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CHAPTER IV—OFFICE OF WATER
Part 501 502 503
504 505 506 507 508
Applications for grants, contracts, matching or other arrangements...................................................
Approval of allotments and applications..................
(a) The Office of Water Resources Research has been established as a component of the Department of the Interior. It reports to the Secretary of the Interior and is administered by a Director.
(b) The Secretary has delegated to the Director authority to take the actions and make the determinations that, under the Act, are the responsibility of the Secretary, except for determinations under section 303 of the Act, the issuance of regulations, reporting to the President, and reporting to the Congress. The Director has redelegated to the Associate Director the authority of the Director, to be exercised under his general administrative direction.
§ 501.3 Definition of terms.
As used in this chapter, the term—
(a) “Act” means the Water ReSources Research Act of 1964 (Public Law 88–379),
(b) “Allotment” means the funds made available to an institute in a particular fiscal year pursuant to section
100 of the Act and the regulations in this chapter, (c) “Director” means the Director, Office of Water Resources Research, (d) “Fiscal year” means a twelvemonth period ending on June 30, (e) “Institute” means a Water resources research institute, center, or equivalent agency established in accordance with provisions of Title I of the Act, (f) “Scientists” including individuals in any professional discipline including individuals in the life, physical, or social Sciences, and engineers. (g) “Secretary” means the Secretary of the Interior or his authorized representative, and (h) “State” includes each of the fifty States, and Puerto Rico.
§ 501.4 Allotments to institutes.
(a) Subject to the availability of appropriated funds, an allotment of $75,000 in the first fiscal year, $87,500 in each of the Second and third fiscal years, and $100,000 in each fiscal year thereafter will be available to each State to assist in establishing and carrying on the work of an institute. (b) An institute must be identified with a college or university in a State, unless two or more States cooperate in the designation of a single interstate or regional institute, in which event the sums assignable to all of the cooperating States shall be paid to such inStitute. (c) An institute, as authorized by appropriate State authority, may, and is encouraged to, arrange with other colleges and universities within the State to participate in the institute's work. Such participation will not make the other colleges and universities ineligible for assistance under section 200 of the Act. (d) Prior to receiving an allotment, each institute must meet certain qualifications prescribed in the Act and the regulations in this chapter.
§ 501.5 Programs of institutes.
(a) It shall be the duty of each institute to plan and conduct or arrange for a component or components of the college or university with which it is identified to conduct—
(1) Competent research, investigations, and experiments of either a basic or practical nature, or both, in relation to water resources, and (2) Training of Scientists through such research, investigations, and experiments. (b) Such research, investigations, experiments, and training may include, without being limited to: (1) Aspects of the hydrologic cycle, (2) Supply and demand for Water, (3) Conservation and best use of available supplies of water, (4) Methods of increasing Such Supplies, and (5) Economic, legal, social, engineering, recreational, biological, geographic, ecological, and other aspects of water problems. (c) Institutes shall give due regard to: (1) The varying conditions and needs of the respective States, (2) Water research projects being conducted (or supported) by agencies of the Federal and State governments, the agricultural experiment stations, and others, (3) Advice and assistance as provided by the Director pursuant to section 104 of the Act, (4) Coordination of their programs with programs of other institutes and agencies, and (5) Avoidance of any undue displacement of Scientists elsewhere engaged in water resources research. (d) An institute may also plan for research, investigations, and experiments to be conducted as part of the institute's program at colleges and universities other than the college or university with which the institute is identified. For purposes of financial management, reporting, and other research program management and administration activities, the institute shall be responsible for performance of the activities of other participating colleges and universities. The activities of participating colleges and universities must meet all of the requirements (such as scope of work, qualifications, coordination with other research) that are applicable to other portions of an institute's program.
§ 501.6 Grants to institutes of matching funds for specific projects.
(a) Section 101 of the Act provides for grants to institutes with the condition that such grants be matched on not less than a dollar-for-dollar basis with funds from States or other nonFederal sources. Appropriations are authorized in the following amounts:
Fiscal year Amount 1965....“ $1,000,000 ..., 2,000,000
3,000,000 ..., 4,000,000 1969 and each following year..................... 5,000,000
(b) Subject to the availability of appropriations, such matching grants may be made to provide funds to meet the necessary expenses of specific water resources research projects, including the expenses of planning and coordinating regional Water resources research projects by two or more institutes, if the projects for which such grants are sought—
(1) Could not otherwise be undertaken were it not for the Federal grant, and
(2) Are approved by the Director on the basis of—
(i) Merit of the project,
(ii) Need for the knowledge it is expected to produce when completed, and
(iii) The opportunity it provides for the training of scientists.
§ 501.7 Grants to, and contracts, matching or other arrangements with entities other than institutes.
(a) Grants, contracts, matching or other arrangements may be made, pursuant to section 200 of the Act, for research into any aspects of water problems related to the mission of the Department of the Interior that are not otherwise being studied, when such research is deemed desirable by the Director. (b) Subject to the availability of appropriated funds, such grants may be made to, or contracts, matching or other arrangements made with, any of the following: (1) Educational institutions (other than those establishing institutes under Title I of the Act), (2) Private foundations,
(3) Other institutions, (4) Private firms, (5) Individuals, (6) Local government agencies, (7) State government agencies, or (8) Federal Government agencies.
PART 502_REQUESTS FOR ALLOTMENTS TO INSTITUTES
AUTHORITY: Sec. 104, 78 Stat. 331; 42 U.S.C. 1961a-4.
SOURCE: 29 FR 16189, Dec. 3, 1964, unless otherwise noted.
8 502.1 Initial allotment.
In order to obtain an initial allotment, an institute should submit to the Director, Office of Water Resources Research, Department of the Interior, Washington, D.C., 20240, a request (in six copies) containing the following information:
(a) Evidence that the institute conforms to the requirements of subsection 100(a) of the Act in that
(1) The institute has been established at the college or university in the State that was established in accordance with the Act of July 2, 1862 (12 Stat. 503) or, if established at some other institution, the institute is at a college or university that has been designated by act of the legislature of the State for the purposes of section 100 of the Act, or
(2) If there is in the State more than one college or university established in accordance with the Act of July 2, 1862 and no designation has been made by act of the legislature of the State for the purposes of section 100 of the Act, the institute has been established at the one such college or university designated by the Governor of the State to receive the allotment, or
(3) The institute has been designated as an interstate or regional institute by two or more states in cooperation as provided by section 100 of the Act.
(b) Evidence of the appointment by the governing authority of the institute of an officer to receive and ac
count for all funds paid under the provisions of the Act and to make annual reports to the Director on work accomplished and the status of projects under way, together with a detailed statement of the amounts received under any provision of the Act during the preceding fiscal year, and of its disbursement, on schedules prescribed by the Secretary.
(c) Evidence that the institute has plans for, and will conduct or arrange for a component or components of the college or university with which it is identified to conduct
(1) Competent research, investigations, and experiments of either a basic or practical nature, or both, in relation to water resources, and
(2) The training of scientists through such research, investigations, and experiments.
(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.
§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 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. (f) Evidence that the institute's program is effective and 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