Water Resources Research National Grant Program (Narrative)

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estimated to average 62 hours per response, including the time for reviewing instructions and completing the form. Comments regarding this
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Water Resources Research
National Competitive Grants Program
Fiscal Year 2010 Request for Proposals
Announcement No. 10HQPA0002
under Section 104(g) of the
Water Resources Research Act of 1984, as Amended
June 12, 2009

Closing Dates
February 19, 2010 (Investigators)
March 5, 2010 (Institutes)

Department of the Interior
U. S. Geological Survey

National Institutes for
Water Resources

NATIONAL INSTITUTES FOR WATER RESOURCES
U.S. GEOLOGICAL SURVEY
WATER RESOURCES RESEARCH NATIONAL COMPETITIVE GRANTS PROGRAM
REQUEST FOR PROPOSALS
TABLE OF CONTENTS
ABSTRACT

1

ELECTRONIC FILING OF PROPOSALS

1

I.

INTRODUCTION

2

II.

PROGRAM OBJECTIVES

3

III.

RESEARCH PRIORITIES

3

IV.

PROPOSALS NOT ELIGIBLE FOR FUNDING

4

V.

APPLICANT ELIGIBILITY AND PROPOSAL APPROVAL

5

VI.

COLLABORATION BY FEDERAL EMPLOYEES

5

VII.

FEDERAL FUNDS

5

VIII.

MATCHING FUNDS

6

IX.

MAXIMUM SIZE AND DURATION OF PROJECT

6

X.

PROPOSAL DUE DATE

6

XI.

PROPOSAL REVIEW, SELECTION, AND AWARD PROCESS

7

XII.

PROPOSAL CONTENTS

8

XIII.

PROPOSAL INSTRUCTIONS

8

XIV.

PROPOSALS SELECTED FOR FUNDING IN PREVIOUS YEARS

12

XV.

REPORTING REQUIREMENTS

13

ATTACHMENTS
A
APPLICATION FOR FEDERAL ASSISTANCE (SF-424)
B
BUDGET BREAKDOWN
C
BUDGET JUSTIFICATION
D
BUDGET SUMMARY
E
FOCUS CATEGORIES
F
USGS PROGRAM CONTACTS
G
APPLICATION CHECKLIST

i

15
19
20
21
22
23
24

NATIONAL INSTITUTES FOR WATER RESOURCES
U.S. GEOLOGICAL SURVEY
WATER RESOURCES RESEARCH
NATIONAL COMPETITIVE GRANTS PROGRAM
REQUEST FOR PROPOSALS
FY 2010
ABSTRACT
The U.S. Geological Survey in cooperation with the National Institutes for Water Resources
requests proposals for matching grants to support research on the topics of water supply and
water availability, including investigations of possible new sources of supply, improvement of
impaired waters to usable quality, conservation of existing sources, and limiting growth in
demand. Proposals are sought in not only the physical dimensions of supply and demand, but
also quality trends in raw water supplies; the role of economics and institutions in water supply
and demand; institutional arrangements for tracking and reporting water supply and availability;
and institutional arrangements for coping with extreme hydrologic conditions. Any investigator
at an accredited institution of higher learning in the United States is eligible to apply for a grant
through a Water Research Institute or Center established under the provisions of the Water
Resources Research Act of 1984, as amended (http://water.usgs.gov/wrri/institutes.html).
Proposals involving substantial collaboration between the USGS and university scientists are
encouraged. Proposals may be for projects of 1 to 3 years in duration and may request up to
$250,000 in federal funds. Successful applicants must match each dollar of the federal grant
with one dollar from non-federal sources. Proposals must be filed on the Internet at
https://niwr.net/ by 5:00 PM, Eastern Time, February 19, 2010 and must be approved for
submission to the National Competitive Grants Program not later than 5:00 PM, Eastern Time,
March 5, 2010 by the Institute or Center through which they were submitted. The SF-424
(Application for Federal Assistance) portion of the application package must be submitted
through the Internet site at http://www.grants.gov not later than 5:00 PM Eastern Time, March 5,
2010 by the university at which the Institute or Center is located. Funds have not yet been
appropriated for this program for FY 2010, and if funding is appropriated it is anticipated that
less than $1 million will be available. The Government's obligation under this program is
contingent upon the availability of funds.
ELECTRONIC FILING OF PROPOSALS
Proposals under this announcement must be submitted using the following process:
1. All portions of the proposal, except the SF-424 (Application for Federal Assistance)
must be submitted through the Internet site at https://niwr.net/. Prospective applicants
(Principal Investigators) must be registered at the niwr.net site prior to submitting a
proposal. Registration does not obligate the registrant to submit a proposal. Proposals
will be accepted on the niwr.net site beginning November 9, 2009. Detailed instructions
for proposal preparation and submission will be provided online at that time.
1

2. A separate SF-424 (Application for Federal Assistance) must be submitted for each
proposal through the Internet site at http://www.grants.gov/ by the university at which the
Water Resources Research Institute or Center approving the proposal is located.
Individuals willing to serve as peer reviewers for proposals submitted under this
Announcement are also urged to register on the Internet site at https://niwr.net/. Registration
does not obligate the registrant to review a proposal.
I.

INTRODUCTION

This Request for Proposals (RFP) is issued under the provisions of section 104 of the Water
Resources Research Act of 1984 (Public Law 98-242), as amended by Public Laws 101-397,
104-147, 106-374, and 109-471. Section 104 of the Water Resources Research Act directs the
Secretary of the Interior to administer program grants to Institutes and Centers established under
the provisions of section 104(a) of the Act. Water Resources Institutes or Centers have been
established in each of the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin
Islands, and Guam. The Institute in Guam also serves the Federated States of Micronesia and the
Commonwealth of the Northern Mariana Islands. The addresses of the 54 Institutes are available
on the Internet at http://water.usgs.gov/wrri/institutes.html. Responsibility for administration
of the State Water Resources Research Institute program has been delegated to the U.S.
Geological Survey (USGS).
The 54 Institutes are organized as the National Institutes for Water Resources (NIWR). NIWR
cooperates with the USGS in the administration of the State Water Resources Research Institute
Program, and the University of Wisconsin Water Resources Institute serves as the lead institute
in coordinating the review process (peer reviews, panel review) for this competitive grant
program. Questions or comments concerning the review process may be addressed to either
John Schefter at the address below or to:
James Hurley
Water Resources Institute
1975 Willow Drive -2nd floor
The University of Wisconsin - Madison
Madison, Wisconsin 53706-1177
(606) 262-1136
[email protected]
Questions or comments concerning this RFP should be directed to:
John Schefter
Chief, Office of External Research
MS 424, U.S. Geological Survey
12201 Sunrise Valley Drive
Reston, Virginia, 20192
Phone: 703-648-6800
[email protected]

Kimberly L. Dove
Office of Acquisition and Grants
MS 205, U.S. Geological Survey
12201 Sunrise Valley Drive
Reston, Virginia, 20192
Phone: 703-648-7487
[email protected]

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II.

PROGRAM OBJECTIVES

Section 104(g) of the Water Resources Research Act of 1984 requires that this competitive grant
program focus on: “water problems and issues of a regional or interstate nature beyond
those of concern only to a single State and which relate to specific program priorities identified
jointly by the Secretary (of the Interior) and the (water resources research) institutes.”
Objectives of this program also include the following:
A. Promote collaboration between the USGS and university scientists in research on
significant national and regional water resources issues.
Proposals exhibiting substantial collaboration between the USGS and the applicant are
encouraged and will receive extra weight in the evaluation and selection process.
Collaborative proposals should describe in detail the respective roles of the USGS and
the applicant in the proposed work.
Potential applicants seeking collaborative opportunities are encouraged to contact USGS
Water Science Center Directors (contact information is available on the Internet at
http://water.usgs.gov/district_chief.html. Potential applicants are also encouraged to
contact the Water Resources Discipline Research Branch Chiefs and the program contact
for water availability and water use (see Attachment F for contact information).
B. Promote the dissemination and application of the results of the research funded under this
program.
C. Assist in the training of scientists in relevant water resource fields.
Proposals that include a strong educational component (student support) are encouraged,
as are proposals from faculty beginning their careers.
The USGS and NIWR prefer that research supported by this program involve substantial
collaboration between the USGS and university scientists. Collaboration can range from use of
USGS data and information in the research to mutual involvement of USGS and university
scientists on projects.
III.

RESEARCH PRIORITIES

The following research priorities have been established (levels of priority are not assigned, and
the order of listing does not indicate the level of priority):
Proposals are requested on the topics of water supply and availability, including investigations of
possible new sources of supply, improvement of impaired waters to usable quality, conservation
of existing sources, and limiting growth in demand. Proposals are sought in not only the
physical dimensions of supply and demand, but also quality trends in raw water supplies; the role
of economics and institutions in water supply and demand; institutional arrangements for

3

tracking and reporting water supply and availability; and institutional arrangements for coping
with extreme hydrologic conditions. Examples of the types of problems that could be addressed
include:
•

Methods to enhance the long-term reliability of water supplies;

•

Indicators of status and trends in water availability based on hydrologic data collected
by the USGS and others;

•

Management options for preserving or enhancing water availability under drought or
flood conditions;

•

Improved methods of characterizing and quantifying components of the water cycle;

•

Improved estimates of the amount of water required to sustain healthy ecosystems
while enhancing supplies for human use;

•

Improvements in the assessment of water availability, incorporating technological,
institutional, cultural, and economic factors that influence water use and water
availability;

•

Effects of water regulation and institutional arrangements on availability of water for
alternative uses;

•

Effectiveness of Best Management Practices (BMPs) in sustaining urban and rural
raw water supply quality;

•

Institutional characteristics of watershed planning and management organizations that
have a demonstrated capability to protect the quality and enhance the reliability of
water supply; and,

•

Water management in the context of rapid development and conflict for water supply.

For additional information, please see “A Strategy for Federal Science and Technology to
Support Water Availability and Quality in the United States,” available at
http://www.ostp.gov/galleries/NSTC/Fed ST Strategy for Water 9-07 FINAL.pdf
IV.

PROPOSALS NOT ELIGIBLE FOR FUNDING
A. Proposals for research on health effects involving human subjects.
B. Proposals for research involving oceanography (estuarine research proposals are
acceptable).
C. Proposals submitted by an Institute or Center that has not met reporting requirements on a
previous award by the USGS.
D. Proposals that do not comply with the terms of this Request for Proposals.

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V.

APPLICANT ELIGIBILITY AND PROPOSAL APPROVAL

Awards are available only to Water Research Institutes or Centers established pursuant to the
provisions of section 104 of the Water Resources Research Act and listed at
http://water.usgs.gov/wrri/institutes.html. However, any investigator at an institution of
higher learning in the United States is eligible to apply for an award through a Water Research
Institute or Center. All portions of the proposals, with the exception of the SF-424
(Application for Federal Assistance), must be submitted through the website at
https://niwr.net/. The SF-424 must be submitted through the website at
http://www.grants.gov by the university at which the Institute or Center is located. Each
proposal will then be authorized for inclusion in the national competition by the Director of the
Institute or Center in the state in which the university of the principal investigator is located.
Proposals requesting matching funds from an Institute or Center are authorized at the discretion
of the Institute or Center Director.
When a proposal is filed on the niwr.net site, the Institute or Center in the State in which the
university of the principal investigator is located will be notified electronically that a proposal
has been filed. The Director of that Institute or Center will subsequently review the proposal for
adherence to the terms of this RFP, and then, following the instructions provided at the website,
may approve it for further consideration and technical review. The Director may, during this
process, contact the principal investigator to discuss possible clarification or changes in the
proposal.
VI.

COLLABORATION BY FEDERAL EMPLOYEES
A. Federal employees may, and are encouraged to, collaborate with college or university
investigators in this program.
B. Federal employees may not serve as a principal investigator, but may serve as a coprincipal investigator.
C. Federal employees and agencies may not receive federal funds for any purpose under
these awards.
D. Federal employees and agencies may not serve as a source of matching funds under these
awards.
E. Federal employees must prepare a Statement of Government Involvement, which is to be
included with collaborative proposals (See Section XIII.D.21.)

VII.

FEDERAL FUNDS

A. Funds have not yet been appropriated for this program for FY 2010, and if funding is
appropriated it is anticipated that less than $1 million will be available. The
Government's obligation under this program is contingent upon the availability of funds.
B. All successful proposals will be fully funded for the entire duration of the project with
FY 2010 funds if funds are appropriated for the program.

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VIII. MATCHING FUNDS
A. Each applicant must match each Federal dollar provided to support each proposed project
with not less than one dollar from non-federal sources. States may have different
guidelines as to the sources of matching funds - please check with your Institute or
Center Director for details.
Note: Guam, the Federated States of Micronesia, the Commonwealth of the Northern
Mariana Islands, and the U.S. Virgin Islands are exempt from the matching requirement.
B. Matching funds shall be obligated during the period of performance.
C. The matching requirement should be met during each 12-month budget period.
D. Matching funds obligated shall be reflected on line 10.b of each Financial Status Report,
Standard Form 269A.
E. Matching funds may contain indirect costs and non-federal salaries and benefits. The
applicant’s negotiated indirect cost rate (NICR) may be applied to both qualifying federal
and non-federal direct costs, and the result used to satisfy part of the matching
requirement under the non-federal share. The NICR shall not be applied to tuition and
equipment costs. Federal funds shall not be used to pay indirect costs.
IX.

MAXIMUM SIZE AND DURATION OF PROJECT
A. Applicants shall not request total federal funds exceeding $250,000 per project.
B. Proposed projects may be of 1 to 3 years in duration, with discrete 12-month budget
periods.

X.

PROPOSAL DUE DATE

Investigators must file their proposals on the Internet at https://niwr.net/ prior to 5:00 PM Eastern
Time, February 19, 2010. Only proposals filed by that time will be transmitted to the National
Grants Competition.
Institutes or Centers must approve the proposals filed by investigators in their State prior to 5:00
PM Eastern Time, March 5, 2010. Only proposals approved by that time will be transmitted to
the National Grants Competition.
The SF-424 portion of the application package must be filed electronically at
http://www.grants.gov prior to 5:00 PM Eastern Time, March 5, 2010.

6

XI.

PROPOSAL REVIEW, SELECTION, AND AWARD PROCESS

Each proposal which meets the requirements of this RFP will be evaluated by: 1) written peer
reviews from qualified scientists or managers in the area of the proposed research, and 2) a
selection panel consisting of Institute directors, university scientists, and USGS employees
experienced in water resources research. Proposals will be reviewed according to the following
criteria:
25 Points: Relevance and Importance. - The extent to which: (1) the proposal focuses on a water
problem or issue of a regional or interstate nature of concern to more than one State and directly
addresses a research priority described in Section III; (2) the subject is of particularly high
importance to present and future water resources management programs; and (3) the proposal
includes collaboration with the USGS if appropriate.
25 Points: Scientific Merit. – The extent to which the proposal (1) has potential to expand
fundamental knowledge in its specific area(s); (2) is scientifically sound; and (3) demonstrates
cognizance of past work.
10 Points: Feasibility. (1) The extent to which the objectives, methodologies, designs, and
techniques are adequate and completely described; and (2) the likelihood of success given the
methods and time frame proposed.
10 Points: Information Transfer. How well the proposal actively addresses the eventual transfer
of results to user groups and whether it actively addresses the impact that the results could have?
10 Points: Training. The extent to which the proposal has a strong educational component,
provides for student support, and engages a principal investigator near the beginning of his or her
career?
10 Points: Qualifications of the Investigators. The extent to which the qualifications of the
investigators are commensurate with the proposed research, and the adequacy of the facilities
and equipment.
10 Points: Budget. The extent to which the budget is reasonable and adequate for the work
proposed. Note: the principal investigator’s salary is an acceptable budget item, but should not
exceed one or two months per year.
Proposals recommended for funding will be forwarded to the USGS for review and approval.
Awards will be made directly to the Water Resources Research Institute or Center through
which the proposal was submitted. The target award date is July through September with a
USGS-preferred project start date of September 1, 2010. The project start date must be no later
than September 30, 2010

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XII.

PROPOSAL CONTENTS

Each proposal shall consist of the following items:
A.
B.
C.
D.

SF 424, Application for Federal Assistance [Attachment A]
Signed Matching Funds Commitment Letter
Suggested Reviewers
Research Proposal, including a Budget Breakdown (Attachment B), Budget Justification
(Attachment C) and Budget Summary (Attachment D)

Attachment B (Budget Breakdown), Attachment C (Budget Justification) and Attachment
G (Budget Summary) should be considered worksheets; during the proposal submission
process, these data will be entered into forms on the website. Upon completion of the
submission process, the actual Attachments will be generated from these form entries and
bundled with your application package.
XIII. PROPOSAL INSTRUCTIONS
Prior to submission of a proposal, all principal investigators must be registered at
https://niwr.net/. Registration involves providing basic contact information (name, address,
phone, e-mail address, etc.) to a Web form, and subsequently being provided with a user ID and
password. This ID and password may be used to update one’s contact information, to submit
proposals, and to be kept informed of the proposal review process, including final notification of
awards. Individuals already registered should not register again.
Each proposal must be submitted through the website at https://niwr.net/ and shall be prepared
and submitted in accordance with the specific instructions provided at that site. Submission will
require two distinctly different actions: (1) submission of specified information as text directly
into a Web form and (2) "depositing" at the website a document file containing a detailed
description of the work being proposed. This file may be prepared using the word processing
software of choice, but must be translated to PDF format prior to being deposited. (Detailed
instructions for preparing and submitting this file, and verifying its submission, will be
provided at the website when it is opened for receiving proposals, on November 9, 2009.)
Applications must contain the following sections and adhere to the following guidelines:
A. Application for Federal Assistance, SF 424. (Attachment A)
a. The official applicant is the Water Resources Research Center or Institute
through which the application is submitted.
b. The information on the SF-424 must pertain to that Institute/Center and its host
university.
c. The SF-424 must be submitted electronically at http://www.grants.gov by the
university at which the Water Resources Research Center or Institute is
located. Further instructions can be found at http://www.grants.gov: click on
“For Applicants” on the left side of the screen.

8

d. The SF-424 must request the total amount of Federal funds for the full duration of
the project.
e. An SF424 must be submitted for each proposal. An SF424 covering more
than one proposal is not acceptable.
B. Matching Funds Commitment Letter. The applicant shall provide an institutional costsharing agreement (letter) signed by an official authorized to commit the applicant to all
or part of the matching share or a third party, in-kind contribution signed by an official
authorized to commit the third party.
1. The matching funds commitment letter is to be either scanned and uploaded to the
niwr.net website following the instructions on the website or faxed to the number
provided on the website prior to final approval of the application on the website by
the Institute or Center.
2. The original, signed, letter retained in the Institute’s or Center’s files. If the proposal
is selected for funding, the Institute or Center will be requested to send these
documents by mail or parcel delivery so as to be received at the following address
within 5 business days of notification that the proposal has been selected for funding:
Office of Acquisition and Grants
Attn: Kimberly L. Dove
MS 205, U.S. Geological Survey
12201 Sunrise Valley Drive, Reston, Virginia 20192
C. Suggested Reviewers. Provide the names and contact information for no more than six
(6) suggested reviewers having expertise in the field of the proposal as requested by the Web
form at the niwr.net website, including street address, city, state, zip code, phone, fax, email
address and subject areas. Suggested reviewers MAY NOT be from your State. In fairness
to all applicants, it is requested that no reviewers be contacted other than by the USGS or
NIWR.
D. Research Proposal. Each proposal shall consist of the following 24 elements. Items
numbered 1 through 13 are to be entered in the Web forms provided at the niwr.net
website.
1. Title. Concise but descriptive.
2. Project Type. Select "Research" if not pre-selected by the system.
3. Focus Categories. Choose a maximum of three focus categories from the list
provided (Attachment E), with the most preferred focus category first.
4. Research Category. Choose from the following the one category that most closely
applies: Social Sciences, Ground-water Flow and Transport, Water Quality,
Biological Sciences, Engineering, or Climate and Hydrologic Processes.
5. Keywords. Enter keywords of your choice descriptive of the work.

9

6. Start Date. Enter the requested beginning date for the project. The target award date
is July through September with a USGS-preferred project start date of September 1,
2010. The project start date must be no later than September 30, 2010.
7. End Date. Enter the estimated end date for the project.
8. Principal investigator(s). Provide name, academic rank, university, email address and
phone number of ALL principal investigators.
9.

Congressional District of the university where the work is to be conducted.

10. Abstract. Provide a brief (one-page) description of the problem, methods, and
objectives in the space provided at the Internet site. Please be as descriptive as
possible in the space allowed. The abstract will be distributed to prospective
reviewers to elicit their interest in providing a review.
11. Budget Breakdown, as requested by the Web form (See Attachment B).
12. Budget Justification, as requested by the Web form (See Attachment C).
13. Budget Summary, as requested by the Web form (See Attachment D).
Budget Note: Multi-year projects will be fully funded with FY 2010 funds, if
funded. The budget must be complete for all years of the project.
Items 14 through 24 are to be "deposited" as a file document in PDF format on the
niwr.net website. Note: This document shall not exceed 12 single-spaced pages, with
12 point font and at least 1 inch margins, including tables, pictures, graphs, figures,
and appendices, but excluding resumes (item 24) and literature citations/references
(item 23). Upon submission of your application components, the entire package will be
available in PDF format for your inspection and final approval. You are responsible for
verifying the approval, including compliance with the 12-page limit. Proposals
exceeding the 12-page limit will not be considered in the competition. If editing is
required, you must edit the document using your word processor and resubmit the
document.
14. Title. Please use the same title as was entered in the Web form under item 1, above.
15. Statement of regional, interstate, or multi-state water problem. Include an
explanation of the need for the project, who wants it, and why.
16. Statement of results or benefits. Specify the type of information that is to be gained
and how it will be used.
17. Nature, scope, and objectives of the project, including a timeline of activities.

10

18. Methods, procedures, and facilities. Provide enough information to permit evaluation
of the technical adequacy of the approach to satisfy the objectives.
19. Related research. Demonstrate by literature and communication citations the
similarities and dissimilarities of the proposed project to completed or on-going work
on the same topic.
20. Training potential. Estimate the number of graduate and undergraduate students, by
degree level, who are expected to receive training in the project.
21. Statement of Government Involvement. If a Federal employee will collaborate on the
project, provide a detailed description of the role and responsibilities of the Federal
collaborator in the proposed research project. (Caution: see Item VI, above)
22. Information Transfer Plan. Describe the plan for disseminating information on the
results of the research and promoting their application. Each plan should define the
subject matter and the problems to be addressed, identify the target audience, indicate
the strategies to be employed (e.g., workshops, publications), and identify the
cooperators (e.g., Cooperative Extension Service).
23. Literature Citations/References
24. Investigator’s qualifications. Include a resume(s) of the principal investigator(s). No
resume shall exceed two pages or list more than 15 pertinent publications.
If letters of support for the application are provided, they should be scanned and uploaded to the
niwr.net website following the instructions on the website or faxed to the number on the website
at https://niwr.net/. Please provide the title of the project as it appears in item 1 above in the
letter and the application system-generated project number on the letter or fax cover sheet if the
letter is faxed. Letters of support do not count against the 12-page limit.
An Application Checklist is provided to help guide the principal investigator and the relevant
Water Center or Institute through the application process. Please see Attachment G.

11

XIV. PROPOSALS SELECTED FOR FUNDING IN PREVIOUS YEARS
Total Funds Available, Number of Proposals Received and Funded, and the Minimum and
Maximum Federal Funds Awarded, by Year.
Total
Number of Number of
Minimum.
Maximum.
Funds
Proposals
Proposals
Federal Funds
Federal Funds
Year
Available
Received
Funded
Awarded
Awarded
1999
$1,000,000
68
10
$13,833
$183,650
2000
$1,000,000
106
8
$41,937
$216,999
2001
$1,000,000
75
9
$84,294
$150,000
2002
$1,000,000
75
8
$103,134
$157,586
2003
$1,000,000
76
6
$92,839
$233,953
2004
$950,000
45
8
$69,246
$170,596
2005
$950,000
49
8
$63,014
$172,842
2006
$920,000
61
8
$58,155
$250,000
*2007
$814,419
63
5
$61,312
$242,508
2009
$937,358
61
6
$82,489
$235,148
*The program did not receive funding in FY 2007. Projects selected in FY 2007 were supported
with FY 2008 funds. A program competition was not held in FY 2008. Descriptions of the
projects selected for funding since 1999 are provided at
http://water.usgs.gov/wrri/projects.html. The research priorities established for FY 2010 are
similar to those for FY 2004, FY 2005, FY 2006, FY 2007, and FY 2009 but differ from those of
previous years.

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XV.

REPORTING REQUIREMENTS

All award recipients will be required to submit the following reports:
Report
Final Technical
Report

Number of Copies and
Format
1 PDF file.
See instructions below.

Submit to

Due

Project Officer*
through Annual Report
system at
https://niwr.net
Project Officer*
through Annual Report
system at
https://niwr.net

No later than 90 days
after expiration of the
award.

Annual Progress
1 PDF file
No later than May 31
Report (except for
See instructions below.
of each year. To be
final year –
filed with the
replaced by Final
recipients Annual
Technical Report
Program Report.
SF-272 Federal
Original + 1
Contracting Officer*
Quarterly, at the end
Cash Transactions
See instructions below.
of each federal fiscal
Report (To be
quarter.
Replaced by SF425)
SF-425 Federal
Original +1
Contracting Officer*
Quarterly, at the end
Financial Report
See instructions below.
of each federal fiscal
(To Replace both
quarter.
SF-269 and SF-272)
*The names and addresses of the contracting officer and project officer will be included in
blocks 5 and 10, respectively, of the award document.
A. TECHNICAL REPORTING REQUIREMENTS
The annual progress report and final report shall contain:
1. The “Basic Information” requested by the Annual Report System at
https://niwr.net, including the project title, project number, start date, end date,
research category, focus category, descriptors, and the name of the principal
investigator.
2. A description of the problem addressed and work performed under the award and
the results and significance thereof.
3. A list of publications resulting from the work under the award.
B. FINANCIAL REPORTING REQUIREMENTS
Cash Management and Financial Reporting Requirements
1. STANDARD FORM 272, FEDERAL CASH TRANSACTIONS REPORT (or its
successor SF 425, Federal Financial Report) is required quarterly for each
PMS/ASAP subaccount. Quarterly reports are due 45 days after the end of each

13

fiscal quarter until the final Federal Financial Report is submitted. Instructions
for submitting SF 272/SF 425 can be found at the PMS website:
http://www.dpm.psc.gov/grant_recipient/psc_272_reports/psc_272_reports.aspx?explorer.event=true

On and after APRIL 1, 2010 (or as notified by the Contracting Officer), the SF
425 Federal Financial Report must be submitted by mail to the grant specialist
identified in block 5 of the award document.
If after 45 days, recipient has not submitted a report, the account will be placed in
a manual review status. Funds may be withheld for accounts with delinquent
reports.
2. FINAL FEDERAL FINANCIAL REPORT.
a. The recipient will liquidate all obligations incurred under the award and
submit a final STANDARD FORM 425, FEDERAL FINANCIAL REPORT
(which replaces the current SF 269, Financial Status Report) no later than 90
calendar days after the grant/cooperative agreement completion date. Recipient
will promptly return any unexpended federal cash advances or will complete a
final draw from PMS/ASAP to obtain any remaining amounts due. Once 120
days has passed since the grant/agreement completion date, the PMS/ASAP
subaccount for this award may be closed by USGS at any time.
b. Subsequent revision to the final SF 425 will be considered only as follows (i) When the revision results in a balance due to the Government, the
recipient must submit a revised final Federal Financial Report (SF 425) and
refund the excess payment whenever the overcharge is discovered, no matter how
long the lapse of time since the original due date of the report.
(ii) When the revision represents additional reimbursable costs claimed by the
recipient, a revised final SF 425 may be submitted to the Contracting Officer with
an explanation. If approved, the USGS will either request and pay a final invoice
or reestablish the PMS/ASAP subaccount to permit the recipient to make a
revised final draw. Any revised final report representing additional reimbursable
amounts must be submitted no later than 1 year from the due date of the original
report, i.e., 15 months following the agreement completion date. USGS will not
accept any revised SF 425 covering additional expenditures after that date and
will return any late request for additional payment to the recipient.

14

OMB Number: 4040-0004
Expiration Date: 01/31/2009

Version 02

Application for Federal Assistance SF-424
* 1. Type of Submission:
Preapplication
✔ Application

Changed/Corrected Application
* 3. Date Received:

* 2. Type of Application:
✔

* If Revision, select appropriate letter(s):

New
* Other (Specify)

Continuation
Revision
4. Applicant Identifier:

Provided by Grants.gov upon submission

5a. Federal Entity Identifier:

* 5b. Federal Award Identifier:

State Use Only:
6. Date Received by State:

7. State Application Identifier:

8. APPLICANT INFORMATION:
* a. Legal Name:
* b. Employer/Taxpayer Identification Number (EIN/TIN):

* c. Organizational DUNS:

d. Address:
* Street1:
Street2:
* City:
County:
* State:
Province:
* Country:
* Zip / Postal Code:

e. Organizational Unit:
Department Name:

Division Name:

f. Name and contact information of person to be contacted on matters involving this application:
Prefix:

* First Name:

Middle Name:
* Last Name:
Suffix:
Title:
Organizational Affiliation:

* Telephone Number:

Fax Number:

* Email:

15

OMB Number: 4040-0004
Expiration Date: 01/31/2009

Version 02

Application for Federal Assistance SF-424
9. Type of Applicant 1: Select Applicant Type:

Type of Applicant 2: Select Applicant Type:

Type of Applicant 3: Select Applicant Type:

* Other (specify):

* 10. Name of Federal Agency:

U.S. Geological Survey
11. Catalog of Federal Domestic Assistance Number:

15-805
CFDA Title:

Assistance to State Water Resources Research Institutes
* 12. Funding Opportunity Number:

10HQPA0002
* Title:

Water Resources Research National Competitive Grants Program

13. Competition Identification Number:

Title:

14. Areas Affected by Project (Cities, Counties, States, etc.):

* 15. Descriptive Title of Applicant's Project:

Attach supporting documents as specified in agency instructions.
Add Attachments

Delete Attachments

View Attachments

16

OMB Number: 4040-0004
Expiration Date: 01/31/2009

Version 02

Application for Federal Assistance SF-424
16. Congressional Districts Of:
* a. Applicant

* b. Program/Project

Attach an additional list of Program/Project Congressional Districts if needed.
Add Attachment

Delete Attachment View Attachment

17. Proposed Project:
* a. Start Date:

* b. End Date:

18. Estimated Funding ($):
* a. Federal
* b. Applicant
* c. State
* d. Local
* e. Other
* f. Program Income
* g. TOTAL

* 19. Is Application Subject to Review By State Under Executive Order 12372 Process?
a. This application was made available to the State under the Executive Order 12372 Process for review on

.

b. Program is subject to E.O. 12372 but has not been selected by the State for review.
✔

c. Program is not covered by E.O. 12372.

* 20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.)
Yes

No

Explanation

21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements
herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to
comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims
may subject me to criminal, civil, or administrative penalties. (U.S. Code, Title 218, Section 1001)
** I AGREE
** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or agency
specific instructions.

Authorized Representative:
Prefix:

* First Name:

Middle Name:
* Last Name:
Suffix:
* Title:
* Telephone Number:

Fax Number:

* Email:
* Signature of Authorized Representative:

* Date Signed:

Authorized for Local Reproduction

Standard Form 424 (Revised 10/2005)
Prescribed by OMB Circular A-102

17

OMB Number: 4040-0004
Expiration Date: 01/31/2009

Version 02

Application for Federal Assistance SF-424
* Applicant Federal Debt Delinquency Explanation
The following field should contain an explanation if the Applicant organization is delinquent on any Federal Debt. Maximum number of
characters that can be entered is 4,000. Try and avoid extra spaces and carriage returns to maximize the availability of space.

18

Budget Breakdown

Attachment B

BUDGET BREAKDOWN*
Project Number: (Number will be provided by the application system)
Project Title:

1.

Cost Category
Salaries and Wages

Federal
$

Non-Federal
$

Total
$

$

$

$

XXXXXXXX
XXXXXXXX
XXXXXXXX
XXXXXXXX
$

$

$

$

$

$

$

$

$

- Principal Investigator
-

2.

Total Salaries and Wages
Fringe Benefits

3.

Supplies

4.

Equipment

5.

Services or Consultants

6.

Travel

7.

Other direct costs

8.

Total direct costs

9a.

Indirect costs on federal share

9b.

Indirect costs on non-federal share

10.

Total estimated costs

Total Costs at Campus of the University on
which the Institute or Center is located.
Total Costs at other University Campus
Name of University:
* This form is provided as a worksheet only

19

Budget Justification

Attachment C

BUDGET JUSTIFICATION*
Project Number: (Number will be provided by the application system)
Project Title
Salaries and Wages. Provide estimated hours and the rate of compensation proposed for each individual. (Tuition
remission and other forms of compensation paid as or in lieu of wages to students performing necessary work are allowable
provided that the tuition or other payments are reasonable compensation for the work performed and are conditioned explicitly
upon the performance of necessary work.)

Fringe Benefits. Provide the overall fringe benefit rate applicable to each category of employee proposed in the project.

Supplies. Indicate separately the amounts proposed for office, laboratory, computing, and field supplies.

Equipment. Identify non-expendable personal property having a useful life of more than one (1) year and an acquisition cost
of more than $5,000 per unit. If fabrication of equipment is proposed, list parts and materials required for each, and show costs
separately from the other items.

Services or Consultants. Identify the specific tasks for which these services, consultants, or subcontracts would be used.
Estimate amount of time required and the hourly or daily rate.

Travel. Provide purpose and estimated costs for all travel.

Other Direct Costs. Itemize costs not included elsewhere, including publication costs. Costs for services and consultants
should be included and justified under “Services or Consultants” (above).

Indirect Costs. Provide negotiated indirect (“Facilities and Administration”) cost rate.

* This form is provided as a worksheet only.

20

Budget Summary

Attachment D

BUDGET SUMMARY*
Project Number: (Number will be provided by the application system)
Project Title:
COST CATEGORY

Federal
First Year

NonFederal
First Year

FEDERAL
SECOND
YEAR#

NONFEDERAL
SECOND
YEAR#

FEDERAL
THIRD
YEAR#

NONFEDERAL
THIRD
YEAR#

TOTAL
ALL
YEARS#

1. SALARIES AND WAGES

$

$

$

$

$

$

$

2. Fringe Benefits/Labor
Overhead
3. Supplies

$

$

$

$

$

$

$

$

$

$

$

$

$

$

4. Equipment

$

$

$

$

$

$

$

5. Services or Consultants

$

$

$

$

$

$

$

6. Travel

$

$

$

$

$

$

$

7. Other Direct Costs

$

$

$

$

$

$

$

8. TOTAL DIRECT COSTS (sum of
1- 7)
9. Indirect Costs

$

$

$

$

$

$

$

11. Amount Proposed (8 + 9)

$

$

$

$

$

$

$

$

* This form is provided as a worksheet only.
# Multi-year projects only.

21

Focus Categories
ACID DEPOSITION
AGRICULTURE
CLIMATOLOGICAL PROCESSES
CONSERVATION
DROUGHT
ECOLOGY
ECONOMICS
EDUCATION
FLOODS
GEOMORPOLOGICAL PROCESSES
GEOCHEMICAL PROCESSES
GROUNDWATER
HYDROGEOCHEMISTRY
HYDROLOGY
INVASIVE SPECIES
IRRIGATION
LAW, INSTITUTIONS, AND POLICY
MANAGEMENT AND PLANNING
METHODS
MODELS
NITRATE CONTAMINATION
NON POINT POLLUTION
NUTRIENTS
RADIOACTIVE SUBSTANCES
RECREATION
SEDIMENTS
SOLUTE TRANSPORT
SURFACE WATER
TOXIC SUBSTANCES
TREATMENT
WASTEWATER
WATER QUALITY
WATER QUANTITY
WATER SUPPLY
WATER USE
WETLANDS

22

Attachment E
ACD
AG
CP
COV
DROU
ECL
ECON
EDU
FL
GEOMOR
GEOCHE
GW
HYDGEO
HYDROL
INV
IG
LIP
M&P
MET
MOD
NC
NPP
NU
RAD
REC
SED
ST
SW
TS
TRT
WW
WQL
WQN
WS
WU
WL

USGS Program Contacts
WATER USE AND WATER AVAILABILITY
William M. Alley
U.S. Geological Survey
4165 Spruance Rd.
San Diego, California 92101
Phone: (619) 225-6125
[email protected]

Attachment F

NATIONAL RESEARCH PROGRAM
Eastern Region
Pierre D. Glynn
MS 432
U.S. Geological Survey
12201 Sunrise Valley Drive
Reston, Virginia 20192
Phone: (703) 648-5823
[email protected]
Central Region
Michael M. Reddy
U.S. Geological Survey
PO Box 25046 DFC MS 418
Lakewood, Colorado 80225
Phone: (303) 236-5021
[email protected]
Western Region
Keith R. Prince
U.S. Geological Survey
MS 472 McKelvey Building
345 Middlefield Road
Menlo Park, California 94025
PHONE: (650) 329-4087
[email protected]

23

Application Checklist

Attachment G

Application Checklist
Principal Investigator (Items to be completed by Investigator Deadline)
File application on the website at https://niwr.net following the instructions in the
RFP and on the website. Filing the application requires the PI to:
Complete the Basic Info webform, which includes proposal abstract;
Complete Suggested Reviewers webform;
Complete Budget Breakdown webform;
Complete Budget Justification webform;
Complete Budget Summary webform;
Upload Proposal in pdf format - Check that page limit as stated in the RFP
is not exceeded;
Upload signed Letter(s) of Commitment of Matching Funds; and
Upload signed letter(s) of support (optional, not required)
Check that email has been received by Water Institute or Center from niwr.net
stating that the application has been submitted.
Water Institute or Center (Items to be completed by Institute Deadline)
Check that email received from niwr.net stating that application has been
submitted.
Review application for conformance with the RFP.
If revision necessary, “Enable” the proposal on niwr.net and notify the PI of
changes to be made. Instructions for “enabling” the proposal for editing are
available by clicking on the Approve Proposals” menu item of the 104G system.
PI makes requested changes and (re)submits the application.
If application is acceptable, Approve application
Check that mail received from niwr.net stating that application has been
approved.
Submit a SF424 on http://www.grants.gov for the application. NOTE: One
SF424 is to be submitted for each application/proposal approved by the
institute/center. One SF424 covering all applications/proposals approved is not
acceptable.
Record and retain confirmation messages from grants.gov, including
tracking number, for each SF424.
Note: It is expected that the Principal Investigator will coordinate the application process
with the Water Center or Institute in his or her state from the beginning of the
process.
24