State Water Resources Research Institute Program-application

U.S. Geological Survey
Department of the Interior
STATE WATER RESOURCES RESEARCH INSTITUTE PROGRAM
FISCAL YEAR 2016 REQUEST FOR APPLICATIONS
under Section 104 of the
Water Resources Research Act of 1984, as Amended

ANNOUNCEMENT G16AS00017
December 9, 2015

CLOSING DATE
JANUARY 14, 2016
5:00 P.M. Eastern Standard Time
OMB Number:1028-0097
Expiration Date 10/31/2016
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
STATE WATER RESOURCES RESEARCH INSTITUTE PROGRAM
FISCAL YEAR 2016 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

3

VII.

APPLICATION DUE DATE

3

VIII. APPLICATION CONTENTS

4

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
15
17
18
19
20

STATE WATER RESOURCES RESEARCH INSTITUTE PROGRAM
REQUEST FOR APPLICATIONS
FY 2016
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 Program Announcement 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 Institute in Hawaii also serves American
Samoa. Responsibility for administration of the State Water Resources Research Institute
program has been delegated to the U.S. Geological Survey (USGS).
The USGS contacts for this program are:
Program Office
Earl Greene
Chief, Office of External Research
5522 Research Park Drive
Baltimore, MD 21228
Phone: 443-498-5505
email: [email protected]
II.

Grants Office
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;

1

(C) the entry of new research scientists, engineers, and technicians into water
resources fields; and
(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
and promote the national mission and objectives of the U.S. Geological Survey which are
focused on providing water quality and quantity information, understanding water availability,
addressing the influence of climate on water resources, and responding to water-related emerging
needs. 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 for FY 2016. For planning purposes,
assume that the amount available to each Institute or Center in FY 2016 is $92,335. Assume that
a total of $277,005 is available to the regional Institute in Guam, which serves Guam, the
Federated States of Micronesia and the Commonwealth of the Northern Mariana Islands.
Assume that a total of $184,670 is available to the regional Institute in Hawaii, which serves
Hawaii and American Samoa. The Government's obligation under this program is contingent
upon the availability of appropriated funds.

2

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, the U.S. Virgin Islands, and American Samoa are exempt from the
matching requirement.
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.i. of each Federal Financial Report,
Standard Form 425.
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 5:00 PM Eastern Standard Time,
January 14, 2016.

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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
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.
2. Note: Copies of the original signed documents need only be uploaded to
niwr.net at the time of submission of the application; they need NOT be mailed
to the USGS. Please be sure that the scanned documents are legible.
A. Application for Federal Assistance, SF 424. (Attachment A) The SF 424 shall be
signed by an authorized representative of the applicant.

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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
part of the matching share or a third party, in-kind contribution signed by an official
authorized to commit the third party.
D. 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.
E. 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.

5

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.
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.

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F. 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.
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.

7

(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.
(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. Annual Financial Reports.
The recipient will submit annual STANDARD FORM 425, FEDERAL FINANCIAL
REPORT(S) for each individual USGS award. The SF 425 is available at http://www.whitehouse.gov/omb/grants_forms. The SF 425 will be due ninety (90) calendar
days after the grant year (i.e., 12 months after the approved effective date of the grant agreement
and every 12 months thereafter until the expiration date of the grant agreement). USGS
acknowledges that this annual reporting schedule may not always correspond with a specific
budget period. The SF 425 must be submitted electronically through the FedConnect Message
Center (www.fedconnect.net). If after 90 days, recipient has not submitted a report, the
recipient’s account in ASAP will be placed in a manual review status until the report is
submitted.
2. Final Financial Report.
a. The recipient will liquidate all obligations incurred under the award and submit a final
STANDARD FORM 425, FEDERAL FINANCIAL REPORT through FedConnect
(www.fedconnect.net) no later than 90 calendar days after the grant/cooperative agreement
completion date. The SF 425 is available at - http://www.whitehouse.gov/omb/grants_forms.
Recipient will promptly return any unexpended federal cash advances or will complete a final
draw from ASAP to obtain any remaining amounts due. Once 120 days has passed since the
grant/agreement completion date, the 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 ASAP

8

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.

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Budget Breakdown

Attachment C

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

Federal

1. Salaries and Wages

$

Non-Federal

Total

$

$

- Principal Investigator(s)
- Graduate Student(s)
- Undergraduate Student(s)
- Others
Total Salaries and Wages
2. Fringe Benefits
- Principal Investigator(s)
- Graduate Student(s)
- Undergraduate Student(s)
- Others
Total Fringe Benefits
3. Tuition
- Graduate Student(s)
- Undergraduate Student(s)
Total Tuition
4.
Supplies

5.

Equipment

6.

Services or Consultants

7.

Travel

8.

Other direct costs

9.

Total direct costs

10a.

Indirect costs on federal share

XXXXXXXX
XXXXXXXX

10b.

Indirect costs on non-federal share

XXXXXXXX
XXXXXXXX

11.

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

17

Budget Justification

Attachment D

BUDGET JUSTIFICATION*
Project Number: (Number will be provided by the application system)
Project Title
Salaries and Wages for PIs. Provide personnel, title/position, estimated hours and the rate of compensation proposed for each individual.

Salaries and Wages for Graduate Students. Provide personnel, title/position, estimated hours and the rate of compensation proposed for each individual.
(Other forms of compensation paid as or in lieu of wages to students performing necessary work are allowable provided that the other payments are reasonable
compensation for the work performed and are conditioned explicitly upon the performance of necessary work. Also, note that tuition has its own category below
and that health insurance, if provided, is to be included under fringe benefits.)

Salaries and Wages for Undergraduate Students. Provide personnel, title/position, estimated hours and the rate of compensation proposed for each individual.
(Other forms of compensation paid as or in lieu of wages to students performing necessary work are allowable provided that the other payments are reasonable
compensation for the work performed and are conditioned explicitly upon the performance of necessary work. Also, note that tuition has its own category below
and that health insurance, if provided, is to be included under fringe benefits.)

Salaries and Wages for Others. Provide personnel, title/position, estimated hours and the rate of compensation proposed for each individual.

Fringe Benefits for PIs. Provide the overall fringe benefit rate applicable to each category of employee proposed in the project. . Note: include health insurance
here, if applicable.

Fringe Benefits for Graduate Students. Provide the overall fringe benefit rate applicable to each category of employee proposed in the project. Note: include
health insurance here, if applicable.

Fringe Benefits for Undergraduate Students. Provide the overall fringe benefit rate applicable to each category of employee proposed in the project. Note:
include health insurance here, if applicable

Fringe Benefits for Others. Provide the overall fringe benefit rate applicable to each category of employee proposed in the project. . Note: include health
insurance here, if applicable.

Tuition for Graduate Students.
Tuition for Undergraduate Students
Supplies. Indicate separately the amounts proposed for office, laboratory, computing, and field supplies. Provide a breakdown of the supplies in each category.

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. Provide a detailed breakdown of the
services or consultants to include personnel, time, salary, supplies, travel, etc.
Travel. Provide purpose and estimated costs for all travel. A breakdown should be provided to include location, number of personnel, number of days, per diem
rate, lodging rate, mileage and mileage rate, airfare (whatever is applicable).
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 breakdown for costs listed under this category.
Indirect Costs. Provide negotiated indirect (“Facilities and Administration”) cost rate.

* This form is provided as a worksheet only.

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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.

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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

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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