PKG00249045-instructions.pdf

Water Resources Research Act Program National Competitive Grants Program

Fiscal Year 2019 Announcement

Announcement No. G19AS00040 under Section 104(g) of the

Water Resources Research Act of 1984, as Amended March 11, 2019

Closing Dates 5:00 PM, Eastern Time, February 15, 2019 (Preproposals)

5:00 PM, Eastern Time, May 29, 2019 (Institutes)

Department of the Interior National Institutes for U. S. Geological Survey Water Resources

OMB Number 1028-0097

Expiration Date: Pending: 2/29/2020 PAPERWORK REDUCTION ACT STATEMENT: In accordance with the Paperwork Reduction Act (44 USC 3501), an agency may not conduct or sponsor and a person is not required to respond to a collection of information unless it displays a currently valid Office of Management and Budget control number. OMB has reviewed and approved this information collection and assigned OMB Control Number 1028-0097. You may submit comments on any aspect of this information collection, including the accuracy of the estimated burden hours and suggestions to reduce this burden. Send your comments to: Information Collections Clearance Officer, US Geological Survey, gs-info_collections@usgs.gov.

i

NATIONAL INSTITUTES FOR WATER RESOURCES

U.S. GEOLOGICAL SURVEY

WATER RESOURCES RESEARCH NATIONAL COMPETITIVE GRANTS

PROGRAM

ANNOUNCMENT

TABLE OF CONTENTS

ABSTRACT 1

SUBMISSION OF PREPROPOSALS AND INVITED FULL PROPOSALS 1

I. INTRODUCTION 2

II. PROGRAM OBJECTIVES 4

III. RESEARCH PRIORITIES 4

IV. PROPOSALS NOT ELIGIBLE FOR FUNDING 5

V. APPLICANT ELIGIBILITY 5

VI. COLLABORATION BY FEDERAL EMPLOYEES 5

VII. FEDERAL FUNDS 6

VIII. MATCHING FUNDS 6

IX. MAXIMUM SIZE AND DURATION OF PROJECT 7

X. PREPROPOSAL AND INVITED FULL PROPOSAL DUE DATES 7

XI. PREPROPOSAL AND INVITED FULL PROPOSAL PREPARATION

AND REVIEW PROCESS 7

XII. PROPOSALS SELECTED FOR FUNDING IN PREVIOUS YEARS 10

ATTACHMENTS

A: PREPROPOSAL FORM 11

B: PROPOSAL FORM 13

C: BUDGET BREAKDOWN FORM 16

D: BUDGET JUSTIFICATION FORM 17

E: BUDGET SUMMARY FORM 19

F: FOCUS CATEGORIES 20

G: SPECIAL TERMS AND CONDITIONS 21

U.S. GEOLOGICAL SURVEY

NATIONAL INSTITUTES FOR WATER RESOURCES

WATER RESOURCES RESEARCH

NATIONAL COMPETITIVE GRANTS PROGRAM

ANNOUNCEMENT

FY 2019

ABSTRACT

The U.S. Geological Survey in cooperation with the National Institutes for Water Resources requests proposals for matching grants to support research on the topic of improving and enhancing the nation’s water supply, including evaluation of innovative approaches to water treatment, infrastructure design, retrofitting, maintenance, management, and replacement;

exploration and advancement of our understanding of changes in the quantity and quality of water resources in response to a changing climate, population shifts, and land use changes;

development of methods for better estimation of water supply, both surface and groundwater, including estimation of the physical supply and of the economic supply of water; development and evaluation of processes and governance mechanisms for integrated surface/ground water management; and the evaluation and assessment of conservation practices. Any investigator at an accredited institution of higher learning in the United States is eligible to apply for a grant through a Water Research Institute or Center established under the provisions of the Water Resources Research Act of 1984, as amended (http://water.usgs.gov/wrri/institutes.html).

Proposals involving substantial collaboration between the USGS and university scientists are encouraged. Proposals may be for projects of 1 to 3 years in duration and may request up to $250,000 in federal funds. Successful applicants must match each dollar of the federal grant with one dollar from non-federal sources. Preproposals must be submitted to your State Institute or Center by 5:00 PM, Eastern Time, February 15, 2019 and invited full proposals to the National Competitive Grants Program must be submitted to the grants.gov internet site at http://www.grants.gov not later than 5:00 PM Eastern Time, May 29, 2019 by the university at which the Institute or Center is located. Funds have not yet been appropriated for this program for FY 2019. The Government's obligation under this program is contingent upon the availability of funds.

SUBMISSION OF PREPROPOSALS AND INVITED FULL PROPOSALS

Preproposals and full proposals under this Announcement must be submitted using the following process:

1. Preproposals must be submitted by the PI’s to their State Water Institute or Center (see http://water.usgs.gov/wrri/index.php) for approval following the template in Attachment A. The State Water Institute or Center will forward the preproposals to the USGS National Program Office for the peer panel evaluation and up to 30 preproposals will be selected and invited to submit a full proposal. Submitting a preproposal does not obligate the PI to submit a full proposal.

2. Each invited full research proposal must be submitted to grants,gov

(http://www.grants.gov/) in PDF format (following template Attachment B) by the university at which the Water Resources Research Institute or Center approving the proposal is located, along with:

a. SF-424 (Application for Federal Assistance),

b. SF-424B (Assurances),

c. Full proposal in pdf format containing,

i. Cover Page

ii. Proposal

iii. Budget Breakdown Form (Attachment C),

iv. Budget Justification Form (Attachment D),

v. Budget Summary Form (Attachment E),

vi. Matching Commitment Letter, and

vii. Letters of Support if Provided

I. INTRODUCTION

This Program Announcement is issued under the provisions of section 104 of the Water Resources Research Act of 1984 (Public Law 98-242), as amended by Public Laws 101-397, 104-147, 106-374, and 109-471. Section 104 of the Water Resources Research Act directs the Secretary of the Interior to administer program grants to Institutes and Centers established under the provisions of section 104(a) of the Act. Water Resources Institutes or Centers have been established in each of the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, and Guam. The Institute in Guam also serves the Federated States of Micronesia and the Commonwealth of the Northern Mariana Islands. The Institute in Hawaii also serves American Samoa. The addresses of the 54 Institutes are available on the Internet at http://water.usgs.gov/wrri/institutes.html. Responsibility for administration of the State Water Resources Research Institute program has been delegated to the U.S. Geological Survey (USGS).

The 54 Institutes are organized as the National Institutes for Water Resources (NIWR). NIWR cooperates with the USGS in the administration of the State Water Resources Research Institute Program. Questions or comments concerning the review process may be addressed to either Earl Greene at the address below or to:

Dr. Daniel Devlin, Director Kansas Water Resources Institute, Kansas State University 44 Waters Hall Manhattan, Kansas 66506

(785) 532-0393 ddevlin@ksu.edu

Questions or comments concerning this Program Announcement should be directed to:

Program Office Grants Office Earl Greene Kimberly L. Dove Director, Water Resources Research Act Program Office of Acquisition and Grants 5522 Research Park Drive MS 211, U.S. Geological Survey Baltimore, Maryland 21228 12201 Sunrise Valley Drive Phone: 571-332-4184 Reston, Virginia, 20192 eagreene@usgs.gov Phone: 703-648-7487 kdove@usgs.gov

II. PROGRAM OBJECTIVES

Section 104(g) of the Water Resources Research Act of 1984 requires that this competitive grant program focus on: “water problems and issues of a regional or interstate nature beyond those of concern only to a single State and which relate to specific program priorities identified jointly by the Secretary (of the Interior) and the (water resources research) institutes.”

Objectives of this program also include the following:

A. Promote collaboration between the USGS and university scientists in research on significant national and regional water resources issues.

Proposals exhibiting substantial collaboration between the USGS and the applicant are encouraged and will receive extra weight in the evaluation and selection process.

Collaborative proposals should describe in detail the respective roles of the USGS and the applicant in the proposed work. It is anticipated in FY2019 the USGS will have internal funds available for modest support of USGS scientists on selected proposals.

Potential applicants seeking collaborative opportunities are encouraged to contact USGS scientists directly (http://water.usgs.gov/nrp/science.php) or Water Science Center Directors (http://water.usgs.gov/district_chief.html).

B. Promote the dissemination and application of the results of the research funded under this program.

C. Assist in the training of scientists in relevant water resource fields. Proposals that include a strong educational component (student support) are encouraged, as are Proposals from faculty beginning their careers.

III. RESEARCH PRIORITIES

Proposals are sought on the topic of improving and enhancing the nation’s water supply and availability, and promoting the exploration of new ideas that address or expand our understanding of water problems, including the following specific areas of inquiry (levels of priority are not assigned, and the order of listing does not indicate the level of priority):

• Evaluation of innovative approaches to water treatment, infrastructure design, retrofitting, maintenance, management and replacement.

• Exploration and advancement of our understanding of changes in the quantity and quality of water resources in response to a changing climate, population shifts, and land use changes; including associated economic, environmental, social, and/or infrastructure costs.

• Development of methods for better estimation of water supply, both surface and groundwater, including estimation of the physical and/or economic supply of water.

• Development and evaluation of processes and governance mechanisms for integrated surface/ground water management.

• Evaluation and assessment of the effects of water conservation practices, as well as adoption, penetration and permanence.

IV. PROPOSALS NOT ELIGIBLE FOR FUNDING

A. Proposals for research on health effects involving human subjects.

B. Proposals for research involving oceanography (estuarine research proposals are acceptable).

C. Proposals submitted by an Institute or Center that has not met reporting requirements on a previous award by the USGS.

D. Proposals that do not comply with the terms of this Announcement.

V. APPLICANT ELIGIBILITY

Awards are available only to Water Research Institutes or Centers established pursuant to the provisions of section 104 of the Water Resources Research Act and listed at (http://water.usgs.gov/wrri/index.php). However, any investigator at an institution of higher learning in the United States is eligible to apply for an award through a Water Research Institute or Center. All portions of the preproposals must be submitted through the State Water Institute or Center by the deadline established in this announcement. The invited full proposal along with the SF-424 and SF-424B and budget forms must be submitted through grants.gov ( http://www.grants.gov) by the university at which the Institute or Center is located. Each invited full proposal will then be authorized for inclusion in the national competition by the Director of the Institute or Center in the state in which the university of the principal investigator is located.

Proposals requesting matching funds from an Institute or Center are authorized at the discretion of the Institute or Center Director.

VI. COLLABORATION BY FEDERAL EMPLOYEES

A. Federal employees may, and are encouraged to, collaborate with college or university investigators in this program.

B. Federal employees may not serve as a principal investigator, but may serve as a co-principal investigator.

C. Federal employees and agencies may not receive federal funds for any purpose under these awards.

D. Federal employees and agencies may not serve as a source of matching funds under these awards.

E. Federal employees must prepare a Statement of Government Involvement, which is to be included with a collaborative proposals.

VII. FEDERAL FUNDS

A. Funds have not yet been appropriated for this program for FY 2019. The Government's obligation under this program is contingent upon the availability of funds.

B. All successful proposals will be fully funded for the entire duration of the project with

FY 2019 funds, if available.

VIII. MATCHING FUNDS

A. Each applicant must match each Federal dollar provided to support each proposed project with not less than one dollar from non-federal sources. States may have different guidelines as to the sources of matching funds - please check with your Institute or Center Director for details.

Note: Guam, the Federated States of Micronesia, the Commonwealth of the Northern

Mariana Islands, American Samoa, and the U.S. Virgin Islands are exempt from the matching requirement.

B. Matching funds shall be obligated during the period of performance.

C. The matching requirement should be met during each 12-month budget period.

D. Matching funds obligated shall be reflected on line 10.i of each Financial Status Report, Standard Form 425.

E. Matching funds may contain indirect costs and non-federal salaries and benefits. The applicant’s negotiated indirect cost rate (NICR) may be applied to both qualifying federal and non-federal direct costs, and the result used to satisfy part of the matching requirement under the non-federal share. The NICR shall not be applied to tuition and equipment costs. As per the Water Resources Research Act federal funds shall not be used to pay indirect costs.

IX. MAXIMUM SIZE AND DURATION OF PROJECT

A. Applicants shall not request total federal funds exceeding $250,000 per project.

B. Proposed projects may be of 1 to 3 years in duration, with discrete 12-month budget periods.

X. PREPROPOSAL AND INVITED FULL PROPOSAL DUE DATES

Investigators must submit their preproposals (PDF format) to their State Water Resources Research Institute or Center prior to 5:00 PM Eastern Time, February 15, 2019. Only preproposals filed by that time will be transmitted to the National Grants Competition Preproposal Peer Review Panel. Thirty preproposals will be invited to submit a full proposal to the National Grants Competition. Invited full proposals must be submitted as an application package (Full Proposal, SF-424 and SF-424B, Matching commitment letter, budget breakdown, budget justification and budget summary) to grants.gov by the university that houses the State Water Institutes or Centers prior to 5:00 PM Eastern Time, May 29, 2019. Only full proposals submitted by that time will be transmitted to the National Grants Competition Full Proposal Review Panel for review.

XI. PREPROPOSAL AND INVITED PROPOSAL PREPARATION AND REVIEW

PROCESS

A. Preproposals

Each preproposal will need to be written following the template (Attachment A). Preproposals which meet the requirements of this Announcement will be evaluated by a peer review panel composed of Institute directors, university scientists, and USGS employees experienced in water resources research. Preproposals will be reviewed according to the following criteria:

25 Points: Relevance and Importance. - The extent to which: (1) the preproposal focuses on a water problem or issue of a regional or interstate nature of concern to more than one State and directly addresses a research priority described in this RFP (Section III); (2) the subject is of particularly high importance to present and future water resources management programs; and

(3) the preproposal includes collaboration with the USGS if appropriate.

25 Points: Scientific Merit. – The extent to which the preproposal (1) has potential to expand fundamental knowledge in its specific area(s); (2) is scientifically sound; and (3) demonstrates cognizance of past work.

25 Points: Expected Results and Benefits. – The extent to which the preproposal describes the how the potential outcomes and the potential realistic impacts of the proposed work.

15 Points: Information Transfer. – The extent the preproposal actively addresses the eventual transfer of results to user groups and whether it actively addresses the impact that the results could have?

10 Points: Training. – The extent to which the preproposal has a strong educational component, provides for student support, and engages a principal investigator near the beginning of his or her career?

B. Invited Full Proposals

Each invited full proposal will need to be written following the template (Attachment B). Full proposals which meet the requirements of this Announcement will be evaluated by a peer review panel composed of Institute directors, university scientists, and USGS employees experienced in water resources research. Proposals will be reviewed according to the following criteria:

20 Points: Relevance and Importance. - The statement of relevance and importance is a critical component of the proposal review process. Describe the water problem or issue of a regional or interstate nature of concern to more than one State and directly addresses a research priority described in Section III. Document the magnitude of the situation and relevance of the issue/problem to state, regional and national issues. Why is this project/topic innovative and important? Does the proposal include collaboration with the USGS if appropriate?

20 Points: Scientific Merit. – The extent to which the proposal (1) has potential to expand fundamental knowledge through the stated goals and objectives; (2) is scientifically sound through the description of the research objectives; and (3) demonstrates cognizance of past work.

20 Points: Expected Results and Benefits. – The extent to which the proposal describes the how the potential outcomes and the potential realistic impacts of the proposed work.

10 Points: Information Transfer. – The extent the proposal actively addresses the eventual transfer of results to user groups how it will deliver the potential impacts of the research proposed.

10 Points: Training. – The extent to which the proposal has a strong educational component, provides for student support, and engages a principal investigator near the beginning of his or her career?

10 Points: Qualifications of the Investigators. The extent to which the qualifications of the investigators are commensurate with the proposed research, and the adequacy of the facilities and equipment.

10 Points: Budget. The extent to which the budget is reasonable and adequate for the work proposed. Note: the principal investigator’s salary is an acceptable budget item, but the federal share of the salary should not exceed one or two months per year.

Full proposals recommended for funding will be forwarded to the USGS for review and approval. Awards will be made directly to the Water Resources Research Institute or Center through which the proposal was submitted. The target award date is August through September with a USGS-preferred project start date of September 1, 2019. The project start date must be no later than September 30, 2019.

* NEW for this Fiscal Year a USGS Data Management Plan must be included in the full proposal. Requirements for the data plan are included below.

Proposals submitted to USGS must include a supplementary document of no more than two pages labeled "Data Management Plan" (DMP). This supplementary document should describe how the proposal will conform to USGS policy on the dissemination and sharing of research results and associated data. A valid DMP may include only the statement that no detailed plan is needed (e.g. “No data are expected to be produced from this project”), as long as the statement is accompanied by a clear justification. This supplementary document may include:

• the types of data, samples, physical collections, software, curriculum materials, and other materials to be produced in the course of the project;

• the standards to be used for data and metadata format and content (where existing standards are absent or deemed inadequate, this should be documented along with any proposed solutions or remedies);

• policies for access and sharing including provisions for appropriate protection of privacy, confidentiality, security, intellectual property, or other rights or requirements;

• provisions for re-use, re-distribution, and the production of derivatives; and

• plans for archiving data, samples, and other research products, and for preservation of free public access to them.

Additional guidance on data management plans is available from the USGS Data Management web site here: http://www.usgs.gov/datamanagement/plan/dmplans.php

Simultaneously submitted collaborative proposals and proposals that include subawards are a single unified project and should include only one supplemental combined DMP by the lead PI that also addresses all subaward data management needs, regardless of the number of non-lead collaborative proposals or subawards included.

XII. PROPOSALS SELECTED FOR FUNDING IN PREVIOUS YEARS

Total Funds Available, Number of Proposals Received and Funded, and the Minimum and Maximum Federal Funds Awarded, by Year.

Year

Total Funds

Available

Number of Proposals Received

Number of Proposals Funded

Minimum.

Federal Funds

Awarded

Maximum.

Federal Funds

Awarded 1999 $1,000,000 68 10 $13,833 $183,650 2000 $1,000,000 106 8 $41,937 $216,999 2001 $1,000,000 75 9 $84,294 $150,000 2002 $1,000,000 75 8 $103,134 $157,586 2003 $1,000,000 76 6 $92,839 $233,953 2004 $950,000 45 8 $69,246 $170,596 2005 $950,000 49 8 $63,014 $172,842 2006 $920,000 61 8 $58,155 $250,000

*2007 $814,419 63 5 $61,312 $242,508 2009 $937,358 61 6 $82,489 $235,148 2010 $950,183 46 6 $60,396 $247,563 2011 $1,064,754 40 5 $140,162 $249,949 2012 $853,498 46 6 $35,885 $243,835 2014 $963,704 68 4 $230,839 $248,556 2015 $999,289 101 4 $249,329 $250,000 2016 $856,004 83 5 $109,123 $249,625 2017 $749,415 30* 3 $249,415 $250,000 2018 $857,420 30* 4 $193,831 $248,201

*The program did not receive funding in FY 2007 and FY 2013. Projects selected in FY 2007 were supported with FY 2008 funds. A program competition was not held in FY 2008 nor held in FY 2013. Starting in 2017 30 full proposals were invited to submit for consideration out of over 150 pre-proposals. Projects Descriptions of the projects selected for funding since 2002 are provided at (http://water.usgs.gov/wrri/national-competitive-grants.php).

Attachment A

November 2017

National Competitive Grant (104g) Preproposal Form – RFP G19AS00040

Number assigned by USGS: ________

TITLE:

PROPOSED INITIATION DATE: September 1, 2019

PROPOSED COMPLETION DATE:

FUNDING LEVEL (Cap of $250,000 federal funds and a maximum of a 3 year duration)

(A) FEDERAL FUNDS REQUESTED: ___________

(B) PROPOSED COST SHARING: _________

[Must equal at least a 1:1 match]

Preproposal must be submitted in PDF format, length is limited to no more than 4 pages (12-point font) and at a minimum address the following below. References do not count toward the 4 page limit.

STATEMENT OF RELEVANCE AND IMPORTANCE:

The statement of relevance and importance is a critical component of the preproposal review process. Describe the water problem or issue of a regional or interstate nature of concern to more than one State and directly addresses a research priority described in Section III. Document the magnitude of the situation and relevance of the issue/problem to state, regional and national issues. Why is this project/topic innovative and important? Does the preproposal include collaboration with the USGS if appropriate?

RESEARCH GOALS AND OBJECTIVES:

Describe the goals (desired results) and objectives of the proposed work. State objectives in a way that enables measurable comparison to expected project results.

RESEARCH APPROACH:

Describe the project design and explain how the work will accomplish the stated objectives.

EXPECTED RESULTS AND BENEFITS:

Describe the expected outcomes of the project. What new solutions and/or opportunities will be available to the hydrologic scientific community and/or management agencies? What impact will successful completion of this project have on the state, region or nation?

INFORMATION TRANSFER AND EDUCATION:

Describe how results will be communicated to the relevant user groups and how it will deliver the potential impacts of the research proposed.

Attachment A

PRINCIPAL INVESTIGATOR:

AFFILIATION:

CO-INVESTIGATORS (name/position/affiliation):

PRINCIPAL INVESTIGATOR SIGNATURE: DATE:

PHONE NUMBER: EMAIL ADDRESS:

Attachment B

National Competitive Grant (104g) Proposal Form – RFP G19AS00040

Number assigned by USGS: ________

COVER PAGE (Does Not Count Towards 12 Page Limit)

TITLE:

PROPOSED INITIATION DATE: September 1, 2019

PROPOSED COMPLETION DATE:

WATER RESOURCES RESEARH INSTITUTE OR CENTER:

FUNDING LEVEL (Cap of $250,000 federal funds and a maximum of a 3 year duration)

(A) FEDERAL FUNDS REQUESTED: ___________

(B) PROPOSED COST SHARING: _________

[Must equal at least a 1:1 match]

FOCUS CATEGORIES. Choose a maximum of three focus categories from the list provided (Attachment F), with the most preferred focus category first.

RESEARCH CATEGORY. Choose from the following the one category that most closely applies: Social Sciences, Ground-water Flow and Transport, Water Quality, Biological Sciences, Engineering, or Climate and Hydrologic Processes.

KEYWORDS. Enter keywords of your choice descriptive of the work.

PRINCIPAL INVESTIGATOR(S). Provide name, academic rank, university, email address and phone number of all principal investigators.

CO-PRINCIPAL INVESTIGATOR(S). Provide name, academic rank and university (or title and federal agency), email address and phone number of all co-principal investigators.

ABSTRACT. Provide a brief (one-page) description of the problem, methods, and objectives.

Please be as descriptive as possible but do not exceed one-page, 12 point font.

PROPOSAL

Must be submitted in PDF format, and shall not exceed 12 single-spaced pages, with 12 point font and at least 1 inch margins, including tables, pictures, graphs, figures, and appendices, but excluding Literature Citations/References (item 10), Investigator’s Qualifications (item 11). Proposals exceeding the 12-page limit will not be considered in the competition

1. Title. Please use the same title as was entered in the Web form under item 1, above.

2. Statement of regional, interstate, or multi-state water problem. Include an explanation of the need for the project, who wants it, and why.

3. Statement of results or benefits. Specify the type of information that is to be gained and how it will be used.

4. Nature, scope, and objectives of the project, including a timeline of activities.

5. Methods, procedures, and facilities. Provide enough information to permit evaluation of the technical adequacy of the approach to satisfy the objectives.

6. Related research. Demonstrate by literature and communication citations the similarities and dissimilarities of the proposed project to completed or on-going work on the same topic.

7. Training potential. Estimate the number of graduate and undergraduate students, by degree level, who are expected to receive training in the project.

8. Statement of Government Involvement. If a Federal employee will collaborate on the project, provide a detailed description of the role and responsibilities of the Federal collaborator in the proposed research project. A brief narrative description is sufficient. As part of the narrative the USGS employees are encouraged to include a budget (not more than $35,000 per proposal). The USGS budget is not to be included as part of the budget information in items 12, 13, and 14.

9. Information Transfer Plan. Describe the plan for disseminating information on the results of the research and promoting their application. Each plan should define the subject matter and the problems to be addressed, identify the target audience, indicate the strategies to be employed (e.g., workshops, publications), and identify the cooperators (e.g., Cooperative Extension Service).

10. Literature Citations/References

11. Investigator’s qualifications. Include a resume(s) of the principal investigator(s). No resume shall exceed two pages or list more than 15 pertinent publications. Does not count towards 12 page limit.

12. Budget Breakdown, as requested using form (See Attachment C). Does not count towards 12 page limit.

13. Budget Justification, as requested using form (See Attachment D). Does not count towards 12 page limit.

14. Budget Summary, as requested using form (See Attachment E). Note: Multi-year projects will be fully funded with FY 2018 funds, if funded. The budget must be complete for all years of the project. Does not count towards 12 page limit.

17. Data Management Plan. See RFP for requirements and format. Does not count towards 12 page limit.

16. Matching Commitment Letter. The proposal shall contain an institutional cost-sharing agreement (letter) signed by an official authorized to commit the applicant to all or part of the matching share or a third party, in-kind contribution signed by an official authorized to commit the third party. Scanned legible pdf documents are acceptable.

The USGS does not need the originals. Does not count towards 12 page limit.

If letters of support for the application are provided, they should be scanned and uploaded as part of the proposal. Letters of support do not count against the 12-page limit.

ATTACHMENT C

BUDGET BREAKDOWN

Project Title:

Cost Category Federal Non-Federal Total

1. Salaries and Wages (list personnel)

Total Salaries and Wages

2. Fringe Benefits

Total Fringe Benefits

3. Tuition

Total Tuition

4. Supplies

5. Equipment $ $ $

6. Services or Consultants $ $ $

7. Travel $ $ $

8. Other Direct Costs $ $ $

9. Total Direct Costs $ $ $ 10a. Indirect costs on federal share XXXXXXX $ $ 10b. Indirect costs on non-federal share XXXXXXX $ $

11. Total estimated costs $ $ $

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

Total Costs at other University Campus Name of University:

ATTACHMENT D

BUDGET JUSTIFICATION

Project Title:

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

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

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

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

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

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

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

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

ATTACHMENT D

Tuition for Graduate Students. Provide time & amount. In-state or Out-of-state tuition?

Tuition for Undergraduate Students. Provide time & amount. In-state or Out-of-state tuition?

Supplies. Indicate separately the amounts proposal for laboratory and field supplies followed by a breakdown of the supplies in each category.

Equipment. Identify non-expendable personal property having a useful life of more than one

(1) year and an acquisition cost of more than $5,000 per unit. If fabrication of equipment is proposed, list parts and materials required for each, and show costs separately from the other items. A detailed breakdown is required.

Services or Consultants. Identify the specific tasks for which these services, consultants, or subcontracts would be used. Provide a detailed breakdown of the services or consultants to include personnel, time, salary, supplies, travel, etc. A breakdown is required for each cost.

Travel. Provide purpose and estimated cost for all travel. A breakdown should be provided to include location, number of personnel, number of days, per diem rate, lodging rate, mileage and mileage rate, airfare (whatever is applicable).

Other Direct Costs. Itemize costs not included elsewhere, including publication costs. Costs for services and consultants should be included and justified under “Services or Consultants” (above). Please provide a detailed breakdown for costs listed under this category.

Indirect Costs. Provide negotiated indirect (“Facilities and Administration”) cost rate. If indirect costs are provided please include a copy of your current Indirect Cost Rate Agreement so the rate can be verified.

BUDGET SUMMARY ATTACHMENT E

Project Title:

Non-Federal Year 1

Federal Year 2

Non-Federal Year 2

Federal Year 3

Non-Federal Year 3

TOTAL ALL

YEARS

- PI

2. Total Fringe Benefits for:

- PI

(9+10

FOCUS CATEGORIES ATTACHMENT F

Attachment G 104 WRRI Program

03-11-2019

SPECIAL TERMS AND CONDITIONS

SECTION A –ADMINISTRATIVE DATA AND REPORTING REQUIREMENTS

A.1 Payment

Payments under financial assistance awards must be made using the Department of the Treasury Automated Standard Application for Payments (ASAP) system (www.asap.gov).

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

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

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

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

A.2 Carryover Funds

Multiple year awards may carry over unobligated funds to be expended in the following budget period. This is to allow a project that was unable to be completed by the end of the funded budget period to be completed. Please note that funds are only available through the ASAP system 90 days after each budget period ending date for that budget period. No funds shall be carried over beyond the final year of an award. Prior year funds cannot be reallocated to new projects. Funds may only be reallocated with prior approval of the Contracting Officer and only during the federal fiscal year during which they were obligated.

A.3 Assistance Administration

This award will be administered by:

U.S. Geological Survey Office of Acquisition and Grants 12201 Sunrise Valley Drive, MS 205 Reston, VA 20192 Attn: Kimberly Dove, Grant Specialist Telephone: 703-648-7487

Email: kdove@usgs.gov

A.4 Reporting Requirements

(a) The recipient shall prepare an Annual Program Report summarizing its activities during the reporting period under its base grant, national competitive grant program awards for which it is the lead institute NIWR-USGS Internships, and supplemental awards funded either by the USGS or by pass-through funds from another Federal agency. The reporting period for the annual program is March 1 through February 28.

(b) The Annual Program Report is to be submitted to the Project Officer, Earl Greene at eagreene@usgs.gov until further notice by May 31 of each year. The report for the competitive program awards, internship awards and supplemental awards should be submitted within 90 days after the completion date of the individual award.

(c) The Annual Program Report for each Institute shall consist of the following components

(1) RESEARCH: A synopsis of each ongoing research project and of each research project completed during the reporting period. This includes projects funded under the base grant and the National Competitive Grant

Program, as well as projects supported by supplemental grants funded by the USGS and other Federal agencies. Include only those National Competitive Grant Program projects for which you are the lead institute.

(2) PUBLICATIONS: A list of all reports published during the reporting period as a result of projects supported with section 104 and required matching funds, including base grants and National Competitive Grant awards for which you are the lead institute, and as a result of supplemental awards.

(3) INFORMATION TRANSFER PROGRAM: A brief description of information transfer activities supported with section 104 and required matching funds during the reporting period.

(4) STUDENT SUPPORT: A summary of the number of students supported with section 104 and required matching funds, including the base grant and National Competitive Grant Program awards for which you are the lead institute. Report, also, the number of students supported under the NIWR-USGS Student Internship Program and other supplemental awards during the reporting period.

(5) STUDENT INTERNSHIP PROGRAM: A Student Evaluation of Internship at the U.S. Geological Survey for each student who completed an internship during the reporting period.

(6) NOTABLE ACHIEVEMENTS AND AWARDS: Provide a brief description of any especially notable achievements and awards resulting from work supported with section 104 and required matching funds and by supplemental grants during the reporting period.

(d) Supplemental awards may require progress reports; this requirement will be stated within the award document.

A.5 Annual Financial Report

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

Award Performance Start Date

Annual Interim Report End Date

(year following start date)

Annual Interim Report Due Date

(90 days after report end date)

January 1- March 31 March 31 June 30

April 1- June 30 June 30 September 30

July 1- September 30 September 30 December 31

October 1 – December 31 December 31 March 31

b) The SF 425 must be submitted electronically through the FedConnect Message Center

(www.fedconnect.net) or, if FedConnect is not available, by e-mail to SF425@usgs.gov with a cc to the Grant Specialist. Recipient must include the USGS award number in the subject line of all correspondence. If, after 90 days, Recipient has not submitted a report, the Recipient’s account in ASAP will be placed in a manual review status until the report is submitted.

A.6 Final Financial Report

a) The Recipient will liquidate all obligations incurred under the award and submit a final SF 425, Federal Financial Report in accordance with A.5.b. no later than 90 calendar days after the Agreement completion date.

b) Recipient will promptly return any unexpended federal cash advances or will complete a final draw from ASAP to obtain any remaining amounts due. Once 120 days has passed since the Agreement completion date, USGS shall unilaterally deobligate federal funds as reflected in the Final SF 425.

c) Subsequent revision to the final SF 425 will be considered only as follows:

i. When the revision results in a balance due to the Government, the Recipient must submit a revised final SF 425, Federal Financial Report, and refund the excess payment whenever the overcharge is discovered, no matter how long the lapse of time since the original due date of the report.

ii. When the revision represents additional reimbursable costs claimed by the Recipient, a revised final SF 425 may be submitted to the USGS Contracting Officer with an explanation. If approved, the USGS will either request and pay a final invoice or reestablish the ASAP subaccount to permit the Recipient to make a revised final draw. Any revised final report representing additional reimbursable amounts must be submitted no later than 1 year from the due date of the original report, i.e., 15 months following the Agreement completion date.

USGS will not accept any revised SF 425 covering additional expenditures after that date and will return any late request for additional payment to the Recipient.

A.7 Institute Director

The Institute Director, who is designated by the Recipient, is responsible for the technical direction of the research.

A.8 Project Officer

(a) The Project Officer will work closely with the Institute Director to ensure that all technical requirements are being met. The Project Officer's responsibilities include, but are not limited to, providing technical advice on the accomplishment of the Recipient's objectives; reviewing the technical content of the report and the other information delivered to the USGS; determining the adequacy of the program reports; and conducting site visits in coordination with the Contracting Officer as necessary.

(b) The Project Officer does not have the authority to issue any technical direction which constitutes an assignment of additional work outside the scope of the award; in any manner causes a change in the total costs or the time required for performance of the award; or changes any of the terms, conditions, or general provisions of the award.

A.9 Contracting Officer

The Contracting Officer is authorized to enter into and/or terminate awards. The Contracting Officer is the sole authority designated to modify the funds and stated terms and conditions of the award. The Contracting Officer, in coordination with the Project Officer, will ensure the effective utilization of Federal funds.

A.10 Adherence to Original Research Objectives and Budget Estimates

(a) Any commitments or expenditures incurred by the Recipient in excess of the funds provided by this award shall be the responsibility of the Recipient. Expenditures incurred prior to the effective date of this award cannot be charged against award funds unless provided for in this award.

(b) The following changes require advance written approval by the Contracting Officer (CO). The request must be submitted to the CO at least 30 calendar days prior to the requested effective date of the change:

(1) Changes in the scope, objective, or key personnel referenced in the Recipient's proposal;

(2) Transfer of funds between direct cost categories when the cumulative amount of transfers during the project period exceeds 10 percent of the total award;

(3) Foreign travel;

(4) Acquisition of non-expendable personal property having a useful life of more than one year and having an acquisition cost $5,000 or more; and

(5) Change in the project period for internships, competitive awards, supplemental awards funded by the USGS and other Federal agencies. The Recipient shall submit a revised budget indicating the planned use of all unexpended funds during the extension period. This request must be submitted no later than 30 days prior to the expiration date of the budget and or award period.

(c) The Recipient shall submit a revised financial estimate and plan for (2) through (5) above.

(d) The CO will notify the Recipient in writing within 30 calendar days after receipt of the request or revision or adjustment whether or not the request has been approved.

A.11 Publications

a) Acknowledgment of Support

Recipient is responsible for assuring that an acknowledgment of USGS support:

1. is made in any publication (including World Wide Web pages) of any material based on or developed under this Agreement, in the following terms:

This material is based upon work supported by the U.S. Geological Survey under Grant/Cooperative Agreement No. (enter USGS award number located in Block #1 of award document).

2. is orally acknowledged during all news media interviews, including popular media such as radio, television and news magazines.

b) Disclaimer

Recipient is responsible for assuring that every publication of material (including World Wide Web pages) based on or developed under this Agreement, contains the following disclaimer:

The views and conclusions contained in this document are those of the authors and should not be interpreted as representing the opinions or policies of the U.S.

Geological Survey. Mention of trade names or commercial products does not constitute their endorsement by the U.S. Geological Survey.

c) Publication

Publication of the results of any project carried out under this assistance award is authorized in professional journals, trade magazines, or may be made by the USGS. Such manuscripts or publications submitted to journals or professional publications for publication shall be accompanied by the following notation:

This manuscript is submitted for publication with the understanding that the United States Government is authorized to reproduce and distribute reprints for Governmental purposes.

d) Copies for USGS

Recipient is responsible for assuring that the USGS Project Office is provided access to, either electronically or in paper form, a copy of every publication planned for publication simultaneously with its submission for publication. One reprint of each published article shall be submitted to the USGS Project Office immediately following publication.

e) Department of the Interior Requirements

Two copies of each publication produced under a Grant or Cooperative Agreement shall be sent to the Natural Resources Library with a transmittal that identifies the sender and the publication. The address of the library is:

U.S. Department of the Interior Natural Resources Library

Division of Information and Library Services Gifts and Exchange Section 18th and C Streets, NW Washington, DC 20240

A.12 Involvement Statement

There will be no substantial involvement by the USGS in performance of this grant.

A.13 Pre-Agreement Costs

The Recipient is not authorized to incur costs prior to the award of this Agreement. Costs incurred prior to the award of this agreement are not allowable.

A.14 Modification

This award may be modified in writing by mutual consent of the Recipient representative and the Contracting Officer.

SECTION B – GENERAL PROVISIONS

B.1 Cost Principles, Audit, And Administrative Requirements

The Recipient shall be subject to the following regulations, which are incorporated herein by reference. Copies of these regulations can be obtained from the Internet at:

http://www.whitehouse.gov/omb/grants_docs

Educational Institutions / State and Local Governments / Non-Profit Organizations

2 CFR Part 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards, as implemented by the Department of the Interior in 2 CFR Part 1402 and 43 CFR Part 12.

B.2 Additional Regulations

This award is subject to the following additional Governmentwide regulations:

● 2 CFR 180, Governmentwide Debarment and Suspension (Nonprocurement)

● 2 CFR 182, Governmentwide Requirements for Drug-Free Workplace (Financial

Assistance)

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

Interior:

● 2 CFR Part 1400, Nonprocurement Debarment and Suspension

● 2 CFR Part 1401, Requirements for a Drug Free Workplace (Financial Assistance)

● 43 CFR Part 17, Nondiscrimination in Federally Assisted Programs of the Department of the Interior

● 43 CFR Part 18, New Restrictions on Lobbying o Submission of an application also represents the applicant’s certification of the statements in 43 CFR Part 18, Appendix A, Certification Regarding Lobbying

● 43 CFR Part 41, Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance [Applies only if this award provides assistance to an education program…