Final 2020 EHP PA.docx

United States Geological Survey

Earthquake Hazards Program External Research Support http://earthquake.usgs.gov/research/external

Proposals for Grants – Fiscal Year 2020 Program Announcement/Funding Opportunity G19AS00033

Closing Date: May 29, 2019

6:00PM EDT

PAPERWORK REDUCTION ACT STATEMENT: The Paperwork Reduction Act says that the agency must tell you why we are collecting this information, how we will use it, and whether you have to give it to us. This information is being collected to determine the eligibility of the applicant and as a basis for approval or disapproval of the proposed research. The purpose of the program is to support research in earthquake hazards and earthquake prediction to provide earth science data and information essential to mitigate earthquake losses. Response to this request is required to obtain and retain a grant, under the Earthquake Hazards Reduction Act of 1977, Public Law 95-124. Public report burden for this collection is estimated to average 45 hours per grant application and 12 hours to prepare a final technical report. The OMB Control Number is 1028-0051 for this information collection; the expiration date is April 30, 2019. Direct comments regarding this collection of information may be sent to the Bureau Clearance Officer, U.S. Geological Survey, 12201 Sunrise Valley Drive, MS807, Reston VA 20192.

Table of Contents

Highlights, Warnings, and Program Announcement Changes USGS Earthquake Hazards Program External Research Support Announcement for Fiscal Year 2020

Grants.gov Subscription

Principal Investigators (PIs) are urged to sign up for Grants.gov’s subscription service to receive notices about the Earthquake Hazards Program grant funding opportunities and possible updates during the application period. Sign up is through the Grants.gov website; our CFDA number is 15.807.

Research Priorities for Fiscal Year 2020 (see Attachment A)

Each submitted proposals must address applicable priority topic(s).

Funds and Start Dates

Applicants must indicate if the proposed start date is fixed or flexible based on the research activities of the proposal. See Section 3.

Letters of Commitment and Letters of Support

Read Section 6 and Section 11 carefully to ensure letters submitted with a proposal follow the guidelines provided.

Award Terms and Conditions- Data Management Plan

A data management plan is required and must be clearly described in each submitted proposal. The Final Technical Report of all awarded grants is also required to include the data management plan. See Attachment D, Section 4. Additional information on USGS policy on data management planning can also be found at https://www.usgs.gov/products/data-and-tools/data-management/planning.

It is the expectation of the USGS that Principal Investigators will publish the results of funded research in peer-reviewed scientific or technical journals. In addition, all source data and data products and computer codes must be made readily available within the public domain.

DOI Secretarial Priorities

Questions?

For Grants.gov issues, see: http://www.grants.gov/applicants/app_help_reso.jsp or https://www2.usgs.gov/contracts/index.html contact Laura Mahoney, (703) 648-7344, lmahoney@usgs.gov

For Contracting Officer issues, contact Maggie Eastman, (703) 648-7366, mrussell@usgs.gov

For External Research Support issues contact Jill Franks, (703) 648-6716, gd-erp-coordinator@usgs.gov

Announcement G19AS00033

The USGS Earthquake Hazards Program (EHP) issues this annual Announcement for assistance to support research in earthquake hazards, the physics of earthquakes, earthquake occurrence, and earthquake safety policy and address the Department of Interior’s Secretarial priorities. This activity is authorized by the Earthquake Hazards Reduction Act of 1977 (Public Law 95-124, 42 U.S.C. 7701 et. seq.), and as amended by the National Earthquake Hazards Reduction Program Reauthorization Act of 2018 (Public Law 115-307).

1. Application Submission Closing Date: May 29, 2019, 6 pm Eastern Daylight Time

2. Electronic Application Requirement For the FY 2020 funding cycle all proposals shall be submitted electronically via Grants.gov (http://www.grants.gov). Hard/paper submissions will NOT be accepted. Electronic copies submitted via e-mail will NOT be accepted under any circumstances. All proposals must be submitted electronically through Grants.gov on or before:

May 29, 2019, at 6 pm, Eastern Daylight Time

Please be aware that the electronic submission process requires first time users to register using an e-Authentication process. This registration process can be somewhat complex and can take up to 3 weeks to complete. Be advised that it is virtually impossible to begin the process of electronic submission for the first time if you start just a few days before the due date. If you are from a university, contact your Office of Sponsored Programs. They may already have completed the registration process and should work with you to submit the application.

If you have any questions or problems with the registration process, or the completion of the application package, please contact the grants.gov help desk at 1-800-518-4726 or support@grants.gov.

Briefly, when you submit a grant application package to Grants.gov, you will receive a confirmation screen as well as three additional emails over two business days from Grants.gov informing you of your application processing status:

1. Confirmation screen

2. Submission Receipt (with “Track My Application” link)

3. Submission Validation (or Rejection with Errors)

4. Agency Retrieval

CONFIRMATION: Submission Confirmation Screen.

After you submit your grant application package, a confirmation screen will appear on your computer screen. This screen confirms that you have submitted an application to Grants.gov.

NOTIFICATION 1: Submission Receipt Email Within two business days after your application package has been received by the Grants.gov system, you will receive a submission receipt email which indicates that your submission has entered the Grants.gov system and is ready for validation. This email also contains a tracking number for use while tracking the status of the submission as well as a “Track My Application” link, to use to see the progress of your submission.

NOTIFICATION 2: Submission Validation Receipt Email – This is the important one!

After you receive the submission receipt email, the next email you will receive will be a message validating or rejecting your submitted application package with errors. The Grants.gov system is designed to check for technical errors within the submitted application package. Grants.gov does not review application content for award determination. Grants.gov will not post the application if there are errors. Failure to correct errors and submit by the date and time for closing shall not be a reason for accepting a late application.

NOTIFICATION 3: Grantor Agency Retrieval Email Once your application package has passed validation it is delivered to the grantor for award determination and further approval. After the grantor has confirmed receipt of your application, you will be sent a third and final email from Grants.gov. The grantor may also assign your application package an agency specific tracking number for use within their internal system. IF YOU HAVE NOT RECEIVED THIS E-MAIL WITHIN FOUR DAYS OF THE CLOSING DATE, PLEASE CONTACT THE CONTRACTING OFFICER.

If you need help entering your proposal, you can reach the Grants.gov Contact Center at: 1-800-518-4726. Their hours of operation are Monday-Friday, 7:00 a.m. to 9:00 p.m., Eastern Time, and they are closed on Federal Holidays.

During the application period an applicant may submit a revised or corrected proposal through grants.gov. Include a cover letter as the first page of the proposal stating that the proposal is revised and indicating that the previous submittal is to be withdrawn from consideration. Such submissions must be completed by May 29, 2019 at 6:00 pm Eastern Daylight Time.

See Section 11, Application Preparation Instructions, which describes requirements for the proposal and other application components.

Please allow sufficient time for the proposal to be submitted electronically through Grants.gov and allow time for possible computer delays. Applicants are strongly advised not to wait until the last minute for submission. A proposal received after the closing date and time will NOT be considered for award. If the USGS determines that a proposal will not be considered for award due to lateness, the applicant will be notified immediately.

3. Funds and Start Dates

A maximum of $7 million will be available for support of research grants and cooperative agreements in FY2020. Based on awards in recent years, 70 to 100 new awards are funded each fiscal year. In general, grants do not exceed $100,000, with the majority of grants between $30,000 and $85,000, and the total for competitive grants of approximately $4 million. This estimate does not bind the USGS to a specified number of awards or to the amount of any award unless that amount is specified by statute or regulation. All projects must propose start dates between January 1, 2020 and September 1, 2020. Applicants must indicate if the proposed start date is fixed or flexible based on the research activities (field work, etc.) of the proposal.

4. Application Requirements

A. Proposals must be for a duration of either one or two years with a clearly stated objective for the requested term.

B. The majority, greater than 50 percent, of research activities must be conducted by the Applicant. The Applicant must retain administrative and technical control of project activities.

C. Proposals for geologic investigations shall be clearly oriented toward earthquake hazard research and assessment. Research Priorities are described in Attachment A.

D. USGS personnel are prohibited from assisting any organization in preparing its proposal for competitive funding under this Program Announcement.

E. Proposals to fund research in foreign countries will be considered only if the research is clearly oriented toward providing new knowledge or new techniques transferable to a U.S. seismogenic zone.

F. Proposals to fund research in foreign countries must be based on cooperation with scientific groups in the host countries, with host country personnel being used for operational functions, and host countries providing financial support for such personnel. Proposals involving foreign governments or foreign individuals may require additional coordination and approval by the U.S. Department of State.

G. Applications submitted by foreign organizations must be submitted in English and in U.S. dollars.

5. Research Priorities

The Research Priorities presented in Attachment A reflect the mission of the USGS Earthquake Hazards Program (EHP) and address the Department of Interior’s Secretarial priorities. Applicants must review the high-priority targets listed in Attachment A for each region and topic in additional to the four major program elements described in Attachment A to determine if application is appropriate under this Program Announcement. Proposals should clearly address both applicable program element(s) and priority topic(s).

The USGS EHP operates as an element of the four-agency National Earthquake Hazards Reduction Program, a partnership with the Federal Emergency Management Agency (FEMA), the National Institute of Standards and Technology (NIST), and the National Science Foundation (NSF) and authorized by the Earthquake Hazards Reduction Act of 1977 (Public Law 95-124, 42 U.S.C. 7701 et. seq.), and as amended by the National Earthquake Hazards Reduction Program Reauthorization Act of 2018 (Public Law 115-307). Each of these agencies has established focus areas as defined by the cited Public Law and by past assistance and procurement activities; grant applications to the EHP must be for research or hazard assessment within the EHP’s focus areas as described in Attachment A.

6. Collaborative Proposals

Two types of collaborative proposals are acceptable: 1.) Collaboration between two or more external organizations that are seeking funding from the USGS/EHP External Research Support and 2.) Collaboration between an external organization seeking such funding and a USGS/EHP internal project. Collaborative proposals are not instances where persons from a second organization are hired as consultants or other contractual agreements to conduct work on behalf of the grant or cooperative agreement recipient.

Please note that collaborative research between a USGS internal project and external investigator(s) must be structured such that neither project could succeed without the other being funded. While many external research projects either directly or indirectly support or cooperate with ongoing internal USGS projects, these projects are not considered collaborative projects because their research objectives can be pursued with or without the existence of the internal USGS research.

A. For collaborative proposals that propose work by two or more separate institutions or organizations, each individual organization must accept responsibility for specific parts of the work proposed. A separate proposal must be submitted from each external organization involved in collaborative studies. Major sections of each proposal shall be identical and each proposal must clearly define the objectives to be performed by each organization, and each institution shall submit a separate budget, which clearly reflects their objectives and responsibilities.

B. Each Principal Investigator and his/her institution that is recommended for funding will receive a separate grant or cooperative agreement and shall accept financial responsibility for administering the grant and technical responsibility for submitted required technical reports.

C. Collaborative proposals must be clearly identified in the proposal title. The application title shall read “Proposal Title: Collaborative Research with First Institution name, and Second Institution name.”

D. Recipient of collaborative awards must submit one Progress Report (for 2-year awards) and one Final Technical Report, incorporating the efforts of all collaborators.

E. USGS reserves the right to fund only some of the Applicants involved in a collaborative study.

F. In the case of collaborative proposals involving external organizations and USGS-EHP scientists, the external proposal MUST include a letter of commitment from the relevant internal USGS-EHP scientist(s) stating that the scientist(s) has included specific efforts in his/her agreed-upon internal work plan for the period of time of the proposal to EHP. The proposal to EHP and letter of commitment must fully describe the degree of collaboration and the relationship between the internal and external planned/proposed efforts. The letter(s) of commitment will be the last page(s) of the submitted proposal and will not count toward the 25-page limit.

7. Two-year Proposals

Most proposals are funded for one year; all work that can be completed in one year should be proposed as a one-year project. However, if the proposed work is such that two years are required to complete the research, then a two-year proposal is appropriate and should be submitted. Applicants should carefully consider their time commitments and request the required grant duration and funding to accomplish the project goals. The peer review panel may recommend funding only the first year of a two-year proposal when the proposed research is easily divided into two, one-year projects or when they feel that results from the first year’s proposed work will need to be evaluated before a second year of research can be considered. Applicants should be sure to address the stipulations for two-year proposals in item 11, section F2.

The second year of funding of a two-year grant is contingent upon the availability of funds and satisfactory progress by the Recipient. Progress will be determined through technical review of a Progress Report by the External Research Coordinator and his or her agent. The Progress Report shall be submitted by the Recipient, in accordance with grant award Special Terms and Conditions (see Attachment D).

8. OutofCycle Awards

The USGS may accept proposals outside of the normal competitive cycle under very limited circumstances:

A. Research proposals may be accepted and approved outofcycle (after the closing date) only in cases where there is compelling circumstance or emergency (e.g., seismic event), which must be acted on before the next competitive review cycle. Proposers should contact the appropriate Regional or Topical Coordinator prior to submitting out-of-cycle proposals.

B. Congress mandates directed awards to support activities that evaluate earthquake hazards and losses. In this case, the USGS will solicit applications.

9. Unsuitable Proposals

The following proposals are ineligible for consideration under this Announcement:

A. Proposals for regional seismic monitoring or establishing Data Centers.

B. Proposals for long-term operation of geodetic networks or instruments.

10. External Research Projects Previously Supported by the USGS EHP

Lists of current and past supported projects may be obtained from the External Research Support web site: http://earthquake.usgs.gov/research/external

11. Application Preparation Instructions

Your electronic submission shall consist of forms SF-424, SF-424A, and SF-424B, plus the items described below. No additional documents or materials may be submitted. Failure to comply with the required application components listed below may result in the proposal being rejected. The USGS cannot request or receive supplemental or replacement application components after the closing date/time under this Program Announcement.

To view complete forms instructions, please visit the Grants.gov Forms Repository at http://www.grants.gov/web/grants/forms.html

Items A through F as described below shall be combined together into one document, in the order noted below, and submitted through Grants.gov in either MS Word or PDF format. The application shall not exceed 25 single-spaced pages (including figures, tables, references, appendices, curriculum vitae, etc.), and the type size shall not be smaller than 11 point. All pages of the application shall be numbered. All text, figures, and tables shall be sized to fit on 8½" by 11" paper. The SF forms and letters of support/commitment do not count toward the 25-page limit. The application shall be in color as needed for review by peer review panel members.

In the Grants.gov forms, floating your mouse over a field will provide instructions for completing that field. You can also click on the Check Package for Errors button to check the entire application for validation errors (incomplete fields, etc.)

The application submitted through grants.gov as the Project Narrative Attachment Form (in MS Word or PDF format) shall be assembled in the following order:

A. Proposal Information Summary. This summary is mandatory for the Grants.gov submittal for each proposal. The same format, with ALL information as shown in Attachment B shall be included in each applicant’s Grants.gov submittal. The two- or three-letter panel designation shall be indicated in Item 1. If you do not submit this page, your proposal will be rejected.

B. Abstract. The abstract shall be no longer than one single-spaced page. It shall include identification of the problem, a summary of the approach, project objectives, anticipated results, and the implications of the project results.

C. Table of Contents.

D. Budget Summary. The proposed budget shall be presented in two parts: a one-page summary, which shall be in the format shown in Attachment C. The detailed budget is described item E below.

E. Detailed Budget. The detailed proposed budget shall be keyed to the Budget Summary. Non-federal funds available to support the project may be reflected in the detailed budget or the SF 424, as appropriate.

For two-year projects: The Applicant shall provide summary information (see Attachment C) as well as a detailed budget for the second year. The SF 424 shall reflect both years.

The detailed budget must include the amount proposed for each of the following items in this order:

1) Salaries and wages. Identify individuals by name and position, estimated hours or percent of time, and the rate of compensation proposed. Include an explanation of the amounts included for projected increases if the rate of pay shown is higher than the current rate of pay. Identify each person with an objective in the project. Principal Investigator time should be limited with majority of salary for students. Tuition remission and other forms of compensation paid as, or in lieu of, wages to students performing necessary work are allowable provided that the tuition or other payments are reasonable compensation for the work performed and are conditioned explicitly upon the performance of the work. Tuition and/or tuition remission should be identified in this section of the budget.

2) Fringe benefits/labor overhead. Indicate the rates/amounts in conformance with normal accounting procedures. Explain what costs are covered in this category and the basis of the rate computations. Indicate whether rates are used for proposal purposes only or whether they are also fixed or provisional rates for billing purposes.

3) Equipment. Show the cost of all specialpurpose equipment necessary for achieving the objectives of the project. "Specialpurpose equipment" means scientific equipment having a useful life of more than 1 year and having an acquisition cost of $5,000 or more per item. Each item should be itemized and include a full justification and a dealer or manufacturer quote, if available. Generalpurpose equipment must be purchased from the applicant's operating funds. Title to non-expendable personal property shall be vested solely with the Recipient. Under no circumstances shall property title be vested in a sub-tier recipient.

4) Supplies. Enter the cost for all tangible property. Include the cost of office, laboratory, computing, and field supplies separately. Provide detail on any specific item, which represents a significant portion of the proposed amount. If fabrication of equipment is proposed, list parts and materials required for each and show costs separately from the other items.

5) Services or consultants. Identify the objectives or problems for which such services would be used. List the contemplated sub-recipients by name (including consultants), the estimated amount of time required, and the quoted rate per day or hour. If known, state whether the consultant's rate is the same as she/he has received for similar services or under Government contracts or assistance awards. Note the restriction on sub-recipients efforts indicated in section 4. Application Requirements.

6) Radiocarbon or other dating. Include the type of analyses, number of samples, cost per sample, and facility likely to perform the analyses. IMPORTANT: If the dating is to be done at a national lab, include the full contact information for the contact at the lab.; a separate award will be made to the national lab, however, include the national lab costs within the grant application budget.

7) Travel. State the purpose of the trip and itemize the estimated travel costs to show the number of trips required, the destinations, the number of people traveling, the per diem rates, the cost of transportation, and any miscellaneous expenses for each trip. For travel requested to meetings or conferences, include a description of the benefit to the proposed project. Failure to provide this information may result in a determination of the cost as unallowable. Calculations of other special transportation costs (such as charges for use of applicantowned vehicles or vehicle rental costs) should also be shown.

8) Publication costs. Show the estimated cost of publishing the results of the research. Include costs of drafting or graphics, reproduction, page or illustration charges

9) Other direct costs. Itemize the different types of costs not included elsewhere; such as, shipping, telemetry, computing, and equipmentuse charges, not specifically identified for other budget sections, above. Provide breakdowns showing how the cost was estimated; for example, computer time should show the type of computer, estimated time of use, and the established rates.

10) Total direct costs. Total items 1 through 9.

11) Indirect cost/general and administrative (G&A) cost. Show the proposed rate, cost base, and proposed amount for allowable indirect costs based on the cost principles applicable to the Applicant's organization. G&A should not be calculated for any tuition remission. If the Applicant has separate rates for recovery of labor overhead and G&A costs, each charge should be shown. Explain the distinction between items included in the two cost pools. The Applicant should propose rates for evaluation purposes, which they are also willing to establish as fixed or ceiling rates in any resulting award. NOTE: A copy of the indirect negotiated cost agreement with the Federal Government will be requested from all applicants recommended for an award. This request will be made at the time of recommendation notification. Please note that in the absence of a negotiated cost agreement, the maximum indirect rate that may be charged is 10% (see Section 200.414(f) of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards). This requirement applies to ALL applicants including nonprofits, small businesses, and individuals.

12) Amount proposed. Total items 10 and 11.

13) Applicant’s contribution to Project Cost Total project cost.

14) Total Federal and nonFederal amounts, if any.

F. Proposal: The description of the proposed research shall consist of the following parts:

1) Significance of the Project. In a separate paragraph of the proposal, discuss the specific problem addressed and its importance. Describe the significant contribution the project will make to one or more of the Priority Topics under the 10 Research Areas in Attachment A. This description must be included.

2) Project Plan. Discuss the specific hypotheses or research questions, the conceptual framework or model to be used, as well as the data collection and analysis plans, and relationship with past studies. Plans should also include procedures to be used to insure objectivity and balance in the project. Include project milestones and related due dates for the proposed work and required reports (See Attachment D, Sections 3 and 4). Time allocations, responsibilities for the project staff members, and level of effort for personnel must also be described separately for each year of the proposal; this is critical for two-year proposals.

3) Data Management Plan. A data management plan is required and must be clearly described in each submitted proposal. See Attachment D, Section 4. Additional information on USGS policy on data management planning can also be found at https://www.usgs.gov/products/data-and-tools/data-management/planning. Describe your plan for dissemination of project data and results and the planned users of those results that will result in the greatest possible benefit to earthquake hazards reduction. Include a data management plan stating where any data generated by the project will be archived and made available to other researchers.

4) Final Technical Report and Dissemination. The USGS considers dissemination of research data and results to potential users of those results to be an integral and crucial aspect of projects it funds. Beyond the requirements for a final technical report, the award recipient is also required to include the final data management plan stating where final data and results generated by the project are archived and how data access is publicly available to other researchers. See Attachment D, Section 4. Additional information on USGS policy on data management planning can also be found at https://www.usgs.gov/products/data-and-tools/data-management/planning.

5) Related Efforts. Describe significant, related studies conducted by members of the research team and discuss any planned coordination with other workers in the field. Include descriptions of current and recent USGS/EHP External Research Support grants or cooperative agreements, the relationship of those to this proposal (if any), and relevant results from previous grants or cooperative agreements.

6) Project Personnel and Bibliography of Directly Related Work. Provide curriculum vitae for all professional staff, summarizing education, experience, and the last five years’ bibliographic information related to the proposed work; a length of one-page is recommended. Curriculum vitae for non-PI researchers who contribute significantly to the project must also be included.

7) Institutional Qualifications. State the resources available at, and the relevant experience of, the institution. Resources include personnel, computer and library facilities, and ties to both sources of data and potential users of the results.

8) Current Support and Pending Applications. List all sources of support (in addition to the proposed effort) to which the senior research members have committed a portion of their time for the period covered by the proposal. The information should account for 100 percent of the work time of each investigator and include titles, annual budget levels, period of the awards, and the person-months committed in each case. This section must also list research being considered by, or that will be submitted to, other possible sponsors. If identical or similar work is also proposed to another institution (e.g., National Science Foundation), an explanation of the relationship of such work to this proposal should be provided.

9) Past USGS-Supported Projects. List the total amount of funding per year for which support was provided by the USGS for previous work related to the proposed research effort, as well as the duration of each award (including nocost extensions) and the total number of person-months committed by each Principal Investigator each year.

10) References.

11) Letters of Support/Letters of Committment. Letters of Support are useful for all proposals that include coordination with or participation by researchers at institutions other than those submitting the proposal. These letters do not count toward the 25-page limit. Such letters are NOT acceptable from USGS EHP scientists and if included, WILL BE REMOVED from consideration prior to proposal review. Instead, Letters of Commitment are REQUIRED from USGS EHP Scientists that are directly collaborating with the proposal submitters. See Section 6, Collaborative Proposals for requirements for writing appropriate letters of commitment from USGS EHP Scientists.

12. Evaluation of Applications and Funding Decisions

A. Proposals pertinent to one of the nine research areas will be evaluated by multi-disciplinary peer review panels. The panel members read all the proposals assigned to their panel prior to their meeting and at the panel meeting discuss each proposal according to the evaluation criteria. The four to seven panel members are scientists and engineers drawn from academia, Federal, State, local, and regional agencies, non-profit organizations, and private industry. In addition, one USGS member is often chosen for each panel. The panels will evaluate the technical merit of the proposals especially in the context of development of an integrated program of investigations for that region with attention to the research priorities (see Attachment A). The peer review panel votes on each proposal based on the criteria in section C below; panel rankings are the principal determination of proposal success pending available funds. The panels include five regional panels, and four topical panels for engineering seismology and impacts, earthquake physics (with a sub-topic for induced seismicity), earthquake early warning, and the National panel focused on Research activities specific to the National Seismic Hazards Maps and to the National Earthquake Information Center (NEIC). Applicants must indicate in the Proposal Information Summary (Attachment B) the panel that is most appropriate for their proposal. Although it is required to indicate the panel when submitting a proposal, the USGS Regional or Topical coordinator reserves the right to reassign proposals to a more appropriate panel as necessary.

The panels and their designations are as follows:

Applications can be directed to only ONE panel. If unsure of which panel is most appropriate, contact the applicable Regional or Topical coordinator (see Attachment A for contact information).

B. Following the peer panel reviews, the USGS will make funding decisions and will notify applicants of one of three possible decisions: the proposal has been recommended for funding at full or reduced levels of support, subject to appropriations; the proposal is being declined and will not be funded; or the proposal is on hold, and may be funded if sufficient funds become available during the fiscal year in question. The USGS intends to provide initial notifications to the institution and PI by the end of November. For proposals that are placed on hold, secondary notification regarding funding will be provided in or before the following February or when appropriations are known.

C. All proposals are considered in accordance with the criteria set forth below:

1) Relevance and Timeliness. This factor considers the relevance and timeliness of the proposed research activities as they relate to the USGS Earthquake Hazards Program goals and address the Department of Interior’s Secretarial priorities, including regional emphasis where appropriate (see Attachment A).

2) Technical Quality of the Proposal. This factor considers the scientific merit of the proposed approach and the probability of achieving positive results within the designated period.

3) Competence and Recent Research Performance of Principal Investigator (PI) and Research Team. This factor considers the scientific and technical competence and recent research of the PI and team and the promptness with which the research results were disseminated to the scientific community from previous funding. This factor includes performance records and capability to provide the necessary facilities and support that will ensure satisfactory completion of the proposed work. This factor includes the timely publication of project results and data in peer-reviewed scientific and technical journals, the impact of the results, and whether reporting requirements from previous USGS awards have been satisfied.

4) Appropriateness and Reasonableness of the Budget. This factor considers whether the proposed budget is commensurate with the level of effort needed to accomplish the project objectives and whether the cost of the project is reasonable relative to the value of the anticipated results.

D. The peer review panels make recommendations and provide advice by ranking proposals into priority groupings based on the scores related to the criteria described above. The results of the peer review will assist the USGS in making final award determinations under this Announcement.

13. Rejection of Applications after Initial Review

If an application does not meet all requirements specified in the Announcement, as determined by the Contracting Officer in consultation with the External Research Coordinator, the institution and Principal Investigator will be promptly notified that the proposal will not be reviewed indicating the reason for its rejection.

14. Involvement of Federal Employees

Federal employees, including USGS employees, are prohibited from serving in any capacity (paid or unpaid) on any application submitted under this Announcement; federal employees may not assist in the development of proposals. Proposals that have a real or apparent conflict of interest related to Federal employees will not be processed for evaluation. This does not prohibit cooperation or collaboration between USGS and non-USGS scientists once a grant or cooperative agreement is in place. Section 6 describes Collaborative Proposals.

15. Award Terms and Conditions

Award Recipients must comply with grant award Special Terms and Conditions (Attachment D) and Cost Principles, Audit, and Administrative Requirements (Attachment E). Submittal of an application constitutes the applicant’s acceptance of these terms and conditions for inclusion in any award resulting from their application. Any concerns with the requirements of the Special Terms and Conditions shall be presented to the Contracting Officer at least three (3) days prior to the closing date of the Announcement. Please be aware of the following are additional conditions:

A. No pre-award costs are authorized.

B. No-Cost Extensions to the Project Period: No-cost extensions are discouraged. The USGS/EHP awards grants and cooperative agreements for research that extends or supplements the ongoing research within the USGS. The timely conduct of funded projects is of great importance to the achievement of the goals of the program. Applicants should consider their time commitments at the time of applying for a grant. Requests for no-cost extensions will be considered on a case-by-case basis. Applicants should supply documentation supporting their request for an extension, as described in Attachment D, Section 5.

C. Supplemental Funds: Increases in funds beyond the amount awarded are also discouraged. The peer review panels recommend funding at a rate commensurate with their judgment of the scientific merit of a proposal and their expert knowledge of the expenses likely to be incurred in the conduct of the research. The USGS is aware that the course of any research cannot always be predicted. However, the bulk of the funds available for grants and cooperative agreements are expended early in the fiscal year and little is retained for expenses beyond emergencies or special opportunities for the program. Requests for increased funding will be considered on a case-by-case basis. Applicants should supply documentation supporting their request for increased funding.

D. Dissemination of Results: When award recipients have completed their studies, a Final Technical Report must be submitted within 90 days; these reports will be posted at https://earthquake.usgs.gov/cfusion/external_grants/research.cfm. It is the expectation of the USGS that Principal Investigators will publish the results of funded research in peer-reviewed scientific or technical journals. In addition, all data products and computer codes must be made readily available within the public domain and the recipients’ data management plan to ensure public data accessibility should be included in the Final Technical Report. See Attachment D, Section 4 for details on Data Management Planning.

16. Payment to Foreign Recipients

The Department of the Interior requires all payments under financial assistance awards be made using the Department of the Treasury Automated Standard Application for Payments (ASAP) system. HOWEVER, ASAP cannot make payments to foreign recipients. As such, payment to foreign recipients will be made by Treasury Check in U.S. funds upon receipt of properly prepared SF-270, “Request for Advance or Reimbursement”. Requests should be submitted on quarterly basis. Payments may be drawn in advance only as needed to meet immediate cash disbursement needs.

Foreign recipients are further advised that, although ASAP cannot handle foreign recipients, a waiver from use of ASAP is required. This waiver is processed by the USGS and no award may be issued until such time as the waiver is approved.

Attachment A

USGS Earthquake Hazards Program Research Priorities for FY2020

The USGS Earthquake Hazards Program (EHP) Research Priorities presented here reflect its mission within the National Earthquake Hazards Reduction Program (NEHRP) to reduce loss of lives and property from earthquakes and improve public safety and community resilience in the Nation.

Applicants should review the four major program elements described below and the priority research targets listed below for each region and topic. Proposed work should advance the science that underlies EHP products by posing and testing new hypotheses and/or developing novel data acquisition tools, analysis methods, and products. Proposed work can also improve information dissemination and make research results more effective in mitigating losses from earthquakes. While proposed projects may involve collection of data and/or application of existing analysis methods, such activities should be in support of clearly stated research goals. Proposals focused on development of new products must demonstrate strong collaboration with intended users.

Element I. National and regional earthquake hazards assessments. The EHP publishes national and regional assessments of the expected degree of ground shaking over various time periods. These products, developed from research on earthquake locations, magnitudes, recurrence, and ground motions, are the basis of the seismic safety elements of building codes affecting construction nationwide. The EHP also prepares long-term forecasts of earthquake probabilities, as well as scenario ground motion maps of the expected shaking and ground deformation. These products support the development of cost-effective mitigation measures and practices in structure design, construction, and land use planning. The USGS is particularly interested in research that results in improvements to the National Seismic Hazard Model (NSHM), and to assessing earthquake hazards in large metropolitan areas. Models of seismic source, ground-motions, and site effects that may be directly incorporated into the NSHM are sought.

Element II. Earthquake information, monitoring and notification. The EHP supports efforts to improve the accuracy of algorithms and processes that provide information about earthquakes in near-real-time, including early warning, improved detection and location techniques, estimation of finite fault rupture extent, and refined seismic moment determinations. However, routine monitoring activities are evaluated and funded under a separate solicitation for seismic and geodetic network operations.

Element III. Research on earthquake occurrence, physics, effects, impacts, and risks. Earthquake impact and risk assessments help emergency managers, planners, and the public prepare for future earthquakes. With the goal of improving hazard assessments, earthquake forecasts, and earthquake monitoring products, the EHP supports applied research on earthquake processes and effects. This work is focused on multi-disciplinary observations, theory, experiments, and development of testable models of earthquake and tectonic processes and of earthquake effects (e.g., macroseismic intensities, ground shaking, ground failure, and structural response).

Element IV. Earthquake safety policy and communication. The EHP produces data and information on earthquakes and related hazards, but the production of data and reports alone is not sufficient to reduce earthquake risk; the Program also takes an active role with the user community in the application and interpretation of Program results. Active engagement with our user community provides opportunities for dialogues on modifications to our existing products and new products that make our work and results more relevant and applicable. The EHP supports opportunities for engaging the user community at both the national and regional levels. See Section 1 for earthquake safety policy and communication priorities common to all Research Areas. Proposals for research on earthquake safety policy and communication applicable to a specific area should be submitted to the relevant regional or topical Research Area.

The above four Elements are integrated into ten Research Areas—five regional and four topical areas plus a National category:

1. Central and Eastern United States (CEUS): The United States east of the Rocky Mountains, including Puerto Rico and the U.S. Virgin Islands;

1. Engineering Seismology and Impacts (ESI): Basic and applied, geographically broad research on the natural macroseismic effects of earthquakes, and their impacts to the built environment; geotechnical, civil and structural studies; and research and development tied to the National Earthquake Information Center (NEIC);

1. Earthquake Physics (EP): Basic and applied, geographically broad research on the physics of earthquakes;

1. Induced Seismicity (IS): A sub-topic of Earthquake Physics (EP), basic and applied research on the physics of induced earthquakes;

1. Earthquake Early Warning (EEW): Basic and applied research to improve the accuracy, reliability, and timeliness of earthquake early warning alerts generated by ShakeAlert;

1. Intermountain West (IMW): Seismically active regions of the Intermountain West;

1. National (NAT): Research applicable nationally, especially activities related to the National Seismic Hazard Model;

1. Northern California (NC): From Cape Mendocino to the central creeping section of the San Andreas fault and the adjacent Coast Ranges, with particular emphasis on the greater San Francisco Bay Area;

1. Pacific Northwest and Alaska (PNA): Washington, Oregon, California north of Cape Mendocino (Cascadia), and Alaska;

1. Southern California (SC): From the Carrizo Plain south to the international border with Mexico.

Please also note that the USGS has developed a blueprint for advancing science and resilience from subduction zone hazards entitled Reducing Risk Where Tectonic Plates Collide – A Plan to Advance Subduction Zone Science. The Subduction Zone Science plan emphasizes scientific and technologic developments, improved hazard assessments, addressing stakeholder needs and maximizing capabilities through partnerships to reduce the risks posed by subduction zone events. The Plan focuses on three themes: (1) advancing observations and models of subduction zone processes, (2) quantifying natural hazards and risk and (3) hazard forecasting and situational awareness. For each of these themes, the Plan describes USGS accomplishments and current capabilities, discusses specific knowledge and capability gaps, describes scientific frontiers, and summarizes key questions, needed research, required investments and resulting products. The EHP encourages research proposals responsive to these themes. Please direct these proposals to the most appropriate regional or topical category.

The USGS has also recently published Science for a Risky World: a USGS Plan for Risk Research and Applications (hereafter “Risk Plan”). The Risk Plan is a roadmap to ensure that USGS hazards information is delivered and incorporated into risk assessments and other products that can be used by decision makers to reduce loss. The Risk Plan includes 23 recommendations focused on building institutional capacity in partnerships, project funding, professional staff and capabilities, product delivery, and expanding information technology capabilities. Seventeen case studies highlight USGS risk work already underway. The Plan notes that collaboration with partners from the beginning of research and product development through to message delivery and continuing during product evaluation is necessary to provide partners with information that can support actionable decisions for risk reduction. The EHP encourages research proposals responsive to the Risk Plan. Please direct these proposals to the most appropriate regional or topical category.

Proposals for research on earthquake occurrence and effects applicable to a specific topic or region should be directed to the relevant topical or regional…