VHP Announcement

OMB Control Number:
Current Expiration Date:

UNITED STATES DEPARTMENT OF THE INTERIOR
U.S. GEOLOGICAL SURVEY

VOLCANO HAZARDS PROGRAM
Authorized by American Recovery and Reinvestment Act

GRANT PROGRAM ANNOUNCEMENT
No. 09HQPA0022
ATN: ARRA-SV0008A
For Fiscal Years 2009 & 2010

ISSUE DATE: XXXX
CLOSING DATE & TIME:

XXXX
Eastern Daylight Time
PAPERWORK REDUCTION ACT STATEMENT: The Paperwork Reduction Act says that we must tell you why we are collecting this
information, how we will use it, and whether you have to give it to us. The Volcano Hazards Program is collecting this information to evaluate
submitted proposals to acquire funding for volcano related research and monitoring. Your response is required to receive funding. A Federal agency
cannot conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB control
number. The average estimated burden associated with this collection estimated to average 35 hours (per respondent) to complete the application
process and 8 hours (per respondent) to complete and submit the required final report. This includes: time for reviewing instructions and completing
the required information. Comments regarding this collection of information should be directed to the Bureau Clearance Officer, U.S. Geological
Survey 2150 Centre Avenue Fort Collins, CO 80525. OMB has approved and assigned OMB Control No. 1028-XXX which expires on (expiration

date goes here)
.

1

Table of Contents

Page
Part I: Program Overview, Important Dates, Instructions, Eligibility, Program Priorities
A.
B.
C.
D.
E.
F.
G.
H.

The Volcano Hazards Program (VHP)……...………………………………………..……... 3
Important Dates………………….. …………………………………………………………. 3
Electronic Application Requirement………………………………………………………… 3
Fund and Start Dates………..……………………………………………………….……… 4
Application Requirements…………………………………………………………………… 4
Objectives and Requirement for Volcano Monitoring Upgrades Under ARRA…………….. 5
Eligibility – Who May Submit a Proposal…………………………………………………… 5
Applications Considered Unsuitable………………………………………………………….. 5

Part II: Applicant Guidelines
A. Application Preparation Guidelines…………………………………………..………………. 6
B. Rejection of Proposals after Initial Review……………………………………………...…….8
C. Involvement of Federal Employees……………………………………………...…………….8
D. Proposal Evaluation…………………………………..………………………………..………8
E. Notification…………………………………………………………………………………….9
F. Award Terms and Conditions………………………………………………………………….9
G. Final Technical Reports to VHP…………………………………………………………..….. 10
H. Paperwork Reduction Act Statement…………………………………………..……………... 10
I. Payment to Foreign Recipients…………………………………………………………………10
J. American Recovery and Reinvestment Notices……………………………………………….. 11
K. Special Notice…………………………………………………………………………………..12
Questions .........................................................................................................................................13

List of Attachments
Attachment A - Priorities for coordinated volcano monitoring and research activities in FY 2009
Attachment B – FY 2009 & FY 2010 VHP Proposal Information Summary
Attachment C – Budget Summary
Attachment D – Special Terms and Conditions
Attachment E – Cost Principles, Audit, and Administrative Requirements

2

Applicants should note all requirements and stipulations described both in this Announcement and in
the Priorities (Attachment A) and in the Special Terms and Conditions (Attachment D). There are
many specific proposal requirements as well as reporting requirements and deadlines that are different
from past USGS award requirements.
Part I: Program Overview, Eligibility, Program Priorities, Important Dates
A. The Volcano Hazards Program
The objective of the Volcano Hazards Program (VHP) is to advance the scientific understanding of
volcanic processes and to lessen the harmful impacts of volcanic activity. The VHP monitors active and
potentially active volcanoes, assesses their hazards, responds to volcanic crises, and conducts research on
how volcanoes work, in order to fulfill a Congressional mandate (P.L. 93-288) that the U.S. Geological
Survey (USGS) issue "timely warnings" of potential volcanic hazards to responsible emergencymanagement authorities and to the populace affected. Cooperative Agreements are entered into under the
authority at 43 USC 36d. During FY09 and FY10, the Volcano Hazards Program will provide funding
under the American Recovery and Reinvestment Act (ARRA) for improvement of the volcano and other
monitoring systems and other monitoring-related activities that contribute to mitigation of volcano
hazards.
For more on the Volcano Hazards Program visit: http://volcanoes.usgs.gov/

B. Application Submission Opening Date: TBD
Application Submission Closing Date: TBD
C. Electronic Application Requirement
All proposals shall be submitted electronically via Grants.gov (http://www.grants.gov). Hard/paper
submissions will NOT be accepted. Electronic copies submitted via e-mail will NOT be accepted under any
circumstances. All proposals must be submitted electronically through Grants.gov on or before:
TBD, 4 pm, Eastern Daylight Time
Please be aware that the electronic submission process requires first time users to register using an eAuthentication process. This registration process can be somewhat complex and can take up to several
days to complete. Be advised that it is virtually impossible to begin the process of electronic submission
for the first time if you start just a few days before the due date. If you are from a university, contact
your Office of Sponsored Programs. They may already have completed the registration process and
should work with you to submit the application.
Once at the website, click “Get Registered” under the “For Applications” heading and follow the instructions
provided. In order to complete the SF 424 forms, everyone must use the Adobe Reader version which is
available for download from the grants.gov site
at: http://www.grants.gov/help/download_software.jsp#adobe811. To ensure that you have the correct
version of Adobe Reader, you can use the versioning test located
at: http://www.grants.gov/applicants/AdobeVersioningTestOnly.jsp. Any and all edits made to the
application package must be made with the Adobe Reader version specified on Grants.gov. Grants.gov does
not guarantee to support other versions of Adobe Reader released prior to version 8.1.1. For more
information on Adobe Reader, please see: http://www.grants.gov/applicants/applicant_faqs.jsp#adobe-

3

reader-error. Please note that there is an underscore between “applicant” and “faqs” in the URL. If you have
any questions regarding the registration process, please contact the Grants.gov help desk at 1-800-518-4726.
In the Grants.gov forms, floating your mouse over a field will provide instructions for completing that field.
You can also click on the Check Package for Errors button to check the entire application for validation errors
(incomplete fields, etc.)
There are several steps of the submission process that require careful attention by applicants in order to assure
that the application has been fully accepted. It is suggested that applicants read the document available
at http://www.grants.gov/assets/TrackingYourApplicationPackage.pdf
For more information on the Grants.gov registration and submission process, please
see http://www.usgs.gov/contracts/grants/grantsgov.html
During the application period an applicant may submit a revised or corrected proposal through grants.gov.
Include a cover letter as the first page of the proposal stating that the proposal is revised and indicating that
the previous submittal is to be withdrawn from consideration. Such submissions must be completed by TBD,
2009 at 4:00 pm Eastern Daylight Time.
See Part II, A, Application Preparation Guidelines, which describes requirements for the proposal and other
application components.
Please allow sufficient time for the proposal to be submitted electronically through Grants.gov and
allow time for possible computer delays. Applicants are strongly advised not to wait until the last
minute for submission. A proposal received after the closing date and time will not be considered for
award. If the USGS determines that a proposal will not be considered for award due to lateness, the
applicant will be notified immediately.
D. Funds and Start Dates
The total amount of funding from the Volcano Hazards Program available for cooperative agreements
through the ARRA is expected to be about $8 million and the number of funded cooperative agreements to be
approximately twelve. This estimate does not bind the USGS to a specific number of awards or to the amount
of any award. The funding will be in support of monitoring and research activities associated with each of the
six volcano observatories in the VHP: Alaska Volcano Observatory (AVO; managed out of Anchorage, AK),
Cascades Volcano Observatory (CVO; Vancouver, WA), Hawaii Volcano Observatory (HVO; Island of
Hawaii), Yellowstone Volcano Observatory (YVO; managed out of Menlo Park, CA), Long Valley
Observatory (LVO; managed out of Menlo Park, CA), and Commonwealth of the Northern Mariana Islands
Volcano Observatory (MIVO; managed out of Anchorage, AK).
The earliest start date for new cooperative agreements will be about four weeks after the review panel
concludes its deliberations. Deliberations are expected to be completed by _________. However, the start
dates are subject to negotiation.
Awards under this Program Announcement will be made between fourth quarter FY2009 and fourth quarter
FY2010.
E. Application Requirements
A. Only those applications that respond to and meet the criteria of this announcement will be considered for
funding. Applications that do not meet the criteria of this announcement will be returned to the applicant.

4

B. Work under all awards must be completed no later than September 30, 2011. All funds must be drawn
down from the Payment Management (PMS) system by September 30, 2011.
C. Proposed operations and developmental activities shall be conducted by the applicant. Proposed funding
for activities other than those outlined in this Program Announcement will not be considered for funding.
D. The application shall be prepared in accordance with the application preparation instructions. (See Part II,
A)
F. Objectives and Requirements for Volcano Monitoring Upgrades Under ARRA
Funding of cooperative agreements under the program covered by this announcement will be guided by the
priorities of both the VHP and the ARRA. These include:
•
•
•
•

Modernization and replacement of aging seismometers, geodetic instruments, and telemetry
equipment at hazardous volcanoes, and augmentation of existing networks with additional
instruments.
Activities related to monitoring of hazardous and active volcanoes, including field observations
and sampling, geophysical data analysis, geologic mapping, and GIS-based hazard and
vulnerability assessments.
Computer-based research and development in the fields of data visualization and analysis,
network design, and data archiving.
Creation and preservation of jobs, and youth employment.

See Attachment A for specific priorities.
G. Eligibility – Who May Submit a Proposal
Applications for support with ARRA funds must be for scientific and technical projects that are within the
USGS's area of responsibility and which can be completed by September 30, 2011. The majority of funds are
used to support activities that will enhance existing, long-term collaborative projects in the areas of volcano
monitoring and research. Colleges, universities, and state and local governments may make application for
support by a named principal investigator. Applicants should have demonstrable expertise and capacity that
complements and augments the Volcano Hazard Program's base, in-house capacities.
H. Applications Considered Unsuitable
Applications for activities at volcano observatories not currently associated with the USGS or that do not
address the requirements within the Program Objectives and Requirements (Attachment A) will not be
considered for funding and will be returned to the applicant.

5

Part II: Applicant Guidelines
A. Application Preparation Guidelines
Your electronic submission shall consist of forms SF-424, SF-424a, and SF-424b, plus the items described
below. No additional documents or materials may be submitted. Failure to comply with the required
application components listed below may result in the proposal being rejected. To view complete forms
instructions, please visit the Grants.gov Forms Repository
at http://www.grants.gov/agencies/aapproved_standard_forms.jsp#1
Items (1) through (3) 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 15 single-spaced
pages (including figures, tables, references, appendices, etc.), and the type size shall not be smaller than 11
point. All pages of the application shall be numbered. All text, figures, and tables shall be sized to fit on
8½" by 11" paper. The SF forms and vitae do not count toward the 15-page limit. The application shall be in
color as needed for review by peer review panel members. Do not submit copies of published papers with the
application.
In the Grants.gov forms, floating your mouse over a field will provide instructions for completing that field.
You can also click on the Check Package for Errors button to check the entire application for validation errors
(incomplete fields, etc.)
The application submitted through grants.gov as the Project Narrative Attachment Form (in MS Word or PDF
format) shall be assembled in the following order:
(1) Proposal Information Summary. This summary is mandatory in all proposals and shall follow the
same format as shown in Attachment B.
(2) Proposal Technical Text. This text should include the following:
(a) Significance of the project. Discuss the specific problem addressed and its importance. Include a
discussion of how the proposed work will support the purpose of the American Recovery and
Reinvestment Act and make progress towards improved volcano hazard mitigation by the Volcano
Hazards Program.
(b) Project plan. This section should contain a detailed description of the tasks proposed for funding.
(c) Institutional qualifications. State the relevant experience and the resources available at the
institution. Resources include personnel, computer and library facilities, and ties to both sources of
data and potential users of the results.
(d) Project management plan. The Project Management Plan should project milestones and related
due dates for the proposed work and required progress reports.
(e) Project personnel and bibliography of directly related work. Provide a one-page curriculum vita
for the professional staff, summarizing education, experience, and selected bibliographic information
related to the proposed work. Curriculum vitae for post-doctoral researchers, who contribute
significantly to the project, must also be included.

(f) Current support and pending applications. List all sources of support (in addition to the proposed
effort) to which the senior research members have committed a portion of their time for the period
6

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, as appropriate. This section must also list research proposals under
consideration by, or that will be submitted to, other possible sponsors. This information will not
affect the evaluation of the proposal. Also list the total dollar amount of USGS funding per year for
fiscal years 2007-2009 (including supplements and no-cost extensions), and the total number of
person months committed by each senior investigator each year.
(3) Detailed Budget. The detailed budget shall include the amount proposed for each of the following
items in this order:
(a) Salaries and wages. 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. For students (undergraduate
and graduate), requests for support must clearly identify the role of the individual in the operation
and maintenance or development and expansion of the network, and the hours assigned to these
tasks.
(b) Fringe benefits/labor overhead. Indicate the rates/amounts in conformance with normal
accounting procedures. Explain what costs are covered in this category and the basis of the rate
computations. Indicate whether rates are used for proposal purposes only or whether they are
also fixed or provisional rates for billing purposes. Include a copy of the Negotiated Rate
Agreement or internal memo supporting the proposed rates.
(c) Equipment. Show the cost of all special-purpose equipment necessary for achieving the
objectives of the project. "Special-purpose equipment" means scientific equipment having a
useful life of more than 1 year and having an acquisition cost of $5,000 or more per item. Each
item should be itemized and include a full justification and a dealer or manufacturer quote, if
available. General-purpose equipment must be purchased from the applicant's operating funds.
Title to non-expendable personal property shall be vested solely with the Recipient. Under no
circumstances shall property title be vested in a sub-tier recipient.
(d) Supplies. Enter the cost for all tangible property. Include the cost of office, laboratory,
computing, and field supplies separately. Provide detail on any specific item that represents a
significant portion of the proposed amount. (Note: publications costs will not be considered.)
(e) Services or consultants. Identify the tasks or problems for which contract services or consultants
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.
(f) Travel. Travel is allowable for station installation and field work. 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.

7

(g) Other direct costs. Itemize the different types of costs not included elsewhere, such as shipping
and equipment-use charges. Provide breakdowns showing how the cost was estimated (for
example, equipment-use charges should show the type of equipment, estimated time of use, and
the established rates).
(h) Total direct costs. Total of items (a) through (g).
(i) Indirect cost/general and administrative (G&A) cost. Show the proposed rate, cost base, and
proposed amount for allowable indirect costs based on the cost principles applicable to the
Applicant's organization. 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 that they are also
willing to establish as fixed or ceiling rates in any resulting award. A copy of the negotiated
indirect cost rate agreement with the Federal government shall be included with the paper
original. If one is not established, a letter from a Certified Public Accountant must be
included to support the cost.
(j) Amount proposed. Total items (h) and (i).
(k) Total project cost. Total Federal and non-Federal amounts, if any.
B. Rejection of Proposals after Initial Review
If a proposal does not meet all requirements, such as addressing Program priorities that are specified in
the Announcement as determined by the Contracting Officer in consultation with the VHP Program
Coordinator, the applicant will be promptly notified in writing of the rejection along with the reason for
the rejection.
C. Involvement of Federal Employees
Federal employees, including USGS employees, are prohibited from assisting in any capacity (paid or
unpaid) with preparation of any proposal submitted under this Announcement. Proposals that have a real,
or the appearance of, 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 is in place.
D. Proposal Evaluation
(1) Peer Panel
VHP proposals will be reviewed by a peer panel consisting of 6 scientists drawn from the USGS
VHP and outside entities (i.e., Federal, State, Local, and regional agencies, universities, and/or
private industry). The panel will be moderated by the Associate Program Coordinator, who will be
part of the panel and may also vote.
(2) Proposal Evaluation Criteria
(a) All proposals submitted will be evaluated in accordance with the criteria listed below.

8

(b) Evaluation criteria will be weighted as follows:
(i) Relevance and timeliness: This factor considers the relevance and timeliness of the
proposed research activities as they relate to the USGS Volcano Hazards Program goals,
including regional emphasis where appropriate. (20 points)
(ii) Technical quality of the proposal: This factor considers the technical and/or scientific
merit of the proposed approach and the probability of achieving positive results within
the designated period. (20 points)
(iii) Competence and recent performance of PI and research or technical team: This factor
considers experience and competence of the PI and coworkers and the promptness with
which results have been achieved. This factor includes performance records and
capability to provide the necessary facilities and support that will ensure satisfactory
completion of the proposed work, and whether reporting requirements from previous
USGS awards have been satisfied. In the case of research, This factor includes the timely
publication of project results and data in peer-reviewed journals and the impact of the
results. (20 points)
(iv) Appropriateness and reasonableness of the budget: This factor considers whether the
proposed budget is commensurate with the level of effort needed to accomplish the
project objectives and whether the cost of the project is reasonable relative to the value of
the anticipated results. (20 points)
(v) Alignment with ARRA purposes: This factor considers whether the proposed work
contributes to ARRA objectives including preserving or creating jobs, promoting
economic recovery, and spurring technological advances in science. (20 points)
(3) Funding Recommendations
Although the majority of recommendations follow the rankings of the peer review panels, other
factors which may be taken into consideration by VHP are: funding allocations for each program
objective, program goals, regional considerations, evaluation criteria, and the best interests of the
USGS. The VHP reserves the right to deviate from the order of ranking to accommodate program
priorities, special conditions, and available funds. Based on the panel’s recommendations and
programmatic considerations, the VHP Program Coordinator will propose actions and allocations to
the Office of Acquisition and Grants (OAG). Funding recommendations that differ markedly from
the panel's rank order are to be supported by written rationale to OAG. The Contracting Officer will
make the necessary final determinations.
E. Notification
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 FY 2009/10; the
proposal is being declined and will not be funded; or a portion of the proposal is declined for funding and
the applicant will be notified and requested to submit an amended proposal and budget.
F. Award Terms and Conditions
Award Recipients shall comply with grant award Special Terms and Conditions (see Attachment D) and
Cost Principles, Audit, and Administrative Requirements (see Attachment E).

9

(1) No pre-award costs are authorized.
(2) No-cost extensions are discouraged. The timely conduct of funded projects is important to achieving
program goals under ARRA. Applicants should consider time commitments prior to applying for a
cooperative agreement. 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 should supply documentation supporting their request for an
extension, as described in Attachment D, Section 4.
(3) Supplemental Funds. Requests for increases in funds beyond the amount awarded are also
discouraged. The peer review panel recommends funding at a rate according to their judgment of the
merit of a proposal and their expert knowledge of the expenses likely to be incurred in the conduct of
the project. [Note: No ARRA funding is available after September 30, 2010.]
G. Final Technical Reports to VHP
All awards made under the VHP will require submittal of a Final Technical Report that shall document and
summarize the results of the work, in addition to the stated deliverables. Such reports shall contain a
comparison of actual accomplishments to the goals established for the period; reasons why established goals
were not met, if applicable; and other pertinent information. Final technical reports shall be submitted
electronically to the Associate Program Coordinator, William Burton (bburton@usgs.gov), with a copy of the
transmittal letter to the Contracting Officer, Margaret Eastman (mrussell@usgs.gov) within ninety (90) days
after the completion of the performance period.
H. Paperwork Reduction Act Statement
The Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et. seq.) requires us to inform you that this
information collection is being conducted for the Volcano Hazards Program (VHP) to receive and review
proposals to acquire funding for projects under ARRA. We estimate the public reporting burden associated
with this collection estimated to average 35 hours (per respondent) to complete the application process and
8 hours (per respondent) to complete and submit the required final report. This includes: time for reviewing
instructions and completing the required information. Direct comments regarding the burden estimate or
any other aspect of this collection of information to: Bureau Clearance Officer, USGS, Fort Collins
Science Center, 2150 Centre Avenue, Fort Collins, CO 80526-8118.

I. Payment to Foreign Recipients
The USGS requires that all financial assistance payments be made using the Department of Health and
Human Services (DHHS) Payment Management System (PMS). Paper based claims for reimbursement are
no longer acceptable. In order to receive payment, Recipients will be required to establish an account with
PMS. With the award of each grant, a sub-account will be set up from which the Recipient can draw down
funds. It should be noted that foreign recipients will only be permitted to draw down funds if a U.S.
corresponding bank is linked to their account (i.e., the recipient must bank directly with a US bank or their
foreign bank must have a corresponding US bank). It is the responsibility of the applicant to verify that, in
the event they receive a grant, they can meet this condition of the award. It is strongly recommended that
foreign applicants make any necessary banking arrangements prior to submitting their applications.
Applicants who are recommended for funding who cannot meet this condition may not receive an award.

10

J. American Recovery and Reinvestment Notices
2 CFR §176.150 Notice of Required Use of American Iron, Steel, and Manufactured Goods—Section
1605 of the American Recovery and Reinvestment Act of 2009.
(a) Definitions. “Manufactured good,” “public building and public work,” and “steel,” as used in this
notice, are defined in the 2 CFR 176.140.
(b) Requests for determinations of inapplicability. A prospective applicant requesting a determination
regarding the inapplicability of section 1605 of the American Recovery and Reinvestment Act of 2009 (Pub.
L. 111-5)(Recovery Act) should submit the request to the award official in time to allow a determination
before submission of applications or proposals. The prospective applicant shall include the information and
applicable supporting data required by paragraphs (c) and (d) of the award term and condition at 2 CFR
176.140 in the request. If an applicant has not requested a determination regarding the inapplicability of 1605
of the Recovery Act before submitting its application or proposal, or has not received a response to a previous
request, the applicant shall include the information and supporting data in the application or proposal.
(c) Evaluation of project proposals.
If the Federal government determines that an exception based on unreasonable cost of domestic iron,
steel, and/or manufactured goods applies, the Federal Government will evaluate a project requesting
exception to the requirements of section 1605 of the Recovery Act by adding to the estimated total cost of the
project 25 percent of the project cost, if foreign iron, steel, or manufactured goods are used in the project
based on unreasonable cost of comparable manufactured domestic iron, steel, and/or manufactured goods.
(d) Alternate project proposals.
(1) When a project proposal includes foreign iron, steel, and/or manufactured goods not listed by the
Federal Government at paragraph (b)(2) of the award term and condition at 2 CFR 176.140, the applicant also
may submit an alternate proposal based on use of equivalent domestic iron, steel, and/or manufactured goods.
(2) If an alternate proposal is submitted, the applicant shall submit a separate cost comparison table
prepared in accordance with paragraphs (c) and (d) of the award term and condition at 2 CFR 176.140 for the
proposal that is based on the use of any foreign iron, steel, and/or manufactured goods for which the Federal
Government has not yet determined an exception applies.
(3) If the Federal government determines that a particular exception requested in accordance with
paragraph (b) of the award term and condition at 2 CFR 176.140 does not apply, the Federal Government will
evaluate only those proposals based on use of the equivalent domestic iron, steel, and/or manufactured goods,
and the applicant shall be required to furnish such domestic items.
2 CFR§176.170 Notice of Required Use of American Iron, Steel, and Manufactured Goods (covered under
International Agreements)—Section 1605 of the American Recovery and Reinvestment Act of 2009.
(a) Definitions. “Designated country iron, steel, and/or manufactured goods,” “foreign iron, steel, and/or
manufactured good," “manufactured good,” “public building and public work,” and “steel,” as used in this
provision, are defined in 2 CFR 176.160(a).
(b) Requests for determinations of inapplicability. A prospective applicant requesting a determination
regarding the inapplicability of section 1605 of the American Recovery and Reinvestment Act of 2009 (Pub.
L. 111-5)(Recovery Act) should submit the request to the award official in time to allow a determination
before submission of applications or proposals. The prospective applicant shall include the information and
applicable supporting data required by paragraphs (c) and (d) of the award term and condition at 2 CFR
176.160 in the request. If an applicant has not requested a determination regarding the inapplicability of 1605

11

of the Recovery Act before submitting its application or proposal, or has not received a response to a previous
request, the applicant shall include the information and supporting data in the application or proposal.
(c) Evaluation of project proposals.
If the Federal government determines that an exception based on unreasonable cost of domestic iron,
steel, and/or manufactured goods applies, the Federal Government will evaluate a project requesting
exception to the requirements of section 1605 of the Recovery Act by adding to the estimated total cost of the
project 25 percent of the project cost if foreign iron, steel, or manufactured goods are used based on
unreasonable cost of comparable domestic iron, steel, or manufactured goods.
(d) Alternate project proposals.
(1) When a project proposal includes foreign iron, steel, and/or manufactured goods, other than
designated country iron, steel, and/or manufactured goods, that are not listed by the Federal Government in
this Buy American notice in the request for applications or proposals, the applicant may submit an alternate
proposal based on use of equivalent domestic or designated country iron, steel, and/or manufactured goods.
(2) If an alternate proposal is submitted, the applicant shall submit a separate cost comparison table
prepared in accordance with paragraphs (c) and (d) of the award term and condition at 2 CFR 176.160 for the
proposal that is based on the use of any foreign iron, steel, and/or manufactured goods for which the Federal
Government has not yet determined an exception applies.
(3) If the Federal government determines that a particular exception requested in accordance with
paragraph (b) of the award term and condition at 2 CFR 176.160 does not apply, the Federal Government will
evaluate only those proposals based on use of the equivalent domestic or designated country iron, steel,
and/or manufactured goods, and the applicant shall be required to furnish such domestic or designated
country items.
2 CFR§176.190 Award term- Wage Rate Requirements under Section 1606 of the Recovery Act
(a) Section 1606 of the Recovery Act requires that all laborers and mechanics employed by contractors and
subcontractors on projects funded directly by or assisted in whole or in part by and through the Federal
Government pursuant to the Recovery Act shall be paid wages at rates not less than those prevailing on
projects of a character similar in the locality as determined by the Secretary of Labor in accordance with
subchapter IV of chapter 31 of title 40, United States Code.
Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.C. 3145, the Department of Labor has
issued regulations at 29 CFR Parts 1, 3, and 5 to implement the Davis-Bacon and related Acts. Regulations in
29 CFR 5.5 instruct agencies concerning application of the standard Davis-Bacon contract clauses set forth
in that section. Federal agencies providing grants, cooperative agreements, and loans under the Recovery
Act shall ensure that the standard Davis-Bacon contract clauses found in 29 CFR 5.5(a) are incorporated
in any resultant covered contracts that are in excess of $2,000 for construction, alteration or repair
(including painting and decorating).

(b) For additional guidance on the wage rate requirements of section 1606, contact your awarding
agency. Recipients of grants, cooperative agreements and loans should direct their initial inquiries
concerning the application of Davis-Bacon requirements to a particular federally assisted project to the
Federal agency funding the project. The Secretary of Labor retains final coverage authority under
Reorganization Plan Number 14.
SPECIAL NOTICE: Full or partial funding for requirements to be completed by resultant financial assistance
award(s) may utilize funds provided by the American Recovery and Reinvestment Act of 2009. Inclusion of
unique provisions required implementing the Act, including those for significant reporting and transparency
requirements by the successful recipient(s), will be required in any resultant financial assistance award.

12

Questions?
For Grants.gov issues, see:
http://www.grants.gov/applicants/app_help_reso.jsp
http://www.usgs.gov/contracts/grants/grantsgov.html
Contact Laura Mahoney, (703) 648-7344, lmahoney@usgs.gov
For Contract issues, contact Maggie Eastman, (703) 648-7366, mrussell@usgs.gov
For VHP Program Coordinator, contact John Eichelberger, (703) 648-6711, jeichelberger@usgs.gov
For VHP Associate Program Coordinator (Grants Program Manager), contact William Burton, (703) 6486904, bburton@usgs.gov

13

Attachment A

Priorities for coordinated volcano monitoring and research activities in FY 2009
& 2010
The volcano monitoring and research priorities presented here are organized by volcanic region and reflect
the mission of the USGS Volcano Hazards Program and the goals of the American Recovery and
Reinvestment Act (ARRA). ARRA funding for cooperative agreements will be awarded starting in FY 2009
and continuing through FY 2010 (ending on September 30, 2010, with the performance period ending by
September 30, 2011). Applicants are encouraged to review the priorities listed under each activity region
below before submitting proposals. Proposals may be directed towards more than one of the priority
activities listed in each region. Questions may be directed to Margaret Eastman, Contract Officer,
mrussell@usgs.gov
Activity Region A: Aleutian and Cook Inlet Volcanoes, Alaska
Coordinator: Tom Murray, Alaska Volcano Observatory
Proposals may address any subset of these activities:
1. Install upgrades to real-time monitoring networks at Alaskan volcanoes while working collaboratively
with other Alaska Volcano Observatory (AVO) field parties. Procure or assemble new instrumentation
such as infrasound sensors as appropriate.
2. Develop and implement web-based methods and techniques to disseminate AVO warning messages and
deliver to the public data and information derived from AVO’s real-time data acquisition and processing
systems. Systems and tools will be compatible with AVO public web site.
3. Conduct, as part of a team of interdisciplinary geoscientists, geologic and geophysical field work to
document and investigate recent and ongoing eruptions of Alaskan volcanoes.
4. Coordinate fixed- and rotary-wing supported AVO activities, including developing a comprehensive
schedule of summer field work for 2010 and 2011, and procure necessary ARRA–funded aviation
services.
5. Develop an integrated alarm system using real-time or near-real-time data from AVO data acquisition
systems including seismic, geodetic, and satellite-based systems. Where feasible, systems should be
compatible with the USGS-supported Earthworm data acquisition system and VALVE databases and
interfaces.
6. Conduct geochemical investigations as part of an interdisciplinary team of geoscientists to characterize
processes at work during recent eruptions of Alaskan volcanoes.
7. Improve reliability and the capabilities of AVO’s remote sensing, geodetic, and seismic data acquisition
and processing systems. Where feasible, systems should be compatible with the USGS-supported
Earthworm data acquisition system, USGS VALVE, and National Science Foundation Plate Boundary
Observatory databases and interfaces.
8. Improve AVO’s ability to monitor and document volcanic eruptions by developing novel methods to
acquire, analyze, or display incoming data, including analysis of new geologic samples and eruptive
products, or procuring new instrumentation or systems suitable for use during eruption responses.
9. Conduct geochemical investigations to address regional and arc-wide petrologic processes, evolution of
magmatic systems, and the interplay of tectonism and magmatism in the Aleutians.
10. Develop new hardware and software systems to enable more rapid dissemination of value-added satellite
remote sensing data and imagery to the public, AVO cooperators such as the National Weather Service,
and customers interested in the dispersal of volcanic ash.
11. Investigate using ground based samplers and new airborne or remote sensing techniques the physical and
chemical properties of volcanic ash and aerosol clouds, particularly as it relates to air quality and human

14

12.
13.
14.
15.

health on the ground and to the potential hazard to aircraft, and to validate existing satellite techniques
such from the Ozone Monitoring Instrument on NASA's EOS-Aura satellite.
Determine both regional tectonic and volcanically induced stress fields within the earth’s crust using
existing data from AVO’s permanent geophysical monitoring networks.
Develop new methodologies to analyze changes in volcanically induced crustal stress and to improve
AVO’s ability to use stress field changes to forecast hazardous volcanic activity.
Use existing data from AVO’s permanent geophysical monitoring networks to image the Earth's crust
beneath Alaskan volcanoes.
Use existing data from AVO’s permanent geophysical monitoring networks to develop new techniques to
detect and evaluate time dependent changes in the physical condition of volcanic systems.

Activity Region B: Hawaiian Volcanoes, Hawaii
Coordinator: Jim Kauahikaua, Hawaii Volcano Observatory
Proposals may address any subset of the numbered tasks, but should address all lettered subtasks of
the tasks selected:

1. Develop accurate and timely volcanic gas forecasting with a program of verification based on best choice
gas dispersion and wind models; develop near real-time volcanic gas emission rate measurement methods
A. Develop a model for gas dispersion from Kilauea volcano that is capable of accurately forecasting
SO2 and PM2.5 concentrations in Hawai‘i Island communities in a timely manner. Results should be
based on the ability of the model to successfully forecast maximum 15-minute average concentrations
within a pre-set range (e.g., SO2 would use the current color code ranges) within time intervals of 3
hours.
B. In support of the forecast modeling, develop high spatial and temporal resolution wind field models
for use in the gas dispersion calculations.
C. In support of the forecast modeling, cooperatively develop and deploy an array of stationary SO2
sensors to record the spatial characteristics of Kilauea’s gas plume in high temporal and spatial
resolution to be used for verification and improvement of the gas dispersion forecasting.
D. Improve statistical quantification of all existing volcanic gas concentration data for the purpose of
estimating historical concentration frequency-of-exposure.
E. Cooperatively develop and deploy an array of scanning UV spectrometers to provide accurate and
timely SO2 emission rate estimates.
F. Characterize/quantify gas emissions from coastal lava flows entering the ocean for the purpose of
establishing long-term monitoring.
2. Improve understanding of basaltic eruption dynamics and mechanisms through studies of effusive and
explosive Hawaiian eruptions, using the following questions as a guide:
A. What factors control whether Hawaiian eruptions are effusive or explosive? If effusive, what factors
determine whether the eruption will be prolonged?
B. How can we quantify two-phase flow in near-vertical volcanic conduits?
C. How can seismic tremor, infrasound, satellite-measured radiant heat output, and/or radiant spectra be
used to infer the scale and nature of basaltic eruptive activity?
D. What effects do superficial features, such as vent geometry, have on effusive and explosive
behaviors? (might include 3D mapping of the active Halema‘uma‘u and Pu‘u ‘O ‘O vents).
3. Improve understanding of basaltic flow field development through consideration of the following
questions:

15

A. What factors controlling lava flow within tubes and/or lava tube construction determine the formation
of flow field features like rootless shields, shatter rings, and surface flow breakout points?
B. What factors determine the stability of lava deltas?
4. Conduct research on the structural factors controlling dike propagation in Hawaiian volcanoes, and the
factors that control sustained flow within dikes in Hawaiian volcano rift zones.
5. Develop effective ways to convey multi-hazard information and risk on oceanic islands exposed to many
types of natural hazards.

Activity Region C: Cascade Volcanoes, Washington, Oregon, and California.
Coordinator: Cynthia Gardner, Cascade Volcano Observatory
Proposals may address some or all of the lettered geographic targets:
1. Obtain high-quality, high-accuracy LiDAR data for select volcanoes and surrounding areas in the
Cascades. This work should include QA/QC of data, data archiving, and data distribution. Ability to
obtain high-quality, high-accuracy data over steep mountainous terrain must be demonstrated. Data
should be acquired at volcanoes during minimum snowpack, and at drainages during maximum leaf off
and minimum water flow. The LiDAR data produced under this task is to be freely available to the
academic, governmental and private sectors, except for fees associated with distribution.
A. Glacier Peak, (WA) and the upper Sauk and Suiattle drainages (approximately 300 square miles)
B. Mount Baker (WA) and the upper Nooksack River valleys (approximately 170 square miles)
C. The upper Toutle River drainages at Mount St. Helens (approximately 80 square miles)
D. The northwest quarter of Newberry Volcano, including Newberry crater (OR) (approximately 500
square miles)
E. The western half of Crater Lake National Park (OR) (approximately 215 square miles)
F. Mount Shasta and upper Sacramento River and McCloud Creek (CA) (approximately 450 square
miles)
Proposals should address all of the lettered activities:
2. Develop multi-hazard risk and vulnerability assessments at select drainages around Mount Rainier (WA)
and Mount Hood (OR) using methodologies that would be applicable to other volcanic areas.
A. Convene multi-agency workshops to develop consensus among Federal, State, Tribal, and local
governments and private partners regarding methodologies and products for multi-hazard
assessments.
B. Use GIS methodologies and FEMA’s HAZUS program to integrate infrastructure loss estimates with
societal vulnerabilities and show interdependencies of decision making on, for example,
transportation, health, commerce, just-in-time inventories, places of shelter, etc.
C. Import volcanic hazard zones into a loss-estimate database and integrate with other natural hazard
zones (e.g., earthquake, landslide, and floods, etc.)
D. Where applicable upgrade FEMA’s HAZUS database to include infrastructure information obtained
by LiDAR surveys.
3. Upgrade monitoring capabilities and prepare for future volcanic crises in the Cascades.
A. Optimize existing regional network seismic stations and telemetry to interface with the Cascades
Volcano Observatory’s improved backbone telemetry nodes in Washington and Oregon.

16

B. Improve volcano earthquake locations by determining volcano-specific 1-D and, where possible, 3-D
seismic velocity models and integrate resultant models with routine earthquake location procedures
employed by regional seismic networks in the Pacific Northwest.
C. Adapt established volcano-monitoring techniques (such as RSAM and SSAM) for use in the new
Earthworm data acquisition system that is being used in Washington, Oregon and California.
Collaborate with CVO to integrate into the volcano-monitoring system used at CVO.
D. Develop and implement real-time alarm systems that can be dynamically configured to trigger on
swarms of small volcanic earthquakes, on volcanic tremor and on RSAM and SSAM derived data
streams. Such work should be done in close collaboration with existing Volcano Hazard Program
initiatives to improve alarming capabilities.

Activity Region D: Yellowstone Caldera, Wyoming, Montana, and Idaho.
Coordinator: Jake Lowenstern, Yellowstone Volcano Observatory
Proposals may address some or all of these activities:
1. Design, assemble, help permit, and install seismic-station upgrades to ten existing seismic monitoring
stations of the Yellowstone Seismic Network. Plans should include conversion of ten existing stations
from analog to digital, conversion from single-component to three-components, addition of strong motion
accelerometers and in most cases broadband sensors. Depending on locations of the site and wilderness
restrictions, access to the stations may be by boat, horse, foot, automobile or helicopter. Telemetry design
can include combination of satellite, radio, cellular or other technologies, but must be consistent with the
Yellowstone National Park Wireless Management Plan and environmental guidelines for wilderness and
other backcountry installations. Most equipment for the seismic upgrades will be purchased directly by
USGS with ARRA funding, such that organizations interested in cooperative work should contact the
Yellowstone Coordinator directly to receive detailed information on existing equipment available for the
upgrade. Telemetry upgrades should be accomplished in collaboration with ANSS regional seismic
networks.
2. Develop realtime display of seismic, geodetic and other data for use by local government agencies in
states immediately surrounding Yellowstone National Park. Such systems would enable state and
university partners to keep abreast of dynamic geological activity during periods of geological unrest in
the Yellowstone Caldera.
3. Conduct geologic or stratigraphic studies to determine eruptive chronologies of the Yellowstone volcanic
system, including late Pleistocene volcanic rocks. The work should include characterization of geological
materials available from surface exposures as well as cuttings obtained during drilling of Plate Boundary
Observatory strainmeter holes in 2007-2008.
4. Create a crisis GIS (Geographic Information System) for use during caldera unrest at Yellowstone. The
cooperator would work with the USGS to assemble existing maps of bedrock and surficial geology,
seismic catalogs, potential-field data, hydrologic data, and relevant earth-science and cultural datasets for
inclusion in a publicly-accessible web archive with a variety of derived products (e.g., shapefile, KML).
The GIS would provide data access to the public, but would also be aimed for observatory staff to create
figures and plots for public posting that provide real-time information on dynamic hazardous conditions.
5. Implement software tools for automatic location of M >1.0 earthquakes for instantaneous posting on
public-facing servers. Develop metrics to assess the stability and reliability of these tools to avoid false
locations. Such tools should be developed in association with USGS-supported software systems such as
Earthworm, Swarm and/or Valve.
6. Implement software tools for automatic location of long-period earthquakes, spasmodic bursts, and
hydrothermal tremor sources that can be used at Yellowstone and other volcanic and hydrothermal
systems. Such tools should be developed in association with USGS-supported software systems such as
Earthworm, Swarm and/or Valve.

17

Activity Region E: Volcanoes of the Commonwealth of the Northern Mariana Islands
Coordinator: Tom Murray, Alaska Volcano Observatory
Proposals should address all of these activities:
1. Provide local coordination of field work and logistical support associated with installation and upgrades
to volcano monitoring systems in Saipan at the CNMI Emergency Management Office and on the islands
of Anatahan and Sarigan for 2010 and 2011.
2. Provide local coordination and technical assistance to establish a small monitoring network on Saipan to
monitor hydrogen sulfide and sulfur dioxide gases emanating from volcanoes north of Saipan, to be
operated by the CNMI Emergency Management Office.
3. Develop and implement web-based methods and techniques to disseminate CNMI/Emergency
Management Office (EMO) volcano warning messages and deliver to the public data and information
derived from USGS’s real-time data acquisition and processing systems.

18

Attachment B
FY 2009 & FY 2010 VHP Proposal Information Summary
Use the format below for the required Proposal Information Summary
Name of the Cooperating Institution:
Project Title:

Principal Investigator(s):

(Name)
(Institute/Organization Name)
(Street Address/P.O. Box)
(City, State, Zip Code)
(Telephone Number), (FAX Number), (E-mail Address)

Authorized Institutional
Representative:

(Name)
(Institute/Organization Name)
(Organizational Unit)
(Street Address/P.O. Box)
(City, State, Zip Code)
(Telephone Number), (FAX Number), (E-mail Address*)

Component of Program Priority
from Attachment A:

Activity Region____ Task____ Subtask____

Amount Requested:
Proposed Duration:

(The date you would like to start work; between xx/xx/20xx and
xx/xx/20xx)
.

Proposed Duration:

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

19

Attachment C
Budget Summary *

Project Title:
Principal Investigator(s):

Cost Category

Federal Funding
Requested

NonFederal/Matching
Funds Identified

TOTAL

1. Salaries and Wages

$

$

$

2. Fringe Benefits/
Labor Overhead

$

$

$

3. Equipment

$

$

$

4. Supplies

$

$

$

5. Services or Consultants

$

$

$

6. Travel

$

$

$

7. Other Direct Costs

$

$

$

8. Total Direct Costs (sum of 1-7)

$

$

$

9. Indirect cost/G&A

$

$

$

10. Amount Proposed (8 + 9)

$

$

$

11. Total Project Cost
(Federal + non-Federal amounts)

$

* Use this sheet for the Budget Summary that precedes the detailed budget.

20

Attachment D
Special Terms and Conditions
1. Method of Payment
The U.S. Geological Survey (USGS) is using the Department of Health and Human Services (DHHS)
Payment Management System (PMS) to provide electronic invoicing and payment for assistance award
recipients. The Recipient has established or will establish an account with PMS. With the award of each
grant/cooperative agreement, a sub-account will be set up from which the Recipient can draw down funds.
The sub-account number will be shown in block 4 of the face page of each award or modification.
Payments will be made available through the PMS. The PMS is administered by the DHHS, Division of
Payment Management of the Financial Management Service, Program Support Center. The DHHS will
forward instructions for obtaining payments to the recipients. Inquiries regarding payment should be
directed to:
Division of Payment Management
Department of Health and Human Services
P.O. Box 6021
Rockville, MD 20852
The Division of Payment Management web address is www.dpm.psc.gov. Problems or questions with
electronic drawdown procedures should be directed to Raynette Robinson at (301) 443-9180 or the help
desk at (877) 614-5533 or email to PMSSupport@psc.gov.
Payments may be drawn in advance only as needed to meet immediate cash disbursement needs.
All payments must be drawn down by September 30, 2011.
2. Definitions
A. Grant Agreement
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
A cooperative agreement is the legal instrument reflecting a relationship between the Federal
Government and a State or local government or other recipient whenever:

21

(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
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
Recipient means grantee or cooperator.
E. Principal Investigator
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
(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 Associate Coordinator for the Volcano Hazards Program (VHP) Manager is William Burton,
will serve as the Grants Manager, U.S. Geological Survey, MS926A, 12201 Sunrise Valley Drive,
Reston, VA 20192. The VHP Program Coordinator is John Eichelberger, U.S. Geological Survey,
904 National Center, 12201 Sunrise Valley Drive, Reston, VA 20192. Neither the VHP
Coordinator nor the VHP Program Manager 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

22

the terms, conditions, or general provisions of the award.
G. Regional Coordinator
(1) 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)
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.

23

(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. Reporting Requirements and Dissemination of Results
Data generated as a part of work funded under this program must be made readily available; there is no
provision for PIs to have exclusive access to data for a proprietary period of time. 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.
For cooperative agreements under the American Recovery and Reinvestment Act for upgrades to existing
volcano monitoring and improving volcano hazard mitigation, USGS will be substantially involved with the
PI(s) and other institution staff as upgrades are accomplished. Specifically, the USGS will be substantially
involved during the performance of the work. Points of contact (POC) for cooperative agreements will be
the Regional Coordinator for the USGS and the PI for the cooperating institution. However, other USGS
staff and other staff at the PI’s institution may be involved in collaborative discussions. It is expected that
there will be frequent contact between the Regional Coordinator and the PI to discuss progress and
problems. In the case of field work, joint planning will be necessary to achieve logistical efficiency. The
USGS will also provide technical guidance as needed, for example to ensure that data systems are
compatible with other parts of the project and with VHP as a whole.
A. Required reports/documents. The Principal Investigator or Director, Sponsored Research Office is
required to submit the following reports or documents:
Report/Document

No. of Copies and
Method of Transmittal

Submit To

When Due

(1) ARRA*
Reporting

See Section 3.B(1)

See Section
3.B(1)

See Section 3.B(1)

(2) Final Technical
Report

Send Adobe Acrobat
PDF file as an email
attachment; Maximum
size: 10 MB

Grants Program
Manager

Within 90 calendar days after the
end of each 12-month budget
period. See details of formatting
in section B(2) below.
See Section 3.B(3)

(3) SF 272
Federal Cash
Transactions
Report

Electronic submission

USGS via PMS
Electronic 272
System
[see Section
3.B(3)]

24

(4) SF 269
Financial Status
Report
(5) Final SF 269
Financial Status
Report

See Section 3.B(4)

See Section
3.B(4)

See Section 3.B(5)

See Section
3.B(5)

See Section 3.B(4)
See Section 3.B(5)

*ARRA – American Recovery and Reinvestment Act
B. Report preparation instructions. The Recipient shall prepare the reports/documents in accordance with
the following instructions:
(1) American Recovery and Reinvestment Act (ARRA) Recipient Reporting
Recipients of Federal awards from funds authorized under Division A of the ARRA must comply with all
requirements specified in Division A of the ARRA (Public Law 111-005), including reporting requirements
outlined in Section 1512 of the Act. For purposes of reporting, recipients of ARRA funds from Department
of the Interior must report on sub-recipient activities as specified below. Not later than ten (10) days after
the end of each calendar quarter, starting with the quarter ending June 30, 2009 and reporting by July 10,
2009, the recipient must submit a report to the Department of the Interior that will posted to Recovery.gov,
containing the following information:
(a) The total amount of ARRA funds under this award;
(b) The amount of ARRA funds received under this award that were obligated and expended to projects or
activities;
(c) The amount of unobligated award balances;
(d) A detailed list of all projects or activities for which ARRA funds under this award were obligated and
expended, including:
(1) The name of the project or activity;
(2) Description of the project or activity;
(3) An evaluation of the completion status of the project or activity;
(4) An estimate of the number of jobs created and the number of jobs retained by the project or
activity; and
(5) For infrastructure investments made by State and local governments, the purpose, total cost,
and rationale of the agency for funding the infrastructure investment with funds made

available under this Act, and the name of the person to contact at the agency if there are
concerns with the infrastructure investment.
(e) Detailed information on any subcontracts or sub-grants awarded by the grant recipient to include the
data elements required to comply with the Federal Funding Accountability and Transparency Act of 2006
(Public Law 109-282). For any sub-award equal to or larger than $25,000, the following information:
• The name of the entity receiving the sub-award;
• The amount of the sub-award;
• The transaction type;

25

•
•
•
•
•
•

The North American Industry Classification System code or Catalog of Federal
Domestic Assistance (CFDA) number;
Program source;
An award title descriptive of the purpose of each funding action;
The location of the entity receiving the award;
The primary location of performance under the award, including the city, State,
congressional district, and country; and
A unique identifier of the entity receiving the award and of the parent entity of the
recipient, should the entity be owned by another entity.

(f) All sub-awards less than $25,000 or to individuals may be reported in the aggregate, as prescribed by the
Department of the Interior.
(g) Recipients must account for each ARRA award and sub-award separately. Recipients will draw down
funds on an ARRA award by ARRA award basis. Pooling or commingling of ARRA award funds with
other funds for drawdown or other purposes is not permitted.
(h) Recipients must account for each ARRA award by referencing the assigned CFDA number for each
award.
The definition of terms and data elements, as well as any specific instructions for reporting, including
required formats, will be provided in subsequent guidance issued by Department of the Interior.
(2) Final Technical Report. The final technical report shall document and summarize the results of the
work. Such reports shall contain a comparison of actual accomplishments to the goals established
for the period; reasons why established goals were not met, if applicable; and other pertinent
information. The final report shall be submitted within 90 calendar days of the end of the project
period.
(a) Submit the Final Technical Report electronically as an Adobe Acrobat PDF file e-mail
attachment to: Bill Burton at bburton@usgs.gov, with a copy of the transmittal sent to
Margaret Eastman at mrussell@usgs.gov.
(b) Final Technical reports shall consist of the following sections:
(i)

Cover page with the following information:
Award Number
Title
Author and Affiliation with Address and zip code
Author's Telephone numbers, fax numbers and E-mail addresses
Term covered by the award (start and end dates)
Submittal Date of Final Technical Report
(ii) Abstract
(iii) Main body of the report shall be single-spaced in 8 ½" x 11" format. The main body
of the report shall be formatted double-sided, including figures and bibliography.
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.

26

(3) SF 272, Federal Cast Transactions Report is required quarterly for each PMS sub-account. Quarterly
reports are due 45 working days after the end of each fiscal quarter until Financial Status Report is
submitted. Instructions for submitting the SF272 can be found at the following website:
http://www.dpm.psc.gov/grant_recipient/psc_272_reports/psc_272_reports.aspx?explorer.event=true
If after 45 days, the recipient has not submitted a report, the account will be placed in a manual review
status. Funds may be withheld for accounts with delinquent reports.
(4) SF 269, Financial Status Report (original) is required annually and is due 90 calendar days after the end
of the annual budget period. Reports will be submitted to the Contracting Officer at the address shown
in Block 5 of the award form.
(5) Final SF 269, Financial Status Report.
(a) The recipient will liquidate all obligations incurred under the award and submit a final SF 269 Financial
Status Report due no later than 90 calendar days after the grant completion date. The recipient will
promptly return any unexpended federal cash advances or will complete a final draw from PMS to
obtain any remaining amounts due. Once 120 days has passed since the grant completion date, the PMS
subaccount for this award may be closed by USGS at any time.
(b) Subsequent revision to the final SF269, Financial Report, will be considered only as follows:
(1) When the revision results in a balance due to the Government, the recipient must submit a revised SF
269 and refund the excess payment whenever the overcharge is discovered, no matter how long the
lapse of time since the original due date of the report.
(2) When the revision represents additional reimbursement costs claimed by the recipient, a revised SF 269
may be submitted to the Contracting Officer with an explanation. If approved, the USGS will either
request and pay a final invoice or re-establish the PMS subaccount to permit the recipient to make a
revised final draw. Any revised final report representing additional reimbursable amounts must be
submitted no later than 1 year from the due date of the original report, i.e., 15 months following the
agreement completion date. USGS will not accept any revised SF 269 report covering additional
expenditures after that date and will return any late request for additional payment to the recipient.
C. Adherence to reporting requirements. A Recipient's failure to submit the required Final
Technical Report and final financial report, generally within 6 months of the end date of the
award, will likely result in delay or non-issuance of new awards. Failure to submit a Progress
Report for multi-year awards will likely result in delayed renewal of funds.
4. Adherence to Original Research Objective and Budget Estimate
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 prior to the requested effective date of the change:
(1) Changes in the scope, objective, or key personnel referenced in the Recipient's proposal.

27

(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. 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 ARRA and VHP goals. Applicants should consider their time
commitments at the time of application for a grant. Requests for no cost extensions will be
considered on a case-by-case basis. The USGS reserves the right to limit the length of time and
number of no-cost extensions. Please note that no-cost extensions are not intended to be used
merely for the purpose of expending unobligated balances. Applicants must supply documentation
supporting their request for an extension.
The Recipient shall include in the request:
•
•
•
•

the cause of the needed extension,
a description of the remaining work to be completed,
the proposed new end date, and
the amount of funds remaining.

A request for an extension that is received by the Contracting Officer after the expiation 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.
5. Nonexpendable Personal Property
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 subtier recipient. Disposal of nonexpendable personal property shall be in accordance with the applicable OMB
circular.

28

The following equipment shall be vested: To be determined at award
6. Record Retention Period
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.
7. Pre-agreement Costs
Pre-agreement costs are not authorized under this program. Costs must be obligated during the project
period.
8. Site Visits
Site visits may be made by USGS representatives to review program accomplishments and management
control systems and to provide technical assistance, as required.
9. Metric Conversion (43CFR Sec 12.915)
All progress and final reports, other reports, or publications produced under this award shall employ the
metric system of measurements to the maximum extent practicable. Both metric and inch-pound unit (dual
units) may be used if necessary during any transition period(s). However, the recipient may use non-metric
measurements to the extent the recipient has supporting documentation that the use of metric measurements
is impracticable or is likely to cause significant inefficiencies or loss of markets to the recipient, such as
when foreign competitors are producing competing products in non-metric units.
10. Violation of Award Terms
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.
11. Award Closeout
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.
12. Partnership with Grantees/Cooperators
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.
13. Buy American Act Notice (43 CFR Sec. 12.710(c))
Pursuant to Section 307(b) of the Department of the Interior (DOI) and Related Agencies Appropriations
Act, FY 2000, Public Law 106-113, please be advised on the following:
“In the case of any equipment or product that may be authorized to be purchased with financial
assistance provided using funds made available in this Act, it is the sense of the Congress that entities
receiving the assistance should, in expending the assistance, purchase only American-made equipment
and products.”

29

14. Buy American - Use of American Iron, Steel, and Manufactured Goods (ARRA Term)
Recipients may not use any funds obligated under this award for the construction, alteration, maintenance,
or repair of a public building or public work unless all of the iron, steel, and manufactured goods used in the
project are produced in the United States unless the Department of the Interior waives the application of this
provision. (ARRA Sec. 1605)
15. Anti-Lobbying (43 CFR Part 18)
The Recipient shall not use any part of the appropriated funds from the Department of the Interior for any
activity or the publication or distribution of literature that in any way tends to promote public support or
opposition to any legislative proposal on which Congressional action is not complete.
16. Seat Belt Provision (43 CFR Sec. 12.2(e))
Recipients of grants/cooperative agreements and/or sub-awards are encouraged to adopt and enforce on-thejob 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. Whistleblower Protection (ARRA Term)
Each recipient or sub-recipient awarded funds made available under the ARRA shall promptly refer to the
Department of the Interior, Office of Inspector General any credible evidence that a principal, employee,
agent, contractor, sub-recipient, subcontractor, or other person has submitted a false claim under the False
Claims Act or has committed a criminal or civil violation of laws pertaining to fraud, conflict of interest,
bribery, gratuity, or similar misconduct involving those funds. (ARRA Sec. 1553) The Department of the
Interior, Office of Inspector General can be reached at 1-800-424-5081 or via e-mail
at http://www.oig.Department.gov/fraud/hotline/
18. No Endorsement Provision (43 CFR 12.2(d))
[Paragraph (B) applies to all awards. The remainder of this provision applies only when:
(1) the principal purpose of the agreement is a partnership where the recipient/partner contributes resources
to promote agency programs or publicize agency activities, assists in fundraising, or provides assistance to
the agency; and
(2) the agreement authorizes joint dissemination of information and promotion of activities being supported;
and
(3) the recipient is not a State government, a local government, or a Federally-recognized Indian tribal
government. ]
(A) Recipient shall not publicize or otherwise circulate, promotional material (such as advertisements, sales
brochures, press releases, speeches, still and motion pictures, articles, manuscripts or other publications)
which states or implies governmental, Departmental, bureau, or government employee endorsement of a
product, service, or position which the recipient represents. No release of information relating to this award
may state or imply that the Government approves of the recipient's work products, or considers the recipient's
work product to be superior to other products or services.

30

(B) All information submitted for publication or other public releases of information regarding this project
shall carry the following disclaimer:
The views and conclusions contained in this document are those of the authors and should not be
interpreted as representing the opinions or policies of the U.S. Government. Mention of trade names
or commercial products does not constitute their endorsement by the U.S. Government.
(C) Recipient must obtain prior Government approval for any public information releases concerning this
award which refer to the Department of the Interior or any bureau or employee (by name or title). The
specific text, layout photographs, etc. of the proposed release must be submitted with the request for
approval.
(D) A recipient further agrees to include this provision in a sub-award to any sub-recipient, except for a subaward to a State government, a local government, or to a Federally-recognized Indian tribal government.
19. Use of U.S. Flag Air Carriers
Any air transportation to, from, between or within a country other than the U.S. of persons or property, the
expense of which will be paid in whole or in part by U.S Government funding, must be performed by, or
under a code-sharing arrangement with, a U.S. flag air carrier if service provided by such a carrier is
"available" (49 U.S.C. 40118, commonly referred to as the Fly America Act). Tickets (or documentation for
electronic tickets) must identify the U.S. flag air carrier's designator code and flight number. See the Federal
Travel Regulation §301-10.131 - §301-10.143 for definitions, exceptions, and documentation requirements.
(See also Comp. Gen. Decision B-240956, dated September 25, 1991.)
20. DUNS/CCR (ARRA Term)
Recipients must require that first tier sub-recipients begin planning activities, including obtaining a DUNS
number (or updating the existing DUNS record), and registering with the Central Contractor Registration
(CCR) no later than the first time ARRA data requirements are due.

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

consented in writing to the entry;
been provided notice of that entry; and
been notified that any raw data collected from the property must be made available at
no costs, if requested by the land owner.

(ii) In this provision, the term “recipient” includes any person that is an officer, employee, or agent of the
recipient, including a person acting pursuant to a contract or sub-agreement.

31

B. The recipient shall comply with applicable State, local, and Tribal government laws, including laws
relating to private property rights.

The Recipient shall comply with applicable State, local, and Tribal government laws, including
laws relating to private property rights.
22. Access to Research Data
A. By regulation (43 CFR 12.936), recipients that are institutions of higher education, hospitals, or nonprofit organizations are required to release research data first produced in a project supported with Federal
funds that are cited publicly and officially by a Federal agency in support of an action that has the force and
effect of law (e.g., regulations and administrative orders). “Research data” is defined as the recorded factual
material commonly accepted in the scientific community as necessary to validate research findings. It does
not include preliminary analyses; drafts of scientific papers; plans for future research; peer reviews;
communications with colleagues; physical objects (e.g., laboratory samples, audio or video tapes); trade
secrets; commercial information; materials necessary to be held confidential by a researcher until publication
in a peer-reviewed journal; information that is protected under the law (e.g., intellectual property); personnel
and medical files and similar files, the disclosure of which would constitute an unwarranted invasion of
personal privacy; or information that could be used to identify a particular person in a research study.
B. These requirements do not apply to commercial organizations or to research data produced by State or
local governments. However, if a State or local governmental grantee contracts with an educational
institution, hospital, or non-profit organization, and the contract results in covered research data, those data
are subject to these disclosure requirements.
C. Requests for the release of research data subject to this policy are required to be made to USGS, which
will handle them as FOIA requests under 43 CFR 2.25. If the data are publicly available, the requestor will
be directed to the public source. Otherwise, the USGS Contracting Officer/Grants Officer, in consultation
with the affected recipient and the PI, will handle the request. This policy also provides for assessment of a
reasonable fee to cover recipient costs as well as (separately) the USGS costs of responding.
23. Trafficking in Persons (22 U.S.C. § 7104(g))
A. Provisions applicable to a recipient that is a private entity.
(i) You as the recipient, your employees, sub-recipients under this award, and sub-recipients’ employees
may not-(a) Engage in severe forms of trafficking in persons during the period of time that the award is in effect;
(b) Procure a commercial sex act during the period of time that the award is in effect; or
(c) Use forced labor in the performance of the award or sub-awards under the award.
(ii) We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you or
sub-recipient that is a private entity -(a) Is determined to have violated a prohibition in paragraph a.1 of this award term; or
(b) Has an employee who is determined by the agency official authorized to terminate the award to have
violated a prohibition in paragraph a.1 of this award term through conduct that is either—
1. Associated with performance under this award; or

32

a

2. Imputed to you or the sub-recipient using the standards and due process for imputing the conduct of an
individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on
Government-wide Debarment and Suspension (Non-procurement),” as implemented by our agency at 43
CFR Part 42.
B. Provisions applicable to a recipient other than a private entity. We as the Federal awarding agency may
unilaterally terminate this award, without penalty, if a sub-recipient that is a private entity -(i) Is determined to have violated a prohibition in paragraph a.1 of this award term; or
(ii) Has an employee who is determined by the agency official authorized to terminate the award to have
violated a prohibition in paragraph a.1 of this award term through conduct that is either—
(a) Associated with performance under this award; or
(b) Inputed to you or the sub-recipient using the standards and due process for imputing the conduct of an
individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on
Government-wide Debarment and Suspension (Non-procurement),” as implemented by our agency at 43 CFR
Part 42.
C. Provisions applicable to any recipient.
(i) You must inform us immediately of any information you receive from any source alleging a violation of a
prohibition in paragraph a.1 of this award term.
(ii) Our right to terminate unilaterally that is described in paragraph a.2 or b of this section:
(a) Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22
U.S.C. 7104(g)), and
(b) Is in addition to all other remedies for noncompliance that are available to us under this award.
(iii) You must include the requirements of paragraph a.1 of this award term in any sub-award you make to a
private entity.
D. Definitions. For purposes of this award term:
(i) “Employee” means either:
(a) An individual employed by you or a sub-recipient who is engaged in the performance of the project or
program under this award; or
(b) Another person engaged in the performance of the project or program under this award and not compensated
by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as
an in-kind contribution toward cost sharing or matching requirements.
(ii) “Forced labor” means labor obtained by any of the following methods: the recruitment, harboring,
transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or
coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.
(iii) “Private entity”:
(a) Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms
are defined in 2 CFR 175.25.

33

(b) Includes:
1. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal
organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b).
2. A for-profit organization.
(iv) Severe forms of trafficking in persons,” “commercial sex act,” and “coercion” have the meanings given at
section 103 of the TVPA, as amended (22 U.S.C. 7102).
24. Research Integrity
A. USGS requires that all grant or cooperative agreement recipient organizations adhere to the Federal
Policy on Research Misconduct, Office of Science and Technology Policy, December 6, 2001, 65 Federal
Register (FR) 76260, http://www.ostp.gov/html/001207_3.html. The Federal Policy on Research
Misconduct outlines requirements for addressing allegations of research misconduct, including the
investigation, adjudication, and appeal of allegations of research misconduct and the implementation of
appropriate administrative actions.
B. The recipient must promptly notify the USGS Project Office when research misconduct that warrants an
investigation pursuant to the Federal Policy on Research Misconduct is alleged.
25. Fiscal Integrity
The recipient will notify the USGS Contracting Officer/Grants officer of any significant problems relating to
the administrative or financial aspects of the award, such as misappropriation of Federal funds.
26. Program Income
A. The recipient will have no obligation to the Federal Government for program income earned from license
fees and royalties for copyrighted material, in accordance with 43 CFR 12.924(h) (for A-110 recipients) or
43 CFR 12.65(e) (for A-102 recipients).
B. If a purpose of this award is to support a conference, symposium, or similar event, income related to that
event will be deducted from total allowable costs to determine the net allowable costs before calculating the
Government's share of reimbursable costs, as provided in 3 CFR 12.65(g)(1) (for A-102 recipients) or 43
CFR 12.924(b)(3) (for A-110 recipients).
C. If the recipient is an educational institution or nonprofit research organization, any other program income
will be added to funds committed to the project by the Federal awarding agency and recipient and be used to
further eligible project or program objectives, as described in 43 CFR 12.924(b)(1).
D. For all other types of recipients, any other program income will be deducted from total allowable costs to
determine the net allowable costs before calculating the Government's share of reimbursable costs, as
provided in 3 CFR 12.65(g)(1) (for A-102 recipients) or 43 CFR 12.924(b)(3) (for A-110 recipients).
27. Wage Rate Requirements (ARRA Term)
Subject to further clarification issued by the Office of Management and Budget and notwithstanding any
other provision of law and in a manner consistent with other provisions of ARRA, all laborers and
mechanics employed by contractors and subcontractors on projects funded directly by or assisted in whole
or in part by and through the Federal Government pursuant to this award shall be paid wages at rates not less
than those prevailing on projects of a character similar in the locality as determined by the Secretary of

34

Labor in accordance with subchapter IV of chapter 31 of title 40, United States Code. With respect to the
labor standards specified in this section, the Secretary of Labor shall have the authority and functions set
forth in Reorganization Plan Numbered 14 of 1950 (64 Stat. 1267; 5 U.S.C. App.) and section 3145 of title
40, United States Code. (ARRA Sec. 1606)
28. Schedule of Expenditures of Federal Awards (ARRA Term)
Recipients agree to separately identify the expenditures for each grant award funded under ARRA on the
Schedule of Expenditures of Federal Awards (SEFA) and the Data Collection Form (SF-SAC) required by
Office of Management and Budget Circular A-133, “Audits of States, Local Governments, and Non-Profit
Organizations.” This identification on the SEFA and SF-SAC shall include the Federal award number, the
Catalog of Federal Domestic Assistance (CFDA) number, and amount such that separate accountability and
disclosure is provided for ARRA funds by Federal award number consistent with the recipient reports
required by ARRA Section 1512(c).
29. Responsibilities for Informing Sub-recipients (ARRA Term)
Recipients agree to separately identify to each sub-recipient, and document at the time of sub-award and at
the time of disbursement of funds, the Federal award number, CFDA number, and amount of ARRA funds.
30. 2 CFR §176.50 Award term--Reporting and Registration Requirements under Section
1512 of the American Recovery and Reinvestment Act, Public Law 111-5
(a) This award requires the recipient to complete projects or activities which are funded under the American
Recovery and Reinvestment Act of 2009 (“Recovery Act”) and to report on use of Recovery Act funds
provided through this award. Information from these reports will be made available to the public.
(b) The reports are due no later than ten calendar days after each calendar quarter in which the recipient
receives the assistance award funded in whole or in part by the Recovery Act.
(c) Recipients and their first-tier recipients must maintain current registrations in the Central Contractor
Registration (www.ccr.gov) at all times during which they have active federal awards funded with Recovery
Act funds. A Dun and Bradstreet Data Universal Numbering System (DUNS) Number (www.dnb.com) is
one of the requirements for registration in the Central Contractor Registration.
(d) The recipient shall report the information described in section 1512(c) using the reporting instructions
and data elements that will be provided online at www.FederalReporting.gov and ensure that any information
that is pre-filled is corrected or updated as needed.
31. 2 CFR §176.140 Award term- Required Use of American Iron, Steel, and Manufactured
Goods—Section 1605 of the American Recovery and Reinvestment Act of 2009
(a) Definitions. As used in this award term and condition—
“Manufactured good” means a good brought to the construction site for incorporation into the building or
work that has been-(1) Processed into a specific form and shape; or

35

(2) Combined with other raw material to create a material that has different properties than the properties of
the individual raw materials.

“Public building” and "public work" means a public building of, and a public work of, a governmental
entity (the United States; the District of Columbia; commonwealths, territories, and minor outlying islands
of the United States; State and local governments; and multi-State, regional, or interstate entities which
have governmental functions). These buildings and works may include, without limitation, bridges, dams,
plants, highways, parkways, streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy
generators, railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties,
breakwaters, levees, and canals, and the construction, alteration, maintenance, or repair of such buildings
and works.
“Steel” means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and may
include other elements.
(b) Domestic preference.
(1) This award term and condition implements Section 1605 of the American Recovery and
Reinvestment Act of 2009 (Recovery Act)(Pub. L. 111-5), by requiring that all iron, steel, and
manufactured goods used in the project are produced in the United States except as provided in paragraph
(b)(3) and (b)(4) of this term and condition.
(2) This requirement does not apply to the material listed by the Federal Government as follows: none.
(3) The award official may add other iron, steel, and/or manufactured goods to the list in paragraph
(b)(2) of this term and condition if the Federal government determines that—
(i) The cost of the domestic iron, steel, and/or manufactured goods would be unreasonable. The cost
of domestic iron, steel, or manufactured goods used in the project is unreasonable when the cumulative cost
of such material will increase the cost of the overall project by more than 25 percent;
(ii) The iron, steel, and/or manufactured good is not produced, or manufactured in the United States
in sufficient and reasonably available quantities and of a satisfactory quality; or
(iii) The application of the restriction of section 1605 of the Recovery Act would be inconsistent
with the public interest.
(c) Request for determination of inapplicability of Section 1605 of the Recovery Act.
(1)(i) Any recipient request to use foreign iron, steel, and/or manufactured goods in accordance with
paragraph (b)(3) of this term and condition shall include adequate information for Federal Government
evaluation of the request, including—
(A) A description of the foreign and domestic iron, steel, and/or manufactured goods;
(B) Unit of measure;
(C) Quantity;
(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H) A detailed justification of the reason for use of foreign iron, steel, and/or manufactured
goods cited in accordance with paragraph (b)(3) of this term and condition.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market and a
completed cost comparison table in the format in paragraph (d) of this term and condition.

36

(iii) The cost of iron, steel, and/or manufactured goods material shall include all delivery costs to
the construction site and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have been
obligated for a project for construction, alteration, maintenance, or repair shall explain why the recipient
could not reasonably foresee the need for such determination and could not have requested the
determination before the funds were obligated. If the recipient does not submit a satisfactory explanation,
the award official need not make a determination.
(2) If the Federal government determines after funds have been obligated for a project for
construction, alteration, maintenance, or repair that an exception to section 1605 of the Recovery Act
applies, the award official will amend the award to allow use of the foreign iron, steel, and/or relevant
manufactured goods. When the basis for the exception is nonavailability or public interest, the amended
award shall reflect adjustment of the award amount, redistribution of budgeted funds, and/or other actions
taken to cover costs associated with acquiring or using the foreign iron, steel, and/or relevant manufactured
goods. When the basis for the exception is the unreasonable cost of the domestic iron, steel, or
manufactured goods, the award official shall adjust the award amount or redistribute budgeted funds by at
least the differential established in 2 CFR 176.110(a).
(3) Unless the Federal Government determines that an exception to section 1605 of the Recovery Act
applies, use of foreign iron, steel, and/or manufactured goods is noncompliant with section 1605 of the
American Recovery and Reinvestment Act.
(d) Data. To permit evaluation of requests under paragraph (b) of this term and condition based on
unreasonable cost, the Recipient shall include the following information and any applicable supporting
data based on the survey of suppliers: FOREIGN AND DOMESTIC ITEMS COST COMPARISON
Description
Unit of Measure
Quantity
Cost (Dollars)*
Item 1:
Foreign steel, iron, or
_______
_______
_______
manufactured good
32. 2 CFR §176.160 Award term- Required Use of American Iron, Steel, and Manufactured Goods
(covered under International Agreements)—Section 1605 of the American Recovery and Reinvestment
Act of 2009
(a) Definitions. As used in this award term and condition—
“Designated country” -(1) A World Trade Organization Government Procurement Agreement country (Aruba, Austria, Belgium,
Bulgaria, Canada, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hong Kong,
Hungary, Iceland, Ireland, Israel, Italy, Japan, Korea (Republic of), Latvia, Liechtenstein, Lithuania,
Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Singapore, Slovak Republic, Slovenia,
Spain, Sweden, Switzerland, and United Kingdom;
(2) A Free Trade Agreement (FTA) country (Australia, Bahrain, Canada, Chile, Costa Rica, Dominican
Republic, El Salvador, Guatemala, Honduras, Israel, Mexico, Morocco, Nicaragua, Oman, Peru, or Singapore);
or
(3) A United States-European Communities Exchange of Letters (May 15, 1995) country:

37

Austria, Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece,
Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Poland, Portugal, Romania, Slovak
Republic, Slovenia, Spain, Sweden, and United Kingdom.
“Designated country iron, steel, and/or manufactured goods” -(1) Is wholly the growth, product, or manufacture of a designated country; or
(2) In the case of a manufactured good that consist in whole or in part of materials from another country, has
been substantially transformed in a designated country into a new and different manufactured good distinct from
the materials from which it was transformed.
"Domestic iron, steel, and/or manufactured good" -(1) Is wholly the growth, product, or manufacture of the United States; or
(2) In the case of a manufactured good that consists in whole or in part of materials from another country, has
been substantially transformed in the United States into a new and different manufactured good distinct from the
materials from which it was transformed. There is no requirement with regard to the origin of components or
subcomponents in manufactured goods or products, as long as the manufacture of the goods occurs in the United
States.
“Foreign iron, steel, and/or manufactured good" means iron, steel and/or manufactured good that is not domestic
or designated country iron, steel, and/or manufactured good.
“Manufactured good” means a good brought to the construction site for incorporation into the building or work
that has been-(1) Processed into a specific form and shape; or
(2) Combined with other raw material to create a material that has different properties than the properties of the
individual raw materials.
“Public building” and "public work" means a public building of, and a public work of, a governmental entity
(the United States; the District of Columbia; commonwealths, territories, and minor outlying islands of the
United States; State and local governments; and multi-State, regional, or interstate entities which have
governmental functions). These buildings and works may include, without limitation, bridges, dams, plants,
highways, parkways, streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy generators,
railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, and
canals, and the construction, alteration, maintenance, or repair of such buildings and works.
“Steel” means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and may include
other elements.
(b) Iron, steel, and manufactured goods.
(1) This award term and condition implements
(i) Section 1605(a) of the American Recovery and Reinvestment Act of 2009 (Pub. L. 111-5) (Recovery
Act), by requiring that all iron, steel, and manufactured goods used in the project are produced in the United
States; and

38

(ii) Section 1605(d), which requires application of the Buy American requirement in a manner
consistent with U.S. obligations under international agreements. The restrictions of section 1605 of the
Recovery Act do not apply to designated country iron, steel, and/or manufactured goods. The Buy American
requirement in section 1605 shall not be applied where the iron, steel or manufactured goods used in the project
are from a Party to an international agreement that obligates the recipient to treat the goods and services of that
Party the same as domestic goods and services. This obligation shall only apply to projects with an estimated
value of $7,443,000 or more.
(2) The recipient shall use only domestic or designated country iron, steel, and manufactured goods in
performing the work funded in whole or part with this award, except as provided in paragraphs (b)(3) and (b)(4)
of this term and condition.
(3) The requirement in paragraph (b)(2) of this term and condition does not apply to the iron, steel, and
manufactured goods listed by the Federal Government as follows: none.
(4) The award official may add other iron, steel, and manufactured goods to the list in paragraph (b)(3) of this
award term and condition if the Federal government determines that—
(i) The cost of domestic iron, steel, and/or manufactured goods would be unreasonable. The cost of
domestic iron, steel, and/or manufactured goods used in the project is unreasonable when the cumulative cost of
such material will increase the overall cost of the project by more than 25 percent;
(ii) The iron, steel, and/or manufactured goods is not produced, or manufactured in the United States in
sufficient and reasonably available commercial quantities of a satisfactory quality; or
(iii) The application of the restriction of section 1605 of the Recovery Act would be inconsistent with
the public interest.
(c) Request for determination of inapplicability of section 1605 of the Recovery Act or the Buy American Act.
(1)(i) Any recipient request to use foreign iron, steel, and/or manufactured goods in accordance with
paragraph(b)(4) of this term and condition shall include adequate information for Federal Government
evaluation of the request, including—
(A) A description of the foreign and domestic iron, steel, and/or manufactured goods;
(B) Unit of measure;
(C) Quantity;
(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H) A detailed justification of the reason for use of foreign iron, steel, and/or manufactured goods
cited in accordance with paragraph (b)(4) of this term and condition.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market and a
completed cost comparison table in the format in paragraph (d) of this term and condition.
(iii) The cost of iron, steel, or manufactured goods shall include all delivery costs to the construction site
and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have been obligated
for a project for construction, alteration, maintenance, or repair shall explain why the recipient could not
reasonably foresee the need for such determination and could not have requested the determination before the
funds were obligated. If the recipient does not submit a satisfactory explanation, the award official need not
make a determination.

39

(2) If the Federal government determines after funds have been obligated for a project for construction,
alteration, maintenance, or repair that an exception to section 1605 of the Recovery Act applies, the award
official will amend the award to allow use of the foreign iron, steel, and/or relevant manufactured goods. When
the basis for the exception is nonavailability or public interest, the amended award shall reflect adjustment of the
award amount, redistribution of budgeted funds, and/or other appropriate actions taken to cover costs associated
with acquiring or using the foreign iron, steel, and/or relevant manufactured goods.. When the basis for the
exception is the unreasonable cost of the domestic iron, steel, or manufactured goods, the award official shall
adjust the award amount or redistribute budgeted funds, as appropriate, by at least the differential established in
2 CFR 176.110(a).
(3) Unless the Federal Government determines that an exception to the section 1605 of the Recovery Act
applies, use of foreign iron, steel, and/or manufactured goods other than designated country iron, steel, and/or
manufactured goods is noncompliant with the applicable Act.
(d) Data. To permit evaluation of requests under paragraph (b) of this term and condition based on
unreasonable cost, the applicant shall include the following information and any applicable supporting
data based on the survey of suppliers: FOREIGN AND DOMESTIC ITEMS COST COMPARISON
Description
Unit of Measure
Quantity
Cost (Dollars)*
Item 1:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
Item 2:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
[List name, address, telephone number, email address, and contact for suppliers surveyed. Attach copy of
response; if oral, attach summary.]
[Include other applicable supporting information.]
[* Include all delivery costs to the construction site.]
33. 2 CFR §176.190 Award term- Wage Rate Requirements under Section 1606 of the Recovery
Act
(a) Section 1606 of the Recovery Act requires that all laborers and mechanics employed by contractors and
subcontractors on projects funded directly by or assisted in whole or in part by and through the Federal
Government pursuant to the Recovery Act shall be paid wages at rates not less than those prevailing on projects
of a character similar in the locality as determined by the Secretary of Labor in accordance with subchapter IV
of chapter 31 of title 40, United States Code.
Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.C. 3145, the Department of Labor has
issued regulations at 29 CFR Parts 1, 3, and 5 to implement the Davis-Bacon and related Acts. Regulations in 29
CFR 5.5 instruct agencies concerning application of the standard Davis-Bacon contract clauses set forth in that
section. Federal agencies providing grants, cooperative agreements, and loans under the Recovery Act shall
ensure that the standard Davis-Bacon contract clauses found in 29 CFR 5.5(a) are incorporated in any resultant
covered contracts that are in excess of $2,000 for construction, alteration or repair (including painting and
decorating).
(b) For additional guidance on the wage rate requirements of section 1606, contact your awarding agency.
Recipients of grants, cooperative agreements and loans should direct their initial inquiries concerning the
application of Davis-Bacon requirements to a particular federally assisted project to the Federal agency funding
the project. The Secretary of Labor retains final coverage authority under Reorganization Plan Number 14.

40

34. 2 CFR §176.210 Award term- Recovery Act Transactions listed in Schedule of Expenditures of
Federal Awards and Recipient Responsibilities for Informing Sub-recipients
(a) To maximize the transparency and accountability of funds authorized under the American Recovery and
Reinvestment Act of 2009 (Public Law 111-5)(Recovery Act) as required by Congress and in accordance with 2
CFR 215, subpart ___. 21 “Uniform Administrative Requirements for Grants and Agreements” and OMB A-102
Common Rules provisions, recipients agree to maintain records that identify adequately the source and
application of Recovery Act funds.
(b) For recipients covered by the Single Audit Act Amendments of 1996 and OMB Circular A-133, “Audits of
States, Local Governments, and Non-Profit Organizations,” recipients agree to separately identify the
expenditures for Federal awards under the Recovery Act on the Schedule of Expenditures of Federal Awards
(SEFA) and the Data Collection Form (SF-SAC) required by OMB Circular A-133. This shall be accomplished
by identifying expenditures for Federal awards made under Recovery Act separately on the SEFA, and as
separate rows under Item 9 of Part III on the SF-SAC by CFDA number, and inclusion of the prefix “ARRA-”
in identifying the name of the Federal program on the SEFA and as the first characters in Item 9d of Part III on
the SF-SAC.
(c) Recipients agree to separately identify to each sub-recipient, and document at the time of sub-award and at
the time of disbursement of funds, the Federal award number, CFDA number, and amount of Recovery Act
funds. When a recipient awards Recovery Act funds for an existing program, the information furnished to subrecipients shall distinguish the sub-awards of incremental Recovery Act funds from regular sub-awards under
the existing program.
(d) Recipients agree to require their sub-recipients to include on their SEFA information to specifically identify
Recovery Act funding similar to the requirements for the recipient SEFA described above. This information is
needed to allow the recipient to properly monitor sub-recipient expenditure of ARRA funds as well as oversight
by the Federal awarding agencies, Offices of Inspector General and the Government Accountability Office.
30. Other Standard Terms and Conditions
All other grant policy terms and conditions contained in applicable Department of the Interior Grant Policy
Statements apply unless they conflict or are superseded by the following terms and conditions implementing the
American Recovery and Reinvestment Act of 2009 (ARRA) requirements below. Recipients are responsible for
contacting their grant managers for any needed clarifications. Sub-awards include sub-grants and sub-contracts
issued from this award.

41

COST PRINCIPLES, AUDIT, AND ADMINISTRATIVE REQUIREMENTS
The Recipient shall be subject to the following OMB circulars and regulations, which are incorporated herein by
reference. Copies of these Circulars can be obtained from the Internet
at: http://www.whitehouse.gov/omb/circulars/index.html.
I. OMB Circulars and Regulations
A.

Educational Institutions
•
•
•

B.

2 CFR 220, Cost Principles for Educational Institutions (OMB Circular No. A-21)
OMB Circular No. A-110, Uniform Administrative Requirements for Grants and Other Agreements
with Institutions of Higher Education, hospitals, and Other Non-profit Organizations, as implemented
in 2 CFR 215 and 43 CFR Part 12, Subpart F.
OMB Circular No. A-133, Audits of States, Local Governments and Non-Profit Organizations, as
implemented in 43 CFR Part 12, Subpart A: Administrative and Audit Requirements and Cost
Principles for Assistance Programs

State and Local Governments
•
•
•

2 CFR 225, Cost Principles for State, Local, and Indian Tribal Governments (OMB Circular A-87)
OMB Circular A-102, Grants and Cooperative Agreements with State and Local Governments; as
implemented in 43 CFR Part 12, Subpart C
OMB Circular No. A-133, Audits of States, Local Governments and Non-Profit Organizations, as
implemented in 43 CFR Part 12, Subpart A: Administrative and Audit Requirements and Cost
Principles for Assistance Programs

II. ADDITIONAL REGULATIONS
This award is subject to the following additional Government-wide regulations:
(1) 2 CFR 180, Government Debarment and Suspension (Non-procurement)
(2) 2 CFR 1400, Department of the Interior Non-procurement Debarment and Suspension
This award is subject to the following additional regulations of the U.S. Department of the Interior:
(3)
(4)
(5)
(6)
(7)

43 CFR Part 12, Subpart E: Buy American Requirements for Assistance Programs
43 CFR Part 17, Subpart A: Nondiscrimination on the Basis of Race, Color, or National Origin
43 CFR Part 17, Subpart B: Nondiscrimination on the Basis of Handicap
43 CFR Part 17, Subpart C: Nondiscrimination on the Basis of Age
43 CFR Part 17, Subpart E: Enforcement of Nondiscrimination on the Basis of Handicap in Programs or
Activities Conducted by the Department of the Interior
(8) 43 CFR Part 18, New Restrictions on Lobbying
(9) 43 CFR Part 41, Nondiscrimination on the basis of sex in education programs or activities receiving
Federal financial assistance [Applies only if this award provides assistance to an education program or
student(s).]
(10) 43 CFR Part 43, Government-wide Requirements for Drug Free Workplace

42