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(d) Names of other colleges or universities, if any, within the State with which arrangements have been made for their participation in the work of the institute, with indication of the nature and extent of such participation and an explanation of the arrangements by which such participation becomes a part of the work of the institute, and an acknowledgment of the institute's responsibility for planning, work performance, and reporting for the entire program of the institute.

(e) Evidence that the institute has, or may reasonably be expected to have, the capability of doing effective work in one or more of the various water resources research activities contemplated by the Act, which evidence shall include:

(1) The proposed general plan of operation of the institute showing its organization and a summary of the institute program activities, by project or other appropriate headings, which includes information concerning the substantive character and the anticipated magnitude, in man-years, of proposed activities.

(2) Description of facilities to be utilized.

(3) A list of staff personnel with specific details as to academic and professional training, research experience, and other pertinent qualifications, and the time they will devote to research, training, or other activities of the institute.

(4) The money, facilities, services, property, and other contributions, from sources other than the annual allotment of Federal funds, that will be available to the institute in the initial fiscal year.

(f) Evidence that the institute is giving due regard to:

(1) Water research projects being conducted (or supported) by agencies of the Federal and State governments, the agricultural experiment stations, and others,

(2) Avoidance of any undue displacement of scientists elsewhere engaged in water resources research,

(3) Water resources conditions and needs of the State (or States, in the case of a regional institute) as ascertained by consultation with appropriate State officials and by other means.

(4) Advice and assistance as provided by the Director pursuant to Section 104 of the Act and section 501.2 of this chapter, and

(5) Coordination of its program with programs of other institutes and agencies.

(g) A statement that the institute is willing to enter into an agreement, in a form approved by the Secretary and the Attorney General, that all information, uses, products, processes, patents, and other developments resulting from any scientific or technological research or development activity financed with funds supplied pursuant to the Act will (with such exceptions and limitations as the Secretary may determine, after consultation with the Secretary of Defense, to be necessary in the interest of the national defense) be made freely and fully available to the general public.

(h) A financial plan relating expenditures to scheduled activity and rate of effort to be expended, and indicating the times at which there will be need for specified amounts of allotted Federal funds.

(i) An appropriate "Notice of Research Project," and supplementary documentation as may be requested by the Director, for each separately identifiable research project the institute proposes to undertake during the year, for submission, when the allotment is approved, to the Science Information Exchange for publication in a catalog of water resources research, 8 502.2 Allotments after first fiscal

year. After the first fiscal year, in order to obtain an allotment, an institute should submit to the Director a request (in six copies) containing the following information:

(a) All amendments, deletions, and additions to previously submitted information that are necessary to make it currently applicable,

(b) Evidence that all reports due under Part 506 of this chapter have been submitted,

(c) Evidence that any moneys received by the institute under the Act that have been found by the Director to have been improperly diminished, lost, or misapplied have been replaced, and safeguards have been established by the institute that will assure proper handling of funds received under the Act in the future,

(d) An outline explaining any changes in its program the institute plans to make during the forthcoming fiscal year,

(e) A financial plan relating expendi- (b) Definition of funds eligible for tures to scheduled activity and rate of matching. Non-Federal funds which effort to be expended, and indicating the may be used to match a grant of Federal times at which there will be need for funds, on not less than a dollar-for-dolspecified amounts of allotted Federal lar basis, are those that have been or will funds,

be made available to an institute by State nce that the institute's pro

or other non-Federal sources during the gram is effective and is giving due regard

duration of the project for which the to:

grant is sought to meet the necessary (1) Water research projects being

expenses of a specific water resources re

search project, including the expenses of conducted (or supported) by agencies of the Federal and State governments,

planning and coordinating regional

water resources projects by two or more the agricultural experiment stations, and

institutes. The fair value of services, others,

facilities, property, or other contribu(2) Avoidance of any undue displace- tions supplied from non-Federal sources, ment, of scientists elsewhere engaged in but excluding the cost of permanent water resources research,

buildings, may also be included. Title (3) Water resources conditions and requirements for property purchased needs of the State (or States, in the case

with non-Federal funds and used to of a regional institute) as ascertained by

match grants under the Act are set forth consultation with appropriate State offi

in section 505.5 of this chapter. cials and by other means,

(c) Information required with appli

cation. (4) Advice and assistance as provided

Applications for matching

grants shall be in the form of proposals by the Director pursuant to Section 104

to undertake specific water resources reof the Act and Section 501.2 of this chap

search projects. Such proposals shall ter, and

set forth for each project (5) Coordination of its program with (1) The nature and scope of the projprograms of other institutes and ect to be undertaken, agencies.

(2) The period during which it will be

pursued, PART 503-APPLICATIONS FOR (3) The name and qualifications of the

GRANTS, CONTRACTS, MATCHING person who will direct the project,
OR OTHER ARRANGEMENTS

(4) The number and general qualifi

cations of the personnel who will work on Sec.

the project, with the name, education, 503.1 Applications by institutes for grants

experience, and accomplishments of the of matching funds for specific projects.

principal scientist who will be assigned to 503.2 Applications for research grants, con

it, tracts, matching or other arrange

(5) The location or locations at which ments by entities other than insti- the project will be pursued, tutes.

(6) The importance of the project to AUTHORITY: The provisions of this part 503 the water economy of the Nation, the issued under sec. 104, 78 Stat. 331; 42 U.S.C. region and the State concerned, 1961a-4.

(7) The relation of the project to the SOURCE: The provisions of this Part 503 over-all program of the institute, appear at 29 F.R. 16189, Dec. 3, 1964, unless (8) The relation of the project to otherwise noted.

other known research projects thereto§ 503.1 Applications by institutes for

fore pursued or currently being pursued grants of matching funds for specific

by the institute and by others (including projects.

but not limited to projects listed by the

Science Information Exchange), (a) Manner of submission. An appli

(9) The extent to which the project cation for a matching grant under sec

will provide opportuntiy for the training tion 101 of the Act for a specific water of scientists, resources research project should be sub- (10) A financial plan setting forth mitted by an institute in 15 copies to the cash requirements, subdivided between Director, Office of Water Resources Re- grant and non-Federal fundssearch, Department of the Interior, (i) For each quarter of the first fiscal Washington, D.C., 20240.

year, and

(ii) For each subsequent fiscal year chapter, individuals and organizations during the proposed life of the project, other than an institute established under

(11) The facilities that will be devoted Title I of the Act and the educational to the project,

institution with which the institute is (12) The salient points of the plan identified are eligible to apply for Federal that will be followed in pursuing the funds under section 200 of the Act to project, including a financial plan in assist them in undertaking research into which expenditures are related to activity any aspects of water problems related and rate of effort to be expended,

to the mission of the Department of the (13) The intended method of publish- Interior that are not otherwise being ing the results of the project on a timely studied. basis,

(b) Manner of submission. An appli(14) The basis for a determination cation should be submitted in 15 copies that the project could not be undertaken to the Director, Office of Water Resources without the grant for which application Research, Department of the Interior, is made,

Washington, D.C. 20240. A separate (15) Evidence that all reports due application must be submitted for each under Part 506 of this chapter have been project. If an application is signed by submitted,

an authorized representative of an ap(16) The names of other colleges or plicant, evidence of the authority of the universities, if any, within the State with representative must be attached. which arrangements have been made for

(c) Information required with applitheir participation in the project, with

cation. (1) If the applicant is an indiindication of the nature and extent of

vidual, the application should include a such participation, an explanation of statement in reasonable detail of his the arrangements by which such partici

education, experience, accomplishments, pation becomes a part of the work of the

and special qualifications for conducting Institute, and an acknowledgment of the

the project for which application is beInstitute's responsibility for the planning, ing made. work performance, and reporting for the

(2) If the applicant is an organization, entire project.

the application should include a state(17) Assurance that, if the grant is

ment as to its nature, officers, principal made, the required matching funds from

business, experience, and special qualinon-Federal sources will be forthcoming,

fications for conducting the project for and

which application is being made. (18) Information as to whether the

(3) Each application shall also set project has been or will be submitted to

forth the information specified in paraorganizations other than the Office of

graphs (c) and (d) of $ 503.1 to the Water Resources Research for the pur

extent applicable. (There is no requirepose of obtaining a contract or grant,

ment that matching funds be supplied with the names of any such organizations. Similar information, with the

from non-Federal sources in order to part (or parts) of the project appropri

receive assistance under section 200 of ately identified, shall be provided when

the Act.) only a part (or parts) of the project has been or will be submitted to another PART 504_APPROVAL OF ALLOTorganization.

MENTS AND APPLICATIONS (d) Additional requirement. There

Sec. must be attached to the application an

504.1 Return of defective submissions. gppropriate “Notice of Research Project”,

504.2 Approval of initial allotments to and supplementary documentation infor

institutes. mation as may be requested by the Direc- 504.3 Approval of allotments to institutes tor, for submission, if the ct is

after the year. approved, to the Science Information 504.4 Approval of grants to institutes of Exchange for publication in a catalog of

matching funds for specific proj. water resources research.

ects.

504.5 Approval of grants to, and contracts. § 503.2 Applications for research grants,

matching other arrangements contracts, matching or other arrange

with, entities other than institutes ments by entities other than insti.

established pursuant to the Act. tutes.

AUTHORITY: The provisions of this part 504 (a) Eligible applicants. As provided issued under sec. 104, 78 Stat. 331; 42 U.S.C. in paragraph (b) of $ 501.7 of this 1961a-4.

or

SOURCE: The provisions of this part 504 8 504.3 Approval of allotments to insti. appear at 29 F.R. 16190, Dec. 3, 1964, unless

tutes after the first year. otherwise noted.

(a) Each fiscal year after the first, the $ 504.) Return of defective submissions. Director will approve an allotment to an

institute when he has determined that (a) Upon receipt of a request for ap

the instituteproval of an allotment or upon receipt of an application for a grant, contract,

(1) Has, since receiving its preceding

allotinent, undergone no changes in its matching or other arrangement pursuant

form of organization, finances, and plan to the Act, the Director shall determine

of operation that disqualify it for an alwhether the submission conforms to the

lotment pursuant to section 100 of the requirements of Part 502 or Part 503 of Act, this chapter as appropriate. Non-con- (2) Has submitted, in satisfactory forming submissions will be returned form, all reports required in Part 506 of with statements of the reasons for their

this chapter, return.

(3) Is committed to a program of work

and a plan of operation that conform to § 504.2 Approval of initial allotments

the provisions of section 100 of the Act to institutes.

and provide for activities that will not (a) The Director will approve the duplicate established water research initial allotment to an institute when

programs, he has determined that the institute

(4) Is engaged in, and is committed to, (1) Has been organized in conformity

a program of research, investigations,

and experiments and the training of sciwith subsection 100(a) of the Act,

entists through such activities that rep(2) Has, or may reasonably be ex

resent competent and effective work of pected to have, the capability of doing

the types and in the manner provided for effective work under the Act.

in the Act, (3) Is committed to a program of work (5) Has properly accounted for all and a plan of operation that conform funds received pursuant to the Act and, with the provisions of the Act and pro- ii the Director has determined that any vide for activities that will not duplicate portion ci such funds were improperly established water research programs,

diminished, losi, or misapplied, has reand

placed them and supplied evidence that (4) Has a financial plan in which pro

it has instituted safeguards that will as

sure proper handling of funds received posed expenditures have a reasonable re

under the Act in the future, and lationship to the probable value of the

(6) Has a financial plan in which proresults of the institute's activities.

posed expenditures have a reasonable re(b) When the Director has determined

lationship to the probable value of the that the initial allotment should be made

results of the institute's activities. to an institute, he will draft and sign a (b) In evaluating the plans of an inproposed continuing agreement setting stitute, the Director will give due regard forth the general terms and conditions to the varying conditions and needs of of allotments, and forward five copies of the respective States. it to the institute. The institute shall

(c) The Director will draft, sign, and sign and return to the Director three

forward to the institute five copies of an copies of the continuing agreement.

annual allotment agreement. The instiSuch continuing agreement will also

tute shall sign and return to the Director

three copies of the annual allotment apply to grants to institutes of matching

agreement. funds for specific projects, pursuant to section 101 of the Act, if such grants are

$ 504.4 Approval of grants to institutes approved by the Director.

of matching funds for specific proj.

ects. (c) The Director will also draft, sign,

(a) The Director will approve an inand forward to the institute five copies

stitute's application for a matching-fund of an annual allotment agreement cover

grant under section 101 of the Act to ing the initial annual allotment. The

assist in financing a specific project after institute shall sign and return to the determining thatDirector three copies of the annual allot- (1) The applicant is a qualified inment agreement.

stitute,

(2) Satisfactory assurance has been educational institution identified with furnished that funds from non-Federal such an institute, that has qualifications sources that will be devoted to the project to perform work contemplated by section will equal or exceed the amount of the 200 of the Act, proposed matching grant, and

(b) The proposal was properly signed (3) The proposed project is deserving by the applicant or its duly authorized of approval on the basis of its over-all agent, merits, including consideration of

(c) The work to be undertaken rep(1) The need for the knowledge it is resents research into aspects of water expected to produce when completed, problems related to the mission of the

(ii) The opportunity it provides for Department of the Interior, the training of scientists,

(d) Such research is desirable and (iii) The probability that it will be covers aspects of water problems not pursued with competence and completed otherwise being studied, within a reasonable time,

(e) A reasonable relationship exists (iv) The relationship between the between the cost to the Government and amount of the grant and the probable re- the probable results to be achieved, and sults to be achieved,

(f) The applica has expressed a will(v) Freedom from unnecessary dupli- ingness to enter into a research project cation of work being performed by agreement acceptable to the Director. others, and (vi) Evidence that the proposed proj

PART 505- FISCAL AND ect could not be undertaken without the

ACCOUNTING aid of the requested grant.

Sec. (b) When the Director has determined

505.1 Procedure for obtaining payments. that a matching grant should be made 505.2 Cost computaton principles. to an institute for a matching fund 505.3 Capital and related expenditures. project, and if the institute has not 505.4 Credits against cost and repayments previously executed the proposed con

to the Government.

505.5 Title to property. tinuing agreement required by paragraph

505.6 Accounting records. (b) of $ 504.2, he will forward such proposed continuing agreement to the AUTHORITY: The provisions of this part institute for execution. The Director 505 issued under sec. 104, 78 Stat. 331; 42

U.S.C. 1961a-4. will also draft and sign a proposed matching grant agreement and forward SOURCE: The provisions of this part 505 apfive copies of it to the institute. The pear at 29 F.R. 16191, Dec. 3, 1964, unless

otherwise noted. institute shall sign and return three copies of the proposed matching grant

§ 505.1

Procedure for obtaining pay. agreement, and, if one is submitted, three

ments. copies of the continuing agreement.

(a) Allotments. (1) After the Direc(c) If the proposed matching grant

tor has determined that an institute's agreement, together with the continuing

qualifications and plans are acceptable, agreement if not previously executed, is

and after the applicable agreements renot formally signed by the institute and

quired by paragraphs (b) and (c) of returned to the Director within 30 days,

$ 504.2 of this chapter and paragraph (c) the proposed matching grant agreement

of $ 504.3 of this chapter have been exemay be withdrawn by the Director.

cuted, he will provide the institute with 8 504.5 Approval of grants to, and con- public vouchers that it may sign and retracts, matching or other arrange

turn for certification by the Director ments with, entities other than insti.

and payment. Each voucher will be in tutes established pursuant to the Act.

five copies. Two copies may be retained The Director may approve proposals

by the institute; three must be returned submitted under section 200 of the Act

to the Director. and $ 503.2 of this chapter after deter

(2) The amounts and dates of such mining that, (a) The applicant for such grant, con

vouchers will be those that the Director tract, matching or other arrangement is,

decides, on the basis of the financial plan as provided in paragraph (b) of $ 501.7

and reports the institute has submitted, of this chapter, a bona fide individual will provide funds as they are needed by or organization, other than an institute the institute to liquidate the liabilities established pursuant to the Act or the it expects to incur.

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