. Hairapetian.
“Process-Structure-Property Relationships in Recrystallizing CaO-B2O3-SiO2 Low Temperature
Cofired Ceramic for Microelectronic Packaging,” Dielectric Ceramic Materials, American
Ceramic Society, Westerville Ohio, May 1999, with H.P. Lee and M.L. Mecartney.
“The Integration of Passive Components into MCMs Using Advanced Low-Temperature Cofired
Ceramics.” The International Journal of Microcircuits & Electronic Packaging. Volume 16,
Number 4, Fourth Quarter 1993 p.328, with R. Brown and P.W. Polinski.
“Towards Model-Based Engineering of Underfill Materials: CTE Modeling,” manuscript in
press, with H.T. Vo, M. Todd, F.G. Shi, M. Edwards, Microelectronics Journal, April 2001.
“Oxide Films for the Protection of Cuprate Superconductors.” Proceedings, Materials Research
Society Symposium. Volume 169, 1990, with R. Baney, D. Bergstrom, L. Carpenter, D. Peterson,
D.F. Elwell, and P.S. Fleischner.
d. SYNERGISTIC ACTIVITIES:
05/95 - Present
Consultant, Electronic and Photonic Materials
A. A. Shapiro and Associates, Orange, California
06/01 – 03/02
Director of Packaging Engineering, VSK Photonics, Lake
Forest, CA
03/00 – 06/01
Principal Scientist, Broadcom, Irvine, California
03/99 – 03/00
Program Manager,
California Institute of Technology
Jet Propulsion Laboratory, Pasadena, California
09/84 - 02/99
Program Manager,
Semiconductor Operations
Hughes Aircraft Company, Newport Beach, California
04/82 – 09/84
Member Technical Staff, Materials and Process Laboratories
Rockwell International, Anaheim, California
AT & T Faculty Fellowship; Educational Committee Member AcerS; Educational
Committee Member IMAPS; Session Chair – TMS National Meeting; Session Chair –
IMAPS SoCal/JPL Meeting; Committee Member ECTC Optoelectronics; Committee
Member NEMI Optical Electronics Technical Working Group.
e. COLLABORATORS & OTHER AFFILIATIONS:
Masters Thesis Advisor: Professor C.N.J. Wagner (UCLA)
Ph.D. Dissertation Advisor: Professor M.L. Mecartney (UCI)
Graduate Students Supervised: Michael Todd (UC-Irvine)
Other Collaborators at UC-Irvine: Professors Dele Ogunseitan; Julie Schoenung; JeanDaniel Saphores; Frank Shi; Henry Lee.
Collaborators at other institutions: Professor Joseph Dougherty, Penn State University
BIOGRAPHICAL SKETCH
Maria Leet Socolof
Senior Research Associate
Center for Clean Products and Clean Technologies
Energy Environment and Resources Center
University of Tennessee,
Knoxville, TN 37996-4134
Professional Preparation:
Connecticut College, New London, CT, Ecology/Environmental Studies, B.A. cum laude 1987
Harvard School of Public Health, Boston, MA, Environmental Health Management, M.S. 1991
Appointments:
• University of Tennessee, Center for Clean Products and Clean Technologies, Senior Research
Associate, 1997- present
• Oak Ridge National Laboratory, Oak Ridge, TN, Environmental Health Scientist, 1991-1997
• Science Applications International Corporation, Tysons Corner, VA, Environmental Analyst, 19871991
Five Closely Related Publications:
• Socolof, M.L., J.G. Overly, L.E. Kincaid, J.R. Geibig. Desktop Computer Displays: A Life-Cycle
Assessment, Volume 1 and 2. EPA 744-R-01-004a,b, December 2001.
• Socolof, M.L., L.E. Kincaid, C. Mizuki, G. Schuldt, K. Hart, and D. Singh. “CRT and LCD
Monitor and Process Materials Evaluated for Environmental Improvement,” Journal of the
Society for Information Display, Volume, Number 1, 2001, p. 45-50.
• Socolof, M.L., J. G. Overly, L.E. Kincaid, D. Singh, and K. Hart. “Preliminary Life-Cycle
Assessment Results for the Design for the Environment Computer Display Project,” 2000 IEEE
International Symposium on Electronics and the Environment, p. 290-297. Institute of Electrical
and Electronics Engineers, Inc., San Francisco, CA, May, 2000.
• Socolof, M.L., M. B. Swanson, L. E. Kincaid, K. Hart, and D. Singh. “An Environmental LifeCycle Design Tool for Assessing Product Improvement of CRT and LCD Computer Monitors,”
1999 IEEE International Symposium on Electronics and the Environment, p. 232-237. Institute
of Electrical and Electronics Engineers, Inc., Danvers, MA, May, 1999.
• Socolof, M.L., L, Kincaid, C. Mizuki, G. Schuldt, K. Hart, and D. Singh. “CRT and LCD
Monitor Process Materials Evaluated for Environmental Improvement,” Display Works 99
Manufacturing Technology Conference Digest, San Jose, CA, February 3-4, 1999.
Five Other Publications:
• Kelly, K., J.G. Overly, M.L. Socolof, and G.A. Davis. “Environmental Evaluation of Molding
Exterior Body Panels in Color,” Society of Automotive Engineers, Inc., August, 1998.
• Socolof, M.L., R.E. Saylor, and L.N. McCold. "Replacement of Chlorofluorocarbons (CFCs) at
the DOE Gaseous Diffusion Plants: An Assessment of Global Impacts," Environmental Impact
Assessment Review, Volume 17, Number 1, January 1997.
• Lombardi, D.A. and M.L. Socolof. “An Assessment of Radionuclide Emissions Associated with
Potential Mixed-Low Level Waste Disposal Facilities at Fifteen DOE Sites,” 96-TP58.02,
Proceedings of the Air and Waste Management Association, June, 1996, Nashville, Tenn.
• Socolof, M.L. and D.W. Lee. Radiological Dose Assessment of Department of Energy Pinellas
Plant Waste Proposed for Disposal at Laidlaw Environmental Services of South Carolina, Inc.
ORNL/TM-13224. May, 1996.
1
•
Socolof, M.L., D.W. Lee, and D.C. Kocher. Radiological Dose Assessment of Department of
Energy Pinellas Plant Waste Proposed for Disposal at United States Pollution Control, Inc., in
Tooele County, Utah. ORNL/TM-13223. May, 1996.
Synergistic Activities:
• Work in partnership with industry, public interest groups, and government to educate them in the
process of evaluating life-cycle impacts of electronics products (since 1997). • Invited as Peer Review Panelist for the Green Blue Institute’s eDesign Challenge for the design
of electronics products (2002-3).
• Speaker at Display Works and IEEE Conferences on life-cycle assessment and electronics
(1999).
• Conducted a Life-Cycle Assessment Educational Training Session to the EPA Design for the
Environment Program staff (1998).
• Member of Delegation, associated with the Society of Risk Analysis, attending an Environmental
Conference in Moscow, Russia (1994) designed to exchange cross-cultural information and
knowledge of global and regional environmental concerns.
Collaborations and Other Affiliations during last 48 months:
F. Abrams, IPC—Association Connecting Electronics Industries, Northbrook, IL
G. Davis, The Conservancy, Naples, FL
R. Dodds, Sony Electronics Inc., San Diego, CA
H. Evans, Electronic Industries Alliance, Arlington, VA
J. Geibig, University of Tennessee, Knoxville, TN
E. Harriman, University of Lowell, Toxics Use Reduction Institute, Lowell, MA
K. Hart, U.S. Environmental Protection Agency, Washington, DC
C. Keenan, Abt Associates, Cambridge, MA
K. Kelly, University of Tennessee, Knoxville, TN
L. Kincaid, University of Tennessee, Knoxville, TN
W. Lopez, Asian Technology Information Program, Albuquerque, NM
F. Marella, Sharp Electronics, Mahwah, NJ
J. G. Overly, University of Tennessee, Knoxville, TN
R. Ross, Oak Ridge National Laboratory, Oak Ridge, TN
D. Singh, U.S. Environmental Protection Agency, Washington, DC
M. B. Swanson, University of Tennessee, Knoxville, TN
Dr. K. Goto, Asian Technology Information Program, Tokyo, Japan
Graduate Advisor:
Dr. P. B. Ryan, Emory University, Atlanta, Georgia (Formerly of the Harvard School of Public Health,
Boston, MA), (M.S. Advisor, 1989-1991)
Thesis Advisor/Sponsor during last 5 years:
M.S. Thesis Project Advisor/Co-Advisor/Examiner
• C. Lasher, Chemical Engineering, University of Tennessee (1998-99)
• B. Haywood, Environmental Engineering, University of Tennessee (Co-advisor, 1997-8)
Undergraduate Project Advisor
• B. Weeks, Civil Engineering, University of Tennessee (2002-2003)
• Phillip Gillenwater, Civil Engineering, University of Tennessee (2000-2001)
2
SUMMARY
YEAR 1
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of California-Davis
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Julie M Schoenung
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Julie M Schoenung - Associate Professor
0.00 0.00
2.
3.
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 1 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 1 ) POST DOCTORAL ASSOCIATES
8.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
Equipment
$
1.00
$
Funds
granted by NSF
(if different)
11,345
0.00
1.00
0
11,345
0.00
0.00
23,533
0
23,299
0
0
0
58,177
7,783
65,960
$
6,000
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
6,000
7,500
2,000
0
5,176
700
0
0
255,000
6,092
266,968
348,428
MTDC (Rate: 48.5000, Base: 106335)
TOTAL INDIRECT COSTS (F&A)
51,572
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
400,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
400,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Julie M Schoenung
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
1 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
YEAR 2
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of California-Davis
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Julie M Schoenung
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Julie M Schoenung - Associate Professor
0.00 0.00
2.
3.
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 1 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 1 ) POST DOCTORAL ASSOCIATES
7.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
1.00
$
Funds
granted by NSF
(if different)
11,912
0.00
1.00
0
11,912
0.00
0.00
21,678
0
24,463
0
0
0
58,053
7,598
65,651
$
0
7,500
4,000
0
1,748
500
0
0
275,000
7,092
284,340
361,491
MTDC (Rate: 48.5000, Base: 79399)
TOTAL INDIRECT COSTS (F&A)
38,509
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
400,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
400,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Julie M Schoenung
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
2 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
YEAR 3
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of California-Davis
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Julie M Schoenung
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Julie M Schoenung - Associate Professor
0.00 0.00
2.
3.
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 1 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 1 ) POST DOCTORAL ASSOCIATES
7.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
1.00
$
Funds
granted by NSF
(if different)
12,508
0.00
1.00
0
12,508
0.00
0.00
22,762
0
25,687
0
0
0
60,957
8,092
69,049
$
0
7,500
0
0
1,677
500
0
0
275,000
8,092
285,269
361,818
MTDC (Rate: 48.5000, Base: 78726)
TOTAL INDIRECT COSTS (F&A)
38,182
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
400,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
400,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Julie M Schoenung
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
3 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
YEAR 4
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of California-Davis
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Julie M Schoenung
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Julie M Schoenung - Associate Professor
0.00 0.00
2.
3.
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 1 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 1 ) POST DOCTORAL ASSOCIATES
5.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
1.00
$
Funds
granted by NSF
(if different)
13,133
0.00
1.00
0
13,133
0.00
0.00
17,215
0
26,971
0
0
0
57,319
6,926
64,245
$
0
7,500
4,000
0
1,608
700
0
0
275,000
9,092
286,400
362,145
MTDC (Rate: 48.5000, Base: 78052)
TOTAL INDIRECT COSTS (F&A)
37,855
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
400,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
400,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Julie M Schoenung
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
4 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
YEAR 5
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of California-Davis
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Julie M Schoenung
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Julie M Schoenung - Associate Professor
0.00 0.00
2.
3.
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 1 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 1 ) POST DOCTORAL ASSOCIATES
5.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
0.75
$
Funds
granted by NSF
(if different)
10,342
0.00
0.75
0
10,342
0.00
0.00
18,075
0
28,319
0
0
0
56,736
6,834
63,570
$
0
7,500
4,000
0
1,609
700
0
0
275,000
10,092
287,401
362,471
MTDC (Rate: 48.5000, Base: 77379)
TOTAL INDIRECT COSTS (F&A)
37,529
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
400,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
400,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Julie M Schoenung
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
5 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
Cumulative
FOR NSF USE ONLY
PROPOSAL BUDGET
ORGANIZATION
PROPOSAL NO.
University of California-Davis
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
DURATION (months)
Proposed Granted
AWARD NO.
Julie M Schoenung
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Julie M Schoenung - Associate Professor
0.00 0.00
2.
3.
4.
5.
6. (
) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 1 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 5 ) POST DOCTORAL ASSOCIATES
32.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 5 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
$
4.75
$
Funds
granted by NSF
(if different)
59,240
0.00
4.75
0
59,240
0.00
0.00
103,263
0
128,739
0
0
0
291,242
37,233
328,475
$
6,000
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
6,000
37,500
14,000
0
11,818
3,100
0
0
1,355,000
40,460
1,410,378
1,796,353
TOTAL INDIRECT COSTS (F&A)
203,647
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
2,000,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$ 2,000,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Julie M Schoenung
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
C *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
Budget Justification - UCD
A. Senior Personnel
Julie M. Schoenung: Salary was calculated based on summer time allocated @ $
11,345/month for the first year, with an annual COLA increase of 5.0%.
B. Other Personnel:
TBN Postdoctoral Researcher: Salary was calculated based on calendar time allocated @
$2942/month for the first year, with an annual COLA increase of 5.0%.
TBN Graduate Student Researcher: one year = $23,299/yr for the first year, with an
annual COLA increase of 5.0%.
C. Fringe Benefits
Fringe benefits were calculated using the established benefit rates: 12.7% for faculty
(summer), 22.66% (increasing annually by 5.0%) for postdoctoral researchers, and 4.3%
for graduate student researchers.
D. Equipment
Equipment charges include a site license to a life-cycle software tool such as GaBi v.4 or
SimaPro estimated at @ $6000.
E. Travel – Domestic
Travel expenses were estimated for anticipated trips to conferences, data sources and/or
project review meetings: annually, one domestic trip per team member (3) @ $1500 per
trip; plus two trips to UCI per team member (3) @ $500 per trip.
E. Travel – Foreign
Travel expenses were estimated for anticipated trips to meet with collaborators, data
sources and/or conferences: cost per trip abroad @ $2000; variable by year: one trip in
first year, none in year three, two in each of years two, four, and five.
G. Other Direct Costs
1. Materials and supplies will cover a computer workstation in year one, plus office
supplies and other miscellaneous expenses (e.g. mail, copy services, and telephone calls)
for all five years.
2. Publications/Documentation/Dissemination is estimated to include printing of
publications and project reports, as well as materials for outreach and education.
6. Other costs include tuition and fees calculated based on the current rate of $6092/yr for
domestic graduate tuition and fees, and an estimated $1000 per year increase for each
year of the five year project period.
I. Indirect Costs (MTDC)
MTDC is 48.5% of the total direct costs, excluding graduate tuition and fees and
subcontracts (less the first $25,000). The indirect cost rates are calculated in accordance
with OMB Circular A-21, and have been approved by our cognizant federal agency, the
Department of Health and Human Services.
SUMMARY
YEAR 1
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of California-Irvine
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Oladele A Ogunseitan
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Oladele A Ogunseitan - Associate Professor
0.00 0.00
2. Jean-Daniel M Saphores - Assistant Professor
0.00 0.00
3. Andrew A Shapiro - Adjunct Assistant Professor
0.00 0.00
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 3 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 1 ) POST DOCTORAL ASSOCIATES
12.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
1.00
1.00
1.00
$
Funds
granted by NSF
(if different)
7,650
6,823
7,333
0.00
3.00
0
21,806
0.00
0.00
39,425
0
20,096
0
0
0
81,327
15,891
97,218
$
0
2,000
1,000
0
7,439
0
0
0
0
0
7,439
107,657
F&A (Rate: 51.5000, Base: 101637)
TOTAL INDIRECT COSTS (F&A)
52,343
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
160,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
160,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Oladele A Ogunseitan
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
1 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
YEAR 2
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of California-Irvine
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Oladele A Ogunseitan
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Oladele A Ogunseitan - Associate Professor
0.00 0.00
2. Jean-Daniel M Saphores - Assistant Professor
0.00 0.00
3. Andrew A Shapiro - Adjunct Assistatnt Professor
0.00 0.00
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 3 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 1 ) POST DOCTORAL ASSOCIATES
12.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
1.00
1.00
1.00
$
Funds
granted by NSF
(if different)
7,803
6,959
7,479
0.00
3.00
0
22,241
0.00
0.00
40,214
0
20,499
0
0
0
82,954
16,268
99,222
$
0
2,000
1,000
0
14,400
996
0
0
0
0
15,396
117,618
F&A (Rate: 51.5000, Base: 111421)
TOTAL INDIRECT COSTS (F&A)
57,382
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
175,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
175,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Oladele A Ogunseitan
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
2 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
YEAR 3
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of California-Irvine
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Oladele A Ogunseitan
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Oladele A Ogunseitan - Associate Professor
0.00 0.00
2. Jean-Daniel M Saphores - Assistant Professor
0.00 0.00
3. Andrew A Shapiro - Adjunct Assistant Professor
0.00 0.00
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 3 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 1 ) POST DOCTORAL ASSOCIATES
12.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
1.00
1.00
1.00
$
Funds
granted by NSF
(if different)
7,959
7,338
7,629
0.00
3.00
0
22,926
0.00
0.00
41,018
0
20,909
0
0
0
84,853
16,686
101,539
$
0
2,000
1,000
0
10,525
2,250
0
0
0
0
12,775
117,314
F&A (Rate: 52.0000, Base: 110934)
TOTAL INDIRECT COSTS (F&A)
57,686
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
175,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
175,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Oladele A Ogunseitan
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
3 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
YEAR 4
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of California-Irvine
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Oladele A Ogunseitan
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Oladele A Ogunseitan
0.00 0.00
2. Jean-Daniel M Saphores
0.00 0.00
3. Andrew A Shapiro - Adjunct Assistant Professor
0.00 0.00
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 3 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 1 ) POST DOCTORAL ASSOCIATES
12.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
1.00
1.00
1.00
$
Funds
granted by NSF
(if different)
8,724
7,484
7,782
0.00
3.00
0
23,990
0.00
0.00
41,838
0
21,326
0
0
0
87,154
17,160
104,314
$
0
2,000
1,000
0
8,706
1,000
0
0
0
0
9,706
117,020
F&A (Rate: 52.5000, Base: 110439)
TOTAL INDIRECT COSTS (F&A)
57,980
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
175,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
175,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Oladele A Ogunseitan
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
4 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
YEAR 5
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of California-Irvine
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Oladele A Ogunseitan
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Oladele A Ogunseitan - associate Professor
0.00 0.00
2. Jean-Daniel M Saphores - Assistant Professor
0.00 0.00
3. Andrew A Shapiro - Adjunct Assistant Professor
0.00 0.00
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 3 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 1 ) POST DOCTORAL ASSOCIATES
12.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
1.00
1.00
1.00
$
Funds
granted by NSF
(if different)
8,898
7,634
7,937
0.00
3.00
0
24,469
0.00
0.00
42,675
0
21,754
0
0
0
88,898
17,570
106,468
$
0
2,000
1,000
0
5,619
2,000
0
0
0
0
7,619
117,087
F&A (Rate: 52.5000, Base: 110310)
TOTAL INDIRECT COSTS (F&A)
57,913
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
175,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
175,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Oladele A Ogunseitan
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
5 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
Cumulative
FOR NSF USE ONLY
PROPOSAL BUDGET
ORGANIZATION
PROPOSAL NO.
University of California-Irvine
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
DURATION (months)
Proposed Granted
AWARD NO.
Oladele A Ogunseitan
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
ACAD SUMR
1. Oladele A Ogunseitan
0.00 0.00 5.00 $
2. Jean-Daniel M Saphores
0.00 0.00 5.00
3. Andrew A Shapiro - Adjunct Assistant Professor
0.00 0.00 5.00
4.
5.
6. (
) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00 0.00
7. ( 3 ) TOTAL SENIOR PERSONNEL (1 - 6)
0.00 0.00 15.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 5 ) POST DOCTORAL ASSOCIATES
60.00 0.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00 0.00
3. ( 5 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
TOTAL PARTICIPANT COSTS
Funds
Requested By
proposer
Funds
granted by NSF
(if different)
41,034
36,238
38,160
$
0
115,432
205,170
0
104,584
0
0
0
425,186
83,575
508,761
0
10,000
5,000
0
46,689
6,246
0
0
0
0
52,935
576,696
TOTAL INDIRECT COSTS (F&A)
283,304
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
860,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
860,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Oladele A Ogunseitan
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
C *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
BUDGET JUSTIFICATION FOR THE UNIVERSITY OF CALIFORNIA, IRVINE (UCI)
Data collection, analysis, modeling and report writing will take place at the UCI departments of
Environmental Analysis and Design, Chemical Engineering and Materials Science, and Urban and
Regional Planning. T he research office for the multidisciplinary group will be in room 254 of the Social
Ecology building on the UCI main campus. All salaries and wages were estimated using UCI’s academic
and staff salary scales. Anticipated cost of living increases effective 10/01/03 are 2% for academic
personnel and staff. Where appropriate, merit increases are included in the calculations.
A. SENIOR PERSONNEL:
$ 115,432
Sub-Award Principal Investigator Dr. Oladele Ogunseitan will serve as the principal investigator for the
UCI sub-award on the research. He will lead the organization of the research group at UCI, and he will be
responsible for coordinating parallel activities with the PIs at UC-Davis and the University of Tennessee.
He will conduct the health and environmental assessment component of the study. Dr. Ogunseitan is hired
on a 9-month academic appointment and is requesting one-month summer salary support per year.
Sub-Award Co-Principal Investigator Dr. Jean-Daniel Saphores was trained as an economist and an
engineer. He will conduct the analysis for the economy sector component of the project. Dr. Saphores is
hired on a 9-month academic appointment and is requesting one-month summer salary support per year.
Sub-Award Co-Principal Investigator Dr. Andrew Shapiro is a material scientist with extensive
experience in the microelectronics industry. He will conduct the comparative assessment of material
performance and manufacturing preferences for the project. He will evaluate the costs and benefits of
alternative solders employed in the electronics industry. Dr. Shapiro is an adjunct Professor at UCI and he
maintains employment at the Jet Propulsion Laboratory at CalTech. Dr. Shapiro is hired on a 9-month
academic appointment and is requesting one-month summer salary support per year.
B. OTHER PERSONNEL:
$309,754
Postdoctoral Researcher, Level VI (To be appointed). Funds for one postdoctoral researcher at 100% year
round at level VI, are requested. The researcher will conduct research on modeling tradeoffs associated
with health and environmental impacts associated with the toxic metals in electronics products.
Graduate Student Researcher II (To be appointed). Funds are requested for a graduate student at 50%
during the academic year and 100% during the summers. The student will work on modeling economic
tradeoffs associated with alternative metal alloys and end-of-life management of electronic wastes.
C. FRINGE BENEFITS:
$ 83,575
Benefits rates used in this proposal are 17% of salary for academic personnel during the academic year;
12.7% of salary for academic personnel during the summer; 1.3% for student employees during the
academic year and 3% of salary for students employed during the summer.
Other costs include tuition and fees for graduate student, calculated based on the current rate of $6,021.
Employee benefits were estimated using the composite rates agreed upon by the UC Office of the
President and the DHHS Audit Agency, the Cognizant Audit Agency for the UC System.
D. TRAVEL:
$ 15,000
Funds are requested to support domestic and foreign travel for the research personnel, to present research
results at international scientific conferences, and to participate in NSF MUSES workshops.
E. OTHER DIRECT COSTS:
$ 52,935
1. Materials and Supplies: Databases: We will purchase and update software and database for
disaggregated materials Life Cycle Assessment, and Decision analysis software, including outranking and
multi-criteria partial ordering software, multi-criteria optimization software, risk analysis and simulation
software and decision tree and influence diagram software.
2. Publication Costs/Document Dissemination: Additional supplies include data storage compact discs,
publication costs, page charges, photocopying, mailing and communication charges.
F. TOTAL DIRECT COSTS:
$576,696
G. INDIRECT COSTS:
$283,304
F&A COSTS: Facilities and Administrative costs were estimated according to indirect cost rates of
51.5% (yrs 1-2), 52.0% (yr 3) and 52.5% (yrs 4-5) MTDC. The MTDC base excludes tuition. UCI’s
indirect cost rate agreement was approved by DHHS on 12-05-01 and valid through 06-30-06.
SUMMARY
YEAR 1
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of Tennessee Knoxville
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Jack R Geibig
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Jack R Geibig
4.50 0.00
2. Maria Leet-Socolof
3.00 0.00
3.
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 2 ) TOTAL SENIOR PERSONNEL (1 - 6)
7.50 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 0 ) POST DOCTORAL ASSOCIATES
0.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
$
Software
0.00
0.00
$
Funds
granted by NSF
(if different)
18,981
15,334
0.00
0.00
0
34,315
0.00
0.00
0
0
6,900
0
0
0
41,215
9,883
51,098
$
5,700
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
5,700
5,200
0
0
1,350
480
0
0
0
2,450
4,280
66,278
University Indirect Costs (Rate: 45.0000, Base: 63827)
TOTAL INDIRECT COSTS (F&A)
28,722
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
95,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
95,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Jack R Geibig
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
1 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY PROPOSAL BUDGET COMMENTS - Year 1
** B-3 Graduate Students
Grad Student for 1/2 of year only
** D- Equipment
** G-6 Other
Graduate fees for 1/2 year only
SUMMARY
YEAR 2
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of Tennessee Knoxville
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Jack R Geibig
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Jack R Geibig
4.30 0.00
2. Maria Leet-Socolof
3.00 0.00
3.
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 2 ) TOTAL SENIOR PERSONNEL (1 - 6)
7.30 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 0 ) POST DOCTORAL ASSOCIATES
0.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
$
equipment item 1
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
0.00
0.00
$
Funds
granted by NSF
(if different)
18,137
15,335
0.00
0.00
0
33,472
0.00
0.00
0
0
13,800
0
0
0
47,272
9,922
57,194
$
0
0
6,500
0
0
1,280
405
0
0
0
5,200
6,885
70,579
University Indirect Cost (Rate: 45.0000, Base: 65379)
TOTAL INDIRECT COSTS (F&A)
29,421
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
100,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
100,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Jack R Geibig
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
2 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
YEAR 3
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of Tennessee Knoxville
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Jack R Geibig
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Jack R Geibig
4.25 0.00
2. Maria Leet-Socolof
3.00 0.00
3.
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 2 ) TOTAL SENIOR PERSONNEL (1 - 6)
7.25 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 0 ) POST DOCTORAL ASSOCIATES
0.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
$
equipment item 1
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
0.00
0.00
$
Funds
granted by NSF
(if different)
17,927
15,335
0.00
0.00
0
33,262
0.00
0.00
0
0
13,800
0
0
0
47,062
9,863
56,925
$
0
0
6,500
0
0
1,280
398
0
0
0
5,600
7,278
70,703
University Indirect Cost (Rate: 45.0000, Base: 65104)
TOTAL INDIRECT COSTS (F&A)
29,297
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
100,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
100,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Jack R Geibig
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
3 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
YEAR 4
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of Tennessee Knoxville
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Jack R Geibig
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Jack R Geibig
4.20 0.00
2. Maria Leet-Socolof
3.00 0.00
3.
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 2 ) TOTAL SENIOR PERSONNEL (1 - 6)
7.20 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 0 ) POST DOCTORAL ASSOCIATES
0.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
$
equipment item 1
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
0.00
0.00
$
Funds
granted by NSF
(if different)
17,716
15,335
0.00
0.00
0
33,051
0.00
0.00
0
0
13,800
0
0
0
46,851
9,804
56,655
$
0
0
6,500
0
0
1,230
408
0
0
0
6,050
7,688
70,843
University Indirect Cost (Rate: 45.0000, Base: 64793)
TOTAL INDIRECT COSTS (F&A)
29,157
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
100,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
100,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Jack R Geibig
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
4 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
YEAR 5
PROPOSAL BUDGET
FOR NSF USE ONLY
PROPOSAL NO.
DURATION (months)
Proposed Granted
AWARD NO.
ORGANIZATION
University of Tennessee Knoxville
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
Jack R Geibig
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Jack R Geibig
4.00 0.00
2. Maria X Leet-Socolof
2.90 0.00
3.
4.
5.
6. ( 0 ) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 2 ) TOTAL SENIOR PERSONNEL (1 - 6)
6.90 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 0 ) POST DOCTORAL ASSOCIATES
0.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 1 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
$
equipment item 1
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
0.00
0.00
$
Funds
granted by NSF
(if different)
16,872
14,824
0.00
0.00
0
31,696
0.00
0.00
0
0
13,800
0
0
0
45,496
9,425
54,921
$
0
0
7,800
0
0
1,280
454
0
0
0
6,540
8,274
70,995
University Indirect Cost (Rate: 45.0000, Base: 64455)
TOTAL INDIRECT COSTS (F&A)
29,005
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
100,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
100,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Jack R Geibig
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
5 *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
SUMMARY
Cumulative
FOR NSF USE ONLY
PROPOSAL BUDGET
ORGANIZATION
PROPOSAL NO.
University of Tennessee Knoxville
PRINCIPAL INVESTIGATOR / PROJECT DIRECTOR
DURATION (months)
Proposed Granted
AWARD NO.
Jack R Geibig
A. SENIOR PERSONNEL: PI/PD, Co-PI’s, Faculty and Other Senior Associates
(List each separately with title, A.7. show number in brackets)
NSF Funded
Person-mos.
CAL
1. Jack R Geibig
21.25 0.00
2. Maria Leet-Socolof
12.00 0.00
3. Maria X Leet-Socolof
2.90 0.00
4.
5.
6. (
) OTHERS (LIST INDIVIDUALLY ON BUDGET JUSTIFICATION PAGE)
0.00 0.00
7. ( 3 ) TOTAL SENIOR PERSONNEL (1 - 6)
36.15 0.00
B. OTHER PERSONNEL (SHOW NUMBERS IN BRACKETS)
1. ( 0 ) POST DOCTORAL ASSOCIATES
0.00 0.00
2. ( 0 ) OTHER PROFESSIONALS (TECHNICIAN, PROGRAMMER, ETC.)
0.00 0.00
3. ( 5 ) GRADUATE STUDENTS
4. ( 0 ) UNDERGRADUATE STUDENTS
5. ( 0 ) SECRETARIAL - CLERICAL (IF CHARGED DIRECTLY)
6. ( 0 ) OTHER
TOTAL SALARIES AND WAGES (A + B)
C. FRINGE BENEFITS (IF CHARGED AS DIRECT COSTS)
TOTAL SALARIES, WAGES AND FRINGE BENEFITS (A + B + C)
D. EQUIPMENT (LIST ITEM AND DOLLAR AMOUNT FOR EACH ITEM EXCEEDING $5,000.)
$
0.00
0.00
0.00
$
Funds
granted by NSF
(if different)
89,633
61,339
14,824
0.00
0.00
0
165,796
0.00
0.00
0
0
62,100
0
0
0
227,896
48,897
276,793
$
5,700
TOTAL EQUIPMENT
E. TRAVEL
1. DOMESTIC (INCL. CANADA, MEXICO AND U.S. POSSESSIONS)
2. FOREIGN
F. PARTICIPANT SUPPORT COSTS
0
1. STIPENDS
$
0
2. TRAVEL
0
3. SUBSISTENCE
0
4. OTHER
TOTAL NUMBER OF PARTICIPANTS
(
0)
G. OTHER DIRECT COSTS
1. MATERIALS AND SUPPLIES
2. PUBLICATION COSTS/DOCUMENTATION/DISSEMINATION
3. CONSULTANT SERVICES
4. COMPUTER SERVICES
5. SUBAWARDS
6. OTHER
TOTAL OTHER DIRECT COSTS
H. TOTAL DIRECT COSTS (A THROUGH G)
I. INDIRECT COSTS (F&A)(SPECIFY RATE AND BASE)
Funds
Requested By
proposer
ACAD SUMR
TOTAL PARTICIPANT COSTS
5,700
32,500
0
0
6,420
2,145
0
0
0
25,840
34,405
349,398
TOTAL INDIRECT COSTS (F&A)
145,602
J. TOTAL DIRECT AND INDIRECT COSTS (H + I)
495,000
K. RESIDUAL FUNDS (IF FOR FURTHER SUPPORT OF CURRENT PROJECTS SEE GPG II.C.6.j.)
0
L. AMOUNT OF THIS REQUEST (J) OR (J MINUS K)
$
495,000 $
M. COST SHARING PROPOSED LEVEL $
AGREED LEVEL IF DIFFERENT $
0
PI/PD NAME
FOR NSF USE ONLY
INDIRECT COST RATE VERIFICATION
Jack R Geibig
Date Checked
Date Of Rate Sheet
Initials - ORG
ORG. REP. NAME*
Jennifer o’rell
C *ELECTRONIC SIGNATURES REQUIRED FOR REVISED BUDGET
Budget Justification Page
A. Senior Personnel
Jack R. Geibig: Salary was calculated based on calendar time allocated @ $ 4,218/month.
Maria Leet-Socolof: Salary was calculated based on calendar time allocated @ $5,112/month.
B. Other Personnel:
Graduate Research Assistant: 12 mos @ $1,150/mo = $13,800/yr for each of the five years of the
project period.
C. Fringe Benefits
Fringe benefits were calculated using the average benefit rate for all employees (28%). Fringe
benefits for graduate research assistants are charged at a flat rate of $550/year for a graduate
health care fee.
D. Equipment
Equipment charges the purchase of a life-cycle software package @ $5,700 (though software
packages will have to be evaluated by project team before purchase, the cost listed is based on a
quote for Gabi 4 software).
E. Travel
Travel expenses were estimated for anticipated trips, which include two trips per year for both
senior personnel to California to attend project team meetings, estimated @ $1,300/trip per
person for airfare and expenses. Additional travel was estimated, including one additional trip
per year beginning in year 2 (a total of two additional trips in year 5) to attend conferences
appropriate for the presentation and dissemination of project research.
G. Other Direct Costs
1. Materials and supplies will cover office supplies and other miscellaneous expenses (e.g.
telephone services and calls)
2. Publications/Documentation/Dissemination is estimated to include printing of publications and
project reports, as well as materials for outreach and education.
3. Other costs include tuition and fees calculated based on the current rate of $4,400/yr for
graduate tuition and fee waivers, and an estimated 8% increase per year for each of the five year
project period.
I. Facilities and Administrative (F&A) Costs
F&A is 45% of the total direct costs, excluding graduate tuition and fees. The indirect cost rates
are calculated in accordance with OMB Circular A-21, and have been approved by our cognizant
federal agency, the Department of Health and Human Services.
Current and Pending Support
(See GPG Section II.D.8 for guidance on information to include on this form.)
The following information should be provided for each investigator and other senior personnel. Failure to provide this information may delay consideration of this proposal.
Other agencies (including NSF) to which this proposal has been/will be submitted.
Investigator: Julie Schoenung
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Towards a UCI Center for Industrial Ecology: Integrating
Materials Science, Engineering, Economics and the
Environment
Univ. of California, Irvine, Exec.Vice Chanc.’s Initiative
Source of Support:
Total Award Amount: $
30,000 Total Award Period Covered: 02/01/02 - 01/31/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.05
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: : Managing Toxic Metals in Electronic Waste: Future
Implications of Alternative Policies for the Health,
Environment, and Economy Sectors in California
Univ of CA Toxic Substances Research and Teaching Program
Source of Support:
Total Award Amount: $
149,934 Total Award Period Covered: 07/01/02 - 06/30/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.05
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Biocomplex Dimensions of Industrial Ecology: Decision
Analysis and Sectoral Trade-offs in the Management of Toxic
Metals Used in Electronics Products
National Science Foundation
Source of Support:
Total Award Amount: $
110,000 Total Award Period Covered: 10/01/02 - 09/30/03
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Novel Multifunctional Lightweight Systems using Multi-scale
Materials: from the Nanoscale to the MesoScale
Office of Navel Research
Source of Support:
Total Award Amount: $ 2,300,000 Total Award Period Covered:
01/05/03 - 11/04/07
Location of Project:
University of California, Davis
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.25
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Enhancing the Properties of YPSZ Thermal Barrier Coatings
through a Nano-Grain Architecture of the MCrAlY Bond Coat
Office of Naval Research (ONR)
Source of Support:
Total Award Amount: $
442,000 Total Award Period Covered: 01/01/03 - 07/31/05
Location of Project:
University of California, Davis
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Summ: 0.25
*If this project has previously been funded by another agency, please list and furnish information for immediately preceding funding period.
Page G-1
USE ADDITIONAL SHEETS AS NECESSARY
Current and Pending Support
(See GPG Section II.D.8 for guidance on information to include on this form.)
The following information should be provided for each investigator and other senior personnel. Failure to provide this information may delay consideration of this proposal.
Other agencies (including NSF) to which this proposal has been/will be submitted.
Investigator: Julie Schoenung
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Nanocrystalline Thermal Barrier Coatings: An Opportunity to
Improve Engine Efficiency
University of California Energy Institute
Source of Support:
Total Award Amount: $
33,000 Total Award Period Covered: 07/01/02 - 06/30/03
Location of Project:
University of California, Davis
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.25
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Lead-Based Solder in Electronics: An Industrial Ecology
Assessment of Current Inventory and End of Life
Management
AT&T Foundation
Source of Support:
Total Award Amount: $
25,000 Total Award Period Covered: 01/01/03 - 12/31/04
Location of Project:
University of California, Davis
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.05
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Towards a Lead-Free Electronic Products: Comparative
Assessment of Corporate Environmental Behaviors Under
Lead-Free Initiatives and Regulations
U.S. Environmental Protection Agency
Source of Support:
Total Award Amount: $
400,000 Total Award Period Covered: 07/01/03 - 06/30/06
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: This Proposal #6223215 Modeling Trade-offs in the Management
of Toxic Metals Used in the Electronics Industry:
Development of a Policy Evaluation Tool
National Science Foundation
Source of Support:
Total Award Amount: $ 2,000,000 Total Award Period Covered:
10/01/03 - 09/30/08
Location of Project:
University of California, Davis
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 1.00
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Electronics Design,Manufacturing, and the Environment
University of California Discovery Grant Program
Source of Support:
Total Award Amount: $
14,000 Total Award Period Covered: 12/01/02 - 06/30/03
Location of Project:
University of California,Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Summ: 0.05
*If this project has previously been funded by another agency, please list and furnish information for immediately preceding funding period.
Page G-2
USE ADDITIONAL SHEETS AS NECESSARY
Current and Pending Support
(See GPG Section II.D.8 for guidance on information to include on this form.)
The following information should be provided for each investigator and other senior personnel. Failure to provide this information may delay consideration of this proposal.
Other agencies (including NSF) to which this proposal has been/will be submitted.
Investigator: Jack Geibig
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Low VOC Cleanup of Solvents for Lithographic Priting Ink
South Coast Air Quality Management District
Source of Support:
Total Award Amount: $
80,000 Total Award Period Covered: 04/01/03 - 05/31/04
Location of Project:
University of Tennessee-Knoxville
Person-Months Per Year Committed to the Project. Cal:4.50
Acad: 0.00 Sumr: 0.00
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: DfE Life-Cycle Evaluation of Solders in the Electronics
Industry
U.S. EPA and 10 electronics indusrty partners through EIA
Source of Support:
Total Award Amount: $
428,000 Total Award Period Covered: 01/01/02 - 12/31/03
Location of Project:
University of Tennessee- Knoxville
Person-Months Per Year Committed to the Project. Cal:8.00
Acad: 0.00 Sumr: 0.00
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: DfE Streamline Cleaner Technologies Substitutes Assessment
(CTSA) Demonstration - Evaluation of Adhesives in
Furniture Mfg.
U.S. EPA Design for the Environment Program
Source of Support:
Total Award Amount: $
222,000 Total Award Period Covered: 12/01/98 - 09/30/03
Location of Project:
University of Tennessee-Knoxville
Person-Months Per Year Committed to the Project. Cal:1.00
Acad: 0.00 Sumr: 0.00
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Evaluation of Printed Wiring Board Surface Finish
Technolgies- (includes follow-up evaluation)
US EPA
Source of Support:
Total Award Amount: $
615,790 Total Award Period Covered: 10/15/96 - 11/30/03
Location of Project:
University of Tennessee-Knoxville
Person-Months Per Year Committed to the Project. Cal:2.00
Acad: 0.00 Sumr: 0.00
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: This Proposal #6223215 Modeling Trade-offs in the Management
of Toxic Metals Used in the Electronics Industry:
Development of a Policy Evaluation Tool
National Science Foundation
Source of Support:
Total Award Amount: $ 2,000,000 Total Award Period Covered:
10/01/03 - 09/30/08
Location of Project:
University of California, Davis
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Summ: 0.50
*If this project has previously been funded by another agency, please list and furnish information for immediately preceding funding period.
Page G-3
USE ADDITIONAL SHEETS AS NECESSARY
Current and Pending Support
(See GPG Section II.D.8 for guidance on information to include on this form.)
The following information should be provided for each investigator and other senior personnel. Failure to provide this information may delay consideration of this proposal.
Other agencies (including NSF) to which this proposal has been/will be submitted.
Investigator: Oladele Ogunseitan
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Towards a UCI Center for Industrial Ecology: Integrating
Materials Science, Engineering, Economics and the
Environment
Univ. of CA, Irvine, Exec. Vice Chancellor&#8217;s Initiativ
Source of Support:
Total Award Amount: $
30,000 Total Award Period Covered: 02/01/02 - 01/31/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.25
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Managing Toxic Metals in Electronic Waste: Future
Implications of Alternative Policies for the Health,
Environment, and Economy Sectors in California
Univ.of CA Toxic Substances Research and Teaching Program
Source of Support:
Total Award Amount: $
149,934 Total Award Period Covered: 07/01/02 - 06/30/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Lead-Based Solder in Electronics: An Industrial Ecology
Assessment of Current Inventory and End of Life Management
AT&T Foundation
Source of Support:
Total Award Amount: $
25,000 Total Award Period Covered: 01/01/03 - 12/31/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.25
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Biocomplex Dimensions of Industrial Ecology: Decision
Analysis and Sectoral Trade-offs in the Management of Toxic
Metals Used in Electronics Products
National Science Foundation
Source of Support:
Total Award Amount: $
110,000 Total Award Period Covered: 10/01/02 - 09/30/03
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Towards a Lead-Free Electronic Products: Comparative
Assessment of Corporate Environmental Behaviors Under
Lead-Free Initiatives and Regulations
U.S. Environmental Protection Agency
Source of Support:
Total Award Amount: $
400,000 Total Award Period Covered: 03/31/03 - 04/30/06
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Summ: 0.50
*If this project has previously been funded by another agency, please list and furnish information for immediately preceding funding period.
Page G-4
USE ADDITIONAL SHEETS AS NECESSARY
Current and Pending Support
(See GPG Section II.D.8 for guidance on information to include on this form.)
The following information should be provided for each investigator and other senior personnel. Failure to provide this information may delay consideration of this proposal.
Other agencies (including NSF) to which this proposal has been/will be submitted.
Investigator: Oladele Ogunseitan
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Electronics Design, Manufacturing, and the Environment
University of California Discovery Grant Program
Source of Support:
Total Award Amount: $
14,000 Total Award Period Covered: 10/01/03 - 06/30/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: This Proposal #6223215 Modeling Trade-offs in the Management
of Toxic Metals Used in the Electronics Industry:
Development of a Policy Evaluation Tool
National Science Foundation
Source of Support:
Total Award Amount: $ 2,000,000 Total Award Period Covered:
10/01/03 - 09/30/08
Location of Project:
University of California, Davis
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title:
Source of Support:
Total Award Amount: $
Total Award Period Covered:
Location of Project:
Person-Months Per Year Committed to the Project. Cal:
Acad:
Support:
Current
Pending
Submission Planned in Near Future
Sumr:
*Transfer of Support
Project/Proposal Title:
Source of Support:
Total Award Amount: $
Total Award Period Covered:
Location of Project:
Person-Months Per Year Committed to the Project. Cal:
Acad:
Support:
Current
Pending
Submission Planned in Near Future
Sumr:
*Transfer of Support
Project/Proposal Title:
Source of Support:
Total Award Amount: $
Total Award Period Covered:
Location of Project:
Person-Months Per Year Committed to the Project. Cal:
Acad:
Summ:
*If this project has previously been funded by another agency, please list and furnish information for immediately preceding funding period.
Page G-5
USE ADDITIONAL SHEETS AS NECESSARY
Current and Pending Support
(See GPG Section II.D.8 for guidance on information to include on this form.)
The following information should be provided for each investigator and other senior personnel. Failure to provide this information may delay consideration of this proposal.
Other agencies (including NSF) to which this proposal has been/will be submitted.
Investigator: Jean-Daniel Saphores
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Towards a UCI Center for Industrial Ecology: Integrating
Materials Science, Engineering, Economics and the
Environment
Univ.of CA, Irvine, Exec.Vice Chancellor&#8217;s Initiative
Source of Support:
Total Award Amount: $
30,000 Total Award Period Covered: 02/01/02 - 01/31/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Lead-Based Solder in Electronics: An Industrial Ecology
Assessment of Current Inventory and End of Life Management
AT&T Foundation
Source of Support:
Total Award Amount: $
25,000 Total Award Period Covered: 01/01/03 - 12/31/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Managing Toxic Metals in Electronic Waste: Future
Implications of Alternative Policies for the Health,
Environment, and Economy Sectors in California
Univ.of CA Toxic Substances Research and Teaching Program
Source of Support:
Total Award Amount: $
149,934 Total Award Period Covered: 07/01/02 - 06/30/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Biocomplex Dimensions of Industrial Ecology: Decision
Analysis and Sectoral Trade-offs in the Management of Toxic
Metals Used in Electronics Products
National Science Foundation
Source of Support:
Total Award Amount: $
110,000 Total Award Period Covered: 10/01/02 - 09/30/03
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Towards a Lead-Free Electronic Products: Comparative
Assessment of Corporate Environmental Behaviors Under
Lead-Free Initiatives and Regulations
U.S. Environmental Protection Agency
Source of Support:
Total Award Amount: $
400,000 Total Award Period Covered: 03/01/03 - 04/30/06
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Summ: 0.25
*If this project has previously been funded by another agency, please list and furnish information for immediately preceding funding period.
Page G-6
USE ADDITIONAL SHEETS AS NECESSARY
Current and Pending Support
(See GPG Section II.D.8 for guidance on information to include on this form.)
The following information should be provided for each investigator and other senior personnel. Failure to provide this information may delay consideration of this proposal.
Other agencies (including NSF) to which this proposal has been/will be submitted.
Investigator: Jean-Daniel Saphores
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: This Proposal #6223215 Modeling Trade-offs in the
Management of Toxic Metals Used in the Electronics Industry:
Development of a Policy Evaluation Tool
National Science Foundation
Source of Support:
Total Award Amount: $ 2,000,000 Total Award Period Covered:
10/01/03 - 09/30/08
Location of Project:
University of California, Davis
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Electronics Design,Manufacturing, and the Environment
University of California Discovery Grant Program
Source of Support:
Total Award Amount: $
14,000 Total Award Period Covered: 12/01/02 - 06/30/03
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.05
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title:
Source of Support:
Total Award Amount: $
Total Award Period Covered:
Location of Project:
Person-Months Per Year Committed to the Project. Cal:
Acad:
Support:
Current
Pending
Submission Planned in Near Future
Sumr:
*Transfer of Support
Project/Proposal Title:
Source of Support:
Total Award Amount: $
Total Award Period Covered:
Location of Project:
Person-Months Per Year Committed to the Project. Cal:
Acad:
Support:
Current
Pending
Submission Planned in Near Future
Sumr:
*Transfer of Support
Project/Proposal Title:
Source of Support:
Total Award Amount: $
Total Award Period Covered:
Location of Project:
Person-Months Per Year Committed to the Project. Cal:
Acad:
Summ:
*If this project has previously been funded by another agency, please list and furnish information for immediately preceding funding period.
Page G-7
USE ADDITIONAL SHEETS AS NECESSARY
Current and Pending Support
(See GPG Section II.D.8 for guidance on information to include on this form.)
The following information should be provided for each investigator and other senior personnel. Failure to provide this information may delay consideration of this proposal.
Other agencies (including NSF) to which this proposal has been/will be submitted.
Investigator: Andrew Shapiro
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Towards a UCI Center for Industrial Ecology: Integrating
Materials Science, Engineering, Economics and the
Environment
Univ.of CA, Irvine, Exec.Vice Chancellor&#8217;s Initiative
Source of Support:
Total Award Amount: $
30,000 Total Award Period Covered: 02/01/02 - 01/31/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Lead-Based Solder in Electronics: An Industrial Ecology
Assessment of Current Inventory and End of Life Management
AT&T Foundation
Source of Support:
Total Award Amount: $
25,000 Total Award Period Covered: 01/01/03 - 12/31/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Managing Toxic Metals in Electronic Waste: Future
Implications of Alternative Policies for the Health,
Environment, and Economy Sectors in California
Univ.of CA Toxic Substances Research and Teaching Program
Source of Support:
Total Award Amount: $
149,934 Total Award Period Covered: 07/01/02 - 06/30/04
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Biocomplex Dimensions of Industrial Ecology: Decision
Analysis and Sectoral Trade-offs in the Management of Toxic
Metals Used in Electronics Products
National Science Foundation
Source of Support:
Total Award Amount: $
110,000 Total Award Period Covered: 10/01/02 - 09/30/03
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Towards a Lead-Free Electronic Products: Comparative
Assessment of Corporate Environmental Behaviors Under
Lead-Free Initiatives and Regulations
U.S. Environmental Protection Agency
Source of Support:
Total Award Amount: $
400,000 Total Award Period Covered: 03/01/03 - 04/30/06
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Summ: 0.50
*If this project has previously been funded by another agency, please list and furnish information for immediately preceding funding period.
Page G-8
USE ADDITIONAL SHEETS AS NECESSARY
Current and Pending Support
(See GPG Section II.D.8 for guidance on information to include on this form.)
The following information should be provided for each investigator and other senior personnel. Failure to provide this information may delay consideration of this proposal.
Other agencies (including NSF) to which this proposal has been/will be submitted.
Investigator: Andrew Shapiro
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: This Proposal #6223215 Modeling Trade-offs in the
Management of Toxic Metals Used in the Electronics Industry:
Development of a Policy Evaluation Tool
National Science Foundation
Source of Support:
Total Award Amount: $ 2,000,000 Total Award Period Covered:
10/01/04 - 09/30/08
Location of Project:
University of California, Davis
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Electronics Design,Manufacturing, and the Environment
University of California Discovery Grant Program
Source of Support:
Total Award Amount: $
14,000 Total Award Period Covered: 12/01/02 - 06/30/03
Location of Project:
University of California, Irvine
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.05
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title:
Source of Support:
Total Award Amount: $
Total Award Period Covered:
Location of Project:
Person-Months Per Year Committed to the Project. Cal:
Acad:
Support:
Current
Pending
Submission Planned in Near Future
Sumr:
*Transfer of Support
Project/Proposal Title:
Source of Support:
Total Award Amount: $
Total Award Period Covered:
Location of Project:
Person-Months Per Year Committed to the Project. Cal:
Acad:
Support:
Current
Pending
Submission Planned in Near Future
Sumr:
*Transfer of Support
Project/Proposal Title:
Source of Support:
Total Award Amount: $
Total Award Period Covered:
Location of Project:
Person-Months Per Year Committed to the Project. Cal:
Acad:
Summ:
*If this project has previously been funded by another agency, please list and furnish information for immediately preceding funding period.
Page G-9
USE ADDITIONAL SHEETS AS NECESSARY
Current and Pending Support
(See GPG Section II.D.8 for guidance on information to include on this form.)
The following information should be provided for each investigator and other senior personnel. Failure to provide this information may delay consideration of this proposal.
Other agencies (including NSF) to which this proposal has been/will be submitted.
Investigator: Maria Socolof
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Dfe Life-Cycle Evaluation of Solders in the Electronics
Industry
US EPA and 10 electronics manufacturers through EIA
Source of Support:
Total Award Amount: $
428,000 Total Award Period Covered: 01/01/02 - 12/31/03
Location of Project:
University of Tennessee- Knoxville
Person-Months Per Year Committed to the Project. Cal:8.00
Acad: 0.00 Sumr: 0.00
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Electronics Equipment Guidelines- Development of
environmental purchasing guidelines for electronics
Green Seal
Source of Support:
Total Award Amount: $
12,000 Total Award Period Covered: 06/30/02 - 04/30/03
Location of Project:
University of Tennessee- Knoxville
Person-Months Per Year Committed to the Project. Cal:1.00
Acad: 0.00 Sumr: 0.00
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: Development of an Environmentally Preferable Deposition
Process for Alumina Hard Coating for Cutting Tools--Life-cycle evaluation of impacts
NSF/EPA
Source of Support:
Total Award Amount: $
159,747 Total Award Period Covered: 06/01/03 - 05/01/06
Location of Project:
University of Tennessee- Knoxville
Person-Months Per Year Committed to the Project. Cal:7.00
Acad: 0.00 Sumr: 0.00
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title: This Proposal #6223215
National Science Foundation
Source of Support:
Total Award Amount: $ 1,500,000 Total Award Period Covered:
10/01/04 - 09/30/08
Location of Project:
University of California, Davis
Person-Months Per Year Committed to the Project. Cal:0.00
Acad: 0.00 Sumr: 0.50
Support:
Current
Pending
Submission Planned in Near Future
*Transfer of Support
Project/Proposal Title:
Source of Support:
Total Award Amount: $
Total Award Period Covered:
Location of Project:
Person-Months Per Year Committed to the Project. Cal:
Acad:
Summ:
*If this project has previously been funded by another agency, please list and furnish information for immediately preceding funding period.
Page G-10
USE ADDITIONAL SHEETS AS NECESSARY
FACILITIES, EQUIPMENT AND OTHER RESOURCES:
Laboratory:
At the University of California, Davis, Prof. Julie Schoenung maintains a collection of materials science
and engineering research laboratories. These laboratories combined represent approximately 200 square
meters of space and house a chemical fume hood, thermal analysis equipment, cryomilling facilities and
heat treatment furnace. In addition, Prof. Schoenung has access to complete material characterization
facilities for evaluation of various materials properties, including mechanical behavior, electrical
behavior, and thermal behavior, as well as structural characterization using methods such as x-ray
diffraction, optical microscopy, and electron microscopy. A more complete description of the central
materials science facilities is available at the facility's web site: www.matscicf.ucdavis.edu. These
facilities may be called upon in characterizing and studying potential exposures to toxic materials.
Clinical:
No clinical facilities will be used for this project.
Animal:
No animal facilities will be used for this project
Computer:
At the University of California, Davis, the Computing Laboratory offers a centralized environment for
preparing presentations and publishing reports and includes a digital camera, two scanners, a slide
scanner, and a color printer, all used for research reports, theses, and dissertations. In addition, each
researcher in Prof. Schoenung’s group is equipped with a desktop or laptop personal computer, networked
to the internet and to central printing facilities.
Office:
At the University of California, Davis, there is office space for PI Julie Schoenung and her supporting
postdoctoral researchers and graduate students. Additionally the Chemical Engineering and Materials
Science Department provides her with access to four conference rooms, a seminar room, and desktop
conference call audio.
Other:
Through a collaborative agreement with the Department of Toxic Substances (DTSC) there is potential
access to a shredder that may be used to shred electronic waste for subsequent toxic leaching tests.
Major Equipment:
Not applicable
Other Resources:
This project will use the following facilities at the University of California, Irvine (UCI) through subaward agreement:
Laboratory (UCI):
Professor Ogunseitan maintains a 400 square meter laboratory in room 1360 Social Ecology-II building
that is dedicated to research at the nexus of ecology and public health. The laboratory is equipped with 3
chemical safety hoods, 2 biological safety hoods, 3 desktop computers, high pressure liquid
chromatograph, spectrophotometer, and various equipment for performing toxicity assessments.
Professor Ogunseitan’s laboratory also has access to shared equipment including an atomic absorption
spectrometer, clean room facility, photography-grade dark room, autoclaves, dishwashers, radioisotope
facility, walk-in cold rooms, several freezers, incubators, and centrifuges.
Clinical (UCI):
No clinical facilities will be used for this project. at the University of California, Irvine
Animal (UCI):
No animal facilities will be used for this project at the University of California, Irvine
Computer (UCI):
At the University of California, Irvine, 2 Pentium-III desktop computers are available for the project, as
well as a Dell Power Edge Server.
Office (UCI):
The team of investigators at the University of California, Irvine maintains a research office in room 254,
Social Ecology Building-I that is dedicated to industrial ecology work. The office has two desktop
computers (Pentium III) and a Dell Power Edge Server that is dedicated to maintaining the website of the
research program (http://www.industrial-ecology.uci.edu). The office is staffed by a postdoctoral
researcher and two graduate students. The office also has facilities for desktop telephone-conferencing,
and high speed internet connection.
Other (UCI): Not applicable
Major Equipment (UCI): Not applicable
Other Resources (UCI):
The University of California, Irvine’s School of Engineering, established in 1965, is at the forefront of
engineering education and technological research and development. Home to four outstanding academic
departments, seven research centers and facilities, the school generates the latest knowledge in areas that
offer high growth potential in the coming century, including environmental engineering, pervasive
communications, nanoscale technology and biomedical engineering.
The School of Social Ecology at UCI is a unique interdisciplinary academic unit whose scholarly research
and instruction is informed by and contributes to knowledge in the social, behavioral, legal,
environmental, and health sciences. Among issues of long-standing interest in the School are the effects
of the physical environment on health and human behavior, crime and justice in society, and social
influences on human development over the life cycle. While the field of ecology focuses on the
relationships between organisms and their environments, social ecology is concerned with the
relationships between human populations and their environments. Social Ecology's faculty includes
microbiologists; environmental health scientists; program evaluation experts; urban and regional planners;
lawyers; economists; political scientists; sociologists; criminologists; as well as psychologists with a
variety of specialties (e.g., developmental, social, environmental, and health psychology). The School's
research and teaching is distinguished by an emphasis on the integration of the concepts and perspectives
of these multiple disciplines. This focus is based on the School's core belief that the analysis and
amelioration of complex societal problems requires interdisciplinary efforts.
This project will use the following facilities at the University of Tennessee, Knoxville (UTK) through a
sub-award agreement:
Laboratory (UTK):
Not applicable
Clinical (UTK):
No clinical facilities will be used for this project at University of Tennessee, Nashville
Animal (UTK):
No animal facilities will be used for this project at University of Tennessee, Nashville
Computer (UTK):
The University of Tennessee’s Center for Clean Products and Clean Technologies is equipped with over
twenty desktop computers for research and research support services. Senior project personnel have use
of two Pentium 4 Dell desktop computers, two Pentium 2 desktop computers, and a Dell Inspiron 2600
laptop computer. A dedicated graduate research area also contains 4 desktop computers that are available
in support of project research activities. In addition, the Center maintains a dedicated server network used
to facilitate and support individual computers and to provide additional computing power as required.
The university also provides several fully equipped computer centers across campus, as well as computer
photo and scanning equipment, in support of campus research activities.
Office (UTK):
Both senior personnel have offices for themselves as well as dedicated work areas for graduate students
working on the project. Fully equipped office areas are also available for clerical and support staff.
Additionally, the Center for Clean Products is located within the University of Tennessee Conference
Center, which provides access to multiple conference rooms as well as teleconference and conference call
services.
Other (UTK):
Not applicable
Major Equipment (UTK):
Not applicable
Other Resources (UTK):
The Center for Clean Products and Clean technologies is an interdisciplinary research center located at
the University of Tennessee, Knoxville. Established in 1992, the Center seeks to develop, evaluate, and
promote cleaner products and technologies through interdisciplinary research aimed at sustainable
development. Center activities include life-cycle assessment, cleaner technology evaluation, risk
assessment, as well as policy research such as extended producer responsibility. An interdisciplinary
team of engineers, policy analysts, and environmental scientists staffs the Center. Core staff members
routinely enlist faculty and graduate students from many disciplines across the University to sculpt a
research team with a diversity of skills best suited to achieve the desired research goals and objectives.