Assistance to State Water Resources Research Institutes

Published on AidPage by IDILOGIC on Jun 24, 2005

Administered by:

US Federal Government Agency (see all agencies)
Department of the Interior , Geological Survey
CFDA #: 15.805

Purpose of this program:

To provide financial support to Water Resources Research Institutes located at designated State universities in each of the 50 States, Puerto Rico, the District of Columbia, Guam, the Virgin Islands, American Samoa, the Commonwealth of the Northern Mariana Islands, and the Federated States of Micronesia for research, information transfer and student training on one or more aspects of priority water problems.

Possible uses and use restrictions...

To provide the State institutes with funds to support a State and regional program of water resources research and information transfer. This may include basic or applied research, setting up conferences to discuss research needs or results, conduct of research, information dissemination, and training of students as a byproduct of research. In general the funds are used to study regional, State, or local water problems, but the results may often have national significance. Federal funds cannot be used for formal instructional activities and general education, and the cost of permanent buildings, either directly or indirectly.

Who is eligible to apply...

One University Water Research Institute is authorized in each State and other jurisdictions specified in Section 104. Other colleges and universities within a State are encouraged to participate in the program in cooperation with the designated institute.

Eligible Applicant Categories:
Eligible Functional Categories:

Proposed Research and Information Transfer Program application responsive to instructions issued by the U.S. Geological Survey.

Note:This is a brief description of the credentials or documentation required prior to, or along with, an application for assistance.

About this section:

This section indicates who can apply to the Federal government for assistance and the criteria the potential applicant must satisfy. For example, individuals may be eligible for research grants, and the criteria to be satisfied may be that they have a professional or scientific degree, 3 years of research experience, and be a citizen of the United States. Universities, medical schools, hospitals, or State and local governments may also be eligible. Where State governments are eligible, the type of State agency will be indicated (State welfare agency or State agency on aging) and the criteria that they must satisfy.

Certain federal programs (e.g., the Pell Grant program which provides grants to students) involve intermediate levels of application processing, i.e., applications are transmitted through colleges or universities that are neither the direct applicant nor the ultimate beneficiary. For these programs, the criteria that the intermediaries must satisfy are also indicated, along with intermediaries who are not eligible.

How to apply...

Application Procedure:

This program is subject to the provisions of OMB Circular No. A-110 and the Department of the Interior regulations at 43 CFR Part 401, Subpart C. State institutes must submit proposed annual programs on the Internet at, as required by the individual program announcement.

Note: Each program will indicate whether applications are to be submitted to the Federal headquarters, regional or local office, or to a State or local government office.

Award Procedure:

Geological Survey approves or rejects, in part or as a whole, the program submitted by each State institute. The State institutes are notified of any amendments necessary to obtain Geological Survey approval.

Note: Grant payments may be made by a letter of credit, advance by Treasury check, or reimbursement by Treasury check. Awards may be made by the headquarters office directly to the applicant, an agency field office, a regional office, or by an authorized county office. The assistance may pass through the initial applicant for further distribution by intermediate level applicants to groups or individuals in the private sector.

Deadlines and process...


For fiscal year 2004, applications under the formula grant portion must be filed on the Internet at not later than January 15, 2004. Applications under the competitive grant portion of the program must be filed on the Internet at not later than March 12, 2004.

Note: When available, this section indicates the deadlines for applications to the funding agency which will be stated in terms of the date(s) or between what dates the application should be received. When not available, applicants should contact the funding agency for deadline information.

Range of Approval/Disapproval Time

90 days.

Preapplication Coordination

Requires each Institute to collaborate with State interests in defining research priorities and to coordinate with other institutes in region to avoid duplication of effort. This program is excluded from coverage under E.O. 12372.

Note: This section indicates whether any prior coordination or approval is required with governmental or nongovernmental units prior to the submission of a formal application to the federal funding agency.


Deficiencies noted by the U.S. Geological Survey can normally be corrected by the State institutes.

Note: In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR).


Not Applicable.

Note: In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually.

Who can benefit...

Researchers at qualified universities and colleges in the State through the designated institute for the State.

About this section:

This section lists the ultimate beneficiaries of a program, the criteria they must satisfy and who specifically is not eligible. The applicant and beneficiary will generally be the same for programs that provide assistance directly from a Federal agency. However, financial assistance that passes through State or local governments will have different applicants and beneficiaries since the assistance is transmitted to private sector beneficiaries who are not obligated to request or apply for the assistance.

What types of assistance...

Formula Grants

Allocations of money to States or their subdivisions in accordance with distribution formulas prescribed by law or administrative regulation, for activities of a continuing nature not confined to a specific project.

Project Grants

The funding, for fixed or known periods, of specific projects. Project grants can include fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants.

How much financial aid...

Range and Average of Financial Assistance

$84,234 to $443,206.

Note: This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years.


(Grants) FY 03 $5,691,000; FY 04 est $6,210,000; and FY 05 est $0.

Note: The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. Obligations for non-financial assistance programs indicate the administrative expenses involved in the operation of a program.

Account Identification


Note: Note: This 11-digit budget account identification code represents the account which funds a particular program. This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government.

Examples of funded projects...

Examples include: Incorporation of Salinity in Evaluating Water Availability; Non-point Source Runoff and Water Quality in a Rapidly Growing Urban Watershed; Impacts of Flow Regime on Ecosystem Processes in the Apalachicola-Chattahoochee-Flint River Basin; Effects of Grazing Management on Sediment and Phosphorus Losses from Pastures; Phosphorus Source/Sink Dynamics in a Flood- Irrigated Agricultural System; and Fecal Coliform Concentrations in Runoff from Fields with Applied Dairy Manure. Descriptions of projects funded recently are provided on the Internet at

About this section

This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects.

Program accomplishments...

In fiscal years 2003 and 2004, 54 applications were received and approved under the formula grant portion of the program. In fiscal year 2003, approximately 75 applications were received under the competitive grant portion of the program and 6 grants were awarded; it is estimated that approximately the same number of applications will be received and awards issued in fiscal year 2004.

Criteria for selecting proposals...

Relevance to announced priorities, technical merit, prospect of attaining objectives in period specified and potential for student training.

Assistance considerations...

Length and Time Phasing of Assistance

Assistance is on fiscal year basis. Payments are advanced at least quarterly upon application and consistent with Financial Plan submitted previously by institute for use of grant.

Formula and Matching Requirements

Amount to each State Water Research Institute under the formula grant is on a basis of one Federal share to not less than two nonfederal shares for fiscal year 2004. Competitive matching grants are on the basis of one federal share to not less than one nonfederal share for fiscal year 2004. Of the total, $5.2 million will be awarded on a noncompetitive basis under an existing formula grant portion of the program. The remaining $1.0 million will be awarded on a competitive basis.

A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Attachment F of OMB Circular No. A-102 (Office of Management and Budget) sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans.

Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution.

In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefiting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution.

Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds.

Post assistance requirements...


Each State institute makes a final report on accomplishments with grant, including synopses of research projects.

Note: This section indicates whether program reports, expenditure reports, cash reports or performance monitoring are required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished.


Applicants agree to give the sponsoring agency, the Comptroller General or other authorized audit agency access to and the right to examine records related to the award. Awards to educational institutions and nonprofit organizations are subject to the audit requirements of OMB Circular No. A-110, or superseding regulations. In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations", nonfederal entities that receive financial assistance of $500,000 or more in Federal awards will have a single or a program- specific audit conducted for that year. Nonfederal entities that expend less than $500,000 or more in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.

Note: This section discusses audits required by the Federal agency. The procedures and requirements for State and local governments and nonprofit entities are set forth in OMB Circular No. A-133. These requirements pertain to awards made within the respective State's fiscal year - not the Federal fiscal year, as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period, rather than that commonly known as the Federal fiscal year (from October 1st through September 30th).


Directors of the State institutes are responsible for conduct of programs and maintaining books and records reflecting financial and technical transactions of the program. Records shall be retained and made available for audit for three years after allottee's last disbursement of funds.

Note: This section indicates the record retention requirements and the type of records the Federal agency may require. Not included are the normally imposed requirements of the General Accounting Office. For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C. For other programs, record retention is governed by the funding agency's requirements.



Water Resources Research Act of 1984, Section 104, Public Law 98-242 as amended, 42 U.S.C. 10301 et seq.

Note: This section lists the legal authority upon which a program is based (acts, amendments to acts, Public Law numbers, titles, sections, Statute Codes, citations to the U.S. Code, Executive Orders, Presidential Reorganization Plans, and Memoranda from an agency head).

Regulations, Guidelines, And Literature

Rule, 30 CFR Part 401, 50 FR 27203, June 7, 1993; U.S. Geological Survey Request for Applications under the Water Resources Research Institute Grant Program (Section 104), Announcement 01HQPA0010, October 2001, and Competitive Grant Program (Section 104g) Announcement 02HQPA0003, November 2003, at

Contact information...

Web Sites
Regional Or Local Office


Note: This section lists the agency contact person, address and telephone number of the Federal Regional or Local Office(s) to be contacted for detailed information regarding a program such as: (1) current availability of funds and the likelihood of receiving assistance within a given period; (2) pre-application and application forms required; (3) whether a pre-application conference is recommended; (4) assistance available in preparation of applications; (5) whether funding decisions are made at the headquarters, regional or local level; (6) application renewal procedures (including continuations and supplementals) or appeal procedures for rejected applications; and (7) recently published program guidelines and material. However, for most federal programs, this section will instruct the reader to consult the so-called Appendix IV of the Catalog due to the large volume of Regional and Local Office Contacts for most agencies. This information is provided in Additional Contact Information (see below).

Headquarters Office

Department of the Interior, Geological Survey, MS 424 National Center, Reston, VA 20192. Contact: John Schefter, Chief, Office of External Research. Telephone: (703) 648- 6800. Fax: (703) 648-5070. Email:

Note: This section lists names and addresses of the office at the headquarters level with direct operational responsibility for managing a program. A telephone number is provided in cases where a Regional or Local Office is not normally able to answer detailed inquiries concerning a program. Also listed are the name(s) and telephone number(s) of the information contact person(s) who can provide additional program information to applicants.

Additional Contact Information (Appendix IV)

Due to the large volume of regional and local office contacts for most agencies, full contact information is also provided separately here in a PDF format: