Download:
pdf |
pdfWater Resources Research Act Program
National Competitive Grants Program
Fiscal Year 2019 Announcement
Announcement No. G19AS00040
under Section 104(g) of the
Water Resources Research Act of 1984, as Amended
March 11, 2019
Closing Dates
5:00 PM, Eastern Time, February 15, 2019 (Preproposals)
5:00 PM, Eastern Time, May 29, 2019 (Institutes)
Department of the Interior
U. S. Geological Survey
National Institutes for
Water Resources
OMB Number 1028-0097
Expiration Date: Pending: 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].
NATIONAL INSTITUTES FOR WATER RESOURCES
U.S. GEOLOGICAL SURVEY
WATER RESOURCES RESEARCH NATIONAL COMPETITIVE GRANTS
PROGRAM
ANNOUNCMENT
TABLE OF CONTENTS
ABSTRACT
1
SUBMISSION OF PREPROPOSALS AND INVITED FULL PROPOSALS
1
I. INTRODUCTION
2
II. PROGRAM OBJECTIVES
4
III. RESEARCH PRIORITIES
4
IV. PROPOSALS NOT ELIGIBLE FOR FUNDING
5
V. APPLICANT ELIGIBILITY
5
VI. COLLABORATION BY FEDERAL EMPLOYEES
5
VII. FEDERAL FUNDS
6
VIII. MATCHING FUNDS
6
IX. MAXIMUM SIZE AND DURATION OF PROJECT
7
X. PREPROPOSAL AND INVITED FULL PROPOSAL DUE DATES
7
XI. PREPROPOSAL AND INVITED FULL PROPOSAL PREPARATION
AND REVIEW PROCESS
7
XII. PROPOSALS SELECTED FOR FUNDING IN PREVIOUS YEARS
10
ATTACHMENTS
A: PREPROPOSAL FORM
B: PROPOSAL FORM
C: BUDGET BREAKDOWN FORM
D: BUDGET JUSTIFICATION FORM
E: BUDGET SUMMARY FORM
F: FOCUS CATEGORIES
G: SPECIAL TERMS AND CONDITIONS
11
13
16
17
19
20
21
i
U.S. GEOLOGICAL SURVEY
NATIONAL INSTITUTES FOR WATER RESOURCES
WATER RESOURCES RESEARCH
NATIONAL COMPETITIVE GRANTS PROGRAM
ANNOUNCEMENT
FY 2019
ABSTRACT
The U.S. Geological Survey in cooperation with the National Institutes for Water Resources
requests proposals for matching grants to support research on the topic of improving and
enhancing the nation’s water supply, including evaluation of innovative approaches to water
treatment, infrastructure design, retrofitting, maintenance, management, and replacement;
exploration and advancement of our understanding of changes in the quantity and quality of
water resources in response to a changing climate, population shifts, and land use changes;
development of methods for better estimation of water supply, both surface and groundwater,
including estimation of the physical supply and of the economic supply of water; development
and evaluation of processes and governance mechanisms for integrated surface/ground water
management; and the evaluation and assessment of conservation practices. Any investigator at
an accredited institution of higher learning in the United States is eligible to apply for a grant
through a Water Research Institute or Center established under the provisions of the Water
Resources Research Act of 1984, as amended (http://water.usgs.gov/wrri/institutes.html).
Proposals involving substantial collaboration between the USGS and university scientists are
encouraged. Proposals may be for projects of 1 to 3 years in duration and may request up to
$250,000 in federal funds. Successful applicants must match each dollar of the federal grant
with one dollar from non-federal sources. Preproposals must be submitted to your State Institute
or Center by 5:00 PM, Eastern Time, February 15, 2019 and invited full proposals to the
National Competitive Grants Program must be submitted to the grants.gov internet site at
http://www.grants.gov not later than 5:00 PM Eastern Time, May 29, 2019 by the university at
which the Institute or Center is located. Funds have not yet been appropriated for this program
for FY 2019. The Government's obligation under this program is contingent upon the
availability of funds.
SUBMISSION OF PREPROPOSALS AND INVITED FULL PROPOSALS
Preproposals and full proposals under this Announcement must be submitted using the following
process:
1. Preproposals must be submitted by the PI’s to their State Water Institute or Center (see
http://water.usgs.gov/wrri/index.php) for approval following the template in Attachment
A. The State Water Institute or Center will forward the preproposals to the USGS
National Program Office for the peer panel evaluation and up to 30 preproposals will be
selected and invited to submit a full proposal. Submitting a preproposal does not obligate
the PI to submit a full proposal.
1
2. Each invited full research proposal must be submitted to grants,gov
(http://www.grants.gov/) in PDF format (following template Attachment B) by the
university at which the Water Resources Research Institute or Center approving the
proposal is located, along with:
a. SF-424 (Application for Federal Assistance),
b. SF-424B (Assurances),
c. Full proposal in pdf format containing,
i. Cover Page
ii. Proposal
iii. Budget Breakdown Form (Attachment C),
iv. Budget Justification Form (Attachment D),
v. Budget Summary Form (Attachment E),
vi. Matching Commitment Letter, and
vii. Letters of Support if Provided
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. The addresses of the 54 Institutes are available on the Internet at
http://water.usgs.gov/wrri/institutes.html. Responsibility for administration of the State Water
Resources Research Institute program has been delegated to the U.S. Geological Survey (USGS).
The 54 Institutes are organized as the National Institutes for Water Resources (NIWR). NIWR
cooperates with the USGS in the administration of the State Water Resources Research Institute
Program. Questions or comments concerning the review process may be addressed to either Earl
Greene at the address below or to:
Dr. Daniel Devlin, Director
Kansas Water Resources Institute, Kansas State University
44 Waters Hall
Manhattan, Kansas 66506
(785) 532-0393
[email protected]
2
Questions or comments concerning this Program Announcement should be directed to:
Program Office
Earl Greene
Director, Water Resources Research Act Program
5522 Research Park Drive
Baltimore, Maryland 21228
Phone: 571-332-4184
[email protected]
3
Grants Office
Kimberly L. Dove
Office of Acquisition and Grants
MS 211, U.S. Geological Survey
12201 Sunrise Valley Drive
Reston, Virginia, 20192
Phone: 703-648-7487
[email protected]
II.
PROGRAM OBJECTIVES
Section 104(g) of the Water Resources Research Act of 1984 requires that this competitive grant
program focus on: “water problems and issues of a regional or interstate nature beyond
those of concern only to a single State and which relate to specific program priorities identified
jointly by the Secretary (of the Interior) and the (water resources research) institutes.”
Objectives of this program also include the following:
A. Promote collaboration between the USGS and university scientists in research on
significant national and regional water resources issues.
Proposals exhibiting substantial collaboration between the USGS and the applicant are
encouraged and will receive extra weight in the evaluation and selection process.
Collaborative proposals should describe in detail the respective roles of the USGS and
the applicant in the proposed work. It is anticipated in FY2019 the USGS will have
internal funds available for modest support of USGS scientists on selected proposals.
Potential applicants seeking collaborative opportunities are encouraged to contact USGS
scientists directly (http://water.usgs.gov/nrp/science.php) or Water Science Center
Directors (http://water.usgs.gov/district_chief.html).
B. Promote the dissemination and application of the results of the research funded under this
program.
C. Assist in the training of scientists in relevant water resource fields. Proposals that
include a strong educational component (student support) are encouraged, as are
Proposals from faculty beginning their careers.
III.
RESEARCH PRIORITIES
Proposals are sought on the topic of improving and enhancing the nation’s water supply and
availability, and promoting the exploration of new ideas that address or expand our
understanding of water problems, including the following specific areas of inquiry (levels of
priority are not assigned, and the order of listing does not indicate the level of priority):
•
Evaluation of innovative approaches to water treatment, infrastructure design, retrofitting,
maintenance, management and replacement.
•
Exploration and advancement of our understanding of changes in the quantity and quality
of water resources in response to a changing climate, population shifts, and land use
changes; including associated economic, environmental, social, and/or infrastructure
costs.
•
Development of methods for better estimation of water supply, both surface and
groundwater, including estimation of the physical and/or economic supply of water.
4
IV.
•
Development and evaluation of processes and governance mechanisms for integrated
surface/ground water management.
•
Evaluation and assessment of the effects of water conservation practices, as well as
adoption, penetration and permanence.
PROPOSALS NOT ELIGIBLE FOR FUNDING
A. Proposals for research on health effects involving human subjects.
B. Proposals for research involving oceanography (estuarine research proposals are
acceptable).
C. Proposals submitted by an Institute or Center that has not met reporting requirements on a
previous award by the USGS.
D. Proposals that do not comply with the terms of this Announcement.
V.
APPLICANT ELIGIBILITY
Awards are available only to Water Research Institutes or Centers established pursuant to the
provisions of section 104 of the Water Resources Research Act and listed at
(http://water.usgs.gov/wrri/index.php). However, any investigator at an institution of higher
learning in the United States is eligible to apply for an award through a Water Research Institute
or Center. All portions of the preproposals must be submitted through the State Water Institute
or Center by the deadline established in this announcement. The invited full proposal along with
the SF-424 and SF-424B and budget forms must be submitted through grants.gov (
http://www.grants.gov) by the university at which the Institute or Center is located. Each invited
full proposal will then be authorized for inclusion in the national competition by the Director of
the Institute or Center in the state in which the university of the principal investigator is located.
Proposals requesting matching funds from an Institute or Center are authorized at the discretion
of the Institute or Center Director.
VI.
COLLABORATION BY FEDERAL EMPLOYEES
A. Federal employees may, and are encouraged to, collaborate with college or university
investigators in this program.
B. Federal employees may not serve as a principal investigator, but may serve as a coprincipal investigator.
C. Federal employees and agencies may not receive federal funds for any purpose under
these awards.
D. Federal employees and agencies may not serve as a source of matching funds under these
awards.
E. Federal employees must prepare a Statement of Government Involvement, which is to be
included with a collaborative proposals.
5
VII.
FEDERAL FUNDS
A. Funds have not yet been appropriated for this program for FY 2019. The Government's
obligation under this program is contingent upon the availability of funds.
B. All successful proposals will be fully funded for the entire duration of the project with
FY 2019 funds, if available.
VIII. MATCHING FUNDS
A. Each applicant must match each Federal dollar provided to support each proposed project
with not less than one dollar from non-federal sources. States may have different
guidelines as to the sources of matching funds - please check with your Institute or
Center Director for details.
Note: Guam, the Federated States of Micronesia, the Commonwealth of the Northern
Mariana Islands, American Samoa, and the U.S. Virgin Islands are exempt from the
matching requirement.
B. Matching funds shall be obligated during the period of performance.
C. The matching requirement should be met during each 12-month budget period.
D. Matching funds obligated shall be reflected on line 10.i of each Financial Status Report,
Standard Form 425.
E. Matching funds may contain indirect costs and non-federal salaries and benefits. The
applicant’s negotiated indirect cost rate (NICR) may be applied to both qualifying federal
and non-federal direct costs, and the result used to satisfy part of the matching
requirement under the non-federal share. The NICR shall not be applied to tuition and
equipment costs. As per the Water Resources Research Act federal funds shall not be
used to pay indirect costs.
6
IX.
MAXIMUM SIZE AND DURATION OF PROJECT
A. Applicants shall not request total federal funds exceeding $250,000 per project.
B. Proposed projects may be of 1 to 3 years in duration, with discrete 12-month budget
periods.
X.
PREPROPOSAL AND INVITED FULL PROPOSAL DUE DATES
Investigators must submit their preproposals (PDF format) to their State Water Resources
Research Institute or Center prior to 5:00 PM Eastern Time, February 15, 2019. Only
preproposals filed by that time will be transmitted to the National Grants Competition
Preproposal Peer Review Panel. Thirty preproposals will be invited to submit a full proposal to
the National Grants Competition. Invited full proposals must be submitted as an application
package (Full Proposal, SF-424 and SF-424B, Matching commitment letter, budget breakdown,
budget justification and budget summary) to grants.gov by the university that houses the State
Water Institutes or Centers prior to 5:00 PM Eastern Time, May 29, 2019. Only full proposals
submitted by that time will be transmitted to the National Grants Competition Full Proposal
Review Panel for review.
XI.
PREPROPOSAL AND INVITED PROPOSAL PREPARATION AND REVIEW
PROCESS
A.
Preproposals
Each preproposal will need to be written following the template (Attachment A). Preproposals
which meet the requirements of this Announcement will be evaluated by a peer review panel
composed of Institute directors, university scientists, and USGS employees experienced in water
resources research. Preproposals will be reviewed according to the following criteria:
25 Points: Relevance and Importance. - The extent to which: (1) the preproposal focuses on a
water problem or issue of a regional or interstate nature of concern to more than one State and
directly addresses a research priority described in this RFP (Section III); (2) the subject is of
particularly high importance to present and future water resources management programs; and
(3) the preproposal includes collaboration with the USGS if appropriate.
25 Points: Scientific Merit. – The extent to which the preproposal (1) has potential to expand
fundamental knowledge in its specific area(s); (2) is scientifically sound; and (3) demonstrates
cognizance of past work.
25 Points: Expected Results and Benefits. – The extent to which the preproposal describes the
how the potential outcomes and the potential realistic impacts of the proposed work.
15 Points: Information Transfer. – The extent the preproposal actively addresses the eventual
transfer of results to user groups and whether it actively addresses the impact that the results
could have?
7
10 Points: Training. – The extent to which the preproposal has a strong educational component,
provides for student support, and engages a principal investigator near the beginning of his or her
career?
B. Invited Full Proposals
Each invited full proposal will need to be written following the template (Attachment B). Full
proposals which meet the requirements of this Announcement will be evaluated by a peer review
panel composed of Institute directors, university scientists, and USGS employees experienced in
water resources research. Proposals will be reviewed according to the following criteria:
20 Points: Relevance and Importance. - The statement of relevance and importance is a critical
component of the proposal review process. Describe the water problem or issue of a regional or
interstate nature of concern to more than one State and directly addresses a research priority
described in Section III. Document the magnitude of the situation and relevance of the
issue/problem to state, regional and national issues. Why is this project/topic innovative and
important? Does the proposal include collaboration with the USGS if appropriate?
20 Points: Scientific Merit. – The extent to which the proposal (1) has potential to expand
fundamental knowledge through the stated goals and objectives; (2) is scientifically sound
through the description of the research objectives; and (3) demonstrates cognizance of past work.
20 Points: Expected Results and Benefits. – The extent to which the proposal describes the how
the potential outcomes and the potential realistic impacts of the proposed work.
10 Points: Information Transfer. – The extent the proposal actively addresses the eventual
transfer of results to user groups how it will deliver the potential impacts of the research
proposed.
10 Points: Training. – The extent to which the proposal has a strong educational component,
provides for student support, and engages a principal investigator near the beginning of his or her
career?
10 Points: Qualifications of the Investigators. The extent to which the qualifications of the
investigators are commensurate with the proposed research, and the adequacy of the facilities
and equipment.
10 Points: Budget. The extent to which the budget is reasonable and adequate for the work
proposed. Note: the principal investigator’s salary is an acceptable budget item, but the federal
share of the salary should not exceed one or two months per year.
Full proposals recommended for funding will be forwarded to the USGS for review and
approval. Awards will be made directly to the Water Resources Research Institute or Center
through which the proposal was submitted. The target award date is August through September
8
with a USGS-preferred project start date of September 1, 2019. The project start date must be no
later than September 30, 2019.
* NEW for this Fiscal Year a USGS Data Management Plan must be included in the full
proposal. Requirements for the data plan are included below.
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.
9
XII.
PROPOSALS SELECTED FOR FUNDING IN PREVIOUS YEARS
Total Funds Available, Number of Proposals Received and Funded, and the Minimum and
Maximum Federal Funds Awarded, by Year.
Total
Number of Number of
Minimum.
Maximum.
Funds
Proposals
Proposals
Federal Funds
Federal Funds
Year
Available
Received
Funded
Awarded
Awarded
1999
$1,000,000
68
10
$13,833
$183,650
2000
$1,000,000
106
8
$41,937
$216,999
2001
$1,000,000
75
9
$84,294
$150,000
2002
$1,000,000
75
8
$103,134
$157,586
2003
$1,000,000
76
6
$92,839
$233,953
2004
$950,000
45
8
$69,246
$170,596
2005
$950,000
49
8
$63,014
$172,842
2006
$920,000
61
8
$58,155
$250,000
*2007
$814,419
63
5
$61,312
$242,508
2009
$937,358
61
6
$82,489
$235,148
2010
$950,183
46
6
$60,396
$247,563
2011
$1,064,754
40
5
$140,162
$249,949
2012
$853,498
46
6
$35,885
$243,835
2014
$963,704
68
4
$230,839
$248,556
2015
$999,289
101
4
$249,329
$250,000
2016
$856,004
83
5
$109,123
$249,625
2017
$749,415
30*
3
$249,415
$250,000
2018
$857,420
30*
4
$193,831
$248,201
*The program did not receive funding in FY 2007 and FY 2013. Projects selected in FY 2007
were supported with FY 2008 funds. A program competition was not held in FY 2008 nor held
in FY 2013. Starting in 2017 30 full proposals were invited to submit for consideration out of
over 150 pre-proposals. Projects Descriptions of the projects selected for funding since 2002 are
provided at (http://water.usgs.gov/wrri/national-competitive-grants.php).
10
Attachment A
National Competitive Grant (104g) Preproposal Form – RFP G19AS00040
Number assigned by USGS: ________
TITLE:
PROPOSED INITIATION DATE: September 1, 2019
PROPOSED COMPLETION DATE:
FUNDING LEVEL (Cap of $250,000 federal funds and a maximum of a 3 year duration)
(A) FEDERAL FUNDS REQUESTED: ___________
(B) PROPOSED COST SHARING: _________
[Must equal at least a 1:1 match]
Preproposal must be submitted in PDF format, length is limited to no more than 4 pages
(12-point font) and at a minimum address the following below. References do not count
toward the 4 page limit.
STATEMENT OF RELEVANCE AND IMPORTANCE:
The statement of relevance and importance is a critical component of the preproposal review
process. Describe the water problem or issue of a regional or interstate nature of concern to more
than one State and directly addresses a research priority described in Section III. Document the
magnitude of the situation and relevance of the issue/problem to state, regional and national
issues. Why is this project/topic innovative and important? Does the
preproposal include collaboration with the USGS if appropriate?
RESEARCH GOALS AND OBJECTIVES:
Describe the goals (desired results) and objectives of the proposed work. State objectives in a
way that enables measurable comparison to expected project results.
RESEARCH APPROACH:
Describe the project design and explain how the work will accomplish the stated objectives.
EXPECTED RESULTS AND BENEFITS:
Describe the expected outcomes of the project. What new solutions and/or opportunities will be
available to the hydrologic scientific community and/or management agencies? What impact will
successful completion of this project have on the state, region or nation?
INFORMATION TRANSFER AND EDUCATION:
Describe how results will be communicated to the relevant user groups and how it will deliver
the potential impacts of the research proposed.
November 2017
Attachment A
PRINCIPAL INVESTIGATOR:
AFFILIATION:
CO-INVESTIGATORS (name/position/affiliation):
PRINCIPAL INVESTIGATOR SIGNATURE:
PHONE NUMBER:
November 2017
EMAIL ADDRESS:
DATE:
Attachment B
National Competitive Grant (104g) Proposal Form – RFP G19AS00040
Number assigned by USGS: ________
COVER PAGE (Does Not Count Towards 12 Page Limit)
TITLE:
PROPOSED INITIATION DATE: September 1, 2019
PROPOSED COMPLETION DATE:
WATER RESOURCES RESEARH INSTITUTE OR CENTER:
FUNDING LEVEL (Cap of $250,000 federal funds and a maximum of a 3 year duration)
(A) FEDERAL FUNDS REQUESTED: ___________
(B) PROPOSED COST SHARING: _________
[Must equal at least a 1:1 match]
FOCUS CATEGORIES. Choose a maximum of three focus categories from the list provided
(Attachment F), with the most preferred focus category first.
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.
KEYWORDS. Enter keywords of your choice descriptive of the work.
PRINCIPAL INVESTIGATOR(S). Provide name, academic rank, university, email address
and phone number of all principal investigators.
CO-PRINCIPAL INVESTIGATOR(S). Provide name, academic rank and university (or title
and federal agency), email address and phone number of all co-principal investigators.
ABSTRACT. Provide a brief (one-page) description of the problem, methods, and objectives.
Please be as descriptive as possible but do not exceed one-page, 12 point font.
November 2017
Attachment B
PROPOSAL
Must be submitted in PDF format, and shall not exceed 12 single-spaced pages, with 12
point font and at least 1 inch margins, including tables, pictures, graphs, figures, and
appendices, but excluding Literature Citations/References (item 10), Investigator’s
Qualifications (item 11). Proposals exceeding the 12-page limit will not be considered in the
competition
1. Title. Please use the same title as was entered in the Web form under item 1, above.
2. Statement of regional, interstate, or multi-state water problem. Include an
explanation of the need for the project, who wants it, and why.
3. Statement of results or benefits. Specify the type of information that is to be gained
and how it will be used.
4. Nature, scope, and objectives of the project, including a timeline of activities.
5. Methods, procedures, and facilities. Provide enough information to permit evaluation
of the technical adequacy of the approach to satisfy the objectives.
6. Related research. Demonstrate by literature and communication citations the
similarities and dissimilarities of the proposed project to completed or on-going work
on the same topic.
7. Training potential. Estimate the number of graduate and undergraduate students, by
degree level, who are expected to receive training in the project.
8. Statement of Government Involvement. If a Federal employee will collaborate on the
project, provide a detailed description of the role and responsibilities of the Federal
collaborator in the proposed research project. A brief narrative description is
sufficient. As part of the narrative the USGS employees are encouraged to include a
budget (not more than $35,000 per proposal). The USGS budget is not to be included
as part of the budget information in items 12, 13, and 14.
9. Information Transfer Plan. Describe the plan for disseminating information on the
results of the research and promoting their application. Each plan should define the
subject matter and the problems to be addressed, identify the target audience, indicate
the strategies to be employed (e.g., workshops, publications), and identify the
cooperators (e.g., Cooperative Extension Service).
10. Literature Citations/References
11. Investigator’s qualifications. Include a resume(s) of the principal investigator(s). No
resume shall exceed two pages or list more than 15 pertinent publications. Does not
count towards 12 page limit.
November 2017
Attachment B
12. Budget Breakdown, as requested using form (See Attachment C). Does not count
towards 12 page limit.
13. Budget Justification, as requested using form (See Attachment D). Does not count
towards 12 page limit.
14. Budget Summary, as requested using form (See Attachment E). Note: Multi-year
projects will be fully funded with FY 2018 funds, if funded. The budget must be
complete for all years of the project. Does not count towards 12 page limit.
17. Data Management Plan. See RFP for requirements and format. Does not count
towards 12 page limit.
16. Matching Commitment Letter. The proposal shall contain an institutional cost-sharing
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. Scanned legible pdf documents are acceptable.
The USGS does not need the originals. Does not count towards 12 page limit.
If letters of support for the application are provided, they should be scanned and uploaded as part
of the proposal. Letters of support do not count against the 12-page limit.
November 2017
ATTACHMENT C
BUDGET BREAKDOWN
Project Title:
Cost Category
1. Salaries and Wages (list personnel)
$
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:
$
$
$
$
$
$
Federal
16
Total
ATTACHMENT D
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 D
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
Project Title:
COST CATEGORY
1.Total Salaries and
Wages for:
- PI
- Grad Students
- Undergrad Students
2. Total Fringe Benefits
for:
- PI
- Grad Students
- Undergrad Students
3. Tuition for:
- Grad Students
- Undergrad Students
4. Supplies
5. Equipment
6. Services or Consultants
7. Travel
8. Other Direct Costs
9. Total Direct Costs (1-8)
10. Indirect Costs
11. Amount Proposed
(9+10
Federal
Year 1
Non-Federal Federal
Year 1
Year 2
Non-Federal TOTAL ALL
Year 3
YEARS
XXXXXXXX
XXXXXXX
XXXXXXXXX
19
Non-Federal
Year 2
ATTACHMENT E
Federal
Year 3
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 F
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
Attachment G
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 G
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 G
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.
Page 3 of 20
Attachment G
104 WRRI Program
03-11-2019
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.
Page 4 of 20
Attachment G
104 WRRI Program
03-11-2019
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:
Page 5 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 6 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 7 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 8 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 9 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 10 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 11 of 20
Attachment G
104 WRRI Program
03-11-2019
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.
Page 12 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 13 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 14 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 15 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 16 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 17 of 20
Attachment G
104 WRRI Program
03-11-2019
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.
Page 18 of 20
Attachment G
104 WRRI Program
03-11-2019
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
Page 19 of 20
Attachment G
104 WRRI Program
03-11-2019
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---
Page 20 of 20
| File Type | application/pdf |
| File Title | Microsoft Word - 2019 RFP 104g-draft-Kim.docx |
| File Modified | 2019-03-12 |
| File Created | 2019-03-12 |