Title : FDP-USDA Specific Requirements Type : Grant Conditions NSF Org: OD / LPA Date : October 25, 1995 File : fdpusda COOPERATIVE STATE RESEARCH, EDUCATION, AND EXTENSION SERVICE U.S. DEPARTMENT OF AGRICULTURE SPECIAL TERMS AND CONDITIONS FEDERAL DEMONSTRATION PROJECT TABLE OF CONTENTS Article Subject 1. Applicability, Definitions, and CSREES Contact Persons 2. Terms and Conditions and Modifications 3. Unallowable Costs 4. Current Research Information System (CRIS) Requirements (Forms AD-416 & AD-417) 5. Payments 6. Financial Reporting 7. Performance Monitoring 8. Subcontractual Arrangements 9. Indirect Cost Recovery 10. Project-related Income 11. Cost Participation 12. Research Conference/Workshop Requirements 13. Other Administrative Changes 14. No-cost Extensions of Time 15. Certification of Non-Delinquency 16. Certification Regarding Drug-free Workplace Requirements (Grants) 17. Debarment or Suspension Requirements 18. Certification Regarding Lobbying 19. Genome Map and Sequence Data Disclosure 20. Release of Information 21. Federal Participation Disclosure 22. National Environmental Policy Act (NEPA) 23. Maximum Obligation of CSREES 24. Grant Closeout 25. Use of American-made Equipment or Products 1. APPLICABILITY, DEFINITIONS, AND CSREES CONTACT PERSONS a. Applicability. The terms and conditions contained herein apply to research and research conference grants awarded to those organizations or institutions and units thereof by the Cooperative State Research, Education, and Extension Service (CSREES), U.S. Department of Agriculture (USDA), that are participating in the Federal Demonstration Project Agreement. For purposes of CSREES awards, these terms and conditions are further limited to those awards made under the following statutory authorities: (1) Sec. 2(b) of the Act of August 4, 1965, as amended (Pub. L. No. 89-106) - National Competitive Research Initiative Grants Program (formerly the Competitive Research Grants Program). (2) Sec. 2(c)(1)(A) of the Act of August 4, 1965, as amended (Pub. L. No. 89-106) - Special Research Grants Program. (This was formerly Sec. 2(c)(1) of the Act.) (3) Sec. 2(c)(1)(B) of the Act of August 4, 1965, as amended (Pub. L. No. 89-106) - Special Research Grants Program. (This was formerly Sec. 2(c)(2) of the Act.) (4) Sec. 1480 of the National Agricultural Research, Extension, and Teaching Policy Act of 1977, as amended (Pub. L. No. 95-113) - Rangeland Research Grants Program. (5) Sec. 1668 of the Food, Agriculture, Conservation, and Trade Act of 1990 (Pub. L. No. 101-624) - Biotechnology Risk Assessment Research Grants Program. The statutory authority under which this grant is awarded is stated in Block 16 of Form S&E-451, "Agreement Face Sheet." b. Definitions. As used herein, the following terms shall have the meanings set forth below: (1) Authorized Departmental Officer - the individual, acting within the scope of delegated authority, who is responsible for awarding and administering grants on behalf of the U.S. Department of Agriculture. (2) Authorized Organizational Representative - the individual who is authorized to commit the grantee's time and other resources to the project, to commit the grantee to comply with the terms and conditions of the grant award instrument including those set out herein, and to otherwise act for or on behalf of the grantee institution or organization. (3) Fixed Equipment - any piece of property which, when installed in a facility for continuing use in connection with the facility, is considered a permanent part of the facility and cannot be reasonably removed without affecting the structural integrity of the facility, including its utility or ventilation systems. To be considered as fixed equipment, the item must be capitalized as part of the facility to which it is attached and must have a life span reasonably consistent with the expected life of the facility. Further, if the facility were to be sold or otherwise disposed of, such equipment would be sold or otherwise disposed of as part of the facility. (The simple connection of electric power by plugging a piece of equipment into the facility's electrical system, or the temporary attachment of equipment to a utility system does not qualify the item as fixed equipment. Fixed equipment must be installed with hard connections.) Examples include, but are not limited to, elevators, boilers, and furnaces; plumbing, electrical, heating-ventilating-airconditioning (HVAC), and refrigeration systems; and specialized items such as cage washers, laboratory casework, some growth chambers, and certain other large, specialized equipment meeting this definition. c. CSREES Contact Person. Except as otherwise noted, questions relating to programmatic and administrative aspects of this grant should be referred to the appropriate contact person whose name and telephone number appears in Block 4 of Form S&E-451, "Agreement Face Sheet." 2. TERMS AND CONDITIONS AND MODIFICATIONS This grant is awarded in accordance with the Federal Demonstration Project Agreement, effective October 1, 1988, and, except as otherwise specified in these special terms and conditions, is subject to the General Terms and Conditions, Attachment No. 1, and the USDA Agency-specific Conditions, Attachment No. 2. The following modifications to the General Terms and Conditions apply to the award of this grant: a. Identification of Agency officials. (1) The Authorized Departmental Officer (identified in Article 1.b.(1) above) is the official to be notified under the circumstances described in Articles 1.d., 3.d., 5, 6, 12, 14.a., and 15 of the General Terms and Conditions. (2) The Authorized Departmental Officer's Designated Representative (referred to herein and on Form S&E-451 as the programmatic contact person) is the official to be notified under the circumstances noted in Articles 7.b., 9.(1), 10.b., and 26.d.(3) of the General Terms and Conditions. (3) The USDA point of contact referenced in Article 23.a.(5) of the General Terms and Conditions for communications regarding patents and inventions is: Deputy Assistant General Counsel for Patents Research and Operations Division Office of the General Counsel, USDA Room 2332, South Building 14th and Independence Avenue, S.W. Washington, D.C. 20250-1400 Disclosure statements pursuant to 37 CFR Part 401.14(c) shall be made through the Authorized Departmental Officer to: Coordinator, National Patent Program Agricultural Research Service, USDA Room 401, Building 005, BARC-West Beltsville, Maryland 20705 Practice statements pursuant to 37 CFR Part 401.14(h) shall be made to the Patent Coordinator, National Patent Program listed above. b. Inventions and Copyrights. Inventions is defined at 37 CFR Part 401.14(a)(1). This includes new gene maps or sequences. The copyright provisions of 7 CFR Part 3015.175(b) are incorporated by reference. c. Pre-award Costs and Extensions Without Additional Funds. Articles 14 and 15 of the General Terms and Conditions are modified to include: The award period stated in the grant instrument may be extended and pre-award costs incurred as provided in these articles, subject to the following restrictions: The maximum potential award period for this grant may not exceed five years. The award period shall commence on the effective date cited in the grant instrument; however, if the grantee has elected to charge allowable pre-award costs under this grant, the award period will commence, for purposes of determining the beginning of the maximum potential five-year award period, on the date the first pre-award cost is incurred. d. Equipment and Real Property and Alteration and Renovation. Articles 16 and 17.a. of the General Terms and Conditions are modified as follows: No funds awarded under the authorities of Sec. 2(b), 2(c)(1)(A), and 2(c)(1)(B) of Pub. L. No. 89-106, as amended, may be used for the renovation or refurbishment of research spaces; the purchase or installation of fixed equipment in such spaces; or for the planning, repair, rehabilitation, acquisition, or construction of a building or facility. e. Alteration and Renovation. The reference in Article 17.b. of the General Terms and Conditions to recipient and awarding agency compliance with the Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151 et seq.) and Sec. 502 of the Rehabilitation Act of 1973, as amended (29 U.S.C. Sec. 792) do not apply to this grant. 3. UNALLOWABLE COSTS In addition to any other costs which have been determined to be unallowable under the terms and conditions herein set forth, the following costs are unallowable under this grant unless otherwise permitted by law or approved in writing by the Authorized Departmental Officer in advance of incurring such costs: a. Costs incurred after the expiration date of the grant (including any approved no-cost extensions of time). However, grant funds may be expended after the expiration date to liquidate legitimate obligations incurred by the grantee on or before the expiration date; b. Indirect costs and tuition remission costs if this grant is awarded under the authority of Sec. 2(c)(1)(B) of Pub. L. No. 89-106, as amended or Sec. 1480 of Pub. L. No. 95-113, as amended. This limitation also applies to subawards made under grants subject to either of these authorities; c. Entertainment costs, regardless of their apparent relationship to project objectives; d. Compensation for injuries to persons or damage to property arising out of project activities; e. Consulting services performed by a Federal employee during official duty hours when such consulting services result in the payment of additional compensation to the employee; f. Section 712 of the Fiscal Year 1995 Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act (Pub. L. No. 103-330) limits the availability of funds appropriated by the Act for the payment of indirect costs on competitively awarded research grants. Section 712 states: "None of the funds in this act shall be available to pay indirect costs on research grants awarded competitively by the Cooperative State Research Service (now the Cooperative State Research, Education, and Extension Service) that exceed 14 per centum of total Federal funds provided under each award." This limitation also applies to subawards under such grants. Grants covered by this restriction include those made under: Sec. 2(b) of Pub. L. 89-106, as amended; Sec. 2(c)(1)(A) of Pub. L. No. 89-106, as amended; Sec. 1668 of Pub. L. 101-624; and any other grant that is identified as being subject to this limitation in Block 16 on the "Agreement Face Sheet" (Form S&E-451). Where indirect costs are provided under competitively awarded grants, the indirect costs allowable will be the lesser of the following amounts: (1) the Federally approved negotiated indirect cost rate and base, or (2) 14% of Federal funds provided under each award. g. Renovation or refurbishment of research spaces; the purchase or installation of fixed equipment in such spaces; or the planning, repair, rehabilitation, acquisition, or construction of a building or facility, if this grant is awarded under the authorities of Sec. 2(b), 2(c)(1)(A) or 2(c)(1)(B) of Pub. L. No. 89-106, as amended. This listing is not exhaustive. Questions regarding the allowability of particular items of cost should be directed to the administrative contact person as indicated in Article 1.c. NOTE: Costs which have been determined to be unallowable, whether by statutory or regulatory mechanism, may not be used to meet any required non-Federal share of costs. For example, indirect costs and tuition remission costs may not be used to satisfy cost participation requirements for grants awarded under the authority of Sec. 1480 of Pub. L. No. 95-113. 4. CURRENT RESEARCH INFORMATION SYSTEM (CRIS) REQUIREMENTS (FORMS AD-416 & AD-417) All research projects supported by USDA must be documented in the Current Research Information System (CRIS). Forms AD-416, "Research Work Unit/Project Description-Research Resume," and AD-417, "Research Work Unit/Project Description-Classification of Research," are required to establish this project in CRIS. Except as noted below, the main USDA contact for all CRIS documentation is: Current Research Information System Cooperative State Research, Education, and Extension Service U.S. Department of Agriculture 5th Floor, NAL Building Beltsville, Maryland 20705 Telephone: (301) 504-6846 a. Initial Documentation in the CRIS Data Base--CSREES is requiring that CRIS documentation for all NEW research projects be submitted before funds will be released. These forms (Forms AD-416 and AD-417) were either requested by the appropriate CSREES Program Manager or by the Awards Management Division (AMD). If the required forms have not yet been submitted, the grantee is encouraged to do so immediately in order to initiate this project in a timely manner. The forms should be faxed to the Awards Management Division at (202) 401-3237. CSREES WILL NOT RELEASE FUNDS FOR THIS PROJECT UNTIL THE REQUIRED FORMS HAVE BEEN RECEIVED BY AMD. If submitting the forms electronically, you may follow guidance provided by the CRIS office. They in turn will print a hard copy of the forms and fax them to AMD so that funds can be released. Once the information is entered in the CRIS data base and an accession number is assigned, a copy of the two forms will be returned to the grantee organization by the CRIS office. b. Annual CRIS Reports. Each year that the project is active, the CRIS office will forward to the grantee Forms AD-419, "Research Work Unit/Project Description-Research Funds and Staff Support," and AD-421, "Research Work Unit/Project Description-Progress Report." Form AD-419 should be completed in accordance with instructions that accompany the form and should be returned to the CRIS office by December 15. See Article 7 for requirements concerning the completion and submission of Form AD-421. c. Additional Information. If necessary, a Classification Manual or the CRIS software program may be obtained from the CRIS office at the telephone number listed above. Questions relating to the technical (i.e., scientific) portions of Forms AD-416 and AD-417 should be referred to the programmatic contact person whose name appears in Block 4 of Form S&E-451. 5. PAYMENTS The provisions contained in this article shall apply to the award of this grant in lieu of those set forth in Article 4.a. of the General Terms and Conditions. Article 4.b. of the General Terms and Conditions shall remain unchanged. Payments will be made to the grantee by the method shown on Form S&E-451. The grantee should refer to the appropriate paragraph below for further information on the method of payment designated in this grant award. All requests for payment should be submitted to: Cooperative Funds Division Cooperative Management Staff, CSREES U.S. Department of Agriculture AG Box 0995 Washington, D.C. 20250-0995 Telephone: (202) 401-4527 a. Payment Management System. When funds are designated to be under the Department of Health and Human Services' (DHHS) Payment Management System (PMS), requests for payment should be in accordance with DHHS-PMS instructions. All questions concerning the DHHS-PMS should be directed to the Cooperative Funds Division at the address or telephone number shown above. b. Advance by Treasury Check. When this method is designated, the grantee shall promptly receive an advance of funds to meet anticipated project disbursement needs for approximately 30 days upon submission of Standard Form (SF) 270, "Request for Advance or Reimbursement." c. Reimbursement by Treasury Check. When this method is indicated, the grantee shall receive payment by Treasury check on a reimbursable basis upon submission of SF-270. Requests for funds should be submitted no more frequently than once a month. Under b. and c. of this article, an original of the SF-270 should be submitted to the Cooperative Funds Division at the address shown above. 6. FINANCIAL REPORTING The provisions set forth in this article shall apply to this grant in lieu of those contained in Article 8 of the General Terms and Conditions. The requirement for submission of an annual SF-269, "Financial Status Report," other than the final report, is hereby waived. See Article 24.a. of these special terms and conditions for final reporting requirements. Report of Federal Cash Transactions. When funds are paid by DHHS-PMS, the grantee shall submit SF-272, "Report of Federal Cash Transactions," and, when necessary, its continuation sheet, SF-272-A, to the Cooperative Funds Division at the address shown in Article 5. These reports will be used to monitor cash advanced to grantees and to obtain disbursement or outlay information for each grant. This reporting requirement will be waived when monthly advances do not exceed $10,000 per grantee, provided that such advances are monitored through other means and, in CSREES' judgment the grantees minimize excessive Federal advances. a. Forecasts of Federal Cash Requirements. An itemization of future Federal cash requirements may be required under Item 14, "Remarks," on the SF-272. b. Cash in Hands of Secondary Recipients. When considered necessary and feasible by the Cooperative Funds Division, the grantee may be required to report the amount of cash advances in excess of three days' requirements in the hands of secondary recipients (i.e., subawardees) and to provide short narrative explanations of actions taken by the prime grantee to reduce the excess balances. c. Frequency and Due Date. Where this report is required, the computer-generated SF-272 will be forwarded to the grantee by the Cooperative Funds Division. It must be completed and the original of the form returned to the Cooperative Funds Division at the address shown in Article 5 no later than 15 working days following the end of each quarter. 7. PERFORMANCE MONITORING The information and requirements contained in this article shall apply to this grant in place of the provisions set forth in Articles 7.a., 7.b.(1), and 10.b of the General Terms and Conditions. Articles 7.b.(2), 7.b.(3), and 10.a. of the General Terms and Conditions shall remain in full force and effect as therein stated. The grantee is responsible for monitoring day-to-day project performance and for reporting annual progress to CSREES. To assist in fulfilling this requirement, Form AD-421 will be forwarded annually to the grantee for completion and submission. Electronically transmitted reports are acceptable where such capability is available. Otherwise, an original and one copy of the form must be returned directly to the CRIS office at the address shown in Article 4. Normally, annual performance reports are due 90 days after the grant's anniversary date. Where the requested due date for submission of Form AD-421 does not correspond to the usual 90-day schedule for performance reporting (due to the fixed nature of the CRIS reporting cycle and the variable nature of the grant reporting schedule), the grantee may use the CRIS cycle instead of the 90-day requirement. The grantee has the option of returning the completed Form AD-421 by January 1 of each year (covering the prior Federal fiscal year of October 1 through September 30) or by April 1 of each year (covering the prior calendar year). Form AD-421 must include appropriate identifying data (the grantee's name, the grant number assigned to the project by CSREES, and the title of the project) as well as a summary of research results and conclusions. In addition, the following information, when applicable, must be submitted on a separate page attached to Form AD-421: a. A comparison of actual accomplishments with the goals established for the reporting period (where the output of the project can be expressed readily in numbers, a computation of the cost per unit of output should be submitted if the information is considered useful); b. The reasons for slippage if established goals were not met; c. Additional pertinent information including, when appropriate, analysis and explanation of cost overruns or unexpectedly high unit costs; and d. If the grantee is required to provide cost participation, a breakdown of all contributions (both cash and non-cash) made to the project by the grantee and third parties. The breakdown should include the item, dollar amount, appraised value of the non-cash contribution, source, and date provided. In the year the grant is completed, Form AD-421 should be marked "Terminated" and the report should encompass progress made on the entire project instead of covering accomplishments only during the final reporting segment of the project. In addition to supplying the information required under a. through d. of this article, the final report must include the following when applicable: e. A disclosure of any inventions not previously reported that were conceived or first actually reduced to practice during the performance of work under this grant; and f. A written statement on whether or not the grantee elects (or plans to elect) to obtain patent(s) on any such invention. Awards that produce plant or animal genome mapping or sequencing data have additional reporting requirements. See Article 19., "Genome Map and Sequence Data Disclosure." For additional information concerning the final technical report, refer to Article 24.b. If this award is made for the purpose of supporting a research conference, the proceedings of the conference may be submitted in lieu of the information requested in a. through f. of this article and should be forwarded to the CSREES programmatic contact rather than to the CRIS office. In addition to any other requirement under this article, three copies of any publications, reports, and news articles resulting from activities supported under this grant, as well as announcements, press releases, statements, and photographs depicting grant activities, should be sent to the CSREES programmatic contact. The grantee shall notify the Authorized Departmental Officer immediately whenever events occur that could materially impact costs or the attainment of approved project goals or completion schedules. If this project involves subcontractual arrangements, the grantee shall be responsible for monitoring the performance of project activities under those arrangements to ensure that approved goals and schedules are met. 8. SUBCONTRACTUAL ARRANGEMENTS In amplification of the USDA Agency-specific Conditions, no more than 50 percent of the total dollars awarded under this grant may be subcontracted to another party(ies) without prior written approval of the Authorized Departmental Officer except subcontracts to Federal agencies. Any subcontract awarded to a Federal agency under this grant must have prior written approval of the Authorized Departmental Officer. If more than 50 percent of the total dollars awarded under this grant will be subcontracted to another party(ies) and such arrangements are authorized in the grant award document, the approved budget will so state. If authorization is withheld pending receipt of additional documentation relating to the proposed arrangements, the approved budget will contain a statement to this effect. To obtain authorization in this latter case, the grantee shall submit to the Authorized Departmental Officer a justification for the proposed subcontractual arrangements, a performance statement, and a detailed budget for the subcontract. All subcontractual arrangements must contain provisions that are consistent with the program legislation, programmatic requirements, and with 7 CFR Part 3017.510 relating to the grantee's responsibilities in connection with debarment or suspension requirements. In addition: a. Subcontractual arrangements entered into with participants in the Federal Demonstration Project Agreement must contain provisions that are consistent with the General Terms and Conditions, USDA Agency-specific Conditions, the special terms and conditions set forth herein (including any that modify the General Terms and Conditions or the USDA Agency-specific Conditions), and applicable OMB Circulars or portions thereof. b. Subcontractual arrangements with parties other than those who are participating in the Federal Demonstration Project Agreement must contain provisions that are consistent with 7 CFR Part 3015, the applicable OMB Circulars, and any "flowdown" required by these special terms and conditions. The grantee is responsible without recourse to CSREES regarding the settlement and satisfaction of all contractual and legal issues arising out of contracts, grants, or other instruments entered into between the grantee and third parties to carry out approved project activities. NOTE: Pursuant to Article 17 regarding Debarment and Suspension, the grantee is required to include in all lower-tier covered transactions the clause contained therein and to obtain certification from all subcontractors (other than Federal agencies) as to their status with regards to this provision. Form AD-1048 may be used for this purpose. The certification must be retained with the grantee's records for this award. It is not necessary to furnish USDA a copy of this certification. 9. INDIRECT COST RECOVERY Article 3 indicates those programs for which indirect costs are statutorily unallowable and those under which indirect costs rates are restricted by congressional appropriation. 10. PROJECT-RELATED INCOME In amplification of Article 21.c. of the General Terms and Conditions, income derived from patents or inventions shall be disposed of in accordance with the grantee's own policies. General program income earned under this project during the period of CSREES support may be added to total project funds and used to further the objectives of this grant or the legislation under which this award is made. Disposition of program income earned by subawardees shall be determined in accordance with the policies of the grantee. 11. COST PARTICIPATION If cost participation from a non-Federal source is required under this grant, the grant instrument will so state and the grantee shall be bound by the approved costs. All cost-sharing must directly benefit and be specifically identifiable with approved project objectives. The grantee is required to maintain complete, accurate, up-to-date records to support all cost-sharing activities under the grant. Any grantee whose cost participation includes third party in-kind contributions must clearly show the basis for the value that was placed on donated items. All cost participation records are subject to inspection by CSREES or its representatives and are subject to audit. Cost participation requirements may not be satisfied with Federal funds or with property or services provided under another Federal assistance award unless authorized in the program legislation. In addition, as indicated in Article 3, any unallowable costs identified for this project cannot be used for the grantee's cost participation. 12. RESEARCH CONFERENCE/WORKSHOP REQUIREMENTS If this grant is awarded for the purpose of supporting a research conference or workshop, the following conditions shall apply, as applicable: a. The funds provided by this grant are intended to assist in the conduct of the conference/workshop and to defray expenses associated with the transportation of participants, including per diem and other allowable expenses as outlined in the approved budget. b. Any registration or other fees paid by conference/workshop participants shall be used to defray reasonable expenses directly associated with the conference/workshop for which funds are not otherwise available. If fees exceed such expenses, the remainder shall be used to offset allowable costs otherwise chargeable to the grant. c. Employees of the Federal Government, other than employees of CSREES, may be compensated with grant funds for their travel expenses to attend the conference/workshop provided that prior written approval is obtained from their agency, including a statement that the travel is not expected to contribute directly to the mission of their agency. d. Federal employees may serve as lecturers or staff members on this project and may receive compensation and/or reimbursement for expenses if they obtain prior approval from their agencies to participate and if services to the project are outside their regular working hours or while they are on leave status from official duties. Under no circumstances may employees of CSREES receive compensation from a project supported by CSREES. 13. OTHER ADMINISTRATIVE CHANGES If a change in research location becomes necessary during the life of this grant, the grantee must inform the programmatic contact shown in Block 4 of Form S&E-451, "Agreement Face Sheet." 14. NO-COST EXTENSIONS OF TIME The grantee is encouraged to complete work under this project within the time frame specified in the grant award instrument. However, if additional time is needed to complete activities within the approved scope of work and within the limit of funds already made available, the grantee is authorized to approve a first-time no-cost extension of time as provided in Article 15 of the General Terms and Conditions. Where more than one no-cost extension or an extension of more than 12 months is required, the extension(s) must be approved in writing by the Authorized Departmental Officer. The grantee shall prepare and submit a written request (which must be received by the Awards Management Division, CSREES, no later than 30 days prior to the expiration date of the grant) to the Authorized Departmental Officer at the address or facsimile phone number shown below: Awards Management Division Cooperative State Research, Education, and Extension Service U.S. Department of Agriculture AG Box 2245 Washington, D.C. 20250-2245 Facsimile phone number: (202) 401-3237 The request must contain, at a minimum the following information: a. The length of additional time required to complete project objectives and a justification for the extension (see last paragraph of this article); b. A summary of progress to date (a copy of the most recent Form AD-421 and, where applicable, the attachment, is acceptable provided the information is current); c. An estimate of funds expected to remain unobligated on the scheduled expiration date (see last paragraph of this article); d. A projected timetable to complete the portion(s) of the project for which the extension is being requested; and e. Signature of the Authorized Organizational Representative and the Principal Investigator. Any request received in CSREES that does not meet this requirement will be returned for the necessary signature(s). The fact that funds are expected to remain unobligated at the expiration of the grant is not in itself sufficient justification to receive an extension of time unless otherwise authorized in the program legislation. Normally, no single extension may exceed 12 months and only in exceptional cases will more than one extension be considered. The grant period, which consists of the period from which any authorized pre-award costs are incurred through the expiration of the grant (including any subsequent authorized extensions of time), shall not exceed five (5) years. NOTE: Requests for no-cost extensions of time received after the expiration date of the grant normally will NOT BE HONORED. Only in extremely rare instances where there are exceptional extenuating circumstances will such requests even be considered. 15. CERTIFICATION OF NON-DELINQUENCY In accordance with OMB Circular No. A-129, "Managing Federal Credit Programs," and the requirements contained in OMB Memorandum M-87-32, as implemented by 7 CFR Part 3, no award of Federal funds may be made to an applicant who is delinquent on a Federal debt until the delinquent account is made current or satisfactory arrangements are made between the affected agency and the debtor except where the award is required by law or approved by the head of the awarding agency. Therefore, the grantee institution certifies in accepting this award that it is not delinquent on any Federal debt. As used herein, delinquency represents the failure to pay an obligation or debt by the date specified in the agency's initial written notification or applicable contractual agreement, unless other satisfactory payment arrangements have been made by that date, or if, at any time thereafter, the debtor fails to satisfy the obligations under a payment agreement with the credit agency. If the debtor fails to pay the debt by the specified date, then the debt is delinquent and the "date of delinquency" is the date given as the payment due date for contractual agreements or the day notification of the debt was mailed, as appropriate. Examples of debts include but are not limited to audit disallowances (as evidenced by the grantee's receipt of a "Notice of Grants Cost Disallowance") that have not been repaid or that have not been resolved, guaranteed and insured loans, Department of Education institutional loans and benefit payments. 16. CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS (GRANTS) USDA's implementation of Sections 5151-5160 of the Drug-Free Workplace Act of 1988 is contained in 7 CFR Part 3017, Subpart F, Section 3017.600, which requires that a proposed grantee certify that it will make a good faith effort to provide and maintain a drug-free environment by prohibiting illicit drugs in the workplace, providing employees with drug-free policy statements (including penalties for noncompliance), and establishing necessary awareness programs to keep employees informed about the availability of counseling, rehabilitation and related services. This is an overview of the certification only and is not intended or represented to be all inclusive. Exact wording appears in the implementing regulatory language referenced above. 17. DEBARMENT OR SUSPENSION REQUIREMENTS USDA's implementation of Executive Order 12549, Debarment and Suspension, is contained in 7 CFR Part 3017, Subpart E, Section 3017.510(a), which requires that a proposed grantee certify that it and its principals are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency, have not recently been convicted or indicted under criminal or civil statutes, etc. Precise wording appears in the implementing regulations referenced above. In accordance with 7 CFR Part 3017.510(c), the grantee shall provide immediate written notice to the Authorized Departmental Officer if at any time the grantee learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. Additionally, as indicated in Article 8, all lower-tier covered transactions or solicitations for lower-tier covered transactions must include certifications as to the lower-tier participants' status regarding this requirement. (Form AD-1048 may be used for this purpose and should be retained with the grantee's records for the prime grant). As used herein, lower-tier covered transactions generally include: a. Any transaction (other than a procurement contract) for goods and services, regardless of type; b. Any procurement contract for goods and services, regardless of type, that is expected to equal or exceed the Federal cap on small purchases (currently, $25,000); and c. Any procurement contract for goods and services, regardless of amount, under which the recipient will have a critical influence on or substantive control over the covered transaction (i.e., principal investigators and providers of Federally-required audit services). NOTE: The above paragraphs in this article are intended to highlight certain requirements only. USDA implementing regulations covering debarment and suspension (7 CFR Part 3017, Subparts A-E) contain precise language and requirements. 18. CERTIFICATION REGARDING LOBBYING Section 319 of Pub. L. No. 101-121 (31 U.S.C. 1352) effective December 23, 1989, imposes new prohibitions and requirements for disclosure and certification related to lobbying on recipients of Federal contracts, grants, cooperative agreements, and loans. Current and prospective recipients (and their subtier contractors and/or subgrantees) are prohibited from using Federal funds, other than profits from a Federal contract, for lobbying Congress or any Federal agency in connection with the award of a particular contract, grant, cooperative agreement or loan. In addition, for each award action in excess of $100,000 ($150,000 for loans) recipients and their subtier contractors and/or subgrantees must: (1) certify that they have neither used nor will use any appropriated funds for payment to lobbyists, (2) disclose the name, address, payment details, and purpose of any agreements with lobbyists for whom recipients or their subtier contractors and/or subgrantees have paid or will pay with profits or nonappropriated funds on or after December 23, 1989; and (3) file quarterly updates about the use of lobbyists if material changes have occurred. The law establishes civil penalties for noncompliance. USDA regulations implementing Section 319 of Pub. L. 101-121 are contained in 7 CFR Part 3018 and have been published as an Interim Final Rule by the Office of Management and Budget as Part III of the February 26, 1990, Federal Register, pp. 6736-6756. 19. GENOME MAP AND SEQUENCE DATA DISCLOSURE a. Grant recipients are required to promptly disclose to the Government any new gene maps or sequences developed or discovered under this grant pursuant to 37 CFR Part 401.14(c)(1). See Article 2.a. of the Special Terms and Conditions. Grantees should mark these submissions confidential, as appropriate. b. Within two years of such disclosure, a recipient may elect to file for a patent(s). After the two-year election period, the recipient must either file for a patent(s) within one year, or notify this agency of its intentions pursuant to 37 CFR Part 401.14(c)(2) and (3). If the recipient fails to either 1) notify the Government of its intentions or 2) exercise its option to file for a patent within the specified time periods, then the Government may exercise its right of ownership pursuant to 37 CFR Part 401.14(d)(1) and (2). c. The Government shall not be entitled to publicly disclose or publish research results except under any one of the following circumstances: (1) The grant recipient publicly discloses or gives permission for publication; or (2) The grant recipient does not elect to file for a U.S. patent on such results, pursuant to 37 CFR Part 401.14(c)(2) and (3); or (3) After the grant recipient files for a U.S. patent pursuant to 37 CFR Part 401.14(c)(3). "Publications" include publicly accessible data bases such as Genbank; and "research results" include genome maps and sequences. d. Special Reporting Requirements. In addition to any disclosures required under Article 2.a., the following information identified in (1) below shall be forwarded, in the indicated format, to the appropriate address identified in (2) below: (1) Information Applicable to Genome Research Date: Investigator's name, institutional address, telephone and Fax numbers: USDA Grant Number: Type of map (genetic, RFLP, RAPD, physical,etc.): Genus and species and common name if applicable: Trait(s): Brief description of the map: Has a DNA sequence been obtained? If no, no further information is required. If yes, and the sequence is fewer than 50 base pairs, indicate the amount of sequence. If yes, and the sequence is more than 50 base pairs, the sequence must be submitted to Genbank (see e. below). Indicate that this has been done:_______ OR this will be done:_______ (Notify the appropriate address below when the sequence is submitted.) Indicate whether or not you intend to file for a patent. Yes, no, or undecided:____________. (2) Mailing Addresses For mammals, aquatic species, insects and animal related microbes: USDA Animal Genome Research Program Leader USDA/CSREES AG Box 2220 Washington, D.C. 20250-2220 For plants, higher and lower phyla: USDA Plant Genome Research Program USDA/ARS Bldg. 005, Room 331-C, BARC-West Beltsville, Maryland 20705 e. The date of submission to Genbank required under d.(1) shall be the same as the date of the Government's right to publish as indicated in c. above. Submission of data to Genbank is without charge. Information concerning Genbank submission protocols may be obtained directly from Genbank by calling 1-800-477-2459. f. Recipients who are required to submit genome sequencing information to Genbank must report this fact as part of the final technical report. See Article 7., "Performance Monitoring," and Article 24., "Grant Closeout." g. The Cooperative State Research, Education, and Extension Service generally advocates and encourages open scientific communication. It expects investigators to share with other researchers, as expeditiously as possible, the data, samples, physical collections, and other supporting materials created or gathered in the course of the work; and encourages awardees to share software and inventions, once appropriate protection for them has been secured. 20. RELEASE OF INFORMATION The Freedom of Information Act of 1966 (5 U.S.C. 552) and the Privacy Act of 1974 (5 U.S.C. 552a), as implemented by USDA's regulations (7 CFR Part 1.1) and supplemented by CSREES regulations found at 7 CFR Part 3404, shall govern the release or withholding of information to the public in connection with this grant project. The release of information under these laws and regulations applies only to records held by CSREES and imposes no requirement on the grantee or on any subrecipient to permit or deny public access to their records. Requests for records or the release of information relating to this grant should be directed to: FOIA Coordinator Information Staff, ARS U.S. Department of Agriculture Room 450 6303 Ivy Lane Greenbelt, Maryland 20770 Telephone: (301) 344-2207 The regulations cited herein do not affect retention period for project-related records or rights of access to such records or documents by CSREES, the Comptroller General, or their authorized representatives as stated in Article 24 of the General Terms and Conditions. 21. FEDERAL PARTICIPATION DISCLOSURE When issuing statements, press releases, requests for proposals, bid solicitations, and other documents describing projects or programs funded in whole or in part with Federal money, all grantees receiving Federal funds, including but not limited to State and local governments, are statutorily required to clearly state (1) the percentage of the total cost of the program or project which will be financed with Federal money, and (2) the dollar amount of Federal funds for the project or program. 22. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) a. The National Environmental Policy Act of 1969 (NEPA), as amended (42 U.S.C. 4321 et seq.) establishes national policies and goals for the protection of the human environment. USDA's implementation of NEPA is contained in 7 CFR Part 3407. b. All CSREES actions will be analyzed by the appropriate CSREES program manager to determine whether the project under consideration will have a significant environmental effect prior to recommending to the official responsible for awarding a grant that the action be undertaken. Actions which do not require the preparation of an environmental assessment (EA) or Environmental Impact Statement (EIS) are those actions which ordinarily do not have significant individual or cumulative effect on the quality of the human environment. An EIS normally will be required for major actions where it is determined by CSREES that such activity will significantly affect the quality of the human environment. c. When a grantee is required to submit environmental data to CSREES, including preparation of an EA, CSREES shall provide instructions to the grantee relating to the preparation and submission of the required information. 23. MAXIMUM OBLIGATION OF CSREES The maximum financial obligation of CSREES under this grant is the amount of funds authorized for the award, including any incrementally funded award (e.g., renewal or continuation award). This amount is stated on the award instrument and on the approved budget. However, in the event that an erroneous amount is stated on the award instrument, the approved budget, or any supporting document relating to this grant, CSREES shall have the unilateral right to make the correction and to make an appropriate adjustment in the CSREES share of the award to align with the Federal amount authorized. If cost-participation is a condition of this award, the maximum obligation of CSREES is the CSREES share of allowable project costs authorized to be expended by the grantee under this award. Article 22.a. of the General Terms and Conditions shall remain unchanged and shall apply to this grant in its entirety. 24. GRANT CLOSEOUT In amplification of Article 34 of the General Terms and Conditions, grant closeout is the process by which CSREES determines that all required project activities have been performed satisfactorily and all necessary administrative actions have been completed. This grant and any subawards hereunder shall be closed out as soon as possible after expiration or termination of the project. While the grantee may use its own policies and procedures in closing out awards made to its recipients, the following shall govern the closeout of the prime grant: a. Financial Status Report. A final "Financial Status Report," Form SF-269, is due 90 days after the expiration date of this award. An original and two copies must be submitted to the address shown in Article 5 in accordance with instructions contained in 7 CFR Part 3015.82. (1) The grantee shall report program outlays and program income on the same accounting basis (i.e., cash or accrual) that it uses in its normal accounting system. (2) The final report must not show any unpaid obligations. If the grantee still has unpaid obligations when the final report is due, it shall submit a provisional final report (showing the unpaid obligations) by the due date and a true final report when all obligations have been liquidated. When submitting a provisional final report, the grantee shall inform the Cooperative Funds Division when it expects to submit a true final report. The Cooperative Funds Division may waive provisional final reports. b. Final Technical Report. (1) If this is a research grant, a blank Form AD-421, which must be used for the submission of the required final technical report, will be forwarded by CRIS to the grantee when the grant expires. The grantee must complete and submit an original and two copies of Form AD-421 to the CRIS office at the address shown in Article 4 within 90 days after the expiration date or termination date of the grant. (2) If this is a research conference grant, an original and two copies of the conference proceedings should be substituted for Form AD-421, and should be submitted to the CSREES programmatic contact person listed in Block 4 of Form S&E-451. (3) If plant or animal genome mapping or sequencing data is developed under this grant, then special additional reporting requirements are applicable. See Article 23., "Patents and Inventions," of the General Terms and Conditions; Article 2., "Terms and Conditions and Modifications," of these Special Terms and Conditions; and Article 19., "Genome Map and Sequence Data Disclosure," of these Special Terms and Conditions for specific instructions. More detailed instructions on submission criteria for final technical reports are contained in Article 7. c. Final Payments. Upon request from a grantee who is being reimbursed by Treasury check, CSREES will promptly pay the grantee for any unreimbursed allowable costs under the grant when it is closed out. Any unencumbered balance of funds advanced to the grantee, including any interest or investment income earned on advances of funds, must be refunded to CSREES. d. Records Retention. The closeout of the grant does not affect the retention period for, or CSREES rights of access to, project-related records. Records shall be maintained and made available to authorized officials in accordance with Article 24 of the General Terms and Conditions. e. Audit. A final audit is not required to close out this grant. However, CSREES reserves the right to recover funds resulting from disallowances made in a subsequent audit. 25. USE OF AMERICAN-MADE EQUIPMENT OR PRODUCTS Pursuant to Section 719(b) of Pub. L. 103-330, in the use of any equipment or product that may be authorized to be purchased with funds provided under this grant, entities receiving such funds are encouraged to use such funds to purchase only American-made equipment or products. (7/95)