State Water Resources Research Institute Program-application

U.S. Geological Survey
Department of the Interior
STATE WATER RESOURCES RESEARCH INSTITUTE PROGRAM
ANNUAL BASE GRANTS FISCAL YEAR 2019 REQUEST FOR APPLICATIONS
under Section 104 of the
Water Resources Research Act of 1984, as Amended

ANNOUNCEMENT G19AS00039
Revised March 11, 2019

CLOSING DATE
April 1, 2019
5:00 P.M. Eastern Standard Time
OMB Number: 1028-0097
Expiration Date: 2/29/2020
PAPERWORK REDUCTION ACT STATEMENT: In accordance with the Paperwork
Reduction Act (44 USC 3501), an 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 Office of
Management and Budget control number. OMB has reviewed and approved this information
collection and assigned OMB Control Number 1028-0097. You may submit comments on any
aspect of this information collection, including the accuracy of the estimated burden hours and
suggestions to reduce this burden. Send your comments to: Information Collections Clearance
Officer, US Geological Survey, [email protected].

U.S. Geological Survey
STATE WATER RESOURCES RESEARCH INSTITUTE PROGRAM
FISCAL YEAR 2019 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

5

X.

REPORTING REQUIREMENTS

7

ATTACHMENTS
A
BUDGET BREAKDOWN
B
BUDGET JUSTIFICATION
C
BUDGET SUMMARY
D
FOCUS CATEGORIES
E
FEDERAL AWARD IDENTIFIERS
F
SPECIAL TERMS AND CONDITIONS

10
11
13
14
15
16

(i)

STATE WATER RESOURCES RESEARCH INSTITUTE PROGRAM
REQUEST FOR APPLICATIONS
FY 2019
ELECTRONIC FILING OF APPLICATIONS REQUIRED
Applications under this Announcement must be submitted through the federal grants application
site at https://www.grants.gov. 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 grants.gov 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
Director, Water Resources Research Act Program
5522 Research Park Drive
Baltimore, MD 21228
Phone: 571-332-4184
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 2019. For planning purposes,
assume that the amount available to each Institute or Center in FY 2018 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://www.grants.gov prior to 5:00 PM Eastern Standard
Time, April 1, 2019.

3

VIII. APPLICATION CONTENTS
Each application shall consist of the following items:
A.
B.
C.
D.

Signed SF 424, Application for Federal Assistance
Signed Assurances
Signed Matching Funds Commitment Letter
Program Administration/Management Description, including a Budget Breakdown
(Attachment A) and Budget Justification (Attachment B) for Administration/Management
E. Project Proposals, including a Budget Breakdown (Attachment A) and Budget
Justification (Attachment B) for each Project
F. Budget Summary (Attachment C)
Attachment A (Budget Breakdown), Attachment B (Budget Justification) and Attachment
C (Budget Summary) are fillable pdf’s and should be attached to the application.
*(NEW) - Proposals submitted to USGS must include a supplementary document of no more
than two pages labeled "Data Management Plan" (DMP). This supplementary document should
describe how the proposal will conform to USGS policy on the dissemination and sharing of
research results and associated data. A valid DMP may include only the statement that no
detailed plan is needed (e.g. “No data are expected to be produced from this project”), as long as
the statement is accompanied by a clear justification. This supplementary document may
include:
• the

types of data, samples, physical collections, software, curriculum materials, and other
materials to be produced in the course of the project;
• the standards to be used for data and metadata format and content (where existing
standards are absent or deemed inadequate, this should be documented along with any
proposed solutions or remedies);
• policies for access and sharing including provisions for appropriate protection of privacy,
confidentiality, security, intellectual property, or other rights or requirements;
• provisions for re-use, re-distribution, and the production of derivatives; and
• plans for archiving data, samples, and other research products, and for preservation of
free public access to them.
Additional guidance on data management plans is available from the USGS Data Management
web site here: http://www.usgs.gov/datamanagement/plan/dmplans.php
Simultaneously submitted collaborative proposals and proposals that include subawards are a
single unified project and should include only one supplemental combined DMP by the lead PI
that also addresses all subaward data management needs, regardless of the number of non-lead
collaborative proposals or subawards included.

4

IX.

APPLICATION INSTRUCTIONS

Each application must be submitted through the website at https://www.grants.gov and shall be
prepared and submitted in accordance with the specific instructions provided at that site. Files
may be prepared using the word processing software of choice, but must be translated to PDF
format prior to being submitted.
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 submitted:
A. Application for Federal Assistance, SF 424. The SF 424 shall be signed by an
authorized representative of the applicant.
B. Assurances. 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
Please provide information:
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, fillable form (See Attachment A).
4. Budget Justification, fillable form (See Attachment B).
5. Program and Management Overview Description.
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.)
1. Title. Concise but descriptive.
2. Project Type. Choose from the following: Research, Information Transfer,
Information Management System, Education, or Other (please specify).

5

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.
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 .
11. Statement of regional or State water problem. Include an explanation of the need for
the project, who wants it, and why.
12. Statement of results or benefits. Specify the type of information that is to be gained
and how it will be used.
13. Nature, scope, and objectives of the project, including a timeline of activities.
14. Methods, procedures, and facilities. Provide enough information to permit evaluation
of the technical adequacy of the approach to satisfy the objectives.
15. 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.
16. Training potential. Estimate the number of graduate and undergraduate students, by
degree level, who are expected to receive training in the project.
17. Budget Breakdown, fillable form (Attachment A)
18. Budget Justification fillable form (See Attachment B)
19. Investigator’s qualifications. Include resume(s) of the principal investigator(s). No
resume shall exceed two pages or list more than 15 pertinent publications.

6

F. Budget Summary (fillable form Attachment C). Provide 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 with the USGS 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 by the program
office.
(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.

8

ATTACHMENT A

BUDGET BREAKDOWN
Project Title:
Cost Category
1. Salaries and Wages (list personnel)

Federal
$

Non-Federal
$

$

Total Salaries and Wages
2. Fringe Benefits

$
$

$
$

$
$

Total Fringe Benefits
3. Tuition

$
$

$
$

$
$

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
10b. Indirect costs on non-federal share
11. Total estimated costs

$
XXXXXXX
XXXXXXX
$

$
$
$
$

$
$
$
$

Total Costs at Campus of the University on
which the Institute or Center is located.
Total Costs at other University Campus
Name of University:

$

$

$

$

$

$

17

Total

ATTACHMENT B

BUDGET JUSTIFICATION
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 projects. 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 projects. 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 projects. 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 projects. Note: include health insurance here, if applicable.

ATTACHMENT B

Tuition for Graduate Students. Provide time & amount. In-state or Out-of-state tuition?
Tuition for Undergraduate Students. Provide time & amount. In-state or Out-of-state tuition?
Supplies. Indicate separately the amounts proposal for laboratory and field supplies followed by
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. A breakdown is required for each cost.
Travel. Provide purpose and estimated cost 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 detailed breakdown for costs listed under this category.
Indirect Costs. Provide negotiated indirect (“Facilities and Administration”) cost rate. If
indirect costs are provided please include a copy of your current Indirect Cost Rate Agreement
so the rate can be verified.

BUDGET SUMMARY

ATTACHMENT C

Project Number
Principle Investigator
Cost Category
Salaries and Wages
Fringe Benefits
Supplies
Equipment
Services or Consultants
Travel
Other Direct Costs
Total Direct Costs
Indirect Costs
Total Costs

Federal

XXXXX

Non-Federal

Federal

XXXXX

Non-Federal

Federal

XXXXXX

Non-Federal

All Projects

Federal

XXXXXX

Non-Federal

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

WETLANDS

ATTACHMENT D

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

Federal Award Identifiers
Institute
Alabama

Federal Award
Identifier
G16AP00037

Alaska

G16AP00038

Arizona

G16AP00039

Arkansas

G16AP00040

California

G16AP00041

Colorado

G16AP00042

Connecticut

G16AP00043

Delaware

G16AP00044

DC

G16AP00045

Florida

G16AP00046

Georgia

G16AP00047

Guam

G16AP00048

Hawaii

G16AP00049

Idaho

G16AP00050

Illinois

G16AP00051

Indiana

G16AP00052

Iowa

G16AP00053

Kansas

G16AP00054

Kentucky

G16AP00055

Louisiana

G16AP00056

Maine

G16AP00057

Maryland

G16AP00061

Massachusetts

G16AP00062

Michigan

G16AP00063

Minnesota

G16AP00064

Mississippi

G16AP00065

Missouri

G16AP00066

Institute

Attachment E
Federal Award Identifier

Montana

G16AP00067

Nebraska

G16AP00068

Nevada

G16AP00069

New Hampshire

G16AP00070

New Jersey

G16AP00071

New Mexico

G16AP00072

New York

G16AP00073

North Carolina

G16AP00074

North Dakota

G16AP00075

Ohio

G16AP00076

Oklahoma

G16AP00077

Oregon

G16AP00078

Pennsylvania

G16AP00079

Puerto Rico

G16AP00080

Rhode Island

G16AP00081

South Carolina

G16AP00082

South Dakota

G16AP00083

Tennessee

G16AP00084

Texas

G16AP00085

Utah

G16AP00086

Vermont

G16AP00087

Virginia

G16AP00088

Virgin Islands

G16AP00089

Washington

G16AP00090

West Virginia

G16AP00091

Wisconsin

G16AP00092

Wyoming

G16AP00093

21

Attachment F
104 WRRI Program
03-11-2019
SPECIAL TERMS AND CONDITIONS
SECTION A –ADMINISTRATIVE DATA AND REPORTING REQUIREMENTS
A.1 Payment
Payments under financial assistance awards must be made using the Department of the Treasury
Automated Standard Application for Payments (ASAP) system (www.asap.gov).
a)

The Recipient agrees that it has established or will establish an account with ASAP. USGS
will initiate enrollment in ASAP. If the Recipient does not currently have an ASAP account,
they must designate an individual (name, title, address, phone and e-mail) who will serve as
the Point of Contact (POC).

b)

With the award of each grant/cooperative agreement, a sub-account will be set up from
which the Recipient can draw down funds. After Recipients complete enrollment in ASAP
and link their banking information to the USGS ALC (14080001), it may take up to 10 days
for sub-accounts to be activated and for funds to be authorized for drawdown in ASAP.

c)

Inquiries regarding payment should be directed to ASAP at 855-868-0151.

d)

Payments may be drawn in advance only as needed to meet immediate cash disbursement
needs.

A.2 Carryover Funds
Multiple year awards may carry over unobligated funds to be expended in the following budget
period. This is to allow a project that was unable to be completed by the end of the funded
budget period to be completed. Please note that funds are only available through the ASAP
system 90 days after each budget period ending date for that budget period. No funds shall be
carried over beyond the final year of an award. Prior year funds cannot be reallocated to
new projects. Funds may only be reallocated with prior approval of the Contracting Officer
and only during the federal fiscal year during which they were obligated.
A.3 Assistance Administration
This award will be administered by:
U.S. Geological Survey
Office of Acquisition and Grants
12201 Sunrise Valley Drive, MS 205
Reston, VA 20192
Attn: Kimberly Dove, Grant Specialist
Telephone: 703-648-7487
Page 1 of 20

Attachment F
104 WRRI Program
03-11-2019
Email: [email protected]
A.4 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 submitted to the Project Officer, Earl Greene at
[email protected] until further notice by May 31 of each year. The report for the
competitive program awards, internship awards and supplemental awards should be
submitted 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
(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.
Page 2 of 20

Attachment F
104 WRRI Program
03-11-2019
(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.
A.5 Annual Financial Report
a)

The Recipient will submit an annual SF 425, Federal Financial Report, for each
individual USGS award. The SF 425 is available at
https://www.grants.gov/web/grants/forms/post-award-reporting-forms. The SF 425 will be
due in accordance with the following schedule. USGS acknowledges that this annual
reporting schedule may not always correspond with a specific budget period.
Award Performance Start
Date

Annual Interim Report
End Date
(year following start date)

Annual Interim Report
Due Date
(90 days after report
end date)

January 1- March 31

March 31

June 30

April 1- June 30

June 30

September 30

July 1- September 30

September 30

December 31

October 1 – December 31

December 31

March 31

b) The SF 425 must be submitted electronically through the FedConnect Message Center
(www.fedconnect.net) or, if FedConnect is not available, by e-mail to [email protected] with
a cc to the Grant Specialist. Recipient must include the USGS award number in the subject
line of all correspondence. 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.

A.6 Final Financial Report
a)

The Recipient will liquidate all obligations incurred under the award and submit a final
SF 425, Federal Financial Report in accordance with A.5.b. no later than 90 calendar days
after the Agreement completion date.
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b)
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 Agreement completion date, USGS shall unilaterally deobligate federal funds as
reflected in the Final SF 425.
c)
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 SF 425, Federal Financial Report, 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 USGS Contracting
Officer with an explanation. If approved, the USGS will either request and pay a
final invoice or reestablish the 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.
A.7 Institute Director
The Institute Director, who is designated by the Recipient, is responsible for the technical
direction of the research.
A.8 Project Officer
(a) The Project Officer will work closely with the Institute Director to ensure that all
technical requirements are being met. The Project Officer's responsibilities include, but are
not limited to, providing technical advice on the accomplishment of the Recipient's
objectives; reviewing the technical content of the report and the other information delivered
to the USGS; determining the adequacy of the program reports; and conducting site visits in
coordination with the Contracting Officer as necessary.
(b) The Project Officer does not have the authority to issue any technical direction which
constitutes an assignment of additional work outside the scope of the award; in any manner
causes a change in the total costs or the time required for performance of the award; or
changes any of the terms, conditions, or general provisions of the award.
A.9 Contracting Officer
The Contracting Officer is authorized to enter into and/or terminate awards. The Contracting
Officer is the sole authority designated to modify the funds and stated terms and conditions of
the award. The Contracting Officer, in coordination with the Project Officer, will ensure the
effective utilization of Federal funds.
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A.10 Adherence to Original Research Objectives and Budget Estimates
(a) Any commitments or expenditures incurred by the Recipient in excess of the funds
provided by this award shall be the responsibility of the Recipient. Expenditures incurred
prior to the effective date of this award cannot be charged against award funds unless
provided for in this award.
(b) The following changes require advance written approval by the Contracting Officer
(CO). The request must be submitted to the CO at least 30 calendar days prior to the
requested effective date of the change:
(1) Changes in the scope, objective, or key personnel referenced in the Recipient's
proposal;
(2) Transfer of funds between direct cost categories when the cumulative amount of
transfers during the project period exceeds 10 percent of the total award;
(3) Foreign travel;
(4) Acquisition of non-expendable personal property having a useful life of more than
one year and having an acquisition cost $5,000 or more; and
(5) Change in the project period for internships, competitive awards, supplemental
awards funded by the USGS and other Federal agencies. The Recipient shall submit a
revised budget indicating the planned use of all unexpended funds during the extension
period. This request must be submitted no later than 30 days prior to the expiration date
of the budget and or award period.
(c) The Recipient shall submit a revised financial estimate and plan for (2) through (5)
above.
(d) The CO will notify the Recipient in writing within 30 calendar days after receipt of the
request or revision or adjustment whether or not the request has been approved.

A.11 Publications
a) Acknowledgment of Support
Recipient is responsible for assuring that an acknowledgment of USGS support:
1. is made in any publication (including World Wide Web pages) of any material based on
or developed under this Agreement, in the following terms:

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This material is based upon work supported by the U.S. Geological Survey
under Grant/Cooperative Agreement No. (enter USGS award number located
in Block #1 of award document).
2. is orally acknowledged during all news media interviews, including popular media such
as radio, television and news magazines.
b) Disclaimer
Recipient is responsible for assuring that every publication of material (including World
Wide Web pages) based on or developed under this Agreement, contains the following
disclaimer:
The views and conclusions contained in this document are those of the authors and
should not be interpreted as representing the opinions or policies of the U.S.
Geological Survey. Mention of trade names or commercial products does not
constitute their endorsement by the U.S. Geological Survey.
c) Publication
Publication of the results of any project carried out under this assistance award is authorized
in professional journals, trade magazines, or may be made by the USGS. Such manuscripts
or publications submitted to journals or professional publications for publication shall be
accompanied by the following notation:
This manuscript is submitted for publication with the understanding that the United States
Government is authorized to reproduce and distribute reprints for Governmental
purposes.
d) Copies for USGS
Recipient is responsible for assuring that the USGS Project Office is provided access to,
either electronically or in paper form, a copy of every publication planned for publication
simultaneously with its submission for publication. One reprint of each published article
shall be submitted to the USGS Project Office immediately following publication.
e) Department of the Interior Requirements
Two copies of each publication produced under a Grant or Cooperative Agreement shall be
sent to the Natural Resources Library with a transmittal that identifies the sender and the
publication. The address of the library is:
U.S. Department of the Interior
Natural Resources Library
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Division of Information and Library Services
Gifts and Exchange Section
18th and C Streets, NW
Washington, DC 20240
A.12 Involvement Statement
There will be no substantial involvement by the USGS in performance of this grant.
A.13 Pre-Agreement Costs
The Recipient is not authorized to incur costs prior to the award of this Agreement. Costs
incurred prior to the award of this agreement are not allowable.
A.14 Modification
This award may be modified in writing by mutual consent of the Recipient representative and the
Contracting Officer.
SECTION B – GENERAL PROVISIONS
B.1 Cost Principles, Audit, And Administrative Requirements
The Recipient shall be subject to the following regulations, which are incorporated herein by
reference. Copies of these regulations can be obtained from the Internet at:
http://www.whitehouse.gov/omb/grants_docs
Educational Institutions / State and Local Governments / Non-Profit Organizations
2 CFR Part 200, Uniform Administrative Requirements, Cost Principles and Audit
Requirements for Federal Awards, as implemented by the Department of the Interior in 2
CFR Part 1402 and 43 CFR Part 12.

B.2 Additional Regulations
This award is subject to the following additional Governmentwide regulations:
●
●

2 CFR 180, Governmentwide Debarment and Suspension (Nonprocurement)
2 CFR 182, Governmentwide Requirements for Drug-Free Workplace (Financial
Assistance)

This award is subject to the following additional regulations of the U.S. Department of the
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Interior:
●
●
●
●
●

2 CFR Part 1400, Nonprocurement Debarment and Suspension
2 CFR Part 1401, Requirements for a Drug Free Workplace (Financial Assistance)
43 CFR Part 17, Nondiscrimination in Federally Assisted Programs of the Department of
the Interior
43 CFR Part 18, New Restrictions on Lobbying
o
Submission of an application also represents the applicant’s certification of the
statements in 43 CFR Part 18, Appendix A, Certification Regarding Lobbying
43 CFR Part 41, Nondiscrimination on the Basis of Sex in Education Programs or
Activities Receiving Federal Financial Assistance [Applies only if this award provides
assistance to an education program or student(s)]

B.3 Additional Articles Required For Compliance With Statute Or Regulation
a) The Seat Belt Provision (Executive Order 13043)
Recipients of grants/cooperative agreements and/or sub-awards are encouraged to adopt and
enforce on-the-job seat belt use policies and programs for their employees when operating
company owned, rented, or personally owned vehicles. These measures include, but are not
limited to, conducting education, awareness, and other appropriate programs for their
employees about the importance of wearing seatbelts and the consequences of not wearing
them.
b) Federal Leadership on Reducing Text Messaging while Driving (Executive Order 13513)
Recipients are encouraged to adopt and enforce policies that ban text messaging while driving,
including conducting initiatives of the type described in section 3(a) of the order.
(http://www.whitehouse.gov/the_press_office/Executive-Order-Federal-Leadership-onReducing-Text-Messaging-while-Driving/)
c) Use of U.S. Flag Air Carriers (49 USC Section 40118)
Any air transportation to, from, between or within a country other than the U.S. of persons or
property, the expense of which will be paid in whole or in part by U.S. Government funding,
must be performed by, or under a code-sharing arrangement with, a U.S. flag air carrier if
service provided by such a carrier is "available" (49 U.S.C. 40118, commonly referred to as
the Fly America Act). Tickets (or documentation for electronic tickets) must identify the U.S.
flag air carrier's designator code and flight number. See the Federal Travel Regulation §30110.131 - §301-10.143 for definitions, exceptions, and documentation requirements. (See also
Comp. Gen. Decision B-240956, dated September 25, 1991.)
d) Trafficking in Persons (2 CFR Part 175)
a. Provisions applicable to a recipient that is a private entity.
1. You as the recipient, your employees, subrecipients under this award, and
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subrecipients' employees may not—
i. Engage in severe forms of trafficking in persons during the period of time
that the award is in effect;
ii. Procure a commercial sex act during the period of time that the award is in
effect; or
iii. Use forced labor in the performance of the award or subawards under the
award.
2. We as the Federal awarding agency may unilaterally terminate this award, without
penalty, if you or a subrecipient that is a private entity —
i. Is determined to have violated a prohibition in paragraph a.1 of this award term;
or
ii. Has an employee who is determined by the agency official authorized to
terminate the award to have violated a prohibition in paragraph a.1 of this award
term through conduct that is either—
A. Associated with performance under this award; or
B. Imputed to you or the subrecipient using the standards and due process
for imputing the conduct of an individual to an organization that are
provided in 2 CFR part 180, “OMB Guidelines to Agencies on
Governmentwide Debarment and Suspension (Nonprocurement),” as
implemented by our agency at [agency must insert reference here to its
regulatory implementation of the OMB guidelines in 2 CFR part 180 (e.g.,
“2 CFR part XX”)].
b. Provision applicable to a recipient other than a private entity.
We as the Federal awarding agency may unilaterally terminate this award, without penalty,
if a subrecipient that is a private entity—
1. Is determined to have violated an applicable prohibition in paragraph a.1 of this award
term; or
2. Has an employee who is determined by the agency official authorized to terminate the
award to have violated an applicable prohibition in paragraph a.1 of this award term
through conduct that is either—
i. Associated with performance under this award; or
ii. Imputed to the subrecipient using the standards and due process for imputing
the conduct of an individual to an organization that are provided in 2 CFR part
180, “OMB Guidelines to Agencies on Governmentwide Debarment and
Suspension (Nonprocurement),” as implemented by our agency at [agency must
insert reference here to its regulatory implementation of the OMB guidelines in 2
CFR part 180 (e.g., “2 CFR part XX”)].
c. Provisions applicable to any recipient.
1. You must inform us immediately of any information you receive from any source
alleging a violation of a prohibition in paragraph a.1 of this award term.
2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this section:
i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000
(TVPA), as amended (22 U.S.C. 7104(g)), and
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ii. Is in addition to all other remedies for noncompliance that are available to us
under this award.
3. You must include the requirements of paragraph a.1 of this award term in any
subaward you make to a private entity.
d. Definitions.
For purposes of this award term:
1. “Employee” means either:
i. An individual employed by you or a subrecipient who is engaged in the
performance of the project or program under this award; or
ii. Another person engaged in the performance of the project or program under
this award and not compensated by you including, but not limited to, a volunteer
or individual whose services are contributed by a third party as an in-kind
contribution toward cost sharing or matching requirements.
2. “Forced labor” means labor obtained by any of the following methods: the recruitment,
harboring, transportation, provision, or obtaining of a person for labor or services,
through the use of force, fraud, or coercion for the purpose of subjection to involuntary
servitude, peonage, debt bondage, or slavery.
3. “Private entity”:
i. Means any entity other than a State, local government, Indian tribe, or foreign
public entity, as those terms are defined in 2 CFR 175.25.
ii. Includes:
A. A nonprofit organization, including any nonprofit institution of higher
education, hospital, or tribal organization other than one included in the
definition of Indian tribe at 2 CFR 175.25(b).
B. A for-profit organization.
4. “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion” have
the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).

e) Reporting Subawards and Executive Compensation Information (2 CFR Part 170).
a. Reporting of first-tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term,
you must report each action that obligates $25,000 or more in Federal funds that does not
include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and
Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in
paragraph e. of this award term).
2. Where and when to report.
i. You must report each obligating action described in paragraph a.1. of this award
term to http://www.fsrs.gov.
ii. For subaward information, report no later than the end of the month following
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the month in which the obligation was made. (For example, if the obligation was
made on November 7, 2010, the obligation must be reported by no later than
December 31, 2010.)
3. What to report. You must report the information about each obligating action that the
submission instructions posted at http://www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1. Applicability and what to report. You must report total compensation for each of your
five most highly compensated executives for the preceding completed fiscal year, if—
i. the total Federal funding authorized to date under this award is $25,000 or
more;
ii. in the preceding fiscal year, you received—
(A) 80 percent or more of your annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial assistance
subject to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial assistance
subject to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards); and
iii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the
Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of
the Internal Revenue Code of 1986. (To determine if the public has access to the
compensation information, see the U.S. Security and Exchange Commission total
compensation filings at http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report executive total compensation described in
paragraph b.1. of this award term:
i. As part of your registration profile at https://www.sam.gov.
ii. By the end of the month following the month in which this award is made, and
annually thereafter.
c. Reporting of Total Compensation of Subrecipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of
this award term, for each first-tier subrecipient under this award, you shall report the
names and total compensation of each of the subrecipient's five most highly compensated
executives for the subrecipient's preceding completed fiscal year, if—
i. in the subrecipient's preceding fiscal year, the subrecipient received—
(A) 80 percent or more of its annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial assistance
subject to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts), and Federal financial assistance
subject to the Transparency Act (and subawards); and
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ii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the
Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of
the Internal Revenue Code of 1986. (To determine if the public has access to the
compensation information, see the U.S. Security and Exchange Commission total
compensation filings at http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report subrecipient executive total compensation
described in paragraph c.1. of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make the
subaward. For example, if a subaward is obligated on any date during the month
of October of a given year (i.e., between October 1 and 31), you must report any
required compensation information of the subrecipient by November 30 of that
year.
d. Exemptions
If, in the previous tax year, you had gross income, from all sources, under $300,000, you
are exempt from the requirements to report:
i. Subawards,
and
ii. The total compensation of the five most highly compensated executives of any
subrecipient.
e. Definitions. For purposes of this award term:
1. Entity means all of the following, as defined in 2 CFR part 25:
i. A Governmental organization, which is a State, local government, or Indian
tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization;
iv. A domestic or foreign for-profit organization;
v. A Federal agency, but only as a subrecipient under an award or subaward to a
non-Federal entity.
2. Executive means officers, managing partners, or any other employees in management
positions.
3. Subaward:
i. This term means a legal instrument to provide support for the performance of
any portion of the substantive project or program for which you received this
award and that you as the recipient award to an eligible subrecipient.
ii. The term does not include your procurement of property and services needed to
carry out the project or program (for further explanation, see Sec. __ .210 of the
attachment to OMB Circular A-133, “Audits of States, Local Governments, and
Non-Profit Organizations”).
iii. A subaward may be provided through any legal agreement, including an
agreement that you or a subrecipient considers a contract.
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4. Subrecipient means an entity that:
i. Receives a subaward from you (the recipient) under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the
subaward.
5. Total compensation means the cash and noncash dollar value earned by the executive
during the recipient's or subrecipient's preceding fiscal year and includes the following
(for more information see 17 CFR 229.402(c)(2)):
i. Salary and bonus.
ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar
amount recognized for financial statement reporting purposes with respect to the
fiscal year in accordance with the Statement of Financial Accounting Standards
No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.
iii. Earnings for services under non-equity incentive plans. This does not include
group life, health, hospitalization or medical reimbursement plans that do not
discriminate in favor of executives, and are available generally to all salaried
employees.
iv. Change in pension value. This is the change in present value of defined benefit
and actuarial pension plans.
v. Above-market earnings on deferred compensation which is not tax-qualified.
vi. Other compensation, if the aggregate value of all such other compensation
(e.g. severance, termination payments, value of life insurance paid on behalf of
the employee, perquisites or property) for the executive exceeds $10,000.
f) System of Award Management and Universal Identifier Requirements (2 CFR Part 25)
a. Requirement for System of Award Management
Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient
must maintain the currency of your information in the SAM until you submit the final
financial report required under this award or receive the final payment, whichever is later.
This requires that you review and update the information at least annually after the initial
registration, and more frequently if required by changes in your information or another
award term.
b. Requirement for Unique Entity identifier Numbers
If you are authorized to make subawards under this award, you:
1. Must notify potential subrecipients that no entity (see definition in paragraph C of
this award term) may receive a subaward from you unless the entity has provided its
unique entity identifier number to you.
2. May not make a subaward to an entity unless the entity has provided its DUNS
number to you.
c. Definitions
For purposes of this award term:
1. System of Award Management(SAM) means the Federal repository into which an entity
must provide information required for the conduct of business as a recipient. Additional
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information about registration procedures may be found at the SAM Internet site
(currently at http://www.sam.gov).
2. Unique entity identifier means the identifier required for SAM registration to uniquely
identify business entities.
3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR
part 25, subpart C:
i. A Governmental organization, which is a State, local government, or Indian
Tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization;
iv. A domestic or foreign for-profit organization; and
v. A Federal agency, but only as a subrecipient under an award or subaward to a
non-Federal entity.
4. Subaward:
i. This term means a legal instrument to provide support for the performance of
any portion of the substantive project or program for which you received this
award and that you as the recipient award to an eligible subrecipient.
ii. The term does not include your procurement of property and services needed to
carry out the project or program (for further explanation, see 2 CFR 200.330).
iii. A subaward may be provided through any legal agreement, including an
agreement that you consider a contract.
5. Subrecipient means an entity that:
i. Receives a subaward from you under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the
subaward.
g) Prohibition on Members of Congress Making Contracts with Federal Government (41 USC
Section 6306)
No member of or delegate to the United States Congress or Resident Commissioner
shall be admitted to any share or part of this award, or to any benefit that may arise
therefrom; this provision shall not be construed to extend to an award made to a corporation
for the public’s general benefit.
h) Enhancement of Recipient and Subrecipient Employee Whistleblower Protection (41 USC
Section 4712)
a. This award, related subawards, and related contracts over the simplified acquisition
threshold and all employees working on this award, related subawards, and related
contracts over the simplified acquisition threshold are subject to the whistleblower rights
and remedies established at 41 USC 4712.
b. Recipients, their subrecipients, and their contractors awarded contracts over the
simplified acquisition threshold related to this award, shall inform their employees in
writing, in the predominant language of the workforce, of the employee whistleblower
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rights and protections under 41 USC 4712.
c. The recipient shall insert this clause, including this paragraph (c), in all subawards and in
contracts over the simplified acquisition threshold related to this award.
i)

Patent Rights (37 CFR § 401.14)
Unless otherwise provided in the Agreement, if this Agreement is for experimental,
developmental, or research work, the following clause (implementing the Bayh-Dole Act, [35
U.S.C. § 200 et seq.]) shall apply. The recipient shall include this clause in all subawards for
experimental, developmental, or research activities.
a. Definitions
1.

2.

3.

4.
5.

6.

INVENTION means any invention or discovery which is or may be patentable or
otherwise protectable under Title 35 of the USC, to any novel variety of plant which
is or may be protected under the Plant Variety Protection Act (7 U.S.C. § 2321 et
seq.).
SUBJECT INVENTION means any invention of the recipient conceived or first
actually reduced to practice in the performance of work under this Agreement,
provided that in the case of a variety of plant, the date of determination (as defined in
section 41(d)) must also occur during the period of performance.
PRACTICAL APPLICATION means to manufacture in the case of a composition
or product, to practice in the case of a process or method, or to operate in the case of a
machine or system; and, in each case, under such conditions as to establish that the
invention is being utilized and that its benefits are to the extent permitted by law or
Government regulations available to the public on reasonable terms.
MADE when used in relation to any invention means the conception or first
actual reduction to practice of such invention.
SMALL BUSINESS FIRM means a small business concern as defined at section
2 of Pub. L. 85–536 (15 U.S.C. 632) and implementing regulations of the
Administrator of the Small Business Administration. For the purpose of this clause,
the size standards for small business concerns involved in government procurement
and subcontracting at 13 CFR 121.3–8 and 13 CFR 121.3–12, respectively, will be
used.
NON-PROFIT ORGANIZATION means a domestic university or other
institution of higher education or an organization of the type described in Section
501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C. § 501(c)) and exempt
from taxation under Section 501(a) of the Internal Revenue Code (26 U.S.C. §
501(a)) or any domestic non-profit scientific or educational organization qualified
under a State non-profit organization statute. b. Allocation of Principal Rights The
recipient may retain the entire right, title, and interest throughout the world to each
subject invention subject to the provisions of this Patent Rights clause and 35 U.S.C.
§ 203. With respect to any subject invention in which the recipient retains title, the
Federal Government shall have a non-exclusive, nontransferable, irrevocable, paid-up
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license to practice or have practiced for or on behalf of the U.S. the subject invention
throughout the world. If the Agreement indicates it is subject to an identified
international agreement or treaty, the U.S. Geological Survey (USGS) also has the
right to direct the recipient to convey to any foreign participant such patent rights to
subject inventions as are required to comply with that agreement or treaty.
b. Allocation of Principal Rights
1.

The recipient may retain the entire right, title, and interest throughout the world to
each subject invention solely made by recipient subject to the provisions of this
Patent Rights clause, including (2) below, 35 U.S.C. §§ 202, 203 and 37 CFR §
401.14. Inventions made under this Agreement jointly by USGS and recipient will be
jointly owned by both parties. However, where a USGS employee is a coinventor,
the USGS may, for the purpose of consolidating rights in the invention and if it finds
that it would expedite the development of the invention:
(a) license or assign whatever rights it may acquire in the subject invention to the
nonprofit organization, small business firm, or non-Federal inventor in
accordance with the provisions of this chapter; or
(b) acquire any rights in the subject invention from the nonprofit organization, small
business firm, or non-Federal inventor, but only to the extent the party from
whom the rights are acquired voluntarily enters into the transaction and no other
transaction under this chapter is conditioned on such acquisition.
With respect to any subject invention in which the recipient retains title, the Federal
Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license
to practice or have practiced for or on behalf of the U.S. the subject invention
throughout the world. If the Agreement indicates it is subject to an identified
international agreement or treaty, the U.S. Geological Survey (USGS) also has the
right to direct the recipient to convey to any foreign participant such patent rights to
subject inventions as are required to comply with that agreement or treaty.

2.

If the recipient performs services at a Government owned and operated laboratory
or at a Government owned and recipient operated laboratory directed by the
Government to fulfill the Government's obligations under a Cooperative Research
and Development Agreement (CRADA) authorized by 15 U.S.C. 3710a, the
Government may require the recipient to negotiate an agreement with the CRADA
collaborating party or parties regarding the allocation of rights to any subject
invention the recipient makes, solely or jointly, under the CRADA. The agreement
shall be negotiated prior to the recipient undertaking the CRADA work or, with the
permission of the Government, upon the identification of a subject invention. In the
absence of such an agreement, the recipient agrees to grant the collaborating party or
parties an option for a license in its inventions of the same scope and terms set forth
in the CRADA for inventions made by the Government.

j) Prohibition on Issuing Financial Assistance Awards to Entities that Require Certain Internal
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Confidentiality Agreements (P.L. 113-235)
Section 743 of Division E, Title VII of the Consolidated and Further Continuing Resolution
Appropriations Act of 2015 (Pub. L. 113-235) prohibits the use of funds appropriated or
otherwise made available under that or any other Act for grants or cooperative agreements to an
entity that requires employees or contractors of such entity seeking to report fraud, waste, or
abuse to sign internal confidentiality agreements or statements prohibiting or otherwise
restricting such employees or contractors from lawfully reporting such waste, fraud, or abuse to a
designated investigative or law enforcement representative of a federal department or agency
authorized to receive such information.
Recipients must not require their employees or contractors seeking to report fraud, waste, or
abuse to sign internal confidentiality agreements or statements prohibiting or otherwise
restricting such employees or contractors from lawfully reporting such waste, fraud, or abuse to a
designated investigative or law enforcement representative of a federal department or agency
authorized to receive such information.
Recipients must notify their employees or contractors that existing internal confidentiality
agreements covered by this condition are no longer in effect.
B.4 Additional General Terms and Conditions
a) Research Integrity
1)

USGS requires that all grant or cooperative agreement Recipient organizations
adhere to the Federal Policy on Research Misconduct, Office of Science and
Technology Policy, December 6, 2001, 65 Federal Register (FR) 76260. The Federal
Policy on Research Misconduct outlines requirements for addressing allegations of
research misconduct, including the investigation, adjudication, and appeal of
allegations of research misconduct and the implementation of appropriate
administrative actions.

2) The Recipient must promptly notify the USGS Project Office when research
misconduct that warrants an investigation pursuant to the Federal Policy on Research
Misconduct is alleged.
b) Data Availability
1)

Applicability. The Department of the Interior is committed to basing its
decisions on the best available science and providing the American people with enough
information to thoughtfully and substantively evaluate the data, methodology, and
analysis used by the Department to inform its decisions.

2)

Use of Data. The regulations at 2 CFR 200.315 apply to data produced under a
Federal award, including the provision that the Federal Government has the right to
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obtain, reproduce, publish, or otherwise use the data produced under a Federal award as
well as authorize others to receive, reproduce, publish, or otherwise use such data for
Federal purposes.
3)

Availability of Data. The recipient shall make the data produced under this
award and any subaward(s) available to the Government for public release, consistent
with applicable law, to allow meaningful third party evaluation and reproduction of the
following:
a.
The scientific data relied upon;
b. The analysis replied upon; and
c.
The methodology, including models, use to gather and analyze the data.

c) Conflict of Interest
1)

Applicability.
a.

This section intends to ensure that non-Federal entities and their employees
take appropriate steps to avoid conflicts of interest in their responsibilities under
or with respect to Federal financial assistance agreements.
b. In the procurement of supplies, equipment, construction, and services by
recipients and by subrecipients, the conflict of interest provisions in 2 CFR
200.318 apply.
2)

Requirements.
a.

Non-Federal entities must avoid prohibited conflicts of interest, including any
significant financial interests that could cause a reasonable person to question
the recipient’s ability to provide impartial, technically sound, and objective
performance under or with respect to a Federal financial assistance agreement.
b. In addition to any other probations that may apply with respect to conflicts of
interest, no key official of an actual or proposed recipient or subrecipient, who is
substantially involved in the proposal or project, may have been a former
Federal employee who, within the last one (1) year, participated personally and
substantially in the evaluation, award, or administration of an award with respect
to that recipient or subrecipient or in development of the requirement leading to
the funding announcement.
c.
No actual or prospective recipient or subrecipient may solicit, obtain, or use
non-public information regarding the evaluation, award, or administration of an
award to that recipient or subrecipient or the development of a Federal financial
assistance opportunity that may be of competitive interest to that recipient or
subrecipient.

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3)

Notification.
a.

Non-Federal entities, including applicants for financial assistance awards, must
disclose in writing any conflict of interest to the DOI awarding agency or passthrough entity in accordance with 2 CFR 200.112, Conflicts of Interest.
b. Recipients must establish internal controls that include, at a minimum,
procedures to identify, disclose, and mitigate or eliminate identified conflicts of
interest. The recipient is responsible for notifying the USGS Contracting Officer
in writing of any conflicts of interest that may arise during the life of the award,
including those that have been reported by subrecipients.
4)

Restrictions on Lobbying. Non-Federal entities are strictly prohibited from using
funds under this grant or cooperative agreement for lobbying activities and must provide
the required certifications and disclosures pursuant to 43 CFR Part 18 and 31 USC
1352.

5)

Review Procedures. The USGS Contracting Officer will examine each conflict of
interest disclosure on the basis of its particular facts and the nature of the proposed grant
or cooperative agreement, and will determine whether a significant potential conflict
exists and, if it does, develop and appropriate means for resolving it.

6)

Enforcement. Failure to resolve conflicts of interest in a matter that satisfies the
Government may be cause for termination of the award. Failure to make required
disclosures may result in any of remedies described in 2 CFR 200.338, Remedies for
Noncompliance, including suspension or debarment (see also 2 CFR Part 180).

d) Program Income
1)

If the Recipient is an educational institution or nonprofit research organization,
any other program income will be added to funds committed to the project by the
Federal awarding agency and Recipient and be used to further eligible project or
program objectives, as described in 2 CFR 200.307(e)(2).

2)

For all other types of Recipients, any other program income will be deducted
from total allowable costs to determine the net allowable costs before calculating the
Government's share of reimbursable costs, as provided in 2 CFR 200.307(e)(1).

e) Government Furnished Property Or Property Authorized For Purchase
Title to nonexpendable personal property acquired wholly or in part with Federal funds
shall be vested in the Recipient unless otherwise specified in the award document. The
Recipient shall retain control and maintain a property inventory of such property as long as
there is a need for such property to accomplish the purpose of the project, whether or not the
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project continues to be supported by Federal funds. When there is no longer a need for such
property to accomplish the purpose of the project, the Recipient shall use the property in
connection with other Federal awards the Recipient has received. Under no circumstances
shall title to such property be vested in a sub-tier Recipient. Disposal of nonexpendable
personal property shall be in accordance with 2 CFR 200.311.
There is no non-expendable personal property authorized on this grant/cooperative
agreement.
---End of Special Terms and Conditions---

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