## ![](media/image1.jpeg){width="2.01875in" height="0.7583333333333333in"}

## 

## United States Geological Survey

### Earthquake Hazards Program

#### External Research Support

####  <http://earthquake.usgs.gov/research/external>

#### 

#### ![](media/image2.jpeg){width="1.5805555555555555in" height="0.8965277777777778in"}

Proposals for Grants -- Fiscal Year 2009

#### Program Announcement 09HQPA0001

Closing Date: May 15, 2008

[\
**Applications Must be submitted electronically via**]{.smallcaps}

**[http://www.grants.gov](http://www.grants.gov/)**

**[See instructions]{.smallcaps}**

**Table of Contents**

Page

Highlights, External Research Support Announcement for FY2009 2

1\. Application Submission Closing Date 3

2\. Electronic Application Requirement 3

3\. Funds and Start Dates 3

4\. Application Requirements 4

5\. Research Priorities 4

6\. Collaborative Proposals 4

7\. Two-year Proposals 5

8\. Out-of-Cycle Awards 5

9\. Unsuitable Proposals 5

10\. External Research Projects Previously Supported by

the USGS Earthquake Hazards Program 5

11\. Application Preparation Instructions 6

12\. Evaluation of Applications 8

13\. Rejection of Applications after Initial Review 9

14\. Involvement of Federal Employees 9

15\. Award Terms and Conditions 9

16\. Paperwork Reduction Act Statement 10

Attachment A -- Research Emphasis and Priorities 11

Attachment B -- Proposal Information Summary 20

Attachment C -- Budget Summary 22

Attachment D -- Special Terms and Conditions 25

Attachment E -- Cost Principal, Audit, and Administrative
Requirement............................ 36

**Highlights**

**USGS Earthquake Hazards Program External Research Support Announcement
for Fiscal Year 2009**

**President's Budget**

The FY 2009 President's budget released on February 4, 2008 includes a
\$3 million reduction for Earthquake Hazards Program (EHP) External
Research Support. This represents a 47% reduction from FY2008 and, if
enacted through the congressional appropriations process would reduce
the number of grants and cooperative agreements award. Because of this
budgetary situation, any delays in passage of appropriations beyond the
start date of the fiscal year will likely limit the ability of the USGS
to make grants awards in the first few months of FY2009.

**Electronic Application Requirement**

-   **All applications shall be submitted electronically using
    Grants.gov: [http://www.grants.gov](http://www.grants.gov/).** Be
    sure to read the instructions carefully. **Paper copies will NOT be
    accepted.**

**Research Priorities for Fiscal Year 2009** (see Attachment A)

-   Attachment A, Research Priorities has been revised\--please read
    carefully.

-   Regional and Topical research areas have been changed. Please choose
    the correct new category for your proposal.

-   NOTE: All proposed work must indicate how the expected results could
    be applied to reducing losses from earthquakes in the United States.
    This application of the proposed research should be clearly stated
    in a separate paragraph of the proposal.

**Collaborative Proposals**

-   Please read the instruction concerning what constitutes a
    collaborative proposal.

-   Each collaborator must submit a complete proposal.

**Application Preparation Instructions**

-   **All detailed budget components must be submitted.**

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-   **Page limit and type size limits WILL be enforced. These limits
    must be adhered to or the proposal will be rejected.**

-   Lists of previously supported projects are located on the External
    Research Support web page
    <http://earthquake.usgs.gov/research/external>

**Award Terms and Conditions**

-   Final technical reports are required in digital form.

-   It is a USGS expectation that the results of funded research be
    published in a peer-reviewed form and that all data products and
    computer codes be made readily available.

-   Please read the technical and financial reporting requirements
    section carefully as several changes have been made.

**Questions?**

For Grants.gov issues, see:

<http://www.grants.gov/applicants/app_help_reso.jsp>

<http://www.usgs.gov/contracts/grants/grantsgov.html>

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

For External Research Support Manager issues, contact Elizabeth
Lemersal, (703) 648-6701,

<gd-erp-coordinator@usgs.gov>

**Announcement 09HQPA0001**

# 1. Application Submission Closing Date: May 15, 2008, 9 pm Eastern Daylight Time

# 2. Electronic Application Requirement 

For the FY 2009 funding cycle all **proposals shall be submitted
electronically via Grants.gov** (http://www.grants.gov). Hard/paper
submissions will NOT be accepted. All proposals must be submitted
electronically on or before:

**May 15, 2008, at 9 pm, Eastern Daylight Time**

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

Once at the website, click on "Get Registered" under the For
Applications heading and follow the instructions provided. In order to
complete the SF 424 forms, **everyone** must use Adobe Reader 8.1.1,
which is available for download from the grants.gov site at:
<http://www.grants.gov/help/download_software.jsp#adobe811>. To ensure
that you have the correct version of Adobe Reader, you can view a test
package here:
<http://www.grants.gov/applicants/AdobeVersioningTestOnly.jsp>. Any and
all edits made to the application package must be made with Adobe Reader
version 8.1.1. Grants.gov does not guarantee to support other versions
of Adobe Reader released prior to version 8.1.1. For more information on
Adobe Reader 8.1.1, please see:
<http://www.grants.gov/applicants/applicant_faqs.jsp#adobe-reader-error>.
If you have any questions regarding the registration process, please
contact the grants.gov help desk at 1-800-518-4726.

For more information on the Grants.gov registration and submission
process, please see
<http://www.usgs.gov/contracts/grants/grantsgov.html>

During the application period an applicant may submit a revised or
corrected proposal through grants.gov. Include a cover letter as the
first page of the proposal stating that the proposal is revised and
indicating that the previous submittal is to be withdrawn from
consideration. Such submissions must be completed by May 15, 2008 at
9:00 pm Eastern Daylight

Time.

See Section 9, Application Preparation Instructions, which describes
requirements for the proposal and other application components.

###### 3. Funds and Start Dates

The FY2009 President's budget released on February 4, 2008, includes \$3
million reduction for the USGS Earthquake Hazards Program (EHP) External
Research Support. This represents a 47% reduction from FY2008 and if
enacted through the congressional appropriations process, would reduce
the number of grants and cooperative agreements awarded. Approximately
\$3.4 million will be available for support of research grants and
cooperative agreements in FY2009. Based on awards in recent years, 75 to
100 new grants are funded each fiscal year. In general, grants do not
exceed \$100,000, with the majority of grants between \$15,000 and
\$75,000. This estimate does not bind the USGS to a specified number of
awards or to the amount of any award unless that amount is specified by
statute or regulation. Because of the FY2009 budgetary situation, any
delays in passage of appropriations beyond the start of the fiscal year
will likely limit the ability of USGS to make grant awards in the first
few months of FY2009. All projects must propose start dates between
December 1, 2008 and September 1, 2009.

**4. Application Requirements**

A.  Proposals must be for a duration of either one or two years.

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

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

D.  USGS personnel are prohibited from assisting any organization in
    preparing its proposal for competitive funding under External
    Research Support.

E.  Proposals to fund research in foreign countries will be considered
    when the research will provide knowledge or new techniques
    transferable to a U.S. seismogenic zone.

F.  Proposals to fund research in foreign countries must be based on
    cooperation with scientific groups in the host countries, with host
    country personnel being used for operational functions, and host
    countries providing financial support for such personnel. Proposals
    for cooperative efforts with agencies of foreign governments may be
    subject to additional approvals within the U.S. Government.

G.  Applications submitted by foreign organizations must be submitted in
    English and in U.S. dollars. Awards involving foreign governments
    may require additional coordination and approval by the U.S.
    Department of State.

5\. Research Priorities

The Research Priorities presented in Attachment A reflect the mission of
the USGS Earthquake Hazards Program (EHP) as an element of the
four-agency National Earthquake Hazards Reduction Program (NEHRP), a
congressionally authorized partnership with the Federal Emergency
Management Agency (FEMA), the National Institute of Standards and
Technology (NIST), and the National Science Foundation (NSF). Applicants
are encouraged to review the high-priority targets listed in Attachment
A for each region and topic in additional to the four major program
elements described below as each is applicable for research done through
external grants.

6\. Collaborative Proposals

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

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

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

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

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

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

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

F.  In the case of collaborative proposals involving external
    organizations and USGS scientists, two separate proposals must be
    prepared. The external proposal must describe the degree of
    collaboration and **must include a letter of support** from the
    internal USGS collaborator(s), as the last page(s) of the external
    proposal (such letters do not count toward the 25-page limit). The
    USGS project chief will include the part of the proposed work being
    done by the USGS in his or her internal proposal for the appropriate
    fiscal year, and will include a description of the nature of the
    collaborative work being done with the external institution.

7\. Two-year Proposals

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

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

**8. Out‑of‑Cycle Awards**

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

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

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

9\. Unsuitable Proposals

The following proposals are ineligible for consideration under this
Announcement:

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

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

> C. Proposals from U.S. Government agencies or U.S. Government
> employees.
>
> D. Proposals from Federally Funded Research and Development Centers
> (FFRDC).
>
> E. Proposals in which there is a real or apparent conflict of
> interest.
>
> F. Proposals principally involving the direct procurement of a
> product, equipment, or service.
>
> G. Proposals having subcontracts for 50 percent or greater of total
> direct costs.

10\. External Research Projects Previously Supported by the USGS
Earthquake Hazards Program

Lists of currently supported projects may be obtained from the External
Research Support web site:
<http://earthquake.usgs.gov/research/external>

**11. Application Preparation Instructions**

Your electronic submission shall consist of forms SF-424, SF-424a, and
SF-424b, plus the items described below. No additional documents or
materials may be submitted. Failure to comply with the required
application components listed below may result in the proposal being
rejected. To view complete forms instructions, please visit the
Grants.gov Forms Repository at
<http://www.grants.gov/agencies/aapproved_standard_forms.jsp#1>

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

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

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

A.  [Proposal Information Summary]{.underline}. This summary is
    mandatory for all proposals and shall follow the same format as
    shown in Attachment B. The two- or three-letter panel designation
    shall be indicated in Item 1.

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

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

D.  [Table of Contents]{.underline}.

E.  [Detailed Budget]{.underline}. The detailed proposed budget shall be
    keyed to the Budget Summary. Non-federal funds available to support
    the project may be reflected in the detailed budget or the SF 424,
    as appropriate. The detailed budget must include the amount proposed
    for each of the following items in this order:

    1.  [Salaries and wages]{.underline}. Identify individuals or
        categories of salaries and wages, estimated hours or percent of
        time, and the rate of compensation proposed shall be identified
        for each person or category. Include an explanation of the
        amounts included for projected increases if the rate of pay
        shown is higher than the current rate of pay. Identify each
        person with a task in the project. Principal Investigator time
        should be limited with majority of salary for students. Tuition
        remission and other forms of compensation paid as, or in lieu
        of, wages to students performing necessary work are allowable;
        provided that the tuition or other payments are reasonable
        compensation for the work performed and are conditioned
        explicitly upon the performance of the work.

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

    3.  [Equipment]{.underline}. 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 solely with the Recipient.
        Under **no** circumstances shall property title be vested in a
        sub-tier recipient.

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

    5.  [Services or consultants]{.underline}. Identify the tasks or
        problems for which such services would be used. List the
        contemplated sub-recipients by name (including consultants), the
        estimated amount of time required, and the quoted rate per day
        or hour. If known, state whether the consultant\'s rate is the
        same as she/he has received for similar services or under
        Government contracts or assistance awards.

    6.  [Radiocarbon or other dating]{.underline}. Include number of
        samples and cost per sample.

    7.  [Travel]{.underline}. State the purpose of the trip and itemize
        the estimated travel costs to show the number of trips required,
        the destinations, the number of people traveling, the per diem
        rates, the cost of transportation, and any miscellaneous
        expenses for each trip. Calculations of other special
        transportation costs (such as charges for use of applicant‑owned
        vehicles or vehicle rental costs) should also be shown.

    8.  [Publication costs]{.underline}. Show the estimated cost of
        publishing the results of the research. Include costs of
        drafting or graphics, reproduction, page or illustration charges

    9.  [Other direct costs]{.underline}. Itemize the different types of
        costs not included elsewhere; such as, shipping, telemetry,
        computing, equipment‑use charges, age dating, or other services.
        Provide breakdowns showing how the cost was estimated; for
        example, computer time should show the type of computer,
        estimated time of use, and the established rates.

    10. [Total direct costs]{.underline}. Total items 1 through 9.

    11. [Indirect cost/general and administrative (G&A)
        cost]{.underline}. Show the proposed rate, cost base, and
        proposed amount for allowable indirect costs based on the cost
        principles applicable to the Applicant\'s organi­zation. G&A
        should not be calculated for any tuition remission. If the
        Applicant has separate rates for recovery of labor overhead and
        G&A costs, each charge should be shown. Explain the distinction
        between items included in the two cost pools. The Applicant
        should propose rates for evaluation purposes, which they are
        also willing to establish as fixed or ceiling rates in any
        resulting award. NOTE: A copy of the indirect negotiated cost
        agreement with the Federal Government will be requested from all
        applicants recommended for an award. This request will be made
        at the time of recommendation notification.

    12. [Amount proposed]{.underline}. Total items 10 and 11.

    13. [Total project cost]{.underline}. Total Federal and non‑Federal
        amounts, if any.

    14. [Two-year projects.]{.underline} The Applicant shall provide
        summary information (see Attachment C) as well as a detailed
        budget for the second year. The SF 424, however, shall reflect
        support for the one year only.

F.  [Proposal:]{.underline} The description of the proposed research
    shall consist of the following parts:

    1.  [Significance of the project]{.underline}. Discuss the specific
        problem addressed and its importance. Include a discussion of
        the significant contribution the project will make to the
        USGS/EHP goals. Each proposal **must** include a description of
        how the expected results could be applied to reducing losses
        from earthquakes in the U.S.; this description **must** be
        included in a separate paragraph of the proposal.

    2.  [Project plan]{.underline}. Discuss the specific hypotheses or
        research questions, the conceptual framework or model to be
        used, as well as the data collection and analysis plans, and
        continuing efforts. Plans should also include procedures to be
        used to insure objectivity and balance in the project. Include
        project milestones and related due dates for the proposed work
        and required reports (See Attachment D, Sections 3 and 4). Time
        allocations, responsibilities for the project staff members, and
        level of effort for personnel **must** also be described for the
        one or two year term of the proposal.

    3.  [Final report and dissemination]{.underline}. The USGS considers
        dissemination of research data and results to potential users of
        those results to be an integral and crucial aspect of projects
        it funds. Beyond the requirements for a final technical report,
        describe your plan for dissemination of project data and results
        and the planned users of those results that will result in the
        greatest possible benefit to earthquake hazards reduction.

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

    5.  [Project personnel and bibliography of directly related
        work]{.underline}. Provide one-page curriculum vitae for the
        professional staff, summarizing education, experience, and the
        last five years' bibliographic information related to the
        proposed work; a length of one-page is recommended. Curriculum
        vitae for post-doctoral researchers, who contribute
        significantly to the project, must also be included.

    6.  [Institutional qualifications]{.underline}. State the resources
        available at, and the relevant experience of, the institution.
        Resources include personnel, computer and library facilities,
        and ties to both sources of data and potential users of the
        results.

    7.  [Current support and pending applications]{.underline}. List all
        sources of support (in addition to the proposed effort) to which
        the senior research members have committed a portion of their
        time for the period covered by the proposal. The information
        should account for 100 percent of the work time of each
        investigator and include titles, annual budget levels, period of
        the awards, and the person-months committed in each case. This
        section must also list research being considered by, or that
        will be submitted to, other possible sponsors. This information
        will not affect the evaluation of the proposal; however, if
        identical or similar work is also proposed to another
        institution (e.g., National Science Foundation), an explanation
        of the relationship of such work to this proposal should be
        provided.

    8.  [Continuation projects]{.underline}. List the total amount of
        funding per year for which support was provided by the USGS, as
        well as the duration of each increment (including no‑cost
        extensions), and the total number of person-months committed by
        each Principal Investigator each year.

    9.  [References]{.underline}.

12\. Evaluation of Applications

A. Proposals pertinent to one of the seven research areas will be
evaluated by multi-disciplinary peer review panels. The panelists read
all the proposals assigned to their panel prior to their meeting and at
the panel meeting discuss each proposal according to the evaluation
criteria. The four to seven panel members are scientists and engineers
drawn from academia, Federal, State, local, and regional agencies,
non-profit organizations, and private industry. In addition, one USGS
member is often chosen for each panel. The panels will evaluate the
technical merit of the proposals especially in the context of
development of an integrated program of investigations for that region
with attention to the research priorities (see Attachment A). The peer
review panel votes on each proposal based on the criteria below; panel
rankings are the principal determination of proposal success pending
available funds. The panels include five regional panels (including
international proposals) and a panel for earthquake effects and
earthquake physics. Applicants **shall indicate in the Proposal
Information Summary** the panel that is most appropriate for their
proposal. The USGS will reassign proposals to a more appropriate panel
if necessary.

The panels and their designations are as follows:

**Designation Panel Name**

CEU Central and Eastern United States

EE Earthquake Effects Research

EP Earthquake Physics Research

NC Northern California

NIW National and Intermountain West

PNA Pacific Northwest and Alaska

SC Southern California

Applications can be directed to only one panel. If unsure of which panel
is most appropriate, contact the External Research Support Manager or
applicable Regional or Topical coordinator (see Attachment A).

B. Following the peer panel reviews, the USGS will make funding
decisions and will notify applicants of one of three possible decisions:
the proposal has been recommended for funding in FY2009, subject to
appropriations; the proposal is being declined and will not be funded in
FY2009; or the proposal is on hold, and may be funded in FY2009 if
sufficient funds become available. The USGS intends to provide these
notifications by the end of October 2008. For proposals that are placed
on hold, secondary notification regarding funding will be provided in or
before February 2009.

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

1)  [Relevance and timeliness]{.underline}. This factor considers the
    relevance and timeliness of the proposed research activities as they
    relate to the USGS Earthquake Hazards Program goals, including
    regional emphasis where appropriate (see Attachment A).

2)  [Technical quality of the proposal]{.underline}. This factor
    considers the scientific merit of the proposed approach and the
    probability of achieving positive results within the designated
    period.

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

4)  [Appropriateness and reasonableness of the budget]{.underline}. This
    factor considers whether the proposed budget is commensurate with
    the level of effort needed to accomplish the project objectives and
    whether the cost of the project is reasonable relative to the value
    of the anticipated results.

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

13\. Rejection of Applications after Initial Review

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

14\. Involvement of Federal Employees

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

15\. Award Terms and Conditions

Award Recipients must comply with grant award Special Terms and
Conditions (Attachment D) and Cost Principals, Audit, and Administrative
Requirements (Attachment E).

A.  [No pre-award costs are authorized]{.underline}.

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

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

D.  [Dissemination of Results]{.underline}: When award recipients have
    completed their studies, a final Technical report must be submitted
    within 90 days; these reports will be posted at
    <http://earthquake.usgs.gov/research/external>. PIs must also
    publish results in a peer-reviewed form. All data resulting from the
    research must be made available within the public domain in a timely
    manner.

16\. Paperwork Reduction Act Statement

This information is being collected to determine the eligibility of the
applicant and as a basis for approval or disapproval of the proposed
research. The purpose of the program is to support research in
earthquake hazards and earthquake prediction to provide earth science
data and information essential to mitigate earthquake losses. Response
to this request is required to obtain and retain a grant, under the
Earthquake Hazards Reduction Act of 1977, Public Law 95-124. Public
report burden for this collection is estimated to average 30 hours per
grant application and 40 hours to prepare a final technical report (OMB
No. 1028-0051, renewal pending.) Direct comments regarding the burden
estimate or any other aspect of this collection to: Bureau Clearance
Officer, USGS, 807 National Center, Reston, VA 20192.

Attachment A

**Research Priorities: FY2009**

The Research Priorities presented here reflect the mission of the USGS
Earthquake Hazards Program (EHP) as an element of the four-agency
National Earthquake Hazards Reduction Program (NEHRP), a congressionally
authorized partnership with the Federal Emergency Management Agency
(FEMA), the National Institute of Standards and Technology (NIST), and
the National Science Foundation (NSF). Applicants are encouraged to
review the high-priority targets listed below for each region and topic
in addition to the four major program elements described below as each
is applicable for research done through external grants.

**Element I**. **National and regional earthquake hazards assessments.**
The EHP prepares national and regional assessments, digital maps of the
expected degree of ground shaking over various exposure times. These
studies are the basis of the seismic safety elements of the model
building codes upon which most local codes are based. The EHP also
prepares long-term forecasts of future earthquake occurrences, and the
shaking and ground deformation they may cause. These products are
essential for development of cost-effective mitigation measures and
practices in structure design, construction, and planning. The USGS is
particularly interested in supporting research that contributes to
improvements in the national seismic hazards maps and to assessing
earthquake hazards and reducing losses in urban areas. Other things
being equal, preference will be given to qualified proposals addressing
these interests.

**Element II. Earthquake information, monitoring, and notification.**
The EHP supports efforts to imiprove algorithms and processes to provide
information about earthquakes in near real time, including early
warning, finite fault estimation, and refined seismic moment
determinations. Please note that all other monitoring and notification
activities are evaluated and funded under a separate solicitation for
seismic and geodetic network operations as three-year cooperative
agreements.

**Element III**. **Research on earthquake occurrence, physics, and
effects.** With the goal of improving hazard assessments, earthquake
forecasts, and earthquake monitoring products, the EHP supports research
on earthquake processes and effects. This work is increasingly focused
on developing models of earthquake and tectonic processes and of
earthquake effects. Because large earthquakes occur infrequently, models
have a central role in allowing lessons from one area to be applied in
other areas and time frames. One important focus is the development of
comprehensive, dynamic models of tectonic and earthquake processes and
of the effects of earthquakes, *e.g*., ground shaking (linear and
non-linear), ground failure, and structural response.

**Element IV. Earthquake safety policy.** The EHP produces a significant
quantity of data and information on earthquakes and related hazards.
Experience has shown that production of data and reports is not enough,
and that the Program must take an active role with the "user community"
in the application and interpretation of Program results. Additionally,
active engagement with our user community provides opportunities for
dialogue on modifications to our existing products and new products that
make our work and results more relevant and applicable. Opportunities
for engaging the user community take place at both the national and
regional levels.

These Elements are cast in seven areas: five regional and two topical
areas, listed below. The EHP places high priority on investigations in
the five geographic areas where large populations are exposed to
significant seismic risk: Southern California, Northern California, the
Pacific Northwest and Alaska, the Intermountain West, and the Central
and Eastern United States.

**The seven Research Areas are:**

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

2.  Earthquake Effects (EE): Basic and applied geographically broad
    research on the effects of earthquakes

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

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

5.  National and Intermountain West (NIW): This panel is focused on
    seismically active regions of the Intermountain West and also
    addresses proposals specific to the National Seismic Hazards Maps
    and to the National Earthquake Information Center (NEIC)

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

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

Proposals for research on earthquake occurrence and effects applicable
to a specific region should be directed to the relevant regional panel.
Proposals for research on generic earthquake occurrence and effects and
for research related to the experiments at Parkfield, California should
be directed to the EP panel. Proposals for short-term geodetic research
or for research using the data from long-term studies should be
submitted to the appropriate regional or topical panel. Proposals
addressing earthquake research that is national in scope or in support
of the National Seismic Hazard Maps should be directed to the NIW panel.
Proposals for research to improve algorithms and processes to provide
information about earthquakes in near real time should be directed to
either the NIW panel. Proposals for research on foreign earthquakes
should be directed to the regional panel for the U.S. seismogenic zone
that will most benefit from the study's knowledge or new techniques
transferable. Applicants are encouraged to discuss such proposals with
the relevant regional coordinator in advance of submission.

Proposals submitted in response to this Program Announcement must
indicate both the program elements and the regional or topical area the
proposed research addresses. Regional and topical coordinators are
available to assist applicants by describing related work being done
internally within the USGS, identifying existing relevant data sets, and
helping applicants establish contacts with USGS researchers working in
similar areas. Coordinators are listed below.

Descriptions of USGS internal projects can be found at:
<http://earthquake.usgs.gov/research>

It is strongly recommended that the applicant contact the appropriate
regional or topical coordinator and other USGS points of contact noted
below to ascertain how their proposed work can complement and help
support the goals and objectives of these projects and efforts.

Applicants are encouraged to use seismic monitoring data, including
structural monitoring data, from the Advanced National Seismic System
(ANSS). Specific ANSS coordination needs are included in several of the
regional or topical priority areas, below. Proposals for research using
ANSS data should explicitly state data needs and uses. For example,
within the area of earthquake effects research, the mission of
earthquake response monitoring within the ANSS is to provide data and
information products that will contribute to earthquake safety through
improved understanding and predictive modeling of the earthquake
response of engineered civil systems, or to aid in post-earthquake
response and recovery.

The EHP strongly encourages proposals for collaborative research making
use of the National Science Foundation's (NSF) EarthScope and the George
E. Brown Network for Earthquake Engineering Simulation (NEES), as long
as these proposals address EHP goals and objectives. This is
particularly true for proposals addressing structural engineering
topics. Such proposals should address specific Program Elements and the
appropriate regional or topical area. Proposals for EarthScope- or
NEES-related projects that are not directly related to EHP goals and
objectives should be directed to NSF.

Following are priority tasks for the EHP Program Elements for each
geographical and topical area. We emphasize that this listing of
Priority Tasks is not intended to discourage submission of proposals to
accomplish other important tasks.

**1. Priorities in the Central and Eastern United States (CEU)**

**Interim Coordinator: Michael Blanpied <mblanpied@usgs.gov>**

Projects that will directly improve the quality and usefulness of newly
completed and developing urban seismic hazard maps for high-risk urban
areas in the Central and Eastern US are encouraged. Studies involving
the USGS, working groups, professional organizations, and regional
consortia are especially encouraged that:

-   Develop region-specific relationships for inferring seismic wave
    velocities from lithologic and other types of data.

-   In St. Louis, improve spatial resolution of shallow geological and
    geotechnical properties.

The following areas of research are also of high priority to the USGS:

-   Development of products that transfer results of Central and Eastern
    U.S. (CEU) Earthquake Hazards Program research to potential user
    groups.

-   Efforts supporting development of scenario impacts for the New
    Madrid Earthquake 1811-1812 Bicentennial are encouraged and may
    include earthquake time histories, earthquake ground motion
    simulations, and their supporting models, risk analysis, etc.

-   Studies to incorporate information generated by the CEU Earthquake
    Hazards Program into HAZUS (Hazards U.S.:
    <http://www.fema.gov/plan/prevent/hazus/index.shtm>) loss estimates.

-   Studies to infer source characteristics, characterize regional wave
    propagation, and estimate site response of damaging Central and
    Eastern U.S. earthquakes using instrumental recordings of large
    intraplate earthquakes in analog regions and local earthquakes in
    the Central and Eastern U.S. Use of seismic data from ANSS stations
    is encouraged.

-   Laboratory and field experiments to provide ground motion,
    geophysical, and geotechnical data to investigate site response,
    including non-linear behavior of sedimentary basin deposits.

-   Paleoseismological investigations to estimate the times, locations,
    and ground motion characteristics of large prehistoric earthquakes,
    particularly in highly populated, eastern U.S. urban areas for which
    there is geologic or other evidence of such events and within and
    peripheral to the New Madrid and Wabash Valley seismic zones.

-   Develop synoptic, physical models of long-term deformation in
    intraplate areas. Proposals for such development should include
    strategies for using existing or collecting new data to constrain
    and validate models. Coordination with EarthScope research projects
    is particularly encouraged.

-   Systematic evaluation of the temporal and spatial distributions of
    foreshocks and aftershocks of intraplate earthquakes, particularly
    in the Central and Eastern U.S.

-   Analysis of seismograms from Central and Eastern U.S. earthquakes to
    determine geometrical spreading (especially with 100 km of the
    source), Q, and stress drop, as well as assessing the effects of
    radiation pattern and depth of faulting on ground motions.

**2. Priority Topics in Research on Earthquake Effects (EE)**

**Coordinator: Art Frankel, afrankel@usgs.gov**

-   Develop and improve methods for producing broadband (0.1-20 Hz)
    synthetic seismograms for large earthquakes, including near-source
    directivity pulses, fault fling, 3D basin effects, nonlinear soil
    response, scattering, and frequency-dependent radiation pattern.
    Develop and apply methods of combining dynamic simulations of
    complex rupture with wave propagation in 3D heterogeneous crustal
    models. These methods should be validated in the time and frequency
    (spectral response) domains by comparison with observed
    strong-motion records.

-   Improve observations relevant to the shaking behavior of
    near-surface materials in high-risk urban areas. Characterize
    relevant soil parameters, conduct observational experiments to
    provide ground motion data, and study non-linear processes relevant
    to the behavior of thick sediments.

-   Improve site characterization for building code and other
    applications. In particular, develop recommendations for improving
    soil classification methods and code site amplification factors;
    revise ground-motion prediction equations for use in engineering
    design and probabilistic seismic hazard analysis; and develop
    regional ground motion attenuation models and investigate the causes
    of regional variations. Develop quick and inexpensive methods to
    determine the shear-wave velocity profile at a site to a depth of
    about 200m.

-   Improve relationships between ground shaking and damage in buildings
    and other structures. Assess the effects of basin surface waves,
    soil nonlinearity, and forward directivity pulses on building
    response and damage for various types of structures, using observed
    and/or synthetic seismograms. Develop tools and design guidelines to
    account for the effects of soil-structure interaction, low-frequency
    long-duration surface waves, and near-field and impulsive ground
    motions; develop tools to use data from instrumented structures to
    predict earthquake response, monitor structural health, and assess
    level of damage. Develop probabilistic methods to describe building
    performance in response to strong shaking. We encourage the use of
    data from ANSS instrumented structures.

-   Document the occurrence, research the process, and determine the
    cause of earthquake-triggered ground failures including landslides
    and liquefaction, and improve techniques for ground-failure
    susceptibility and hazard assessment. Develop and apply methods for
    probabilistic mapping of liquefaction and other types of failure,
    using the results of probabilistic ground-motion mapping.

-   Develop and test computer programs for calculating nonlinear
    response of soils, by comparing predicted seismograms with recorded
    data. Develop and test computer programs for two- and
    three-dimensional nonlinear wave propagation in soils.

-   Evaluate the variability and upper-bound limit of ground-motion
    distributions used in probabilistic seismic hazard assessment.

3\. Priority Topics in Research on Earthquake Physics and Occurrence
(EP)

Coordinator: Nicholas Beeler,
nbeeler[*\@usgs.gov*](mailto:mblanpied@usgs.gov)

As described in the 2003 National Research Council report *Living on an
Active Earth: Perspectives on Earthquake Science*, continued progress
toward understanding earthquake phenomena and evaluating earthquake
hazards will increasingly require integrative, physics-based research
involving theoretical studies of processes controlling earthquake
phenomena, sophisticated numerical modeling, field observations, and
laboratory studies. The EHP will pursue such research on earthquake
processes for application to improved hazard assessment and
risk-mitigation products throughout the Nation. Of particular interest
are studies that make use of data collected by USGS and its partner
organizations, including the ANSS, geodetic networks, surface and
borehole instruments in the San Andreas fault system in central
California, and the USArray, the Plate Boundary Observatory (PBO) and
the San Andreas Fault Observatory at Depth (SAFOD) components of the
EarthScope facility (see
[www.earthscope.org](http://www.earthscope.org/)). Current funding
levels permit a small number of efforts to be supported across the many
priority topic areas described below.

-   Develop and test reliable, predictive models of earthquake
    occurrence, failure, time-to-failure, and clustering, and the
    observational data sets needed to test such models.

-   Develop and test methods for evaluating the hazard posed by
    subduction zones for producing giant (magnitude 8.5 or greater)
    interplate thrust earthquakes that have the potential for launching\
    trans-oceanic tsunamis. Emphasis is placed on using physics-based
    criteria for evaluating such hazard.

-   Refine and evaluate empirical approaches for modeling earthquake
    occurrence, including those for fault segmentation, the
    characteristic earthquake hypothesis, and shape of the recurrence
    probability density function.

-   Develop strategies for estimating time-dependent earthquake
    probabilities and shaking hazard, to include the time of the last
    earthquake on a fault, and reflecting complex phenomena such as
    non-uniform earthquake slip, fault interactions, transient
    deformation, cascading ruptures, and changeable or non-existent
    fault segment boundaries. Investigators are encouraged to contact
    Ned Field (<field@usgs.gov>) of the USGS Pasadena office, chair of
    the Working Group on California Earthquake Probabilities (WGCEP), a
    group exploring research on these topics.

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-   Quantify processes controlling fault stress accumulation, transfer,
    and release. Apply findings to reconcile deformation rates inferred
    from geodetic, geologic, and seismicity observations.

-   Refine and test fault constitutive laws, both at quasi-static and
    rapid fault slip rates, through laboratory, field, and seismic
    observations, heat flow studies, and numerical modeling. Use
    samples, core cutting analyses, downhole measurements and monitoring
    results from SAFOD and other fault-zone drilling projects, where
    possible.

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-   Develop improved data sets on past earthquakes and test
    frequency-magnitude relationships with respect to empirical models
    and data. Improve methods for combining instrumental, historical and
    paleoseismic catalog data, and for assessing the quality,
    completeness, accuracy and magnitude completeness of earthquake
    catalogs.

-   Assess the predictability of large earthquakes by focusing on the
    underlying physical processes and continue fault-monitoring
    experiments in search of possible earthquake precursors. Develop
    reliable time-dependent, intermediate-term earthquake forecasting
    techniques; where possible, validate and test such techniques in
    coordination with the Collaboratory for the Study of Earthquake
    Predictability (CSEP) http://scecdata.usc.edu/csep.

-   Develop and test models of large or small earthquake occurrence at
    Parkfield using monitoring data, laboratory measurements on fault
    samples, and crustal property observations from SAFOD, borehole
    seismic networks, and other geophysical techniques. Proposals for
    geophysical monitoring in central California should be justified in
    light of the 2004 M6 Parkfield earthquake.

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-   Conduct field and laboratory studies to ascertain the mechanisms
    (e.g., fluid flow or fault rheology) responsible for episodic tremor
    and slip (ETS) as observed in subduction zones and on the San
    Andreas fault. Determine whether such phenomena may act as triggers
    for large earthquakes.

4\. Priorities for Northern California (NC)

**Regional Coordinator: Tom Brocher, brocher@usgs.gov**

At current funding levels, emphasis in the Northern California hazards
program will be on the highly urbanized, greater San Francisco Bay
region, extending from Gilroy in the south and Santa Rosa to the north,
and from the Coast Range-Central Valley boundary on the east to the
Pacific coast on the west. Seismic hazard assessment in the rapidly
urbanizing San Joaquin-Sacramento delta region and the Sacramento River
Delta levee system is also a priority. This region constitutes the
greatest population density in Northern California and more than 25% of
the nation's annualized risk (FEMA-366, February 2001: HAZUS99 Estimated
Annualized Earthquake Loss for the United States
<http://www.fema.gov/library/viewRecord.do?id=1753>). Please contact
either the Regional Coordinator or the individuals cited below to learn
more about the status of internally supported projects.

-   Validate and improve community regional 3D geologic and seismic
    velocity models for northern California. Contact: Brad Aagaard
    (<baagaard@usgs.gov>) or Bob Jachens
    [jachens@usgs.gov]{.underline}). Research priorities: (1)
    development of a regional shear wave seismic velocity model
    independent of the compressional wave model, and (2) development of
    a regional attenuation model.

-   Contribute to a community Quaternary fault database that includes 3D
    information on fault locations and slip histories. Contact: Russ
    Graymer (<rgraymer@usgs.gov>). Highest priority will be given to
    known Holocene-active faults near the Sacramento River delta that
    have not already been restudied for the Northern California
    Quaternary Fault Map Database (e.g., Greenville Fault, Southern
    Midland Fault) and on areas of complex fault connection (e.g.
    Greenville-Concord Faults, Rodgers Creek-Maacama Faults).

-   Conduct paleoseismological and geological investigations of the
    behavior and source character of active faults in northern
    California. Contact: Carol Prentice (<cprentice@usgs.gov>). Research
    priorities include improving the earthquake recurrence and slip per
    event history of: (1) the Peninsula segment of the San Andreas
    Fault, (2) the northern segment of the Hayward Fault, (3) the
    northern segment of the Calaveras Fault, (4) the Rodgers-Creek
    Fault, and (5) faults proximal to the San Joaquin-Sacramento delta.
    When possible, proposals should include a brief analysis of LIDAR
    imagery of their proposed site study. High-resolution (0.5 meter)
    digital elevation models (DEMs) based on the 2007 airborne LIDAR
    survey for many of these faults are now available at no cost from
    www.geongrid.org.

-   Use crustal deformation measurements to constrain the regional
    deformation rates, fault slip rates, role of fault creep, fault
    mechanics, strain transients, and models of stress evolution for
    northern California. Contact: Jessica Murray-Moraleda
    ([jrmurray@usgs.gov]{.underline}). Research priorities: (1) Make
    measurements that will optimize our assessment of the co-seismic
    slip and afterslip associated with the anticipated Hayward, Rodgers
    Creek, and Northern Calaveras Fault earthquakes. (2) Application of
    new methods for analyzing high-rate GPS data both for real-time
    earthquake response and to obtain more accurate post-processed
    positions for use in earthquake source modeling in the San Francisco
    Bay Area. (3) Refinement of deformation rates in the San
    Joaquin-Sacramento delta region, including the region containing the
    Greenville-Green Valley Faults and the Coast Range-West Great Valley
    boundary.

-   Develop NEHRP hazard products for Northern California. Contact: Jack
    Boatwright (<boat@usgs.gov>). Research priorities: (1) methodology
    development and validation with a long-term goal of producing
    probabilistic hazard maps (shaking, liquefaction, and landslide)
    that include source directivity, 3D velocity effects, non-linearity,
    and complete recurrence models for faults, (2) Simulations of strong
    ground motions in the San Joaquin-Sacramento delta produced by East
    Bay faults, also based on the 3D seismic velocity model, and (3)
    Fill key data gaps prior to the anticipated Hayward, Rodgers Creek,
    and Northern Calaveras Fault earthquakes.

**5. Priorities Nationally and in the Intermountain West (NIW)**

**Coordinator: Mark Petersen, <mpetersen@usgs.gov>**

**Intermountain West Priorities**

-   Convene multi-institutional workshops to organize sub-discipline
    working groups or to obtain consensus information that validates or
    reevaluates fault slip-rate and/or recurrence-interval distributions
    and ground motion characterization for different regions of the
    Intermountain West region for use in future updates of the U.S.
    National Seismic Hazard Maps (NHSM).

-   Collect shear-wave velocity, density, attenuation, geotechnical, and
    geologic data for inclusion in community velocity models. We
    encourage use of ANSS data to calibrate the relationship of these
    velocity models to site response. As we begin to construct the
    Wasatch urban hazard maps we will give high priority to proposals
    for validating the Wasatch Community Velocity Model as well as
    developing site-amplification and basin-effects models for use in
    preparing urban seismic hazards maps. In the Reno/Carson City
    corridor, we encourage proposals: a) directed towards development of
    a database of existing geologic/geophysical/geotechnical information
    in preparation for a Community Velocity Model, and b) targeting
    shear-wave velocities in the 30-to 500-m depth range.

-   Conduct Quaternary geologic, geomorphic, and paleoseismic
    investigations to characterize the segmentation and to estimate the
    recurrence, locations, and magnitudes of large prehistoric
    earthquakes. Uncertainties of these parameters should be defined.
    Faults should generally have slip rates of at least 0.1 mm/yr near
    urban areas or 0.2 mm/yr in other areas.

-   In Utah, priority will be given to structures that have been
    identified by the Utah Quaternary Fault Parameters Working Group as
    priority features that need study to better characterize Utah's
    seismic hazard (document available at:
    <http://earthquake.usgs.gov/research/external/reports/03hqgr0033.pdf>).\\

-   In Nevada, the level of geoscience information regarding seismic
    hazards is relatively immature. A short-term goal of the External
    Grants Program is to support efforts that will enhance our knowledge
    about parameters of active faults and ground motions that directly
    contribute to hazards assessments. These types of studies are most
    important in the major urban areas of Nevada, specifically the
    Carson Range fault system adjacent to the Reno/Carson City corridor
    and structures in the Las Vegas Valley urban area.

-   In other regions of the Intermountain West we seek proposals that
    will enhance our knowledge about parameters of active faults and
    ground motions that directly contribute to hazards assessments in
    other major urban areas.

**National Priorities**

-   Develop methods that use geodetic data for estimating slip rates
    along faults or across regions and recurrence of earthquakes that
    can be applied to seismic hazard analysis.

-   Develop or improve attenuation relations that are needed for the
    U.S. National Seismic Hazard map and ShakeMaps.

-   Define uncertainties of parameters and equations used in developing
    the U.S. National Seismic Hazard map. In particular, conduct studies
    to evaluate the relations between earthquake magnitude and fault
    rupture area or length from geological and seismological
    perspectives. Construct models to integrate seismic, geologic and
    geodetic measures of deformation in kinematically self-consistent
    models of crustal deformation from which hazard estimates can be
    derived. Develop procedures for testing the hazard maps.

-   Develop and implement practical methods for improving global
    earthquake location accuracy and integrate with routine National
    Earthquake Information Center (NEIC) operations. In consultation
    with NEIC personnel, develop creative data processing to improve
    NEIC¹s global detection and association algorithms, including
    detection and identification of important secondary phases like pP
    and sP, and recovery and relative relocation of early aftershock
    distributions for major earthquakes.

-   Develop practical methods for rapid source characterization for
    major earthquakes, including robust magnitude determination, source
    finiteness, and slip distribution that can be readily implemented
    and integrated into NEIC operations. Research on accurate early
    magnitude/moment/energy determinations is encouraged.

-   Develop new products and procedures allowing USGS to deliver rapid
    and/or more accurate post-earthquake information for emergency
    response purposes. Desired focus is on global earthquake
    shaking-induced casualty and losses for events, as well as impacts
    from secondary effects (including landslide, liquefaction, and
    likelihood of surface rupture potential)

**Nevada and Utah State Priorities:** Priority research activities have
been developed by the states of Nevada (Bureau of Mines and Geology,
University of Nevada) and Utah (Utah Geological Survey and University of
Utah) for earthquake hazard studies in those regions. These priorities
maybe viewed at the web sites noted below.

Nevada priorities: http://www.nbmg.unr.edu/eq/priorities.pdf

Utah priorities:
<http://geology.utah.gov/ghp/workgroups/pdf/priorities2008.pdf>

> <http://geology.utah.gov/ghp/workgroups/pdf/priorities2009.pdf>
> (available March 2009)

**6. Priorities in the Pacific Northwest and Alaska (PNA)**

**Priorities in the Pacific Northwest**

**Coordinators: Craig Weaver, craig@usgs.gov**

**Thomas Pratt, tpratt@usgs.gov**

Evaluating earthquake hazards

-   Document the extent of paleo-tsunami inundation areas and land-level
    changes from great Cascadia earthquakes, and use these observations
    to constrain the size and timing of past earthquakes and tsunamis.

-   Use existing monitoring data, particularly new observations from
    Earthscope seismometers, strainmeters, tiltmeters, and GPS stations,
    to better understand the recently discovered phenomena of
    non-volcanic tremor and aseismic slip, and to determine its
    influence on earthquake hazards. Proposals are encouraged that study
    the Cascadia and/or Alaska subduction zones, and other regions or
    environments that exhibit the same or related phenomena.

-   Conduct studies to better characterize the locked portions of the
    plate interface, including the spatial extent, degree of coupling,
    failure strength, and the temporal stability of these
    characteristics. Studies may employ seismic, geologic, geodetic, or
    strain data and/or theoretical modeling.

-   Improve our understanding of seismic hazards posed by Benioff-zone
    earthquakes. Topics of interest include determining the probability
    of large, Nisqually-type in-slab earthquakes beneath southwestern
    Washington and the western Portland metropolitan area, efforts to
    explain the absence of significant aftershocks and/or the
    possibility of triggering activity in the overlying crust, and
    studying the effects of the thermal structure and bending stresses
    of the subducted slabs on seismogenesis. Proposals are encouraged in
    both Cascadia and Alaska.

-   Conduct paleoseismic field work to constrain the recurrence of late
    Holocene earthquakes on faults throughout the Puget Sound region.
    Studies that seek to examine the possible extension of known fault
    systems are particularly encouraged. The use of existing lidar data
    to help guide field studies is encouraged.

-   Use geologic, topographic, or geophysical data to identify and
    characterize major faults that pose a significant earthquake hazard
    in eastern Washington, particularly in the Columbia basin and along
    the eastern flanks of the Cascade Range.

-   Conduct geological field studies that will help define the regional
    tectonic framework of the Portland and Tualatin basins, particularly
    with respect to the presence of the Columbia River basalts. The
    relation of the Portland Hills to the Portland and Tualatin basins
    is one topic of interest.

Earthquake effects and monitoring

-   Develop models to predict strong ground motions in western Oregon
    and Washington. The inclusion of the effects of long duration codas
    and long periods expected from plate-boundary earthquakes in
    Cascadia are encouraged.

-   Conduct fieldwork to continue characterizing site conditions at
    stations of the Advanced National Seismic System (ANSS), the
    National Strong Motion Program, and the National Tsunami Hazard
    Mitigation Program in Oregon and Washington. Coordination with the
    Pacific Northwest ANSS region must be shown.

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-   Improve and analyze the regional earthquake catalog, applying new
    methods to waveform and parameter data. Results could better
    delineate the relationship between current seismicity and models of
    faulting and active deformation in the region, and determine
    relations for predicting near-real time aftershock probabilities.

-   Develop quantitative models that combine geologic and geodetic slip
    rate and seismicity observations to test regional models of fault
    geometries, slip partitioning, and fault interactions. These should
    emphasize constraining fault geometries at depth and the
    distribution of regional loading among the faults. Models may also
    include interactions between subduction-zone, Benioff-zone, and
    crustal-zone faults to evaluate the potential coupling between
    these.

-   Develop new metrics and tools for conveying seismic hazard to the
    general public and new targeted user groups, such as emergency
    responders, public utilities, risk managers, etc. This may involve
    generation of derivative maps and products from existing ground
    motion maps developed largely for the engineering community.

**Priorities in Alaska**

**Coordinator: Peter Haeussler, pheuslr@usgs.gov**

Evaluating earthquake hazards

-   Improve the paleoseismic record of large to great earthquakes and
    related tsunamis on the Alaska-Aleutian megathrust, including
    determining whether segment boundaries control large ruptures.

-   Conduct studies to quantify the amount of land-level change during
    past great earthquakes.

-   Conduct geodetic field studies and/or modeling of geodetic data
    aimed at resolving the amount of aseismic slip occurring as a
    function of position along the Alaska-Aleutian megathrust and the
    affect of aseismic slip on the potential for, and/or recurrence
    time, of large earthquakes and tsunamis.

-   Use GPS and seismic data to determine if Episodic Tremor and Slip
    (ETS), as found in other subduction zone regions, is a recurring
    phenomenon beneath Alaska.

-   Improve the understanding of active faulting and the paleoseismic
    record of large earthquakes on major crustal faults in Alaska,
    including the Denali, Totschunda, Fairweather, Queen Charlotte,
    Castle Mountain, Tintina, Kaltag faults, and on subsidiary and
    related faults such as the Northern Foothills Fold and Thrust Belt.
    Improve understanding of the relation of recorded earthquakes and
    zones of high earthquake activity (such as the Fairbanks and Salcha
    seismic zones) to geologic structure and active faulting.

-   Conduct geologic, seismologic and/or geodetic studies to understand
    the active faults, earthquake history and seismic potential of the
    regions of south-central and upper-southeast Alaska in the region of
    the currently mapped Totschunda, eastern Denali, Duke River, Chatham
    Strait, Fairweather, and Transition faults.

Earthquake effects and monitoring

-   Conduct studies of earthquakes utilizing data from the Advanced
    National Seismic System, the National Strong Motion Project,
    regional networks, and other data sources to improve the
    characterization of strong ground motion at free-field sites and
    within buildings and other structures in Alaska, including the
    phenomena of source effects, attenuation, site effects,
    soil-structure interaction, and structural response.

-   Evaluate the potential for improving seismic monitoring in Alaska
    through the use of seismic array data, focusing on accuracy in
    location, depth and magnitude estimates.

-   Evaluate and map earthquake-induced ground-failure potential
    (liquefaction, landslides, etc.) in urban areas and along the
    principal transportation corridors.

**7. Priorities in Southern California (SC)**

**Coordinator: Susan Hough, <hough@usgs.gov>**

Improve our estimates of fault characteristics, including:

-   Determine the activity of faults in southern California using
    paleoseismology, geomorphology, geologic mapping, and new dating
    techniques to develop long chronologies of past earthquakes and
    fault slip rates. Of particular interest are investigation of the
    San Andreas and San Jacinto faults, fault zones in the Transverse
    ranges, and fault zones whose role in regional tectonics is not well
    understood. Establish baselines for post-earthquake investigations.
    Investigate evolution of faults in space and time. We encourage
    proposals that synthesize field observations with remote sensing
    data such as Lidar. We also encourage proposals focused on a
    synoptic understanding of the San Andreas-San Jacinto fault system
    and its associated hazard.

-   Characterize the behavior of fault segments and clarify the roles of
    seismic and aseismic processes; evaluate seismogenic thickness
    and/or the percentage of aseismic slip. The Los Angeles, San
    Bernardino, and Ventura basins are of particular interest.

-   Improve our understanding of fault properties and/or earthquake
    processes by developing models that can be tested with geological or
    seismological observations.

Improved characterization of the earthquake source and wave propagation
that will lead to improve predictions of ground shaking from future
earthquakes in southern California. Such investigations include:

-   Use of seismic data to determine earthquake source parameters and
    crustal structure and the state of stress in the crust, including
    further development and testing of 2- and 3-D structural models.

-   Compilation of seismic, structural, geotechnical, and geologic data
    from surface and drill-hole observations necessary to predict
    regional ground motions and development of models to estimate
    variations in expected ground motions, accounting for bedrock
    excitation, local geological structure, topography, and
    soil-structure interaction.

-   Development of credible earthquake scenarios for the Los Angeles and
    San Bernardino regions.

-   Utilization of data from recent large earthquakes in Alaska and
    foreign countries to improve our understanding of the earthquake
    source and wave propagation, and other issues relevant to
    quantification of hazards in southern California.

-   Development of methods to calculate time histories of strong ground
    motion, with close attention to the quantification and propagation
    of both modeling and parametric uncertainties.

Develop regional models of velocity structures and improve our
understanding of fault and earthquake interactions:

-   Use crustal deformation measurements to constrain the regional
    deformation rates, fault slip rates, role of fault creep, fault
    mechanics, strain transients, and models of stress evolution for
    southern California.

-   Improve statistical quantification of earthquake sequences and
    regional seismicity.

-   Develop regional models of active deformation and fault and
    earthquake interactions.

-   Contribute to the development of regional likelihood models.

-   Develop methods for improved analysis and modeling of precise
    geodetic data such as continuous GPS data, InSAR data, and airborne
    laser swath mapping data.

Develop tools to translate research products into tools to help
emergency managers, planners, and the public prepare for future
earthquakes.

-   Compile and provide access to geotechnical, structural, and seismic
    databases that will provide useful information for mitigation and
    emergency response efforts

-   Collaborate with the USGS and university-based seismic and geodetic
    networks to enhance tools needed for accurate and rapid portrayal of
    the severity and geographical distribution of strong ground shaking,
    surface rupture, and ground deformation. Develop software and pilot
    studies for seismic alert systems.

Attachment B

**Proposal Information Summary**

**Use the format below for the required Proposal Information Summary**

1\. Panel Designation: Use two or three letter code as listed in Section
12 and in Attachment A

2\. Project Title: If a collaborative proposal, the title of the
proposal must appear as follows: **\"Title of Proposal: Collaborative
Research with First Institution Name, and Second Institution Name\"**.

3\. Principal Investigator(s): (Name)

(Institute/Organization Name)

(Street Address/P.O. Box)

(City, State, Zip Code)

(Telephone Number), (FAX Number), (E-mail Address)

4\. Authorized Institutional (Name)

Representative: (Institute/Organization Name)

(Organizational Unit)

(Street Address/P.O. Box)

(City, State, Zip Code)

(Telephone Number), (FAX Number), (E-mail Address\*)

5\. Program Element Designation Enter one of the 4 Program Elements
listed in Attachment A

6\. Amount Requested: (List amount requested for Fiscal Year 2009
support)

(Two year projects list requests for FY 2008 and 2009)

7\. Proposed Start Date: (The date you would like to start work;
between\
December 1, 2008 and September 1, 2009)

8\. Proposed Duration: (12 or 24 months, No awards are issued for less
than 12 months)

9\. New Proposal (If submitting a proposal for renewed funding of a
current USGS

> Renewed Funding grant, indicate current USGS award number) and
>
> Proposal is a continuation of: (Title of Prior Year Proposal) **Such
> Proposals must retain the**
>
> **same Title as the Previous Grant**

10\. Has this proposal been submitted (List name of agency, and program
or division to which

to any other agency for funding, this proposal was submitted)

if so, which?

\* Please provide an email address for an individual (not for an office)

Attachment C

**BUDGET SUMMARY** ^1^

Project Title:

Principal Investigator(s):

Proposed Start Date:

Proposed Completion Date:

+------------------------------+-----------+-----------+-------------+
| **COST CATEGORY**            | **        | **        | **TOTAL**   |
|                              | Federal** | Federal** |             |
|                              |           |           | **Both      |
|                              | **First   | **Second  | years^2^**  |
|                              | Year**    | Year^2^** |             |
+------------------------------+-----------+-----------+-------------+
| 1\. Salaries and Wages       | \$        | \$        | \$          |
|                              |           |           |             |
| **Total Salaries and Wages** | **\$**    | **\$**    | **\$**      |
+------------------------------+-----------+-----------+-------------+
| 2\. Fringe Benefits/Labor    | \$        | \$        | \$          |
| Overhead                     |           |           |             |
+------------------------------+-----------+-----------+-------------+
| 3\. Equipment                | \$        | \$        | \$          |
+------------------------------+-----------+-----------+-------------+
| 4\. Supplies                 | \$        | \$        | \$          |
+------------------------------+-----------+-----------+-------------+
| 5\. Services or Consultants  | \$        | \$        | \$          |
+------------------------------+-----------+-----------+-------------+
| 6\. Radiocarbon or other     | \$        | \$        | \$          |
| Dating                       |           |           |             |
+------------------------------+-----------+-----------+-------------+
| 7\. Travel                   | \$        | \$        | \$          |
+------------------------------+-----------+-----------+-------------+
| 8\. Publication Costs        | \$        | \$        | \$          |
+------------------------------+-----------+-----------+-------------+
| 9\. Other Direct Costs       | \$        | \$        | \$          |
+------------------------------+-----------+-----------+-------------+
| 10\. **Total Direct Costs    | **\$**    | **\$**    | **\$**      |
| (items 1-9)**                |           |           |             |
+------------------------------+-----------+-----------+-------------+
| 11\. Indirect cost/General   | \$        | \$        | \$          |
| and                          |           |           |             |
|                              |           |           |             |
| Administrative (G&A) cost    |           |           |             |
+------------------------------+-----------+-----------+-------------+
| 12\. Amount Proposed (items  | \$        | \$        | \$          |
| 10&11)                       |           |           |             |
+------------------------------+-----------+-----------+-------------+
| 13\. Total Project Cost      | \$        | \$        | \$          |
| (Total of Federal and        |           |           |             |
| non-Federal amounts)         |           |           |             |
+------------------------------+-----------+-----------+-------------+

^1^ **Use this format** for the required Budget Summary. The detailed
budget **must** be keyed directly to the Budget Summary page.

^2^ These Columns only for two-year projects

Attachment D

**Special Terms and Conditions**

**1.** **[Method of Payment]{.underline}**

> The U.S. Geological Survey (USGS) is using the Department of Health
> and Human Services (DHHS) Payment Management System (PMS) to provide
> electronic invoicing and payment for assistance award recipients. The
> Recipient has established or will establish an account with PMS. With
> the award of each grant/cooperative agreement, a sub-account will be
> set up from which the Recipient can draw down funds. The sub-account
> number will be shown in block 4 of the face page of each award or
> modification.
>
> Payments will be made available through the PMS. The PMS is
> administered by the DHHS, Division of Payment Management of the
> Financial Management Service, Program Support Center. The DHHS will
> forward instructions for obtaining payments to the recipients.
> Inquiries regarding payment should be directed to:
>
> Division of Payment Management
>
> Department of Health and Human Services
>
> P.O. Box 6021
>
> Rockville, MD 20852
>
> The Division of Payment Management web address is
> [www.dpm.psc.gov](http://www.dpm.psc.gov/). Problems or questions with
> electronic drawdown procedures should be directed to Raynette Robinson
> at (301) 443-9180 or the help desk at (877) 614-5533 or email to
> <PMSSupport@psc.gov>.
>
> Payments may be drawn in advance only as needed to meet immediate cash
> disbursement needs.

**2. [Definitions]{.underline}**

A.  [Grant Agreement]{.underline}

> A grant agreement is the legal instrument reflecting a relationship
> between the Federal Government and a State or local government or
> other recipient whenever:
>
> \(1\) the principal purpose of the relationship is the transfer of
> money, property, services, or anything of value to the State or local
> government or other recipient in order to accomplish a public purpose
> of support or stimulation authorized by Federal statute, rather than
> acquisition, by purchase, lease, or barter, of property or services
> for the direct benefit or use of the Federal Government; and
>
> \(2\) no substantial involvement is anticipated between the executive
> agency, acting for the Federal Government, and the State or local
> government or other recipient during performance of the contemplated
> activity.

B. [Cooperative Agreement]{.underline}

> A cooperative agreement is the legal instrument reflecting a
> relationship between the Federal Government and a State or local
> government or other recipient whenever:
>
> \(1\) the principal purpose of the relationship is the transfer of
> money, property, services, or anything of value to the State or local
> government or other recipient to accomplish a public purpose of
> support, or stimulation authorized by Federal statute, rather than
> acquisition, by purchase, lease, or barter, of property or services
> for the direct benefit or use of the Federal Government; and
>
> \(2\) substantial involvement is anticipated between the executive
> agency, acting for the Federal Government, and State or local
> government or other recipient during performance of the activity.

C. [Grantee / Cooperator]{.underline}

> Grantee or cooperator means the nonprofit corporation or other legal
> entity to which a grant or cooperative agreement is awarded and which
> is accountable to the Federal Government for the use of the funds
> provided. The grantee or cooperator is the entire legal entity even if
> only a particular component of the entity is designated in the award
> document. For example, a grant or cooperative agreement award document
> may name as the grantee one school or campus of a university. In this
> case, the granting agency usually intends, or actually requires, that
> the named component assume primary or sole responsibility for
> administering the grant-assisted project or program. Nevertheless, the
> naming of a component of a legal entity as the grantee or cooperator
> in a grant or cooperative agreement award document shall not be
> construed as relieving the whole legal entity from accountability to
> the Federal Government for the use of the funds provided.
>
> The term "grantee" or "cooperator" does not include secondary
> recipients such as sub grantees, contractors, etc., who may receive
> funds from a grantee pursuant to a grant.

D. [Recipient]{.underline}

Recipient means grantee or cooperator.

> E. [Principal Investigator]{.underline}

The Principal Investigator is the individual designated by the Recipient
(and approved by the USGS) who is responsible for the technical
direction of the research project. The Principal Investigator cannot be
changed or become substantially less involved than was indicated in the
Recipient\'s proposal, without the prior written approval of the
Contracting Officer.

> F. [Grants Program Manager]{.underline}

(1) The Grants Program Manager will work closely with the Principal
    Investigator to ensure that all technical requirements are being
    met. The Grants Program Manager\'s responsibilities include, but are
    not limited to, providing technical advice on the accomplishment of
    the proposal\'s objectives; reviewing the technical content of
    reports and the other information delivered to the USGS; determining
    the adequacy of technical reports; and conducting site visits, in
    coordination with the Regional Coordinator and the Contracting
    Officer, as frequently as practicable.

(2) The Grants Program Manager is Elizabeth Lemersal, External Research
    Support Manager, U.S. Geological Survey, 905 National Center, 12201
    Sunrise Valley Drive, Reston, VA 20192. The Grants Program Manager
    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 cost or the
    time required for performance of the award; or change any of the
    terms, conditions, or general provisions of the award.

> G. [Regional Coordinator]{.underline}

(1) Regional Coordinators are in charge of conducting the peer review
    panels to evaluate both internal USGS and external research
    proposals in their region or area of expertise. A Regional
    Coordinator will work closely with the Grants Program Manager and
    the Principal Investigator to ensure coordination with other
    appropriate Principal Investigators and appropriate USGS project
    scientists working in the same region for overall conformance with
    USGS program goals and objectives within that region. The Regional
    Coordinator\'s responsibilities include, but are not limited to,
    providing technical advice on the accomplishment of the proposal\'s
    objectives; reviewing the technical content of reports and other
    information delivered to the USGS; determining the adequacy of the
    technical reports; and conducting site visits, in coordination with
    the Grants Program Manager and contract personnel, as frequently as
    practicable.

(2) The Regional Coordinator 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 cost or the time required for performance of the award;
    or changes any of the terms, conditions, or general provisions of
    the award.

> H. [Contracting Officer (CO)]{.underline}
>
> Contracting officers are individuals who have been delegated in
> writing by the USGS Office of Acquisition and Grants as the sole
> authority designated to obligate Federal funds and create terms and
> conditions of awards. They are the only individuals who have authority
> to negotiate, enter into, and administer awards resulting for this
> program. Contracting officers have responsibility to ensure the
> effective use of Federal funds.

Functions of the contracting officer include but are not limited to:

\(1\) Issuing the grant program announcement in coordination with the
grants program manager.

> \(2\) Receiving grant proposals and related documents in response to a
> grant program announcement. The contracting officer as receiving
> official shall mark all proposals with a control number and the date
> officially received. He shall notify each applicant of the receipt of
> its proposal.
>
> \(3\) Approving the grant program manager's Technical Evaluation Plan,
> which describes in detail the evaluation process for a competitive
> grant/cooperative agreement program. The contracting officer shall
> ensure the openness and fairness of the evaluation and selection
> process.
>
> \(4\) Serving in an advisory capacity at peer review panel meetings.
> He shall interpret grant management policies to panel members.
>
> \(5\) Notifying grant program applicants whether or not they were
> selected for funding or of any other disposition of their application.
>
> \(6\) Negotiating, as necessary, the final grant/cooperative agreement
> budget.
>
> \(7\) Issuing grant/cooperative agreement awards and revisions to
> awards.
>
> \(8\) Approving invoice payments.
>
> \(9\) Receiving all requests for changes to an award. The contracting
> officer shall serve as the mandatory control point for all official
> communications with the grantee which may result in changing the
> amount of the grant/cooperative agreement, the grant/cooperative
> agreement budget, or any other terms and conditions of the grant.
>
> \(10\) Receiving financial reports required by the terms and
> conditions of the award.
>
> \(11\) Closing out grant/cooperative agreement awards when all
> applicable award requirements have been complied with.

**3. [Dissemination of Results and Reporting Requirements]{.underline}**

> The Principal Investigator is strongly encouraged to disseminate
> research results promptly to the scientific community and appropriate
> professional organizations; local, state, regional and federal
> agencies; and the general public. The Recipient must publish project
> reports in scientific or technical journals, in a peer-reviewed form.
> The Government may publish, reproduce, and use all technical data
> developed as a result of this award in any manner and for any purpose,
> without limitation, and may authorize others to do the same.
>
> Data generated as a part of work funded under this program is not
> subject to proprietary period of exclusive data access. Any data
> generated must be made available to the USGS as soon as it is
> available. The USGS reserves a royalty-free, nonexclusive and
> irrevocable license to reproduce, publish, or otherwise use, and to
> authorize others to use the data for Government purposes. Any project
> funded in whole or part with funds obtained under this program shall
> fall under this clause. The USGS Contracting Officer is the sole
> person to decide which data falls in this category should any question
> arise.

A. **[Required reports/documents]{.underline}**. The Principal
Investigator or Director, Sponsored Research Office is required to
submit the following reports or documents:

+-----------+--------------------+-----------+------------------------+
| **        | **No. of Copies**  | **Submit  | **When Due**           |
| Report/** | **and Method of    | To**      |                        |
|           | Transmittal**      |           |                        |
| **D       |                    |           |                        |
| ocument** |                    |           |                        |
+-----------+--------------------+-----------+------------------------+
| \(1\)     | Adobe Acrobat PDF  | Grants    | Immediately following  |
|           | file as an email   | Program   | publication. **See     |
| Publ      | attachment (or 1   |           | Section B(1).**        |
| ication\* | reprint if PDF not | Manager   |                        |
|           | possible)          |           |                        |
+-----------+--------------------+-----------+------------------------+
| \(2\)     | Send Adobe Acrobat | Grants    | Within 90 calendar     |
|           | PDF file as an     | Program   | days after the end of  |
| Final     | email attachment;  | Manager   | each 12-month budget   |
| Technical | Maximum size: 10   |           | period. **See details  |
| Report    | MB                 |           | of formatting in       |
| \*\*      |                    |           | section B(2) below.**  |
+-----------+--------------------+-----------+------------------------+
| \(3\)     | Electronic         | USGS via  | See Section 3.B(3)     |
|           | submission         | PMS       |                        |
| SF 272    |                    | E         |                        |
|           |                    | lectronic |                        |
| Federal   |                    | 272       |                        |
| Cash      |                    | System    |                        |
|           |                    |           |                        |
| Tra       |                    | \[see     |                        |
| nsactions |                    | Section   |                        |
| Report    |                    | 3.B(3)\]  |                        |
+-----------+--------------------+-----------+------------------------+
| \(4\)     | See Section 3.B(4) | See       | See Section 3.B(4)     |
|           |                    | Section   |                        |
| SF 269    |                    | 3.B(4)    |                        |
| Financial |                    |           |                        |
| Status    |                    |           |                        |
| Report    |                    |           |                        |
+-----------+--------------------+-----------+------------------------+
| \(5\)     | See Section 3.B(5) | See       | See Section 3.B(5)     |
| Final SF  |                    | Section   |                        |
| 269       |                    | 3.B(5)    |                        |
| Financial |                    |           |                        |
| Status    |                    |           |                        |
| Report    |                    |           |                        |
+-----------+--------------------+-----------+------------------------+

\* Publication means any book, report, photograph, map, chart, or
recording published or disseminated to the scientific community.
Preprints of articles submitted for publications will be accepted as
final reports.

\*\* One Final Technical Report is to be submitted for each set of
collaborative research grants with all PIs, Institutions, and grant
numbers cited.

B. [**Report preparation instructions**.]{.underline} The Recipient
shall prepare the reports/documents in accordance with the following
instructions:

\(1\) **Publications**. All publications that contain work performed
during the project period shall include the following statement:

> "Research supported by the U.S. Geological Survey (USGS), Department
> of the Interior, under USGS award number (*Recipient, insert award
> number*). The views and conclusions contained in this document are
> those of the authors and should not be interpreted as necessarily
> representing the official policies, either expressed or implied, of
> the U.S. Government."
>
> Submit an Adobe Acrobat PDF file of publications to:
>
> <gd-erp-coordinator@usgs.gov>
>
> If PDF is not possible, send one (1) reprint to:
>
> **External Research Support**
>
> U.S. Geological Survey
>
> 905 National Center
>
> 12201 Sunrise Valley Drive
>
> Reston, VA 20192
>
> \(2\) **Final Technical Report.** Final Technical Reports shall
> describe in detail the work performed and results obtained during the
> grant period. Final Technical Reports are due 90 days after the
> conclusion of the project period. Any information contained in a
> previously submitted progress report shall be repeated or restated in
> the Final Technical Report. Please note that one Final Technical
> Report is to be submitted for each set of collaborative research
> grants.
>
> \(a\) Submit the Final Technical Report as an Adobe Acrobat PDF file
> with all figures, photographs, maps, and illustrations embedded, and
> all pages numbered. Submit the report as an e-mail attachment in PDF
> format to:
>
> <gd-erp-coordinator@usgs.gov>
>
> Maximum size; 10 MB

\(b\) Final Technical reports shall consist of the following sections:

> \(1\) **Cover page** with the following information:
>
> Award Number
>
> Title. For collaborative projects the title should be in the form
> \"Title: Collaborative Research with First Institution name, and
> Second Institution name."

Author(s) and Affiliation(s) with Address and zip code

Author\'s Telephone numbers, fax numbers and E-mail address

Term covered by the award (start and end dates)

> \(2\) **Abstract**
>
> \(3\) **Main body of the report**. The main body of the report shall
> be single-spaced on 8 ½\" x 11\" paper. Oversized pages should be used
> only if they are critical to convey data or conclusions. Electronic
> versions of oversized illustrations are also required to be included
> in the electronic version of reports.

(4) **Bibliography** of all publications resulting from the work
    performed during each 12-month period and at the conclusion of the
    project. One copy of each publication is required if the Recipient
    has not previously submitted them to the Grants Program Manager.

\(3\) **SF 272, Federal Cast Transactions Report** is required quarterly
for each PMS sub-account. Quarterly reports are due 45 working days
after the end of each fiscal quarter until Financial Status Report is
submitted. Instructions for submitting the SF272 can be found at the
following website:

<http://www.dpm.psc.gov/grant_recipient/psc_272_reports/psc_272_reports.aspx?explorer.event=true>

If after 45 days, recipient has not submitted a report, the account will
be placed in a manual review status. Funds may be withheld for accounts
with delinquent reports.

\(4\) **SF 269, Financial Status Report (original)** is required
annually and is due 90 calendar days after the end of the annual budget
period. Reports will be submitted to the Contracting Officer at the
address shown in Block 5 of the award form.

\(5\) **Final SF 269, Financial Status Report**.

> \(a\) The recipient will liquidate all obligations incurred under the
> award and submit a final SF 269 Financial Status Report due no later
> than 90 calendar days after the grant completion date. Recipient will
> promptly return any unexpended federal cash advances or will complete
> a final draw from PMS to obtain any remaining amounts due. Once 120
> days has passed since the grant completion date, the PMS subaccount
> for this award may be closed by USGS at any time.
>
> \(b\) Subsequent revision to the final SF269, Financial Report, will
> be considered only as follows:
>
> \(1\) When the revision results in a balance due to the Government,
> the recipient must submit a revised SF 269 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.
>
> \(2\) When the revision represents additional reimbursement costs
> claimed by the recipient, a revised SF 269 may be submitted to the
> Contracting Officer with an explanation. If approved, the USGS will
> either request and pay a final invoice or re-establish the PMS
> 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 269 report covering additional
> expenditures after that date and will return any late request for
> additional payment to the recipient.

C. **[Adherence to reporting requirements]{.underline}**. **A
Recipient\'s failure to submit the required reports/documents, in a
timely manner, may result in with­holding of payment, termination of the
award, or delay or non-issuance of new awards.**

**4. [Continuation Proposal for Second-Year Funding]{.underline}**

> [Required Continuation proposal documents]{.underline}. The Recipient,
> approved for two-year funding, shall submit the following documents
> for continued funding in year 2:

  -------------- --------------- --------------- -------------------------
  **Document**   **No. of        **Submit To**   **Due Date**
                 Copies**                        

  Progress       Send Adobe      Grants Program  At least 60 calendar days
  Report         Acrobat PDF     Manager         prior to the end of the
                 file as an                      budget period.
                 email                           
                 attachment                      
  -------------- --------------- --------------- -------------------------

> **Progress Report**. Recipients of two-year awards shall submit a
> report that summarizes the progress of the project during the first
> funding period. Collaborative awardees should submit one report for
> all collaborators. Work that was proposed for the first year should
> have been completed in that year. **Please note** that Progress Report
> will not be published on the USGS website, so all research data
> described in a Progress Report must be repeated or restated in the
> Final Technical Report. Submit a Word or PDF file (maximum size: 10
> MB) with embedded graphics as an E-mail attachment to:
>
> **gd-erp-coordinator@usgs.gov**.
>
> The subject of your email should be "**Progress Report - *insert your
> grant / project number here"***.

**Format the Progress Report as follows:**

-   Single spaced and formatted for 8 ½ x 11" paper

-   Number all pages

-   Embed figures in the Word or PDF file

-   Figure captions directly under figures

-   2 to 5 pages**.**

**At the top of the first page the heading should be centered and
include:**

-   Title of the project, as stated on the original proposal

-   External Grant award number (see your award documents)

-   Investigator(s) name(s)

-   Institution

-   Address

-   Telephone number, FAX number, E-mail address, and website

-   Term covered by the report.

**The body of the report should consist of the following**:

-   Investigations undertaken

-   Accomplishments to date

-   Problems encountered

-   Reports published

-   Funding expended for the term covered by the report.

**5. [Adherence to Original Research Objective and Budget
Estimate]{.underline}**

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.

B. The following requests for change **require advance written approval
by the Contracting Officer shown on your award. Your request must be
submitted to the Contracting Officer**

**[at least 45 calendar days]{.underline} prior to the requested
effective date of the change:**

> \(1\) Changes in the scope, objective, or key personnel referenced in
> the Recipient\'s proposal.
>
> \(2\) Request for supplemental funds.
>
> \(3\) Transfer of funds between direct cost categories when the
> cumulative amount of transfers during the project period exceeds 10
> percent of the total award.
>
> \(4\) Foreign travel not approved at time of award.
>
> \(5\) Acquisition of nonexpendable personal property (equipment) not
> approved at time of award.
>
> \(6\) Creation of any direct cost line item not approved at time of
> award.

\(7\) Any other significant change to the award.

> \(8\) [No-cost Extensions to the Project Period]{.underline}. **No
> cost extensions are discouraged**. The Earthquake Hazards Program
> (EHP) awards grants and cooperative agreements for research that
> extends or supplements ongoing research within the USGS. The timely
> conduct of funded projects is of great importance to the achievement
> of EHP goals. Applicants should consider their time commitments at the
> time of application for a grant. Requests for no cost extensions will
> be considered on a case-by-case basis. The USGS reserves the right to
> limit the length of time and number of no-cost extensions. Please note
> that no-cost extensions are not intended to be used merely for the
> purpose of expending unobligated balances. Applicants must supply
> documentation supporting their request for an extension.
>
> The Recipient **shall include** in the request:

-   the cause of the needed extension,

-   a description of the remaining work to be completed,

-   the proposed new end date, and

-   the amount of funds remaining.

> A request for an extension that is received by the Contracting Officer
> after the expration date shall **not** be honored. Requests for
> no-cost extensions shall be submitted to the Contracting Officer **at
> least 45 days** before the grant end date.
>
> C. The Contracting Officer will notify the Recipient in writing within
> 30 calendar days after receipt of the request for revision or
> adjustment whether the request has been approved.

**6. [Nonexpendable Personal Property]{.underline}**

> The recipient shall comply with 2 CFR Part 215, Section 215.34. Title
> to nonexpendable personal property acquired wholly or in part with
> Federal funds shall be vested in the Recipient unless otherwise
> specified in the award document. The Recipient shall retain control
> and maintain a property inventory of such property as long as there is
> a need for such property to accomplish the purpose of the project,
> whether or not the project continues to be supported by Federal funds.
> When there is no longer a need for such property to accomplish the
> purpose of the project, the Recipient shall use the property in
> connection with other Federal awards the Recipient has received. Under
> no circumstances shall title to such property be vested in a sub-tier
> recipient. Disposal of nonexpendable personal property shall be in
> accordance with the applicable OMB circular.

The following equipment shall be vested: N/A

**7. [Record Retention Period]{.underline}**

> Unless a longer period is requested by the award, a Recipient shall
> retain all records for 3 years after the end of the project period for
> which it uses USGS award funds.

**8. [Pre-agreement Costs]{.underline}**

> Pre-agreement costs are not authorized under this program. Costs must
> be obligated during the project period.

**9. [Site Visits]{.underline}**

> Site visits may be made by USGS representatives to review program
> accomplishments and management control systems and to provide
> technical assistance, as required.

**10. [Metric Conversion (43CFR Sec 12.915)]{.underline}**

> All progress and final reports, other reports, or publications
> produced under this award shall employ the metric system of
> measurements to the maximum extent practicable. Both metric and
> inch-pound unit (dual units) may be used if necessary during any
> transition period(s). However, the recipient may use non-metric
> measurements to the extent the recipient has supporting documentation
> that the use of metric measurements is impracticable or is likely to
> cause significant inefficiencies or loss of markets to the recipient,
> such as when foreign competitors are producing competing products in
> non-metric units.

**11. [Violation of Award Terms]{.underline}**

> If a Recipient materially fails to comply with the terms of the award,
> the Contracting Officer may suspend, terminate, or take such other
> remedies as may be legally available and appropriate in the
> circumstances.

**12. [Award Closeout]{.underline}**

> Awards will be closed out once all requirements have been met.
> Technical and financial reports must be submitted on time as specified
> in section 3, above. Failure to adhere to the reporting requirements
> may result in no future awards.

**13. [Partnership with Grantees/Cooperators]{.underline}**

> The USGS, through its federal grant/cooperative agreement awards, will
> collaborate with universities, federal state, local and tribal
> governments, and private organizations and businesses to provide
> relevant, timely, objective knowledge and information on natural
> resources, hazards, and the environment.

**14. [Buy American Act Notice (43 CFR Sec. 12.710(c))]{.underline}**

> Pursuant to Section 307(b) of the Department of the Interior (DOI) and
> Related Agencies Appropriations Act, FY 2000, Public Law 106-113,
> please be advised on the following:
>
> In the case of any equipment or product that may be authorized to be
> purchased with financial assistance provided using funds made
> available in this Act, it is the sense of the Congress that entities
> receiving the assistance should, in expending the assistance, purchase
> only American-made equipment and products.

**15. [Anti-Lobbying (43 CFR Part 18)]{.underline}**

> The Recipient shall not use any part of the appropriated funds from
> the Department of the Interior for any activity or the publication or
> distribution of literature that in any way tends to promote public
> support or opposition to any legislative proposal on which
> Congressional action is not complete.

**16. [Seat Belt Provision (43 CFR Sec. 12.2(e))]{.underline}**

> 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, conducing education, awareness, and other appropriated programs
> for their employees about the importance of wearing seat belts and the
> consequences of not wearing them.

**17. [No Endorsement Provision (43 CFR 12.2(d))]{.underline}**

> *\[Paragraph (B) applies to all awards. The remainder of this
> provision applies only when:*
>
> *(1) the principal purpose of the agreement is a partnership where the
> recipient/partner contributes resources to promote agency programs or
> publicize agency activities, assists in fundraising, or provides
> assistance to the agency; and*
>
> *(2) the agreement authorizes joint dissemination of information and
> promotion of activities being supported; and*
>
> *(3) the recipient [is not]{.underline} a State government, a local
> government, or a Federally-recognized Indian tribal government. \]*
>
> \(A\) Recipient shall not publicize or otherwise circulate,
> promotional material (such as advertisements, sales brochures, press
> releases, speeches, still and motion pictures, articles, manuscripts
> or other publications) which states or implies governmental,
> Departmental, bureau, or government employee endorsement of a product,
> service, or position which the recipient represents. No release of
> information relating to this award may state or imply that the
> Government approves of the recipient\'s work products, or considers
> the recipient\'s work product to be superior to other products or
> services.
>
> \(B\) All information submitted for publication or other public
> releases of information regarding this project shall carry 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. Government. Mention of trade names or commercial
> products does not constitute their endorsement by the U.S. Government.
>
> \(C\) Recipient must obtain prior Government approval for any public
> information releases concerning this award which refer to the
> Department of the Interior or any bureau or employee (by name or
> title). The specific text, layout photographs, etc. of the proposed
> release must be submitted with the request for approval.
>
> \(D\) A recipient further agrees to include this provision in a
> subaward to any subrecipient, except for a subaward to a State
> government, a local government, or to a Federally-recognized Indian
> tribal government.

**18.** **[Use of U.S. Flag Air Carriers]{.underline}**

> 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.)

**19. [Activities on Private and Other Non-Federal Lands]{.underline}**

> *\[Paragraph B applies to all awards. The remainder of this provision
> applies only when the award involves funds appropriated to the
> biological research activity of the USGS.\]*
>
> A. Funds provided for the biological research activity in USGS annual
> appropriations may not be used to conduct surveys on private property,
> unless specifically authorized in writing by the property owner.
>
> \(i\) Accordingly, the recipient shall not enter non-Federal real
> property for the purpose of collecting information regarding the
> property, unless the owner of the property has --

-   consented in writing to the entry;

-   been provided notice of that entry; and

-   been notified that any raw data collected from the property must be
    made available at no costs, if requested by the land owner.

> \(ii\) In this provision, the term "recipient" includes any person
> that is an officer, employee, or agent of the recipient, including a
> person acting pursuant to a contract or sub-agreement.
>
> B. The recipient shall comply with applicable State, local, and Tribal
> government laws, including laws relating to private property rights.
>
> The Recipient shall comply with applicable State, local, and Tribal
> government laws, including laws relating to private property rights.

**20. [Access to Research Data]{.underline}**

> A. By regulation (43 CFR 12.936), 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.
>
> B. 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.
>
> C. 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
> Contracting Officer/Grants 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.

**20. [Trafficking in Persons (22 U.S.C. § 7104(g))]{.underline}**

A. Provisions applicable to a recipient that is a private entity.

\(i\) You as the recipient, your employees, subrecipients under this
award, and subrecipients' employees may not\--

\(a\) Engage in severe forms of trafficking in persons during the period
of time that the award is in effect;

\(b\) Procure a commercial sex act during the period of time that the
award is in effect; or

\(c\) Use forced labor in the performance of the award or subawards
under the award.

\(ii\) We as the Federal awarding agency may unilaterally terminate this
award, without penalty, if you or a subrecipient that is a private
entity \--

\(a\) Is determined to have violated a prohibition in paragraph a.1 of
this award term; or

\(b\) 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---

1\. Associated with performance under this award; or

2\. 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 43 CFR Part 42.

B. Provisions applicable to a recipient other than a private entitye. We
as the Federal awarding agency may unilaterally terminate this award,
without penalty, if 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 43 CFR Part 42.

C. Provisions applicable to any recipient.

\(i\) 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.

\(ii\) Our right to terminate unilaterally that is described in
paragraph a.2 or b of this section:

\(a\) Implements section 106(g) of the Trafficking Victims Protection
Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and

\(b\) Is in addition to all other remedies for noncompliance that are
available to us under this award.

\(iii\) 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:

\(i\) "Employee" means either:

\(a\) An individual employed by you or a subrecipient who is engaged in
the performance of the project or program under this award; or

\(b\) 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.

\(ii\) "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.

\(iii\) "Private entity":

\(a\) 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.

\(b\) Includes:

> 1\. 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).
>
> 2\. A for-profit organization.
>
> \(iv\) 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).

**22. [Research Integrity]{.underline}**

> A. USGS requires that all grant or cooperative agreement recipient
> organizations adhere to the Federal Policy on Research Misconduct,
> Office of Science and Technology Policy, December 6, 2001, 65 Federal
> Register (FR) 76260, http://www.ostp.gov/html/001207_3.html. 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.
>
> B. 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.

**23. [Fiscal Integrity]{.underline}**

> The recipient will notify the USGS Contracting Officer/Grants officer
> of any significant problems relating to the administrative or
> financial aspects of the award, such as misappropriation of Federal
> funds.

**24. [Program Income]{.underline}**

> A. The recipient will have no obligation to the Federal Government for
> program income earned from license fees and royalties for copyrighted
> material, in accordance with 43 CFR 12.924(h) (for A-110 recipients)
> or 43 CFR 12.65(e) (for A-102 recipients).
>
> B. If a purpose of this award is to support a conference, symposium,
> or similar event, income related to that event 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 3 CFR 12.65(g)(1) (for A-102 recipients) or 43 CFR 12.924(b)(3)
> (for A-110 recipients).
>
> C. 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 43 CFR 12.924(b)(1).
>
> D. 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 3 CFR 12.65(g)(1) (for A-102 recipients) or 43
> CFR 12.924(b)(3) (for A-110 recipients).

**End of Special Terms and Conditions**

Attachment E

**COST PRINCIPLES, AUDIT, AND ADMINISTRATIVE REQUIREMENTS**

The Recipient shall be subject to the following OMB circulars and
regulations, which are incorporated herein by reference. Copies of these
Circulars can be obtained from the Internet at:
[*http://www.whitehouse.gov/omb/circulars/index.html*](http://www.whitehouse.gov/omb/circulars/index.html).

A. [Educational Institutions]{.underline}

-   2 CFR 220, Cost Principles for Educational Institutions (OMB
    Circular No. A-21)

-   OMB Circular No. A-110, Uniform Administrative Requirements for
    Grants and Other Agreements with Institutions of Higher Education,
    hospitals, and Other Non-profit Organizations, as implemented in 2
    CFR 215 and 43 CFR Part 12, Subpart F.

-   OMB Circular No. A-133, Audits of States, Local Governments and
    Non-Profit Organizations, as implemented in 43 CFR Part 12, Subpart
    A: Administrative and Audit Requirements and Cost Principles for
    Assistance Programs

B. [State and Local Governments]{.underline}

-   2 CFR 225, Cost Principles for State, Local, and Indian Tribal
    Governments (OMB Circular A-87)

-   OMB Circular A-102, Grants and Cooperative Agreements with State and
    Local Governments; as implemented in 43 CFR Part 12, Subpart C

-   OMB Circular No. A-133, Audits of States, Local Governments and
    Non-Profit Organizations, as implemented in 43 CFR Part 12, Subpart
    A: Administrative and Audit Requirements and Cost Principles for
    Assistance Programs

C. [Non-Profit Organizations]{.underline}

-   2 CFR Part 230, Cost Principles for Non-Profit Organizations (OMB
    Circular A-122), except recipients listed in Appendix C to Part 230
    are subject to Federal Acquisition Regulation (FAR) Subpart 31.2,
    Contracts with Commercial Organizations (Contract Cost Principles
    and Procedures)

-   OMB Circular No. A-110, Uniform Administrative Requirements for
    Grants and Other Agreements with Institutions of Higher Education,
    hospitals, and Other Non-profit Organizations, as implemented in 2
    CFR 215 and 43 CFR Part 12, Subpart F.

-   OMB Circular No. A-133, Audits of States, Local Governments and
    Non-Profit Organizations, as implemented in 43 CFR Part 12, Subpart
    A: Administrative and Audit Requirements and Cost Principles for
    Assistance Programs

D. [Organizations for Profit, Individuals, and Others Not Covered
Above]{.underline}

-   Federal Acquisition Regulation (FAR) Subpart 31.2, Contracts with
    Commercial Organizations (Contract Cost Principles and Procedures)

-   OMB Circular No. A-110, Uniform Administrative Requirements for
    Grants and Other Agreements with Institutions of Higher Education,
    hospitals, and Other Non-Profit Organizations, as implemented in 2
    CFR 215 and 43 CFR Part 12, Subpart F,

-   FAR Subpart 42.1, Contract Audit Services; FAR Subpart 42.7,
    Indirect Cost Rates; FAR Subpart 42.8, Disallowance of Costs