State Water Resources Research Institute Program

OMB Number:1028-xxxx
Expiration Date dd/mm/yyyy
PAPERWORK REDUCTION ACT STATEMENT: A Federal agency may not conduct or sponsor, and a person is not required to respond to a
collection of information unless it displays a currently valid OMB control number. Public burden for the collection of this information is
estimated to average 62 hours per response, including the time for reviewing instructions and completing the form. Comments regarding this
collection of information should be directed to the Bureau Clearance Officer, U.S. Geological Survey 2150 Centre Avenue Fort Collins, CO
80525 or call 970-226-9445.

U.S. Geological Survey
Department of the Interior
STATE WATER RESOURCES RESEARCH INSTITUTE PROGRAM
FISCAL YEAR 2011 REQUEST FOR APPLICATIONS
under Section 104 of the
Water Resources Research Act of 1984, as Amended

ANNOUNCEMENT 11HQPA0002
Revised April 7, 2010

CLOSING DATE
JANUARY 13, 2011

U.S. Geological Survey
STATE WATER RESOURCES RESEARCH INSTITUTE PROGRAM
FISCAL YEAR 2011 REQUEST FOR APPLICATIONS
TABLE OF CONTENTS
ELECTRONIC FILING OF APPLICATIONS REQUIRED

1

I.

INTRODUCTION

1

II.

PROGRAM OBJECTIVES

1

III.

ELIGIBLE APPLICANTS

2

IV.

APPLICATIONS NOT ELIGIBLE FOR FUNDING

2

V.

FEDERAL FUNDS

2

VI.

MATCHING FUNDS

2

VII.

APPLICATION DUE DATE

3

VIII. APPLICATION CONTENTS

3

IX.

APPLICATION INSTRUCTIONS

4

X.

REPORTING REQUIREMENTS

7

ATTACHMENTS
A
APPLICATION FOR FEDERAL ASSISTANCE (SF-424)
B
ASSURANCES (SF-424B)
C
BUDGET BREAKDOWN
D
BUDGET JUSTIFICATION
E
BUDGET SUMMARY
F
FOCUS CATEGORIES

(i)

10
16
18
19
20
21

STATE WATER RESOURCES RESEARCH INSTITUTE PROGRAM
REQUEST FOR APPLICATIONS
FY 2011
ELECTRONIC FILING OF APPLICATIONS REQUIRED
Applications under this Announcement must be submitted through the Internet site at
https://niwr.net/. Institute Directors or their designee(s) are responsible for submitting their
applications electronically. Preparation of each application must follow the instructions
contained herein and on the Internet site.
I.

INTRODUCTION

This Request for Applications (RFA) 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. Responsibility for administration of this State
Water Resources Research Institute program has been delegated to the U.S. Geological Survey
(USGS).
The USGS contacts for this program are:
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: [email protected]
II.

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: [email protected]

PROGRAM OBJECTIVES

Section 104(b) of the Water Resources Research Act of 1984 requires the Institutes or Centers
to:
(1) “plan, conduct, or otherwise arrange for competent applied and peer reviewed research
that fosters –
(A) improvements in water supply reliability;
(B) the exploration of new ideas that –
(i) address water problems; or
(ii) expand understanding of water and water-related phenomena;
(C) the entry of new research scientists, engineers, and technicians into water
resources fields; and

1

(D) the dissemination of research results to water managers and the public.
(2) "cooperate closely with other colleges and universities in the State that have
demonstrated capabilities for research, information dissemination, and graduate training
in order to develop a statewide program designed to resolve State and regional water and
related land problems." The Act also requires each institute to:
(3) "cooperate closely with other institutes and other organizations in the region to increase
the effectiveness of the institutes and for the purpose of promoting regional
coordination."
Applications submitted under this Announcement are to be in furtherance of these objectives.
Specific areas of emphasis are at the discretion of the individual Institute or Center Directors.
III.

ELIGIBLE APPLICANTS

Applications will be accepted only from Institutes or Centers established pursuant to the
provisions of Section 104 of the Water Resources Research Act of 1984, as amended. The
applicant may consider project proposals only from faculty members or affiliates at institutions
of higher education in its State.
IV.

APPLICATIONS NOT ELIGIBLE FOR FUNDING
A. Applications for research on health effects involving human subjects.
B. Applications for research involving oceanography (estuarine research applications are
acceptable).
C. Applications submitted by an Institute or Center that has not met reporting requirements
on a previous award by the USGS.

V.

FEDERAL FUNDS

Funds have not yet been appropriated for this program. The amount available to each Institute or
Center in FY 2011 is estimated to be $92,335. A total of $277,005 is estimated to be available to
the Institute in Guam, which serves Guam, the Federated States of Micronesia and the
Commonwealth of the Northern Mariana Islands. The Government's obligation under this
program is contingent upon the availability of appropriated funds.
VI.

MATCHING FUNDS
A. Each applicant must match each Federal dollar provided with not less than two dollars
from non-federal sources.
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.

2

B. The matching requirement applies to the overall application, not the individual projects
within the application.
C. Matching funds shall be obligated during the period of performance.
D. The matching requirement should be met during each 12-month budget period.
Note: Matching funds in excess of the required 2:1, non-Federal:Federal, match are
acceptable and can be credited against subsequent year matches during the period of the
grant.
E. Matching funds obligated shall be reflected on line 10.b. of each Financial Status Report,
Standard Form 269A.
F. 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.
Regulations pertaining to allowable matching funds are provided in the Code of Federal
Regulations at 43CFR12.64 and in the following OMB Circulars:
Circular A-21 for Educational Institutions
Circular A-87 for State, Local, and Indian Tribal Governments
Circular A-122 for Private Nonprofit Organizations
VII.

APPLICATION DUE DATE

Applications must be filed at https://niwr.net/ prior to 4:00 PM Eastern Standard Time,
January 13, 2011.
VIII. APPLICATION CONTENTS
Each application shall consist of the following items:
A.
B.
C.
D.

Signed SF 424, Application for Federal Assistance [Attachment A]
Signed Assurances [Attachment B]
Signed Matching Funds Commitment Letter
Program Administration/Management Description, including a Budget Breakdown
(Attachment C) and Budget Justification (Attachment D) for Administration/Management
F. Project Proposals, including a Budget Breakdown (Attachment C) and Budget
Justification (Attachment D) for each Project
G. Budget Summary (Attachment E)
Attachment C (Budget Breakdown), Attachment D (Budget Justification) and Attachment
E (Budget Summary) should be considered worksheets. During the proposal submission

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process, data for Attachments C and D will be entered into a form 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. The application system will
generate Attachment E automatically by compiling information from the budget
breakdown forms for all of the projects.
IX.

APPLICATION INSTRUCTIONS

Each application 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 document files containing
detailed descriptions of the work being proposed. These files 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 these files, and verifying their
submission are provided at the website).
Applications must contain the following sections and adhere to the following guidelines:
The first three sections of the application, below, (Application for Federal Assistance,
Assurances, and Matching Funds Commitment Letter) are to be signed and:
1. Scanned and uploaded to niwr.net following the instructions on that website or faxed
to the number provided at the website at the time of submission of the application to
the website. (Note: the number provided is not a USGS fax number).
2. The original, signed, Application for Federal Assistance (Sf-424) and Assurances
sent by mail or parcel delivery so as to be received at the following address within 5
business days of the formal submission to the website.
U.S. Geological Survey
Office of Acquisition and Grants
Attn: Kimberly L. Dove, MS 205
12201 Sunrise Valley Drive
Reston, Virginia 20192
Note: Copies of the original signed Letters of Commitment of Matching Funds
need only be uploaded to niwr.net at the time of submission of the application;
they need not be mailed to the USGS.
A. Application for Federal Assistance, SF 424. (Attachment A) The SF 424 shall be
signed by an authorized representative of the applicant.
B. Assurances (Attachment B). The Assurances shall be signed by an authorized
representative of the applicant.
C. 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

4

part of the matching share or a third party, in-kind contribution signed by an official
authorized to commit the third party.
E. Description of Program Management and Administration
At this section of the website, please provide or correct the following information in the Web
form presented by the site:
1. Institute Director. Name, academic rank, email address and phone number.
2. Administrative Personnel. Name, academic rank or title, email address and phone
number of other principals involved in administration of the program, if any.
3. Budget Breakdown, as requested by the Web form (See Attachment C).
4. Budget Justification, as requested by the Web form (See Attachment D).
5. Program and Management Overview, in the space provided by the Web form.
F. Project Proposals. (Includes research, education, information transfer, and information
management system proposals. "Graduate Fellowship" and "Seed Grant" projects must
each be entered as separate research proposals if they support research.)
Each proposal shall consist of the following 20 elements. Items numbered 1 through 12
are to be entered in the Web form provided at the website.
1. Title. Concise but descriptive.
2. Project Type. Choose from the following: Research, Information Transfer,
Information Management System, Education, or Other (please specify).
3. Focus Categories. Choose a maximum of three focus categories from the list
provided (Attachment F), 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.
6. Start Date. Enter the actual beginning date for the project.
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 the principal investigators.

5

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.
11. Budget Breakdown, as requested by the Web form (See Attachment C).
12. Budget Justification, as requested by the Web form (See Attachment D).
Items 13 through 20 are to be "deposited" as a file document in PDF format at the
website. Note: This document shall not exceed 10 single-spaced pages - 12 point font,
exclusive of resumes (item 20). 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 10-page
limit. If editing is required, you must edit the problem document(s) using your word
processor and resubmit that application component.
13. Title. Please use the same title as was entered in the Web form under item 1, above.
14. Statement of regional or State water problem. Include an explanation of the need for
the project, who wants it, and why.
15. Statement of results or benefits. Specify the type of information that is to be gained
and how it will be used.
16. Nature, scope, and objectives of the project, including a timeline of activities.
17. Methods, procedures, and facilities. Provide enough information to permit evaluation
of the technical adequacy of the approach to satisfy the objectives.
18. Related research. (Research projects only) Show by literature and communication
citations the similarities and dissimilarities of the proposed project to completed or
on-going work on the same topic.
19. Training potential. Estimate the number of graduate and undergraduate students, by
degree level, who are expected to receive training in the project.
20. Investigator’s qualifications. Include resume(s) of the principal investigator(s). No
resume shall exceed two pages or list more than 15 pertinent publications.
G. Budget Summary (See Attachment E). The application system will generate this form
automatically by compiling information from the budget breakdown forms for all of the
projects.

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X.

REPORTING REQUIREMENTS
TECHNICAL REPORTING REQUIREMENTS

A. The recipient shall prepare an Annual Program Report summarizing its activities during the
reporting period under its base grant, national competitive grant program awards for which it
is the lead institute NIWR-USGS Internships, and supplemental awards funded either by the
USGS or by pass-through funds from another Federal agency. The reporting period for the
annual program is March 1 through February 28.
B. The Annual Program Report is to be filed on the Internet at https://niwr.net/ by May 31 of
each year. The report for the program awards, internship awards and supplemental awards
should be filed within 90 days after the completion date of the individual award.

C. The Annual Program Report for each Institute shall consist of the following components
and shall be in the format specified in the Annual Report guidelines provided at
https://niwr.net/.
(1) RESEARCH: A synopsis of each ongoing research project and of each research
project completed during the reporting period. This includes projects funded under
the base grant and the National Competitive Grant Program, as well as projects
supported by supplemental grants funded by the USGS and other Federal agencies.
Include only those National Competitive Grant Program projects for which you are
the lead institute.
(2) PUBLICATIONS: A list of all reports published during the reporting period as a result
of projects supported with section 104 and required matching funds, including base
grants and National Competitive Grant awards for which you are the lead institute,
and as a result of supplemental awards.
(3) INFORMATION TRANSFER PROGRAM: A brief description of information transfer
activities supported with section 104 and required matching funds during the
reporting period.
(4) STUDENT SUPPORT: A summary of the number of students supported with section
104 and required matching funds, including the base grant and National Competitive
Grant Program awards for which you are the lead institute. Report, also, the number
of students supported under the NIWR-USGS Student Internship Program and other
supplemental awards during the reporting period.
(5) STUDENT INTERNSHIP PROGRAM: A Student Evaluation of Internship at the U.S.
Geological Survey for each student who completed an internship during the reporting
period.
7

(6) NOTABLE ACHIEVEMENTS AND AWARDS: Provide a brief description of any
especially notable achievements and awards resulting from work supported with
section 104 and required matching funds and by supplemental grants during the
reporting period.
D. Supplemental awards may require progress reports; this requirement will be stated within the
award document.
CASH MANAGEMENT AND FINANCIAL REPORTING REQUIREMENTS
1. STANDARD FORM 425, FEDERAL FINANCIAL REPORT is required quarterly for each
PMS/ASAP subaccount. Quarterly reports are due 30 days after the end of each 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/
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 Kimberly Dove, USGS, 12201 Sunrise Valley
Drive, Reston VA 20192.
If after 30 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
8

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.
.

9

Attachment A SF424
OMB Number: 4040-0004
Expiration Date: 01/31/2009

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

*2. Type of Application

Preapplication

New

Application

Continuation

Changed/Corrected Application

Revision

3. Date Received :

Version 02
* If Revision, select appropriate letter(s)

*Other (Specify)

4. Applicant Identifier:

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:
*Street 1:
Street 2:
*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:

10

Attachment A SF424
OMB Number: 4040-0004
Expiration Date: 01/31/2009

Application for Federal Assistance SF-424

Version 02

*9. Type of Applicant 1: Select Applicant Type:
H. Public/State Controlled Inst on of Higher Educ
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:
11HQPA0002

*Title:
State Water Resources Research Institute Program Fiscal Year 2011 Request for Applications

13. Competition Identification Number:
N/A
Title:
N/A

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

*15. Descriptive Title of Applicant’s Project:
FY 2011 Annual Application under Section 104 of the Water Resources Research Act of 1984, as amended

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

11

Attachment A SF424
Application for Federal Assistance SF-424

Version 02

16. Congressional Districts Of:
*a. Applicant:

*b. Program/Project:

17. Proposed Project:
*a. Start Date: March 1, 2011

*b. End Date: February 29, 2012

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

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

12

Attachment A SF424
OMB Number: 4040-0004
Expiration Date: 01/31/2009

Application for Federal Assistance SF-424

Version 02

*Applicant Federal Debt Delinquency Explanation
The following should contain an explanation if the Applicant organization is delinquent of any Federal Debt.

13

Attachment A SF424

14

Attachment A SF424

15

OMB Approval No. 0348-0040

ATTACHMENT B: ASSURANCES - NON-CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0040), Washington, DC 20503.

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
NOTE: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such
is the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1.

Has the legal authority to apply for Federal assistance
and the institutional, managerial and financial capability
(including funds sufficient to pay the non-Federal share
of project cost) to ensure proper planning, management
and completion of the project described in this
application.

2.

Will give the awarding agency, the Comptroller General
of the United States and, if appropriate, the State,
through any authorized representative, access to and
the right to examine all records, books, papers, or
documents related to the award; and will establish a
proper accounting system in accordance with generally
accepted accounting standards or agency directives.

3.

Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.

4.

Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.

5.

Will comply with the Intergovernmental Personnel Act of
1970 (42 U.S.C. §§4728-4763) relating to prescribed
standards for merit systems for programs funded under
one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F).

6.

Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to:
(a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352)
which prohibits discrimination on the basis of race, color
or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. §§16811683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation

Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of handicaps; (d)
the Age Discrimination Act of 1975, as amended (42
U.S.C. §§6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) §§523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee3), as amended, relating to confidentiality of alcohol
and drug abuse patient records; (h) Title VIII of the
Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as
amended, relating to nondiscrimination in the sale,
rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being
made; and, (j) the requirements of any other
nondiscrimination statute(s) which may apply to the
application.
7.

Will comply, or has already complied, with the
requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L. 91-646) which provide for
fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or
federally-assisted programs. These requirements apply
to all interests in real property acquired for project
purposes regardless of Federal participation in
purchases.

8.

Will comply, as applicable, with provisions of the
Hatch Act (5 U.S.C. §§1501-1508 and 7324-7328)
which limit the political activities of employees whose
principal employment activities are funded in whole or
in part with Federal funds.

Previous Edition Usable

Standard Form 424B (Rev. 7-97)

Authorized for Local Reproduction

16

Prescribed by OMB Circular A-102

9.

10.

11.

Will comply, as applicable, with the provisions of the DavisBacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act
(40 U.S.C. §276c and 18 U.S.C. §874), and the Contract
Work Hours and Safety Standards Act (40 U.S.C. §§327333), regarding labor standards for federally-assisted
construction subagreements.
Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires
recipients in a special flood hazard area to participate in the
program and to purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000 or more.
Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and
Executive Order (EO) 11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in
floodplains in accordance with EO 11988; (e) assurance of
project consistency with the approved State management
program developed under the Coastal Zone Management
Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of
Federal actions to State (Clean Air) Implementation Plans
under Section 176(c) of the Clean Air Act of 1955, as
amended (42 U.S.C. §§7401 et seq.); (g) protection of
underground sources of drinking water under the Safe
Drinking Water Act of 1974, as amended (P.L. 93-523);
and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93205).

SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL

12.

Will comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. §§1271 et seq.) related to protecting
components or potential components of the national
wild and scenic rivers system.

13.

Will assist the awarding agency in assuring compliance
with Section 106 of the National Historic Preservation
Act of 1966, as amended (16 U.S.C. §470), EO 11593
(identification and protection of historic properties), and
the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a-1 et seq.).

14.

Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and
related activities supported by this award of assistance.

15.

Will comply with the Laboratory Animal Welfare Act of
1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 et
seq.) pertaining to the care, handling, and treatment of
warm blooded animals held for research, teaching, or
other activities supported by this award of assistance.

16.

Will comply with the Lead-Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 et seq.) which
prohibits the use of lead-based paint in construction or
rehabilitation of residence structures.

17.

Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit
Act Amendments of 1996 and OMB Circular No. A-133,
"Audits of States, Local Governments, and Non-Profit
Organizations."

18.

Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies
governing this program.

TITLE

APPLICANT ORGANIZATION

DATE SUBMITTED

Standard Form 424B (Rev. 7-97) Back

17

Budget Breakdown

Attachment C

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

18

Budget Justification
BUDGET JUSTIFICATION*
Project Number: (Number will be provided by the application system)
Project Title

Attachment D

Salaries and Wages. Provide job title, 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 and provide a detailed
breakdown of these costs.

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. A detailed breakdown is required.

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. If funds are requested for other than salary a detailed breakdown
is required for those costs as well.

Travel. Provide purpose and estimated costs for all travel to include a detailed breakdown for airfare, mileage, per diem,
lodging, etc. (this includes number of personnel, number of days and daily rates).

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). Please provide a detail breakdown of the costs.

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

* This form is provided as a worksheet only.
19

Budget Summary

Attachment E

BUDGET SUMMARY*
Project Number
All Projects
Principal Investigator
Federal
Non-Federal
Federal
Non-Federal
Federal
Non-Federal
Federal
Non-Federal
Cost Category
Salaries and Wages
Fringe Benefits
Supplies
Equipment
Services or Consultants
Travel
Other Costs
Total Direct Costs
Indirect Costs
Total Estimated Costs
* This form is provided as a worksheet only. The application system will generate this form automatically by compiling information from the budget
breakdown forms for all of the projects.

20

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

21

Attachment F
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