## ![](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 2008

#### Program Announcement 08HQPA0001

Closing Date: May 16, 2007

[\
**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 FY2008 2

1\. Application Submission Closing Date 3

2\. Electronic Application Requirement 3

3\. Funds and Start Dates 3

4\. Application Requirements 3

5\. Research Priorities 4

6\. Collaborative Proposals 4

7\. Two-year Proposals 4

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 5

12\. Evaluation of Applications 8

13\. Rejection of Applications after Initial Review 10

14\. Involvement of Federal Employees 10

15\. Award Terms and Conditions 10

16\. Paperwork Reduction Act Statement 10

Attachment A -- Research Emphasis and Priorities 12

Attachment B -- Proposal Information Summary 23

Attachment C -- Budget Summary 24

Attachment D -- Special Terms and Conditions 25

Attachment E -- General Provisions 37

**Highlights**

**USGS Earthquake Hazards Program External Research Support Announcement
for Fiscal Year 2008**

**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.**

**Funds and Start Dates**

-   The earliest start date for new grants is **December 1, 2007** and
    the latest start date is

> **September 1, 2008**.

**Research Priorities for Fiscal Year 2008** (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**

-   **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 both hard copy and in
    digital form, including all figures, photographs, and maps in their
    original digital format.

-   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/applicant_help.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 08HQPA0001**

# 1. Application Submission Closing Date: May 16, 2007, 4 pm Eastern Daylight Time

# 2. Electronic Application Requirement 

For the FY 2008 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 16, 2007, at 4 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 weeks 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.**

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

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

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

Approximately \$7 million will be available for support of research
grants and cooperative agreements in FY2008. Based on awards in recent
years, 90 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. Congress has not
appropriated FY 2008 funds for this program. All projects must propose
start dates between December 1, 2007 and September 1, 2008.

**4. Application Requirements**

A.  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.

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

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

D.  Proposals submitted for funding to the Southern California
    Earthquake Center may not also be submitted to the USGS Earthquake
    Hazards Program (EHP) External Research Support for funding.

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

See Attachment A.

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

E.  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), attached to the external proposal.
    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 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 will consist of forms SF-424, SF-424a, and
SF-424b, plus the items described below. To obtain hard copies of the
required forms, or 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.

At the top of the application package window in Grants.gov, you will
find several "help" related items. Click on the Help Mode button
![](media/image3.png){width="0.22916666666666666in"
height="0.24444444444444444in"} to receive field by field instructions.
You can also click on the Check Package for Errors button to check the
entire application for validation errors (incomplete fields, etc.)

> ![](media/image4.png){width="6.871527777777778in" height="1.06875in"}

[]{.mark}

The application submitted (in MS Word or PDF format) through Grants.gov
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 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. 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, including the final
        report. Include costs of drafting or graphics, reproduction,
        page or illustration charges, and a minimum number of reprints.
        If not included under direct labor or other direct costs, the
        cost of manuscript typing shall be included.

    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. 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. A copy of the indirect negotiated cost
        agreement with the Federal Government must be included. If one
        is not established, a letter from a Certified Public Accountant
        must be included to support the cost.

    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.

    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. 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.  [Project management plan]{.underline}. Include project
        milestones and related due dates for the proposed work and
        required reports (see Attachment D, Sections 3 and 4). Time
        allocations and responsibilities for the project staff members
        should also be described.

    8.  [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.

    9.  [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.

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 panel members are scientists and engineers drawn from
Federal, State, local, and regional agencies, including the USGS/EHP;
universities; non-profit organizations; and private industry. 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\'s decisions on ranking of proposals are final
within each panel. The panels include five regional panels (including
international proposals) and a panel for earthquake physics and
earthquake effects. 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 FY2008, subject to
appropriations; the proposal is being declined and will not be funded in
FY2008; or the proposal is on hold, and may be funded in FY2008 if
sufficient funds become available. The USGS intends to provide these
notifications by the end of October 2007. For proposals that are placed
on hold, secondary notification regarding funding will be provided in or
before April 2008.

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. The recent performance aspect is primarily
    concerned with the timely publication of project results and data in
    peer‑reviewed scientific or technical journals, the impact of the
    report, 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 proposal will be
promptly returned to the applicant indicating the reason for its return.

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 and General Provisions (see Attachment D).

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: FY2008**

The Research Priorities presented here reflect the mission of the USGS
Earthquake Hazards Program (EHP). Proposers are encouraged to review the
high-priority targets listed below for each region 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 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.**
Carried out under a separate solicitation that funds seismic and
geodetic network operations with 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. The EHP also
supports efforts to improve algorithms and processes to provide
information about earthquakes in near real time, including early
warning, finite fault estimation, and refined seismic moment
determinations.

**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 or the SC 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. Proposers are encouraged to discuss such
proposals with the relevant regional coordinator in advance of
submission.

External support for regional seismic network operations and for
geodetic monitoring done in response to Element II, Earthquake
Information, Monitoring, and Notification, is carried out under a
separate program announcement that funds these network operations with
three-year cooperative agreements.

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 to ascertain how their proposed work can
complement and help support the goals and objectives of these projects
and efforts. Applicants targeting the NC panel should also note
additional points of contact within the NC priorities section, below.

Proposers 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) Major Research Equipment
Facilities, 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)**

**Coordinator: Buddy Schweig, schweig@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:

    -   Characterize regional wave propagation, particularly using
        seismic data from ANSS stations.

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

    -   Locate and characterize seismogenic faults.

    -   Conduct experiments to provide ground motion, geophysical, and
        geotechnical data to investigate site response, particularly
        soil non-linearity and sedimentary basin effects.

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

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

-   Infer source characteristics of damaging CEUS earthquakes using
    instrumental recordings of large intraplate earthquakes in analog
    regions and of small, local earthquakes in the CEUS.

-   Conduct 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..

-   Collect direct measurements of the physical properties of deep
    sediments of the Mississippi embayment and Coastal Plain and of
    ground motions affected by them. High-quality direct and/or
    laboratory measurement of the dynamic properties (modulus and
    damping) of soils at high strains using undisturbed samples is
    particularly encouraged. Conduct a comprehensive modeling study of
    nonlinear processes appropriate to such thick sedimentary columns.

-   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.

-   Develop tools needed for accurate, rapid portrayal of shaking (e.g.,
    ShakeMap) appropriate to sparsely recorded earthquakes in the CEUS.
    Quantified measures of hazard that are meaningful to the public need
    to be developed, both for rapid assessments and for more static
    hazard maps.

-   Systematically evaluate the temporal and spatial distributions of
    foreshocks and aftershocks of intraplate earthquakes, particularly
    in the CEUS.

**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. 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: Michael Blanpied,
[*mblanpied@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 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.

-   Augment PBO strain and GPS networks by developing and/or improving
    creepmeter technology. Priority will be given for systems offering
    improvements in cost, maintenance, reliability, long-term stability,
    and length of baseline, without sacrificing short-term precision.

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. 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/hazus/li_pubs.shtm>). Seismic hazard assessment in
the rapidly urbanizing San Joaquin-Sacramento delta region and the
Sacramento River Delta levee system is a new priority. 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 3D geologic and seismic velocity
    models for northern California. Contact: Brad Aagaard
    (<baagaard@usgs.gov>) or Bob Jachens
    [jachens@usgs.gov]{.underline}). This model is being used for ground
    motion simulations, seismic event locations, source mechanism
    determinations, sedimentary basin response calculations, and the
    calculation of probabilistic hazard maps. Refinement of the velocity
    model in the San Joaquin-Sacramento delta and development of models
    integrating tomographic methods with geologic rule-based methods are
    of high priority.

-   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 in or near urban centers and the
    Sacramento River delta that have not yet been restudied for the
    Northern California Quaternary Fault Map Database (NCQFMD) (e.g.,
    Greenville Fault, southern Maacama Fault, Southern Midland Fault).
    Priority will also be placed on areas of complex fault connection
    (e.g. Greenville-Concord Faults, Calaveras-Hayward Faults, Rodgers
    Creek-Maacama Faults).

-   Conduct paleoseismological and geological investigations of the
    behavior and source character of active faults in northern
    California. Contact: David Schwartz (<schwartz@usgs.gov>). A primary
    focus is an integrated effort to develop the earthquake recurrence
    history of the northern San Andreas fault (San Juan Bautista to Pt.
    Arena), especially of the Peninsula segment of the San Andreas fault
    and the northern segment of the Hayward fault, which dominate the
    seismic hazard of northern California. An additional priority is
    development of slip rate and recurrence information on faults in the
    eastern part of the Bay Area, which is seeing the largest population
    growth and where large earthquakes have potential to damage the
    Sacramento River Delta levee system.

-   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
    ([jrmurray@usgs.gov]{.underline}). Analysis of deformation along the
    Hayward and Rodgers Creek faults and the Peninsula segment of the
    San Andreas fault is of high priority, as is the 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. A new priority is the 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>). These products have the 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. Although
    these products will be published by the USGS, research is needed on
    methodology development and validation. Simulations of ground
    motions produced by earthquakes on the Hayward fault, and using the
    3D seismic velocity model, are a high priority. Simulations of
    ground motions in the Sacramento River Delta levee system produced
    by other East Bay faults, also based on the 3D seismic velocity
    model, are of high priority.

-   Capitalize on the acquisition of new information relevant for
    earthquake hazard analysis by the NSF-funded EarthScope program.
    These include data acquired by the EarthScope MRE facility and
    GeoEarthscope acquisition of Lidar (<prentice@usgs.gov>) and InSar
    (contact GeoEarthscope, [phillips@unavco.org]{.underline}) data in
    Northern California. Proposals supporting the analysis of these data
    from an earthquake hazard perspective are encouraged.

**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, or attenuation data for
    inclusion in community velocity models and to characterize
    liquefaction potential. We encourage use of ANSS data to calibrate
    the relationship of these velocity models to site response. Along
    the Wasatch Front, Utah, we encourage proposals targeting shear wave
    velocities in the 30- to 500-m depth range. Priority will be given
    to projects in urban areas along the Wasatch front region of Utah;
    Reno, NV; and Las Vegas, NV.

-   Conduct Quaternary geologic, geomorphic, and paleoseismic
    investigations to characterize segmentation and 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>).
    Other urban areas in the Intermountain West are also considered to
    be priorities for study, including the Reno-Carson City corridor and
    the Las Vegas urban area in Nevada.

-   Prepare accurate and precise, digital Quaternary fault data sets for
    the eastern and western margins of the Great Basin as a step toward
    developing a three-dimensional Community Fault Model (CFM) and
    eventually an integrated geodetic/geologic model.

**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. We encourage
    proposals to improve attenuation relations for Hawaii using
    observations from the recent Hawaiian earthquakes.

-   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. Develop 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

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

**Coordinators: Craig Weaver, <craig@geophys.washington.edu>**

**Thomas Pratt, <tpratt@ocean.washington.edu>**

Subduction-zone earthquakes

-   Conduct field investigations to determine if paleo-tsunami
    inundation areas and other tsunami effects on land can be determined
    for the Cascadia earthquake of 1700.

-   Improve the vertical (elevation) accuracy and resolution of geologic
    estimates of land level changes from great Holocene plate boundary
    earthquakes in Cascadia or Alaska.

-   Use existing monitoring data, particularly new observations from
    Earthscope seismometers, strainmeters, tiltmeters, and GPS stations,
    to better understand the recently discovered episodic tremor and
    slip (ETS), and to determine its influence on earthquake hazards.
    Proposals are encouraged in both the Cascadia and/or Alaska
    subduction zones. Develop tools for providing constraints in
    near-real-time on rupture parameters of moderate to very large
    earthquakes. These may use current seismic monitoring data and
    develop new capabilities for including high-sample rate GPS data
    (e.g., from the new Plate Boundary Observatory stations).

Active crustal faults

-   Conduct field work to develop, date, and map evidence of strong
    ground shaking, coseismic uplift, ground failure, surface faulting,
    or tsunami deposits likely associated with late Holocene earthquakes
    on faults throughout the Puget Sound region. Studies that seek to
    examine the possible extension of known fault systems and to
    constrain the timing of past earthquakes on those faults are
    particularly encouraged. The use of existing lidar data to help
    guide geological or paleoseismological field studies is strongly
    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
    earthquake location methods to waveform and parameter data. Results
    should better delineate the relationship between current seismicity
    and models of faulting and active deformation in the region.

-   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.

-   For Oregon and Washington determine relations useful for reporting
    near-real time aftershock probabilities for crustal and Benioff zone
    earthquakes. Because the number of crustal earthquake sequences with
    mainshocks greater than magnitude 4 is very limited and larger
    Benioff zone events have very few aftershocks, possible
    uncertainties and limitations in any relations developed should be
    carefully noted. Similar, but separate examinations are encouraged
    for Alaska, where potential investigations should discuss catalog
    completeness on the reliability of results.

-   Develop and apply new tests for validating both time-dependent
    (e.g., ShakeMap) and time-independent (e.g., Poissonian
    probabilistic urban ground motion maps) hazard assessments. This may
    include 2- and 3-dimensional modeling of hypothetical earthquakes in
    the Pacific Northwest.

Benioff-zone earthquakes

-   Improve our understanding of seismic hazards posed by Benioff-zone
    earthquakes. Topics of interest include determining whether large,
    Nisqually-type in-slab earthquakes are possible 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 from these
    events, 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.

**Priorities in Alaska**

**Coordinator: Rob Wesson, <rwesson@usgs.gov>**

-   Conduct studies 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
    from large earthquakes in Alaska, including the phenomena of source
    effects, attenuation, site effects, soil-structure interaction, and
    structural response. Improve understanding of potential ground
    shaking and ground deformation associated with the Alaska-Aleutian
    megathrust zone.

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-   Improve the paleoseismic record of large to great earthquakes and
    related tsunamis on the Alaska-Aleutian megathrust. Conduct studies
    aimed at understanding whether individual large earthquake ruptures
    are controlled by persistent segment boundaries or tend to overlap
    in a random fashion.

-   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.

-   Improve the understanding of active faulting and the paleoseismic
    record of large earthquakes on major 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 studies to determine the seismic potential and/or record of
    past earthquakes along the Transition fault in the Gulf of Alaska.

-   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 within the
    Yakataga seismic gap and between the currently mapped Totschunda and
    Fairweather faults.

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

-   Evaluate and map of 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:

-   Examine intermediate-term (months to years) variations in
    deformation and seismicity rates.

-   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.

-   Conduct geodetic and modeling studies, with particular emphasis on
    interpretation of the Southern California Earthquake Center (SCEC)
    Crustal Motion Map and interferometric SAR (InSAR) data, as well as
    modeling to optimize placement of future plate Boundary Observatory
    (PBO) instruments.

-   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 2008
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, 2007 and September 1, 2008)

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\. Active Earthquake-related (List project title and funding source
for all active awards)

> Research Grants, and Level
>
> of Support:

11\. 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 either must have 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 draw down procedures should be directed to 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        | **Submit | **When Due**               |
| Report/** | Copies** **and  | To**     |                            |
|           | Method of       |          |                            |
| **D       | Transmittal**   |          |                            |
| ocument** |                 |          |                            |
+-----------+-----------------+----------+----------------------------+
| \(1\)     | 3 reprints      | Grants   | Immediately following      |
|           |                 | Program  | publication. **See Section |
| Publ      |                 |          | B(1) below.**              |
| ication\* |                 | Manager  |                            |
+-----------+-----------------+----------+----------------------------+
| \(2\)     | 1 bound         | Grants   | Within 90 calendar days    |
|           | original plus 2 | Program  | after the end of each      |
| Final     | bound copies.   | Manager  | 12-month budget period.    |
| Technical | Also, send      |          | **See details of           |
| Report    | Adobe Acrobat   |          | formatting in section B(2) |
| (with     | PDF file as an  |          | below.**                   |
| Abstract) | email           |          |                            |
|           | attachment;     |          |                            |
|           | Maximum size:   |          |                            |
|           | 10 MB           |          |                            |
+-----------+-----------------+----------+----------------------------+
| \(3\)     | Electronic      | USGS via | See Section 3.B(3)         |
|           | submission      | PMS      |                            |
| SF 272    |                 | El       |                            |
|           |                 | ectronic |                            |
| Federal   |                 | 272      |                            |
| Cash      |                 | System   |                            |
|           |                 |          |                            |
| Tra       |                 | \[see    |                            |
| nsactions |                 | Section  |                            |
| Report    |                 | 3.B(3)\] |                            |
+-----------+-----------------+----------+----------------------------+
| \(4\)     | See Section     | See      | See Section 3.B(4)         |
|           | 3.B(4)          | Section  |                            |
| SF 269    |                 | 3.B(4)   |                            |
| Financial |                 |          |                            |
| Status    |                 |          |                            |
| Report    |                 |          |                            |
+-----------+-----------------+----------+----------------------------+
| \(5\)     | See Section     | See      | See Section 3.B(5)         |
| Final SF  | 3.B(5)          | 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.

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

**Note: Paper copies of all Summaries and Technical Reports should be
submitted on paper containing at least 50% recycled waste paper
materials.**

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

> "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."
>
> \(2\) **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.
>
> \(a\) Prepare the Final Technical Report as an Adobe Acrobat PDF file
> with all figures, photographs, maps, and illustrations embedded.
> Submit the report in both hard copy and via email (10 MB maximum
> size). Send all hard copies and electric formatted media to:
>
> **External Research-Final Report**

U.S. Geological Survey

905 National Center

12201 Sunrise Valley Drive

Reston, VA 20192

> Send electronic files as follows:
>
> Email attachments: gd-erp-coordinator@usgs.gov

\(b\) The original copy of the report and two copies shall be bound.

> \(c\) 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 and Affiliation 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. The main body of the report
> shall be printed double-sided, including figures and bibliography
> (described below). 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 sent with 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. Copies of publications are 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 and will be submitted via the
Electronic 272 system at PMS. 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 and 1 copy).** The
standard form 269 is required annually and is due 90 calendar days after
the end of the annual budget period and will be submitted to the
Contracting Officer. Instructions are on the back of the SF 269.

\(5\) **Final SF 269, Financial Status Report**. 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 and will be submitted to the Contracting Officer.
Recipient will promptly return any unused 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 close by USGS at any time.

\(6\) Subsequent revision to the final SF269, Financial Report, will be
considered only as follows:

> \(i\) 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.
>
> \(ii\) 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     | **Due Date**           |
|              | Copies**     | To**         |                        |
+--------------+--------------+--------------+------------------------+
| Progress     | Send Adobe   | Grants       | At least 60 calendar   |
| Report       | Acrobat PDF  | Program      | days prior to the end  |
|              | file as an   | Manager      | of the budget period.  |
|              | email        |              |                        |
|              | attachment   |              |                        |
+--------------+--------------+--------------+------------------------+
| Revised SF   | Original + 1 | Contracting  | At least 60 calendar   |
| 424          |              | Officer      | days prior to the end  |
|              |              |              | of the budget period.  |
+--------------+--------------+--------------+------------------------+
| Proposed     | Original + 1 | Contracting  | Submit with the SF     |
| Budget       |              | Officer      | 424.                   |
+--------------+--------------+--------------+------------------------+
| Negotiated   | Original + 1 | Contracting  | Submit with the SF     |
| Indirect     |              | Officer      | 424.                   |
|              |              |              |                        |
| Cost Rate    |              |              |                        |
| Agreement    |              |              |                        |
|              |              |              |                        |
| (send only   |              |              |                        |
| if new       |              |              |                        |
|              |              |              |                        |
| rate is      |              |              |                        |
| negotiated)  |              |              |                        |
+--------------+--------------+--------------+------------------------+
| Changes, if  | Original + 1 | Contracting  | Submit with the SF     |
| any, in      |              | Officer      | 424.                   |
|              |              |              |                        |
| Proposed     |              |              |                        |
| Technical    |              |              |                        |
| Program      |              |              |                        |
+--------------+--------------+--------------+------------------------+

> **Progress Report**. Recipients of two-year awards shall submit a
> report that summarizes the progress of the project during the first
> funding period. Work that was proposed for the first year should have
> been completed in that year. The Progress Report should be 2 to 5
> pages in length and shall consist of accomplishments, unanticipated
> problems encountered, plans for solving unanticipated problems, and
> any other information pertinent to the progress of the project.
> Funding expended by the Recipient during year one must also be
> detailed in the Progress Report. Submit the Adobe Acrobat PDF file
> with embedded graphics as an **E-mail attachment** to:
>
> **gd-erp-coordinator@usgs.gov**. Maximum file size: 10 MB. The subject
> of your email
>
> should be "**Progress Report - *insert your grant / project number
> here"***.

**Format the Progress Report as follows:**

-   Format for 8 ½\" x 11\" pages for text and figures

> (do not submit format for A4 paper)

-   Leave a 1\" margin at top, bottom, and sides

-   All text single spaced

-   Embed figures in the 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 URL

-   Term covered by the report.

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

-   Investigations undertaken

-   Results

-   Reports published

-   Include a statement describing the availability of seismic,
    geodetic, or processed data, along with the name, phone number, and
    e-mail address of the contact person, and the format in which the
    data are available

-   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 date of completion, the amount of funds remaining, and a
> revised budget for the remaining funds. If all funds have been
> disbursed to the Recipient, this must be indicated in the request. A
> request for an extension that is received by the Contracting Officer
> after the expiration 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 Requirements]{.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. 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 Requirements]{.underline}**

> **Notice:** 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 FY 2000 and thereafter, 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 Requirements]{.underline}**

> Recipient shall not use any part of the Department of the Interior
> funds provided hereunder 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]{.underline}**

> Recipient 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. [Endorsement Provision]{.underline}**

> 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 product, services, or
> position which the recipient represents. No release of information
> relating to this award may state of 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.

**End of Special Terms and Conditions**

Attachment E

#  

# GENERAL PROVISIONS

The Recipient shall be subject to the following OMB
circulars/regulations, as amended, which are incorporated herein by
reference:

1\. [Educational Institutions]{.underline}

> A. OMB Circular A‑21, Cost Principles for Educational Institutions.
>
> B. OMB Circular A‑110, Uniform Administrative Requirements for Grants
> and other Agreements with Institutions of Higher Education, Hospitals
> and Other Non-Profit Organizations.
>
> C. OMB Circular A-133, Audits of States, Local Governments, and
> Non-Profit Organizations.

2\. [State and Local Governments]{.underline}

> A. OMB Circular A‑87, Cost Principles for State, Local and Indian
> Tribal Governments.
>
> B. OMB Circular A‑102, Grants and Cooperative Agreements With State
> and Local Governments.
>
> C. OMB Circular A-133, Audits of States, Local Governments, and
> Non-Profit Organizations.

3\. [Nonprofit Organizations]{.underline}

> A. OMB Circular A‑110, Uniform Administrative Requirements for Grants
> and other Agreements with Institutions of Higher Education, Hospitals
> and Other Non-Profit Organizations.

B. OMB Circular A‑122, Cost Principles for Nonprofit Organizations.

> C. OMB Circular A-133, Audits of States, Local Governments, and
> Non-Profit Organizations.

4\. [Profit‑Making Organizations]{.underline}

> A. General administrative requirements will be in accordance with the
> Federal Acquisition Regulations (FAR), subchapter E, parts 28, 29, and
> 30.
>
> B. Principles for determining the allowability of cost will be in
> accordance with the FAR, subchapter E, part 31.2.

5\. [Patents\--Small Businesses and Nonprofit Organizations]{.underline}

Subject to the provisions set forth in 37 CFR 401 and 35 U.S.C. 203, a
Recipient may retain the entire right, title, and interest throughout
the world to each subject invention. With respect to any subject
invention in which the Recipient retains title, the Federal Government
will have a nonexclusive, nontrans­ferable, irrevocable, paid-up license
to practice or have practiced for or on behalf of the United States the
subject invention throughout the world.

6\. [Code of Federal Regulations (CFR)]{.underline}

A.  2 CFR Part 215 (new location for OMB A-110 Uniform Administrative
    Requirements for Grants and other Agreements with Institutions of
    Higher Education, Hospitals and Other Non-Profit Organizations)

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B.  43 CFR Part 12, Subpart A: Admin, Audit and Cost Principles

> C. 43 CFR Part 12, Subpart D: Government Debarment and Suspension
> (Nonprocurement) and Government wide Requirements for Drug Free
> Workplace.

D.  43 CFR Part 12, Subpart E: Buy American Requirements for Assistance
    Programs

E.  43 CFR Part 12, Subpart F: Admin -- Higher Education Hospitals, and
    Other Non-Profit Organizations

F.  43 CFR Part 17, Subpart A: Nondiscrimination of the Basis of Race,
    Color, or National Origin.

G.  43 CFR Part 17, Subpart B: Nondiscrimination of the Basis of
    Handicap.

H.  43 CFR Part 17, Subpart C: Nondiscrimination of the Basis of Age.

I.  43 CFR Part 18, Lobbying