fy 2016 ltrmp program announcement final.doc

UNITED STATES DEPARTMENT OF THE INTERIOR

U.S. GEOLOGICAL SURVEY

· Long Term Resource Monitoring Element (LTRM) Cooperative Agreement Program The Long Term Resource Monitoring Element was authorized under the Water Resources Development Act of 1986 (Public Law 99-662) as an element of the U.S. Army Corps of Engineers' Upper Mississippi River Restoration Program (UMRR). Original authorization provided for a 10-year Program starting in 1987; Section 405 of the Water Resources Development Act of 1990 (Public Law 101-640) extended the Program an additional 5 years; Section 509 of the Water Resources Act of 1999 (Public Law 106-53) extended the Program indefinitely.

PROGRAM ANNOUNCEMENT No. G16AS00007

For Fiscal Year 2016

ISSUE DATE: September 30, 2015

CLOSING DATE:

January 15, 2016 (new or changes in scope of work or total estimated cost)

March 31, 2016 (other changes not involving change to scope of work or total estimated cost)

APPLICATIONS MUST BE SUBMITTED ELECTRONICALLY VIA THE GRANTS.GOV WEB SITE. COMPLETE DETAILS ARE PROVIDED UNDER PART III.

TABLE OF CONTENTS

TABLE OF CONTENTS

i A. Long Term Resource Monitoring Agreement (LTRM) Element 1 B. Statutory Authority of Program PART II. Timetables, Eligibility and Proposal Format Instructions A. Timetables B. Eligibility – Who May Submit a Proposal C. Proposal and Budget Content Instructions PART III. Proposal Delivery/Submission Instructions and Deliverables A. Preparing and Submitting Application via Grants.gov B. SF 424 Instructions C. Award Administration Information D. Reports PART IV. General Provisions

1. Cost Principles, Audit, And Administrative Requirements

2. Method of Payment

3. Additional Regulations

4. Additional Articles Required For Compliance With Statute Or Regulation

5. Additional General Terms and Conditions Important Contacts:………………………………………………………………………19

PART I. Public Law and Program Priorities

A. The Long Term Resource Monitoring (LTRM) Element Cooperative Agreement Program. LTRM is a monitoring effort with the U.S. Geological Survey (USGS) and five Upper Mississippi River System states (Illinois, Iowa, Minnesota, Missouri, and Wisconsin). Overall guidance, funding, and Program responsibility is provided by the U.S. Army Corps of Engineers (USACE). A directive outlining the mode of operation and the respective roles of each agency is embodied in a 1988 Memorandum of Agreement.

The authority to enter into a cooperative agreement is stipulated in the Water Resources Development Act of 1986. Congress recognized the Upper Mississippi River System as both a nationally significant ecosystem and a nationally significant commercial navigation system. The Upper Midwest Environmental Sciences Center (UMESC) is the USGS facility which administers the LTRM of the U.S. Army Corps of Engineers Upper Mississippi River Restoration Program (UMRR). Five Upper Mississippi River System states which house six state-operated field stations provide data collection for water levels and quality of sedimentation, fish, vegetation, and invertebrates, and land cover/use.

B. LTRM mission The mission of the LTRM Element is to provide decision makers with the information needed to maintain the Upper Mississippi River System as a viable multiple-use large river ecosystem. The long-term monitoring goals of the Program are to understand the system, determine resource trends and impacts, develop management alternatives, manage information, and develop useful products.

C. Cooperative Agreement coordination All proposals must be coordinated with the Recipient’s Financial Department prior to submission, and will be required to be submitted electronically through grants.gov. Complete details are provided under Part III.

PART II. Timetables, Eligibility and Proposal Format Instructions

A. Timetables The announcement shall open each year for new cooperative agreements and modifications to be submitted from October 1 through the due date stipulated by the USGS. For FY 2016, due dates are as follows:

15 January 2016 (new or changes in scope of work or total estimated cost)

31 March 2016 (other changes not involving change to scope of work or total estimated cost)

B. Eligibility – Who May Submit a Proposal Only five state agencies (six field stations) listed below are eligible to apply as stipulated in the Water Resources Development Act of 1986 (Public Law 99-662)

a. Iowa – Department of Natural Resources – LTRM Iowa DNR Mississippi River Monitoring Station

b. Illinois – Illinois Natural History Survey through the University of Illinois, C

1) LTRM National Great Rivers Research and Education Center Field Station

2) LTRM Illinois River Biological Field Station

c. Minnesota – Department of Natural Resources – LTRM Lake City Field Station

d. Missouri – Department of Conservation – LTRM Big Rivers and Wetlands Field Station

e. Wisconsin – Department of Natural Resources – LTRM La Crosse Field Station C. Proposal and Budget Content Instructions

All proposal text shall include the following:

a.

Introduction and Statement of Problem. Give a brief introduction to the problem. Provide a brief summary of findings or outcomes of any prior work that has been completed or is ongoing in this area.

b.

Objectives. Clearly define goals of project. State how the proposal addresses USGS goals and its relevance and impact. Explain why the work is important.

c.

Methods. This section should include a fairly detailed discussion of the work plan and technical approach to both field and laboratory techniques.

d.

Dissemination of Results. List any anticipated reports, analyses, digital data, etc. that will be disseminated during the performance period. The USGS considers dissemination of research data and results to potential users to be an integral and crucial aspect of projects funded by this program. Beyond the requirements for a final report, describe your plan for dissemination of project data and results that will result in the greatest possible benefit to customers as defined by your proposal. Applicants are strongly encouraged to disseminate research results to the scientific community and appropriate professional organizations; local, State, regional and Federal agencies; and the general public. The USGS encourages the Recipient to publish project reports in scientific and technical journals.

e.

References Cited. List all references to which you refer in text and references from your past work in the field that the research problem addresses. Be sure to identify references as journal articles, chapters in books, abstracts, maps, digital data, etc.

Detailed Budget Breakdown - Please include the following:

a.

Salaries and Wages. List names, positions, and rate of compensation. If contract employees are hired, include their total time, rate of compensation, job titles, and roles.

b.

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.

c.

Lab Analyses. Briefly itemize cost of all analytical work (if applicable).

d.

Operational Support. Enter all facilities, common service and field supply costs separately. Provide detail on any specific item, which represents a significant portion of the requested funding.

e.

Equipment. Show the cost of all special-purpose equipment necessary for achieving the objectives of the project. "Special-purpose 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. General-purpose equipment must be purchased from the applicant's operating funds. Title to non-expendable personal property shall be vested with the Recipient or the Federal Government as determined in the award terms and conditions. Under no circumstances shall property title be vested in a sub-tier recipient.

f.

Services or contractual agreements. Identify the tasks or problems for which such services would be used. List the potential sub-recipients by name, the estimated amount of time required, and the quoted rate per day or hour.

g.

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, airfare, the cost of transportation, and any miscellaneous expenses for each trip. Calculations of other special transportation costs (such as charges for use of applicant-owned vehicles or vehicle rental costs) should also be shown.

h.

Publication costs. Show the estimated cost of publishing the results of the research, including the final report. Include costs of drafting or graphics, reproduction, page or illustration charges, and a minimum number of reprints.

i.

Other direct costs. Itemize the different types of costs not included elsewhere.

j.

Total Direct Charges. Totals for items a – i.

k.

Indirect Charges (Overhead). Show the proposed rate, cost base, and proposed amount for indirect costs based on the cost principles applicable to the Applicant's organization. If the Applicant has separate rates for recovery of labor overhead and G&A costs, each charge should be shown.

l.

Amount proposed. Total items j and k.

PART III. Proposal Delivery/Submission Instructions and Deliverables Preparing and Submitting an application via Grants.gov – www.grants.gov.

Note: All proposals will be reviewed in advance by UMESC Long Term Resource Monitoring Element (LTRM) project manager prior to submission.

Hard copies of the proposals will no longer be accepted. Applicants are held responsible for the proposal to be electronically submitted into grants.gov (www.grants.gov) by the closing date in Part II A above. Please note that the electronic submission system is relatively complex for first-time users and involves several preliminary registrations steps to be taken before the proposal can be submitted (go to www.grants.gov and click on“Applicant Resources” at the top of the page under APPLICANTS).

Before you can apply for a grant through Grants.gov, your organization must obtain a Data Universal Number System (DUNS) number and register with the System for Award Management (www.sam.gov). Grants.gov safeguards organizations from individuals who may attempt to submit grant application packages without permission by providing organizations with an E-Business Point of Contact (POC). The E-Business Point of Contact determines who in your organization is allowed to submit grant applications via Grants.gov.

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 have completed a prior application, you may already have completed the registration process. Please allow sufficient time for the proposal to be submitted electronically and allow time for possible computer delays. A proposal received after the closing date and time will not be considered for award.

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 To complete and submit your application:

1.

Begin at the Grants.gov website http://www.grants.gov

2.

On the top of the screen, under the APPLICANTS section, click on “Apply for Grants”.

3.

Click on “Download a Grant Application Package”

4.

In the Funding Opportunity Number field enter G16AS00007. This is the Funding Opportunity Number for the LTRM element.

5.

Click “Download Package”

6.

On the right side of the screen, under “Instructions and Application”, click “download”

7.

Proceed through the following screen and download the application package.

8.

In order to view the downloaded application package, you will need to install the Adobe Reader software available at: http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html 9.

To view a narrated tutorial on completing the forms on Grants.gov, please see: http://www.grants.gov/web/grants/applicants/applicant-tools-and-tips.html B. SF 424 Instructions All new and continuation/revision applications must contain the completed SF 424 and project/budget narrative. Note: The person who electronically submits the SF-424 must have the authority to bind the state agency to the terms of the assistance award.

C. Award Administration Information

Award recipients are responsible for managing the day-to-day operations of the agreement and supported activities to assure compliance with applicable Federal requirements, and that performance goals are being achieved. Recipient monitoring must cover each program, function or activity.

SPECIAL NOTE:

Pre-agreement costs are any costs that are incurred by a recipient prior to the effective date of the assistance award. The effective date of an award is the date it is signed by the Contracting Officer (CO). Requests for approval of anticipated pre-agreement costs will be sent to the designated Grant Specialist. The request must be received and approved by the USGS before the recipient incurs any costs. The request should include the following information:

Recipient name, Project title or other identifying information (including previous Agreement/Award Number, if applicable), Period of time to be covered by funds, Justification of need to begin incurring costs before the award is signed, Amount Requested, including a breakdown by category, and

A statement that the recipient understands that they proceed at their own risk and that the Government will have no obligation or liability to reimburse these costs unless and until the contemplated award is made. Please note that pre-agreement costs, even when approved by the Contracting Officer, are incurred at the recipient’s risk. Awards are subject to the availability of funds and until obligation of the award, cannot be guaranteed.

D. Reports

The following reports will be required from all award recipients:

Performance Report Recipients of awards under this program are responsible for managing and monitoring the project, program, sub-award, function or activity supported by the award. Performance reports shall generally contain brief information on each of the following:

(1) A comparison of actual accomplishments with the goals and objectives established for the period.

(2) Reasons why established goals were not met, if appropriate.

(3) Other pertinent information including, when appropriate, analysis and explanation of unexpectedly high cost items.

Annual Financial Report(s):

The recipient will submit annual SF 425, Federal Financial Report(s) for each individual USGS award. The SF 425 is available at - http://www.whitehouse.gov/omb/grants_forms. The SF 425 will be due ninety (90) calendar days after the grant year (i.e., 12 months after the approved effective date of the grant agreement and every 12 months thereafter until the expiration date of the grant agreement). USGS acknowledges that this annual reporting schedule may not always correspond with a specific budget period. The SF 425 must be submitted electronically through the FedConnect Message Center (www.fedconnect.net). If after 90 days, recipient has not submitted a report, the recipient’s account in ASAP will be placed in a manual review status until the report is submitted.

Final Federal Financial Report:

1) The recipient will liquidate all obligations incurred under the award and submit a final SF 425 Federal Financial Report no later than 90 calendar days after the cooperative agreement completion date. Recipient will promptly return any unexpended federal cash advances or will complete a final draw to obtain any remaining amounts due. Once 120 days has passed since the grant/agreement completion date, the subaccount for this award may be closed by USGS at any time.

2) Subsequent revision to the final SF 425 will be considered only as follows - (i) When the revision results in a balance due to the Government, the recipient must submit a revised final Federal Financial Report (SF 425) and refund the excess payment whenever the overcharge is discovered, no matter how long the lapse of time since the original due date of the report.

(ii) When the revision represents additional reimbursable costs claimed by the recipient, a revised final SF 425 may be submitted to the Contracting Officer with an explanation. If approved, the USGS will either request and pay a final invoice or reestablish the 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.

Final Technical Report

a. The recipient shall submit two copies of the final technical report to the USGS Project Officer (see Block 10 of Page 1) and one copy of the transmittal letter to the Grant Administrator to the address shown in Section E.1).

b. The final technical report shall document and summarize the results of the committee’s work. Such reports shall include a quantitative description of activities and overall progress in response to the performance metrics which documents and summarizes the results of the entire grant. The final report shall include tables, graphs, diagrams, sketches, etc., as required to explain the results achieved under the grant. The report shall also include recommendations and conclusions based upon both the experience and the results obtained. The final report shall be submitted within 90 days of the end of the project period.

PART IV. General Provisions

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 Circulars can be obtained from the Internet at: http://www.ecfr.gov 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.

2.

Method of 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 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 cooperative agreement, a sub-account will be set up from which the Recipient may draw down funds. After recipients complete enrollment in ASAP and link their banking information to the USGS ALC (14080001), it may take 7-10 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 the Department of the Treasury’s Financial Management Service (FMS) Payment Management Call Center at 855-868-0151.

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

3. Additional Regulations This award is subject to the following additional Government-wide regulations:

· 2 CFR 180, Government-wide Debarment and Suspension (Nonprocurement)

· 2 CFR 182, Government-wide Requirements for Drug-Free Workplace (Financial Assistance) This award is subject to the following additional regulations of the U.S. Department of the 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 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)]

4. 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-on-Reducing-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 §301-10.131 - §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 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 2 CFR part 1400.

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 2 CFR part 1400.

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

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 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

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.

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 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) Pilot Program for Enhancement of Recipient and Subrecipient Employee Whisleblower Protection (41 USC Section 4712) This requirement applies to all awards issued after July 1, 2013 and shall be in effect until January 1, 2017.

a.

This award and related subawards and contracts over the simplified acquisition threshold and all employees working on this award and related subawards and contracts over the simplified acquisition threshold are subject to the whistleblower rights and remedies in the pilot program on award recipient employee whistleblower protections established at 41 U.S.C. 4712 by section 828 of the National Defense Authorization Act for Fiscal Year 2013 (P.L. 112-239).

b.

Recipients, and their subrecipients and 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 rights and protections under 41 U.S.C. 4712.

c.

The recipient shall insert this clause, including this paragraph (c), in all subawards and contracts over the simplified acquisition threshold related to this award.

6. 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, 2000, 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) Access To Research Data

1) Recipients that are institutions of higher education, hospitals, or non-profit organizations are required to release research data first produced in a project supported in whole or in part with Federal funds that are cited publicly and officially by a Federal agency in support of an action that has the force and effect of law (e.g., regulations and administrative orders). “Research data” is defined as the recorded factual material commonly accepted in the scientific community as necessary to validate research findings. It does not include preliminary analyses; drafts of scientific papers; plans for future research; peer reviews; communications with colleagues; physical objects (e.g., laboratory samples, audio or video tapes); trade secrets; commercial information; materials necessary to be held confidential by a researcher until publication in a peer-reviewed journal; information that is protected under the law (e.g., intellectual property); personnel and medical files and similar files, the disclosure of which would constitute an unwarranted invasion of personal privacy; or information that could be used to identify a particular person in a research study.

2) These requirements do not apply to commercial organizations or to research data produced by State or local governments. However, if a State or local governmental grantee contracts with an educational institution, hospital, or non-profit organization, and the contract results in covered research data, those data are subject to these disclosure requirements.

3) Requests for the release of research data subject to this policy are required to be made to USGS, which will handle them as FOIA requests under 43 CFR 2.25. If the data are publicly available, the requestor will be directed to the public source. Otherwise, the USGS Contract Officer, in consultation with the affected Recipient and the PI, will handle the request. This policy also provides for assessment of a reasonable fee to cover Recipient costs as well as (separately) the USGS costs of responding.

c) Conflict of Interest

The Recipient must establish safeguards to prohibit its employees and Subrecipients from using their positions for purposes that constitute or present the appearance of a personal or organizational conflict of interest. The Recipient is responsible for notifying the USGS Contracting Officer in writing of any actual or potential conflicts of interest that may arise during the life of this award. Conflicts of interest include any relationship or matter which might place the Recipient or its employees in a position of conflict, real or apparent, between their responsibilities under the agreement and any other outside interests. Conflicts of interest may also include, but are not limited to, direct or indirect financial interests, close personal relationships, positions of trust in outside organizations, consideration of future employment arrangements with a different organization, or decision making affecting the award that would cause a reasonable person with knowledge of the relevant facts to question the impartiality of the Recipient and/or Recipient's employees and Sub-recipients in the matter.

The USGS Contracting Officer and the servicing Ethics Counselor will determine if a conflict of interest exists. If a conflict of interest exists, the USGS Contracting Officer will determine whether a mitigation plan is feasible. Mitigation plans must be approved by the USGS Contracting Officer in writing. Failure to resolve conflicts of interest in a manner that satisfies the government may be cause for termination of the award.

Failure to make required disclosures may result in any of the 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 Equipment or Equipment Authorized for Purchase

Title to equipment 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 an inventory of such equipment as long as there is a need for such equipment to accomplish the purpose of the project, whether or not the project continues to be supported by Federal funds. When there is no longer a need for such equipment to accomplish the purpose of the project, the Recipient shall use the equipment in connection with other Federal awards the Recipient has received. Disposal of equipment shall be in accordance with 2 CFR 200.313.

Insert the following if no equipment will be provided or purchased:

No equipment is provided or authorized for purchase on this grant/cooperative agreement.

Insert the following if property will be provided or purchased:

The following equipment will be vested with the Recipient: (list equipment) Important Contacts:

USGS Office of Acquisition and Grants Staff:

Desiree Santa

USGS Grants Specialist

Phone: (703) 648-7382

Email: dsanta@usgs.gov

Grants.gov Support:

Laura Mahoney

Grant Analyst

Phone (703) 648-7344

Email: lmahoney@usgs.gov

Upper Midwest Environmental Sciences Center:

Irene Nissalke

Budget Analyst

Phone: (608) 781-6389 or 783-6451 ext 389

Email: inissalke@usgs.gov

-- END OF PROGRAM ANNOUNCMENT--