COOPERATIVE STATE RESEARCH, EDUCATION, AND EXTENSION SERVICE U.S. DEPARTMENT OF AGRICULTURE AGENCY-SPECIFIC TERMS AND CONDITIONS FEDERAL DEMONSTRATION PARTNERSHIP 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 (this does not include questions and issues regarding Interagency Edison) is: Deputy Assistant General Counsel for Patents Research and Operations Division Office of the General Counsel, USDA STOP 1415 1400 Independence Avenue, S.W. Washington, D.C. 20250-1415 This award is issued 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 this award: Article 1. Recipient Responsibilities and Federal Requirements 1.e. No more than 50 percent of the total dollars of this award 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 award 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 award is issued 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 awards subject to either of these authorities. When indirect costs are provided under competitive awards: (1) Section 712 of the Fiscal Year 1998 Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act (Pub. L. No. 105-86) 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 percent 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. No. 89-106, as amended; Sec. 2(c)(1)(A) of Pub. L. No. 89-106, as amended; Sec. 1668 of Pub. L. No. 101-624; and any other grant that is identified as being subject to this limitation in Block 14 on the "Agreement Face Sheet" (Form CSREES-2009). Where section 712 applies, 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 (may be calculated as .16279 of Total Direct Costs). (2) Section 1462 of the National Agricultural Research, Extension, and Teaching Policy Act of 1977, (Pub. L. No. 95-113) as amended, limits indirect costs on competitively awarded agricultural research, education, or extension grants. Section 1462 states: "Except as otherwise provided in law, indirect costs charged against a competitive agricultural research, education, or extension grant awarded under this Act or any other Act pursuant to authority delegated to the Under Secretary of Agriculture for Research, Education, and Economics shall not exceed 19 percent of the total Federal funds provided under the grant award, as determined by the Secretary." Note: Section 712 of Pub. L. No. 105-86 supersedes Section 1462 of Pub. L. No. 95-113, as amended for competitive research awards. Therefore, Section 1462 applies only to extension and education awards. Where section 1462 applies, the allowable indirect costs will be the lesser of the following amounts: (1) the Federally approved negotiated indirect cost rate and base, or (2) 19% of Federal funds provided under each award (may be calculated as .23456 of Total Direct Costs). This limitation also applies to subawards under such grants. 2.f. If cost participation from a non-Federal source is required under this award, the award instrument will so state and the awardee shall be bound by the approved costs. All cost-sharing must directly benefit and be specifically identifiable with approved project objectives. The awardee is required to maintain complete, accurate, up-to-date records to support all cost-sharing activities under the award. 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 2298 1400 Independence Avenue, S.W. Washington, D.C. 20250-2298 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. Awards that require the awardee to provide cost participation. It may be necessary to submit an annual "Financial Status Report," Form SF-269, to CSREES. If an annual SF-269 is required, it will be indicated on the Agreement Face Sheet, Form CSREES-2009. 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 award, 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 Article 9.b. includes notifying the programmatic contact, via a listing clearly labeled with the award number, of any World Wide Web-based materials resulting from the work. 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. Article 14. Extensions Without Additional Funds Statutory language or agency policy may limit the maximum potential award period (including any awards transferred from another institution or organization). The award period will commence on the effective date cited in the award instrument. Any such limitation also applies to subcontracts made under awards subject to an award period limitation. (1) The award period is limited to 3 years in duration if this award is issued under the authority of Secs. 2(c)(1)(A) and 2(c)(1)(B) of Pub. L. No. 89-106. (2) The award period is limited to 5 years in duration if this award is issued under an authority other than those identified in item (1). However, programs funded from more than one source whereby one proposal is submitted but two awards result, the award period for both awards will be limited to the shortest applicable award period (e.g., National Agriculture Pesticide Impact Assessment Program and the Integrated Pest Management Program). 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 awardee shall prepare and submit a written request (which must be received by the Grants Management Branch or the Agreements and Special Projects Branch, as appropriate, no later than 30 days prior to the expiration date of the award) to the ADO identified in Block 1 of the Agreement Face Sheet , Form CSREES-2009. ADO addresses, telephone, and facsimile numbers are as follows: Grants Management Branch Agreements and Special Projects Branch Office of Extramural Programs Office of Extramural Programs Cooperative State Research, Education, Cooperative State and Extension Service Research, Education, and Extension Service U.S. Department of Agriculture U.S. Department of Agriculture STOP 2246 STOP 2295 1400 Independence Avenue, S.W. 1400 Independence Avenue, S.W. Washington, D.C. 20250-2246 Washington, D.C. 20250-2295 Telephone: (202) 401-5050 Telephone: (202) 401-4342 Facsimile: (202) 401-3237 Facsimile: (202) 401-6271 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 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 award. 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 awardee'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 award 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 awardee. Article 22. Patents and Inventions a. Invention Disclosure and Related Information Requirements. 37 CFR Part 401.14 requires the disclosure of each subject invention to the Federal Agency within two months after the inventor discloses it in writing to contractor personnel responsible for patent matters. Invention disclosure statements pursuant to 37 CFR Part 401.14(c) shall be made in accordance with the following instructions by (1) electronic submission to Interagency Edison, or (2) paper submission via facsimile or U.S. Mail: Invention Disclosure Electronic Submission Via Interagency Edison Web Interface: To access Interagency Edison for the purpose of electronically reporting patents and inventions: Get into Netscape or any SSL (secure socket layer) web browser. Once in an SSL browser, go to the URL: http://www.iedison.gov (Interagency Edison Home Page) and access the instructions component. Requests for detailed instructions or other questions regarding Interagency Edison should be directed to: Division of Extramural Inventions and Technology Resources National Institutes of Health 6701 Rockledge Drive, Room 3175, MSC 7750 Bethesda, Maryland 20892-7750 Telephone: (301) 435-1986 Facsimile: (301) 480-0272 E-mail: edison@nih.gov After the disclosure of the invention is reported electronically through the Interagency Edison Web interface, a signed copy of the invention disclosure must be submitted to the Division of Extramural Inventions and Technology Resources (DEITR), National Institutes of Health (NIH) within 2 months of the electronic submission. The signed disclosure should contain a brief description of the original invention including the Title, Inventor(s) Name(s), and source of Federal support used (e.g., Agency Award Number). The awardee may fax the signed disclosure to the facsimile number identified above (it is not necessary to mail the original to DEITR). After the disclosure is received by DEITR and acknowledged in the Interagency Edison System, a copy of the disclosure will be sent to CSREES. Paper Submission Via U.S. Mail: If access to Interagency Edison is unavailable, the invention disclosure should be sent directly to the DEITR at the above address. After the disclosure is received by DEITR, it will be entered into the Interagency Edison database prior to being sent to CSREES. Other Invention, Patent, and Utilization Reporting Information Electronic Submission Via Interagency Edison Web Interface: The Interagency Edison is to be used to exact any changes to the disposition of the invention, including title election or non-election, assignment of rights to third parties, patent application(s), domestic manufacturing waiver and invention utilization reports. Even if information is submitted via Interagency Edison, hard copies of several documents must be submitted to DEITR. 1. Once a patent is applied for and an application serial number is available, a confirmatory license to the Government must be submitted. Such a license must also be submitted in instances where the invention has been licensed but not patented (as is the case of biological materials. 2. Commensurate with patent application or patent issue the awardee organization must submit a copy of the portion of the patent that contains the "Government Support Clause," offering proof of formal acknowledgment of Government support of the patent's underlying invention. 3. Requests for assignment of rights to third parties (e.g., the inventor) must include certification of the inventor. The certification process is defined and can be carried out through the Interagency Edison web site. The signed certification must be submitted to DEITR via facsimile (preferable) or U.S. Mail. 4. Requests for waiver of domestic manufacturing must be received in hard copy including a detailed justification. Once the relevant information is received by DEITR and entered into the Interagency Edison system, copies of the correspondence will be forwarded to CSREES. Paper Submission Via U.S. Mail: If access to Interagency Edison is unavailable, any changes to the disposition of the invention, including title election or non-election, assignment of rights to third parties, patent application(s), domestic manufacturing waiver and invention utilization reports should be sent directly to the DEITR at the above address. After such actions are received by DEITR, they will be entered into the Interagency Edison database prior to being sent to CSREES. b. Within two years of an invention 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 award recipient publicly discloses or gives permission for publication; or (2) The award 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 award 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. Copyrights - See 7 CFR Part 3019.36. Article 26. Nondiscrimination 7 CFR Part 15, subpart A, USDA implementation of Title VI of the Civil Rights Act of 1964, as amended. 7 CFR Part 15B, USDA implementation of section 504 of the Rehabilitation Act of 1973, prohibiting discrimination based upon physical or mental handicap in Federally assisted programs. OTHER REQUIREMENTS CONSULTANT SERVICES 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. CURRENT RESEARCH INFORMATION SYSTEM (CRIS) REQUIREMENTS 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 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 E-mail: CRIS@CRIS.NAL.USDA.gov CSREES WILL NOT RELEASE FUNDS FOR THIS PROJECT UNTIL THE REQUIRED FORMS HAVE BEEN RECEIVED BY GMB OR ASPB. a. Initial Documentation in the CRIS Database CSREES requires CRIS documentation for all NEW research awards in CRIS. These forms (Forms AD-416 and AD-417) are either requested by the appropriate CSREES Program Manager or by the Grants Management Branch (GMB) or the Agreements and Special Projects Branch (ASPB). The forms should be faxed to the Grants Management Branch at (202) 401-3237 or the Agreements and Special Projects Branch at (202) 401-6271, as appropriate. 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 CSREES-2009. b. Annual CRIS Reports Each year that the project is active, the CRIS office will forward to the awardee 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 awardee 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 award'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 award reporting schedule), the awardee may use the CRIS cycle instead of the 90-day requirement. The awardee 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 awardee's name, the award 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; and (3) Additional pertinent information including, when appropriate, analysis and explanation of cost overruns or unexpectedly high unit costs. c. Final CRIS Reports In the month that an award is due to terminate, a request for the final technical report will be forwarded to the award 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 (3) 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 award; and (2) A written statement on whether or not the awardee 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 at: http://cristel.nal.usda.gov:8080 Other sites providing links to the CRIS database include the CRIS Forms web site and the National Agricultural Library Home page at: http://ctr.uvm.edu/cris/intro.htm) and http://www.nal.usda.gov, respectively. CRIS theme reports, highlighting USDA and State research on topics of national or special interest, are compiled periodically and are available over the Internet at: http://ctr.uvm.edu/cris/theme/theme.htm GENOME MAP AND SEQUENCE DATA DISCLOSURE a. See Article 22. for patent and invention requirements. b. If genome sequence data has been obtained, the sequence must be submitted to GenBank. The date of submission to GenBank shall be on the same date as the Government's right to publish as indicated in Article 22.c. Submission of data to GenBank is without charge. Information concerning GenBank protocols may be obtained via the worldwide web, http://www.ncbi.nlm.nih.gov/, or by contacting the National Center for Biotechnology Information at the following address: National Center for Biotechnology Information National Library of Medicine Building 38A, Room 8N805 Bethesda, MD 20894 Telephone: (301) 496-2475 Facsimile: (301) 480-9241 c. Recipients who submit genome sequencing data information to GenBank must report this fact as part of the final reporting requirements identified in Article 8. 8