fy2016 cru program announcement final.doc

UNITED STATES DEPARTMENT OF THE INTERIOR

U.S. GEOLOGICAL SURVEY

-- Cooperative Research Units Program -- Authorized by the Cooperative Research Units Act (16 U.S.C. 753a-753b), Public Law 86-686, Sec. 1, Sept. 2, 1960, 74 Stat. 733, as amended by the Fish and Wildlife Improvement Act of 1978, Public Law 95-616, Sec. 2, Nov. 8, 1978, 92 Stat. 3110.

PROGRAM ANNOUNCEMENT No. G16AS00004

For Fiscal Year 2016

ISSUE DATE: September 30, 2015

CLOSING DATE:

June 21, 2016 (new or changes in scope of work or total estimated cost) August 10, 2016 (other changes not involving change to scope of work or total estimated cost)

APPLICATIONS MUST BE SUBMITTED ELECTRONICALLY VIA THE GRANTS.GOV WEB SITE. COMPLETE DETAILS ARE PROVIDED UNDER PART III.

TABLE OF CONTENTS

2TABLE OF CONTENTS

A. The Cooperative Research Units Program B. Statutory Authority of Program PART II. Timetables, Eligibility and Proposal Format Instructions A. Timetables B. Eligibility – Who May Submit a Proposal C. Proposal and Budget Content Instructions PART III. Proposal Delivery/Submission Instructions and Deliverables A. Preparing and Submitting a Research Work Order Application via Grants.gov B. SF 424 Instructions C. Award Administration Information D. Reports PART IV. General Provisions

1. Cost Principles, Audit, And Administrative Requirements

2. Method of Payment

3. Additional Regulations

4. Additional Articles Required For Compliance With Statute Or Regulation

5. Additional General Terms and Conditions Important Contacts:

PART I. Public Law and Program Priorities

A. The Cooperative Research Units Program The Cooperative Research Units (CRU) Program is a unique collaborative relationship between States, Universities, the Federal government and a non-profit organization. The program is comprised of 40 Cooperative Fish and Wildlife Research Units on university campuses in 38 states. Since the original nine Units were established in the 1930s, additional Units were established by Congress at specified universities. The 40 units in the program are jointly supported by the US Geological Survey, Host Universities, State Natural Resource Agencies, Wildlife Management Institute, and the US Fish and Wildlife Service.

Cooperative Research Units were established with a trifold mission, a mission that is codified in the program’s authorizing legislation and that has remained unchanged through time:

Education - Provide advance training in fish, wildlife, and natural resource sciences, assuring a continuing supply of quality natural resource professionals for state and federal agencies.

Research – Provide federal and state agencies access to the expertise, and facilities at leading universities around the country, to address the natural resource information needs expressed by Unit cooperators and partners.

Technical Assistance - Provide technical assistance in the understanding and use of science and research findings, to State and Federal personnel and other natural resource managers.

This tri-fold mission facilitates the linkage of the research and information needs of federal, state and other natural resource managers and professionals with the expertise and facilities of leading research universities, and graduate student training. Federal Unit scientists, affiliated university faculty, and advanced students work in a variety of fields of cutting edge science to address issues of importance to the science and management of fish, wildlife and natural resources. Sponsoring agencies are provided assistance in the interpretation and application of the research findings as well as a talent pool of trained biologists graduating from the program.

Cooperative Fish and Wildlife Research Units were created in 1935 to fill the vacuum of wildlife management information and the shortage of trained wildlife biologists. In 1960, the Cooperative Research Units Program was formally sanctioned with the enactment of the Cooperative Units Act (PL 86-686). The act specifies the participants in the program as well as its mission. All signatory parties to an individual Cooperative Fish and Wildlife Research Unit have joint ownership of the Unit and its direction. They all also contribute substantially to the partnership and by design, receive leveraged benefits from participating, allowing each to achieve more as part of a collective than would be achievable individually.

For a more detailed look at the CRU Program visit: http://www.coopunits.org B. Statutory Authority of Program Cooperative Research Units Act (16 U.S.C. 753a-753b), Public Law 86-686, Sec. 1, Sept. 2, 1960, 74 Stat. 733, as amended by the Fish and Wildlife Improvement Act of 1978, Public Law 95-616, Sec. 2, Nov. 8, 1978, 92 Stat. 3110.

C. Research Work Orders

All proposals must be coordinated with the Recipient’s Cooperative Research Unit prior to submission, and will be required to be submitted electronically through grants.gov. Complete details are provided under Part III.

PART II. Timetables, Eligibility and Proposal Format Instructions

A. Timetables The announcement shall open each year for new Research Work Orders and modifications to be submitted from October 1 through the due date stipulated by the USGS. For FY 2016, due dates are as follows:

June 21, 2016 (new or changes in scope of work or total estimated cost)

August 10, 2016 (other changes not involving change to scope of work or total estimated cost)

B. Eligibility – Who May Submit a Proposal Only CRU Cooperating Universities are eligible to apply to the RWO component of the Cooperative Research Unit Program pursuant to the Cooperative Research Unit Act (Public Law 86-686).

C. Proposal and Budget Content Instructions All proposal text shall include the following:

a.

Introduction and Statement of Problem. Give a brief introduction to the research problem. Provide a brief summary of findings or outcomes of any prior work that has been completed or is ongoing in this area.

b.

Objectives. Clearly define goals of project. State how the proposal addresses USGS goals and its relevance and impact. Explain why the work is important.

c.

Methods. This section should include a fairly detailed discussion of the work plan and technical approach to both field and laboratory techniques.

d.

Dissemination of Research Results List any anticipated reports, analyses, digital data, etc. that will be disseminated during the performance period. The USGS considers dissemination of research data and results to potential users to be an integral and crucial aspect of projects funded by this program. Beyond the requirements for a final report, describe your plan for dissemination of project data and results that will result in the greatest possible benefit to customers as defined by your proposal. Applicants are strongly encouraged to disseminate research results to the scientific community and appropriate professional organizations; local, State, regional and Federal agencies; and the general public. The USGS encourages the Recipient to publish project reports in scientific and technical journals.

e.

Description of educational training experience Provide a description of the educational and training experience planned for the individuals (other than PIs) doing the primary research. Based on past experience, this addition to the RWO format will greatly assist administrators in reviewing and approving projects.

* For post-docs, the description should include whether an individual has already been selected or will be selected, and for those pre-selected a certification that they meet the standard described above; three or so sentences maximum should suffice.

* For graduate students, no or minimal description is required; simply indicate in this section that a graduate student will be the primary workforce and what level (PhD and or MS).

* For RWOs solely using research technicians (undergraduate or otherwise) describe the type of educational training experience anticipated to be gained; three or so sentences maximum should suffice.

f.

References Cited. List all references to which you refer in text and references from your past work in the field that the research problem addresses. Be sure to identify references as journal articles, chapters in books, abstracts, maps, digital data, etc.

Detailed Budget Breakdown - Please include the following:

a.

Salaries and Wages. List names, positions, and rate of compensation. If contract employees are hired, include their total time, rate of compensation, job titles, and roles.

b.

Fringe benefits/labor overhead. Indicate the rates/amounts in conformance with normal accounting procedures. Explain what costs are covered in this category and the basis of the rate computations.

c.

Field Expenses. Itemize the estimated travel costs (i.e., number of people, number of travel days, lodging, airfare, per diem, and transportation costs, and other travel costs).

d.

Lab Analyses. Briefly itemize cost of all analytical work (if applicable).

e.

Supplies. Enter the cost for all tangible property. Include the cost of office, laboratory, computing, and field supplies separately. Provide detail on any specific item, which represents a significant portion of the proposed amount.

f.

Equipment. Show the cost of all special-purpose equipment necessary for achieving the objectives of the project. "Special-purpose equipment" means scientific equipment having a useful life of more than 1 year and having an acquisition cost of $5,000 or more per item. Each item should be itemized and include a full justification and a dealer or manufacturer quote, if available. General-purpose equipment must be purchased from the applicant's operating funds. Title to non-expendable personal property shall be vested with the Recipient or the Federal Government as determined in the award terms and conditions. Under no circumstances shall property title be vested in a sub-tier recipient.

g.

Services or consultants. Identify the tasks or problems for which such services would be used. List the contemplated sub-recipients by name (including consultants), the estimated amount of time required, and the quoted rate per day or hour.

h.

Travel. State the purpose of the trip and itemize the estimated travel costs to show the number of trips required, the destinations, the number of people traveling, the per diem rates, airfare, the cost of transportation, and any miscellaneous expenses for each trip. Calculations of other special transportation costs (such as charges for use of applicant-owned vehicles or vehicle rental costs) should also be shown.

i.

Publication costs. Show the estimated cost of publishing the results of the research, including the final report. Include costs of drafting or graphics, reproduction, page or illustration charges, and a minimum number of reprints.

j.

Other direct costs. Itemize the different types of costs not included elsewhere; such as, shipping, computing, equipment-use charges, or other services.

k.

Total Direct Charges. Totals for items a - j.

l.

Indirect Charges (Overhead). Indirect cost/general and administrative (G&A) cost. Show the proposed rate, cost base, and proposed amount for indirect costs based on the cost principles applicable to the Applicant's organization. If the Applicant has separate rates for recovery of labor overhead and G&A costs, each charge should be shown.

m.

Amount proposed. Total items k and l.

PART III. Proposal Delivery/Submission Instructions and Deliverables A. Preparing and Submitting a Research Work Order Application via Grants.gov Note: All proposals must be coordinated with the Recipient’s Cooperative Research Unit prior to submission.

Before you can apply for a grant through Grants.gov, your organization must obtain a Data Universal Number System (DUNS) number and register with the Central Contractor Registry (CCR). Grants.gov safeguards organizations from individuals who may attempt to submit grant application packages without permission by providing organizations with an E-Business Point of Contact (POC). The E-Business Point of Contact determines who in your organization is allowed to submit grant applications via Grants.gov.

For College and University applicants, your E-Business POC is typically an employee of the Sponsored Research Office. The Sponsored Research office has, in all likelihood, already established a DUNS number and registered in CCR.

If you have any questions or problems with the registration process, or the completion of the application package, please contact the grants.gov help desk at 1-800-518-4726 or support@grants.gov To complete and submit your application:

1.

Begin at the Grants.gov website http://www.grants.gov

2.

On the top of the screen, under the APPLICANTS section, click on “Apply for Grants”.

3.

Click on “Download a Grant Application Package”

4.

In the Funding Opportunity Number field enter G16AS00004. This is the Funding Opportunity Number for the CRU Program.

5.

In the Funding Opportunity Competition ID field, you will enter the last four digits of your Cooperative Research Agreement Number (for example, 1434-12HQRU1578, or 1434-08HQRU1511).

6.

Click “Download Package”

7.

On the right side of the screen, under “Instructions and Application”, click “download”

8.

Proceed through the following screen and download the application package.

9.

In order to view the downloaded application package, you will need to install the Adobe Reader software available at: http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html 10.

To view a narrated tutorial on completing the forms on Grants.gov, please see: http://www.grants.gov/web/grants/applicants/applicant-tools-and-tips.html B. SF 424 Instructions All new and continuation/revision applications must contain the completed SF 424 and project/budget narrative. Please take note of the following specific instructions regarding the SF 424:

* for NEW Research Work Order (RWO) Applications:

1.

In Item 2, Type of Application, click New.

2.

In Item 5a, Federal Entity Identifier, enter your Cooperative Research Agreement Number.

3.

In Item 5b, Federal Award Identifier, enter the Research Work Order number of the new RWO.

4. Budget Section A, Lines 1-4, Columns (c) through (g): For new applications, leave Column © and (d) blank. For each line entry in Columns (a) and (b), enter in Columns (e), (f), and (g) the appropriate amounts of funds needed to support the entire project.

5.

Complete all remaining required fields according to the regular form instructions.

* for Modifications to increase total estimated costs for EXISTING RWOs:

1.

In Item 2, Type of Application, click Continuation or Revision. (Note: If you select revision, you are also required to select the appropriate revision code on the drop down menu in Item 2.)

2.

In Item 5a, Federal Entity Identifier, enter your Cooperative Research Agreement Number.

3.

In Item 5b, Federal Award Identifier, enter the RWO Number.

4.

Complete all remaining required fields according to the regular form instructions.

C. Award Administration Information

Award recipients are responsible for managing the day-to-day operations of the Research Work Order agreements and supported activities to assure compliance with applicable Federal requirements, and that performance goals are being achieved. Recipient monitoring must cover each program, function or activity.

D. Reports

The following reports will be required from all award recipients:

Performance Report: Recipients of awards under this program are responsible for managing and monitoring the project, program, sub-award, function or activity supported by the award. Performance reports shall generally contain brief information on each of the following:

(1) A comparison of actual accomplishments with the goals and objectives established for the period.

(2) Reasons why established goals were not met, if appropriate.

(3) Other pertinent information including, when appropriate, analysis and explanation of unexpectedly high cost items.

Annual Financial Report(s):

The recipient will submit annual SF 425, Federal Financial Report(s) for each individual USGS award. The SF 425 is available at - http://www.whitehouse.gov/omb/grants_forms. The SF 425 will be due ninety (90) calendar days after the grant year (i.e., 12 months after the approved effective date of the grant agreement and every 12 months thereafter until the expiration date of the grant agreement). USGS acknowledges that this annual reporting schedule may not always correspond with a specific budget period. The SF 425 must be submitted electronically through the FedConnect Message Center (www.fedconnect.net). If after 90 days, recipient has not submitted a report, the recipient’s account in ASAP will be placed in a manual review status until the report is submitted.

Final Federal Financial Report:

1) The recipient will liquidate all obligations incurred under the award and submit a final SF 425 Federal Financial Report no later than 90 calendar days after the cooperative agreement completion date. Recipient will promptly return any unexpended federal cash advances or will complete a final draw to obtain any remaining amounts due. Once 120 days has passed since the grant/agreement completion date, the subaccount for this award may be closed by USGS at any time.

2) Subsequent revision to the final SF 425 will be considered only as follows - (i) When the revision results in a balance due to the Government, the recipient must submit a revised final Federal Financial Report (SF 425) and refund the excess payment whenever the overcharge is discovered, no matter how long the lapse of time since the original due date of the report.

(ii) When the revision represents additional reimbursable costs claimed by the recipient, a revised final SF 425 may be submitted to the Contracting Officer with an explanation. If approved, the USGS will either request and pay a final invoice or reestablish the subaccount to permit the recipient to make a revised final draw. Any revised final report representing additional reimbursable amounts must be submitted no later than 1 year from the due date of the original report, i.e., 15 months following the agreement completion date. USGS will not accept any revised SF 425 covering additional expenditures after that date and will return any late request for additional payment to the recipient.

PART IV. General Provisions

1. Cost Principles, Audit, and Administrative Requirements

The Recipient shall be subject to the following regulations, which are incorporated herein by reference. Copies can be obtained from the Internet at: http://www.ecfr.gov/ 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards, as implemented by the Department of the Interior in 2 CFR Part 1402 and 43 CFR Part 12.

2. Method of Payment

a. USGS will be using the Department of the Treasury Automated Standard Application for Payments (ASAP) to provide electronic invoicing and payment for assistance award recipients.

(i) The Recipient agrees that it has established or will establish an account with ASAP. With the award of each grant/cooperative agreement, a sub-account will be set up from which the Recipient can draw down funds.

(ii) Instructions for obtaining payments will be provided to the recipients by ASAP. Inquiries regarding payment should be directed to the ASAP Help Desk at: (855) 868-0151or e-mail asap.questions@fms.treas.gov

b. RWOs are subject to periodic reviews by the Recipient’s application Cooperative Research Unit and Project Officer designated in each RWO. Advance payments are not authorized.

3. Additional Regulations

This award is subject to the following additional Governmentwide regulations:

· 2 CFR 180, Governmentwide Debarment and Suspension (Nonprocurement)

· 2 CFR 182, Governmentwide Requirements for Drug-Free Workplace (Financial Assistance)

This award is subject to the following additional regulations of the U.S. Department of the Interior:

· 2 CFR Part 1400, Nonprocurement Debarment and Suspension

· 2 CFR Part 1401, Requirements for a Drug Free Workplace (Financial Assistance)

· 43 CFR Part 17, Nondiscrimination in Federally Assisted Programs of the Department of the Interior

· 43 CFR Part 18, New Restrictions on Lobbying

· Submission of an application also represents the applicant’s certification of the statements in 43 CFR Part 18, Appendix A, Certification Regarding Lobbying

· 43 CFR Part 41, Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance [Applies only if this award provides assistance to an education program or student(s)]

4. Additional Articles Required For Compliance With Statute Or Regulation

a) The Seat Belt Provision (Executive Order 13043) Recipients of grants/cooperative agreements and/or sub-awards are encouraged to adopt and enforce on-the-job seat belt use policies and programs for their employees when operating company owned, rented, or personally owned vehicles. These measures include, but are not limited to, conducting education, awareness, and other appropriate programs for their employees about the importance of wearing seatbelts and the consequences of not wearing them.

b) Federal Leadership on Reducing Text Messaging while Driving (Executive Order 13513) Recipients are encouraged to adopt and enforce policies that ban text messaging while driving, including conducting initiatives of the type described in section 3(a) of the order. (http://www.whitehouse.gov/the_press_office/Executive-Order-Federal-Leadership-on-Reducing-Text-Messaging-while-Driving/)

c) Use of U.S. Flag Air Carriers (49 USC Section 40118) Any air transportation to, from, between or within a country other than the U.S. of persons or property, the expense of which will be paid in whole or in part by U.S. Government funding, must be performed by, or under a code-sharing arrangement with, a U.S. flag air carrier if service provided by such a carrier is "available" (49 U.S.C. 40118, commonly referred to as the Fly America Act). Tickets (or documentation for electronic tickets) must identify the U.S. flag air carrier's designator code and flight number. See the Federal Travel Regulation §301-10.131 - §301-10.143 for definitions, exceptions, and documentation requirements. (See also Comp. Gen. Decision B-240956, dated September 25, 1991.)

d) Trafficking in Persons (2 CFR Part 175)

a. Provisions applicable to a recipient that is a private entity.

1. You as the recipient, your employees, subrecipients under this award, and subrecipients' employees may not—

i. Engage in severe forms of trafficking in persons during the period of time that the award is in effect;

ii. Procure a commercial sex act during the period of time that the award is in effect; or

iii. Use forced labor in the performance of the award or subawards under the award.

2. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you or a subrecipient that is a private entity —

i. Is determined to have violated a prohibition in paragraph a.1 of this award term; or

ii. Has an employee who is determined by the agency official authorized to terminate the award to have violated a prohibition in paragraph a.1 of this award term through conduct that is either—

A. Associated with performance under this award; or

B. Imputed to you or the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement),” as implemented by our agency at 2 CFR part 1400.

b. Provision applicable to a recipient other than a private entity.

We as the Federal awarding agency may unilaterally terminate this award, without penalty, if a subrecipient that is a private entity—

1. Is determined to have violated an applicable prohibition in paragraph a.1 of this award term; or

2. Has an employee who is determined by the agency official authorized to terminate the award to have violated an applicable prohibition in paragraph a.1 of this award term through conduct that is either—

i. Associated with performance under this award; or

ii. Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement),” as implemented by our agency at 2 CFR part 1400.

c. Provisions applicable to any recipient.

1. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a.1 of this award term.

2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this section:

i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and

ii. Is in addition to all other remedies for noncompliance that are available to us under this award.

3. You must include the requirements of paragraph a.1 of this award term in any subaward you make to a private entity.

d. Definitions.

For purposes of this award term:

1. “Employee” means either:

i. An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this award; or

ii. Another person engaged in the performance of the project or program under this award and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements.

2. “Forced labor” means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.

3. “Private entity”:

i. Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25.

ii. Includes:

A. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b).

B. A for-profit organization.

4. “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion” have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).

e) Reporting Subawards and Executive Compensation Information (2 CFR Part 170).

a. Reporting of first-tier subawards.

1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e. of this award term).

2. Where and when to report.

i. You must report each obligating action described in paragraph a.1. of this award term to http://www.fsrs.gov.

ii. For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.)

3. What to report. You must report the information about each obligating action that the submission instructions posted at http://www.fsrs.gov specify.

b. Reporting Total Compensation of Recipient Executives.

1. Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if—

i. the total Federal funding authorized to date under this award is $25,000 or more;

ii. in the preceding fiscal year, you received—

(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

iii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report executive total compensation described in paragraph b.1. of this award term:

i. As part of your registration profile at https://www.sam.gov.

ii. By the end of the month following the month in which this award is made, and annually thereafter.

c. Reporting of Total Compensation of Subrecipient Executives.

1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first-tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if—

i. in the subrecipient's preceding fiscal year, the subrecipient received—

(A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and

ii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term:

i. To the recipient.

ii. By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year.

d. Exemptions If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report:

i. Subawards, and

ii. The total compensation of the five most highly compensated executives of any subrecipient.

e. Definitions. For purposes of this award term:

1. Entity means all of the following, as defined in 2 CFR part 25:

i. A Governmental organization, which is a State, local government, or Indian tribe;

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization;

v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.

2. Executive means officers, managing partners, or any other employees in management positions.

3. Subaward:

i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.

ii. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. __ .210 of the attachment to OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations”).

iii. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract.

4. Subrecipient means an entity that:

i. Receives a subaward from you (the recipient) under this award; and

ii. Is accountable to you for the use of the Federal funds provided by the subaward.

5. Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)):

i. Salary and bonus.

ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.

iii. Earnings for services under non-equity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees.

iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans.

v. Above-market earnings on deferred compensation which is not tax-qualified.

vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000.

f) System of Award Management and Universal Identifier Requirements (2 CFR Part 25)

a. Requirement for System of Award Management Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the SAM until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term.

b. Requirement for Unique Entity identifier Numbers If you are authorized to make subawards under this award, you:

1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may receive a subaward from you unless the entity has provided its unique entity identifier number to you.

2. May not make a subaward to an entity unless the entity has provided its DUNS number to you.

c. Definitions For purposes of this award term:

1. System of Award Management(SAM) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the SAM Internet site (currently at http://www.sam.gov).

2. Unique entity identifier means the identifier required for SAM registration to uniquely identify business entities.

3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C:

i. A Governmental organization, which is a State, local government, or Indian Tribe;

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization; and

v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.

4. Subaward:

i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.

ii. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see 2 CFR 200.330).

iii. A subaward may be provided through any legal agreement, including an agreement that you consider a contract.

5. Subrecipient means an entity that:

i. Receives a subaward from you under this award; and

ii. Is accountable to you for the use of the Federal funds provided by the subaward.

g) Prohibition on Members of Congress Making Contracts with Federal Government (41 USC Section 6306)

No member of or delegate to the United States Congress or Resident Commissioner shall be admitted to any share or part of this award, or to any benefit that may arise therefrom; this provision shall not be construed to extend to an award made to a corporation for the public’s general benefit.

h) Pilot Program for Enhancement of Recipient and Subrecipient Employee Whisleblower Protection (41 USC Section 4712)

This requirement applies to all awards issued after July 1, 2013 and shall be in effect until January 1, 2017.

a.

This award and related subawards and contracts over the simplified acquisition threshold and all employees working on this award and related subawards and contracts over the simplified acquisition threshold are subject to the whistleblower rights and remedies in the pilot program on award recipient employee whistleblower protections established at 41 U.S.C. 4712 by section 828 of the National Defense Authorization Act for Fiscal Year 2013 (P.L. 112-239).

b.

Recipients, and their subrecipients and contractors awarded contracts over the simplified acquisition threshold related to this award, shall inform their employees in writing, in the predominant language of the workforce, of the employee whistleblower rights and protections under 41 U.S.C. 4712.

c.

The recipient shall insert this clause, including this paragraph (c), in all subawards and contracts over the simplified acquisition threshold related to this award.

Insert the following award term if the recipient is an individual, small business, non-profit organization, university or other institution of higher education. This award term does not apply to State, Local or Tribal governments or foreign entities.

i) Patent Rights (37 CFR § 401.14)

Unless otherwise provided in the Agreement, if this Agreement is for experimental, developmental, or research work, the following clause (implementing the Bayh-Dole Act, [35 U.S.C. § 200 et seq.]) shall apply. The recipient shall include this clause in all subawards for experimental, developmental, or research activities.

a.

Definitions 1.

INVENTION means any invention or discovery which is or may be patentable or otherwise protectable under Title 35 of the USC, to any novel variety of plant which is or may be protected under the Plant Variety Protection Act (7 U.S.C. § 2321 et seq.).

2.

SUBJECT INVENTION means any invention of the recipient conceived or first actually reduced to practice in the performance of work under this Agreement, provided that in the case of a variety of plant, the date of determination (as defined in section 41(d)) must also occur during the period of performance.

3.

PRACTICAL APPLICATION means to manufacture in the case of a composition or product, to practice in the case of a process or method, or to operate in the case of a machine or system; and, in each case, under such conditions as to establish that the invention is being utilized and that its benefits are to the extent permitted by law or Government regulations available to the public on reasonable terms.

4.

MADE when used in relation to any invention means the conception or first actual reduction to practice of such invention.

5.

SMALL BUSINESS FIRM means a small business concern as defined at section 2 of Pub. L. 85–536 (15 U.S.C. 632) and implementing regulations of the Administrator of the Small Business Administration. For the purpose of this clause, the size standards for small business concerns involved in government procurement and subcontracting at 13 CFR 121.3–8 and 13 CFR 121.3–12, respectively, will be used.

6.

NON-PROFIT ORGANIZATION means a domestic university or other institution of higher education or an organization of the type described in Section 501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C. § 501(c)) and exempt from taxation under Section 501(a) of the Internal Revenue Code (26 U.S.C. § 501(a)) or any domestic non-profit scientific or educational organization qualified under a State non-profit organization statute. b. Allocation of Principal Rights The recipient may retain the entire right, title, and interest throughout the world to each subject invention subject to the provisions of this Patent Rights clause and 35 U.S.C. § 203. With respect to any subject invention in which the recipient retains title, the Federal Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license to practice or have practiced for or on behalf of the U.S. the subject invention throughout the world. If the Agreement indicates it is subject to an identified international agreement or treaty, the U.S. Geological Survey (USGS) also has the right to direct the recipient to convey to any foreign participant such patent rights to subject inventions as are required to comply with that agreement or treaty.

b.

Allocation of Principal Rights 1.

The recipient may retain the entire right, title, and interest throughout the world to each subject invention subject to the provisions of this Patent Rights clause, including (2) below, and 35 U.S.C. § 203. With respect to any subject invention in which the recipient retains title, the Federal Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license to practice or have practiced for or on behalf of the U.S. the subject invention throughout the world. If the Agreement indicates it is subject to an identified international agreement or treaty, the U.S. Geological Survey (USGS) also has the right to direct the recipient to convey to any foreign participant such patent rights to subject inventions as are required to comply with that agreement or treaty.

2.

If the recipient performs services at a Government owned and operated laboratory or at a Government owned and recipient operated laboratory directed by the Government to fulfill the Government's obligations under a Cooperative Research and Development Agreement (CRADA) authorized by 15 U.S.C. 3710a, the Government may require the recipient to negotiate an agreement with the CRADA collaborating party or parties regarding the allocation of rights to any subject invention the recipient makes, solely or jointly, under the CRADA. The agreement shall be negotiated prior to the recipient undertaking the CRADA work or, with the permission of the Government, upon the identification of a subject invention. In the absence of such an agreement, the recipient agrees to grant the collaborating party or parties an option for a license in its inventions of the same scope and terms set forth in the CRADA for inventions made by the Government.

If a known CRADA exists between the USGS and the recipient, include the CRADA as an attachment and include the following paragraph following b.2.:

USGS has determined that use of alternate paragraph (b) in the preceding clause is required to meet USGS’ obligations under (identify CRADA). This determination may be appealed in accordance with 37 CFR 401.4. Recipient agrees that the work performed under this Agreement is directed by USGS to meet the obligations under the CRADA. Recipient further agrees to grant licenses to the government and (insert additional CRADA partner names, if applicable) as necessary to meet USGS’ obligations under the CRADA.

c.

Invention Disclosure, Election of Title and Filing of Patent Applications by Recipient 1.

The recipient will disclose each subject invention to USGS within two months after the inventor discloses it in writing to recipient personnel responsible for the administration of patent matters. The disclosure to USGS shall be in the form of a written report and shall identify the Agreement under which the invention was made and the inventor(s). It shall be sufficiently complete in technical detail to convey a clear understanding of the nature, purpose, operation, and, to the extent known, the physical, chemical, biological or electrical characteristics of the invention. The disclosure shall also identify any publication, on sale or public use of the invention, whether a manuscript describing the invention has been submitted for publication and, if so, whether it has been accepted for publication, at the time of disclosure. In addition, after disclosure to USGS, the recipient will promptly notify USGS of the acceptance of any manuscript describing the invention for publication, or of any on sale or public use planned by the recipient.

2.

The recipient will elect in writing whether or not to retain title to any such invention by notifying USGS within two years of disclosure to USGS. However, in any case where publication, on sale, or public use has initiated the one-year statutory period wherein valid patent protection can still be obtained in the U.S., the period for election of title may be shortened by USGS to a date that is no more than 60 days prior to the end of the statutory period.

3.

The recipient will file its initial patent application on an invention to which it elects to retain title within one year after election of title or, if earlier, prior to the end of any statutory period wherein valid patent protection can be obtained in the U.S. after a publication, on sale, or public use. The recipient will file patent applications in additional countries or international patent offices within either ten months of the corresponding initial patent application, or six months from the date when permission is granted by the Commissioner of Patents and Trademarks to file foreign patent applications when such filing has been prohibited by a Secrecy Order.

4.

Requests for extension of the time for disclosure to USGS, election, and filing under subparagraphs 1., 2., and 3. may, at the discretion of USGS, be granted.

d.

Conditions When the Government May Obtain Title The recipient will convey to USGS, upon written request, title to any subject invention:

1.

if the recipient fails to disclose or elect the subject invention within the times specified in paragraph c. above, or elects not to retain title, provided that USGS may only request title within 60 days after learning of the failure of the recipient to disclose or elect within the specified times;

2.

in those countries in which the recipient fails to file patent applications within the times specified in paragraph c. above, but prior to its receipt of the written request of USGS, the recipient shall continue to retain title in that country; or in any country in which the recipient decides not to continue the prosecution of any application for, to pay the maintenance fees on, or defend in a reexamination or opposition proceeding on, a patent on a subject invention.

e.

Minimum Rights to Recipient

1.

The recipient will retain a non-exclusive royalty-free license throughout the world in each subject invention to which the Government obtains title, except if the recipient fails to disclose the subject invention within the times specified in paragraph c. above. The recipient’s license extends to its domestic subsidiaries and affiliates, if any, within the corporate structure of which the recipient is a party and includes the right to grant sublicenses of the same scope to the extent the recipient was legally obligated to do so at the time the Agreement was made. The license is transferable only with the approval of USGS except when transferred to the successor of that part of the recipient’s business to which the invention pertains.

2.

The recipient’s domestic license may be revoked or modified by USGS to the extent necessary to achieve expeditious practical application of the subject invention pursuant to an application for an exclusive license submitted in accordance with applicable provisions at 37 CFR Part 404. This license will not be revoked in that field of use or the geographical areas in which the recipient has achieved practical application and continues to make the benefits of the invention reasonably accessible to the public. The license in any foreign country may be revoked or modified at discretion of USGS to the extent the recipient, its licensees, or its domestic subsidiaries or affiliates have failed to achieve practical application in that foreign country.

3.

Before revocation or modification of the license, USGS will furnish the recipient a written notice of its intention to revoke or modify the license, and the recipient will be allowed thirty days (or such other time as may be authorized by USGS for good cause shown by the recipient) after the notice to show cause why the license should not be revoked or modified. The recipient has the right to appeal, in accordance with applicable regulations in 37 CFR Part 404 concerning the licensing of Government-owned inventions, any decision concerning the revocation or modification of its license.

f.

Recipient Action to Protect Government’s Interest 1.

The recipient agrees to execute or to have executed and promptly deliver to USGS all instruments necessary to: (i) establish or confirm the rights the Government has throughout the world in those subject inventions for which the recipient retains title; and (ii) convey title to USGS when requested under paragraph d. above, and to enable the Government to obtain patent protection throughout the world in that subject invention.

2.

The recipient agrees to require, by written agreement, its employees, other than clerical and non-technical employees, to disclose promptly in writing to personnel identified as responsible for the…