Identification of Agency officials.

(1) The Authorized Departmental Officer (ADO) is the official to be notified under the circumstances described in Articles 1.d., 3.d., 5., and 14. of the General Terms and Conditions.

(2) The programmatic contact person is the official to be notified under the circumstances noted in Articles 7.a., 8., 21.b., 22.a.(4), and 25.d.(3) of the General Terms and Conditions.

(3) The USDA point of contact referenced in Article 22.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.

This grant is awarded in accordance with the Federal Demonstration Project (Partnership) Agreement, effective February 1, 1996, and, except as otherwise specified in these USDA Agency-specific Terms and Conditions, is subject to the General Terms and Conditions. The following modifications to the General Terms and Conditions apply to the award of this grant:

Article 1. Recipient Responsibilities and Federal Requirements

1.e. 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 ADO except subcontracts to Federal agencies. Any subcontract awarded to a Federal agency under this grant must have prior written approval of the ADO. To request approval a justification for the proposed subcontractual arrangements, a performance statement, and a detailed budget for the subcontract must be submitted to the ADO.

Article 2. Allowable Costs and Prior Approvals

2.d. Indirect costs and tuition remission costs are unallowable 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.

Section 712 of the Fiscal Year 1996 Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act (Pub. L. No. 104-37) 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, 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 allowable indirect costs 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.

2.f. 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. All cost participation records are subject to inspection by CSREES or its representatives and are subject to audit.

Article 4. Payment

All questions relating to payments should be submitted to: Funds Management Branch

Office of Extramural Programs, CSREES

U.S. Department of Agriculture

STOP 0995

Washington, D.C. 20250-0995

Telephone: (202) 401-4527

Article 6. Non-Competitive or Continuation Award Requirements

Article 6. is deleted with the exception of paragraph c. In lieu of Article 6.c., all research projects must follow the Current Research Information System (CRIS) section of these Agency-specific Terms and Conditions.

Article 7. Financial Reports

All questions relating to financial reports should be submitted to the Funds Management Branch at the address identified in Article 4.

Article 8. Final Report Requirements

In lieu of Article 8.a., all research projects must follow the Current Research Information System (CRIS) section of these Agency-specific Terms and Conditions.

If plant or animal genome mapping or sequencing data is developed under this grant, additional special reporting requirements are applicable. See the Genome Map and Sequence Data Disclosure section of these Agency-specific Terms and Conditions for instructions.

Article 9. Dissemination of Project Results

In lieu of Article 9.b., all research projects must follow the Current Research Information System (CRIS) section of these Agency-specific Terms and Conditions.

Articles 13. Pre-Award Costs and 14. Extensions Without Additional Funds

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.

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 ADO. The grantee shall prepare and submit a written request (which must be received by the Grants Management Branch, CSREES, no later than 30 days prior to the expiration date of the grant) to the ADO at the address or facsimile phone number as follows: Grants Management Branch

Office of Extramural Programs, CSREES

U.S. Department of Agriculture

STOP 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 Research Work Unit/Project Description Progress Report, 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;

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).

Articles 15. Equipment and Real Property and 16. Alteration and Renovation

Pursuant to Section 716(b) of Pub. L. 104-37, 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.

The reference in Article 16.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.

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.

Fixed Equipment, as identified above, means 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.

Article 20. Program Income

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.



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 are unallowable.



All research projects supported by CSREES-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

Fax: (301) 504-6272


a. Initial Documentation in the CRIS Database

CSREES requires 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 Grants Management Branch (GMB). 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 Grants Management Branch at (202) 401-3237.


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 GMB so that funds can be released.

Once the information is entered in the CRIS database and an accession number is assigned, a copy of the two forms will be returned to the grantee organization by the CRIS office.

For individual awardees that are not affiliated with State Cooperators (State Agricultural Experiment Stations, 1890 Colleges/Tuskegee University, Forestry Schools, Schools of Veterinary Medicine), Form AD-416 will be partially completed, and Form AD-417 will be completed by the granting program office. Blank Form AD-416 and 417 are available and can be printed from the following Internet web site: http:///

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.

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. 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, the form must be returned directly to the CRIS office at the address shown above.

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:

(1) 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);

(2) The reasons for slippage if established goals were not met;

(3) Additional pertinent information including, when appropriate, analysis and explanation of cost overruns or unexpectedly high unit costs; and

(4) 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.

c. Final CRIS Reports

In the month that a grant is due to terminate, a request for the final technical report will be forwarded to the grant recipient. The report should encompass progress made during the entire timeframe of the project instead of covering accomplishments made only during the final reporting segment of the project. In addition to supplying the information required under section b., (1) through (4) of this article, the final report must include the following when applicable:

(1) 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

(2) A written statement on whether or not the grantee elects (or plans to elect) to obtain patent(s) on any such invention.

d. CRIS Web Site Via Internet

Please note the importance of preparing well written progress and technical reports. The CRIS database is used extensively by Federal and State scientists and administrators and is available to the public on the worldwide web. CRIS project information is available via the Internet CRIS web site (

Other sites providing links to the CRIS database include the CRISFRMS Home page ( and the National Agricultural Library Home page (

CRIS theme reports, highlighting USDA and State research on topics of national or special interest, are compiled periodically and are available over the Internet (



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 page 1 of these terms and conditions for the mailing address. 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 NAL/AGIS; and "research results" include genome maps and sequences.

d. Special Reporting Requirements. In addition to the required disclosures, 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


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:


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:_______


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


AG Box 2220

Washington, D.C. 20250-2220

For plants, higher and lower phyla:

USDA Plant Genome Research Program


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 (gene sequences) and NAL/AGIS (gene maps) is without charge. Information concerning Genbank submission protocols may be obtained directly from Genbank by calling 1-800-477-2459. Information concerning gene map information, NAL/AGIS submission protocols may be obtained directly from the USDA Plant Genome Research Program by calling 301-504-6029.

f. Recipients who are required to submit genome sequencing information to Genbank must report this fact as part of the final reporting requirements.

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.