FY2022 CRU Program Announcement.pdf

USGS-CRU 2022 PROGRAM ANNOUNCEMENT NO. G22AS00004

-- 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.

UNITED STATES DEPARTMENT OF THE INTERIOR

U.S. GEOLOGICAL SURVEY

PROGRAM ANNOUNCEMENT No. G22AS00040

For Fiscal Year 2022

ISSUE DATE: T B D

CLOSING DATE:

June 20, 2022 (new or changes in scope of work or total estimated cost)

August 8, 2022 (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.

PAPERWORK REDUCTION ACT STATEMENT: This information is being collected in accordance with the Paperwork Reduction Act (44 U.S.C.

3501), to determine the eligibility of the applicant and as a basis for approval or disapproval of the proposed project. 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.

We estimate that it will take approximately 2,325 burden hours.

An agency may not conduct, or sponsor and a person is not required to respond to a collection of information unless it displays a currently valid Office of

Management and Budget control number. The OMB Control Number is 1028-0126 for this information collection; the expiration date is 3/31/2024. You may submit comments on any aspect of this information collection, including the accuracy of the estimated burden hours and suggestions to reduce this burden.

Send your comments to: Information Collection Clearance Officer, U.S. Geological Survey, 12201 Sunrise Valley Drive, MS 807, Reston, VA 20192.

PROGRAM ANNOUNCEMENT CHANGES

Footer – Updated year and Program Announcement No.

Front Pages

• Updated Program Announcement No., fiscal year and closing dates

• Updated “Paperwork Reduction Act” information

• Updated ‘Table of Contents”, Part IV/C page number

Part 1. A. The Cooperative Research Units Program (page 1)

• Updated number of states and units

• Updated the Secretary of the Interior priorities

Part II. A. Timetables (page 2)

• Updated fiscal year and due dates

Part III. A. Preparing and Submitting a Research Work Order Application via Grants.gov (page 5)

• Updated Funding Opportunity Number and Cooperative Research Agreement Number

Important Contacts (page 24)

• Updated USGS Office of Acquisition and Grants Staff

TABLE OF CONTENTS

PART I. Public Law and Program Priorities

A. The Cooperative Research Units Program

B. Statutory Authority of Program

C. Research Work Orders…

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. Grants.gov Application Submission and Receipt Procedures

C. SF 424 Instructions

D. Award Administration Information

E. Reports and Publications

PART IV. General Provisions

A. Department of the Interior Standard Terms and Conditions

B. 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 39 states. Since the original nine Units were established in the 1930s, additional Units were established by Congress at specified universities. The 41 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 is consistent with the Secretary of the Interior strategic goals of 1) Conserve, protect, manage, and restore natural and cultural resources, and 2) Serve and honor the public trust.

This mission also 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 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 2022, due dates are as follows:

June 20, 2022 (new or changes in scope of work or total estimated cost)

August 8, 2022 (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. Data Management Plan Requirements. Proposals submitted to USGS must include a supplementary document of no more than four pages labeled "Data Management Plan"

(DMP). This supplementary document should describe how the proposal will conform to USGS policy on the dissemination and sharing of research results and associated data. A valid DMP may include only the statement that no detailed plan is needed (e.g. “No data are expected to be produced from this project”), as long as the statement is accompanied by a clear justification. This supplementary document may include:

• the types of data, samples, physical collections, software, curriculum materials, and other materials to be produced in the course of the project;

• the standards to be used for data and metadata format and content (where existing standards are absent or deemed inadequate, this should be documented along with any proposed solutions or remedies);

• policies for access and sharing including provisions for appropriate protection of privacy, confidentiality, security, intellectual property, or other rights or requirements;

• provisions for re-use, re-distribution, and the production of derivatives; and

• plans for archiving data, samples, and other research products, and for preservation of free public access to them.

Additional guidance on data management plans is available from the USGS Data

Management web site here: https://www.usgs.gov/products/data-and-tools/data-management/data-management-plans. Simultaneously submitted collaborative proposals and proposals that include subawards are a single unified project and should include only one supplemental combined DMP by the lead PI that also addresses all subaward data management needs, regardless of the number of non-lead collaborative proposals or subawards included.

f. 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.

g. 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 https://www.usgs.gov/products/data-and-tools/data-management/data-management-plans https://www.usgs.gov/products/data-and-tools/data-management/data-management-plans 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. Lab Analyses. Briefly itemize cost of all analytical work (if applicable).

d. 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.

e. 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.

f. 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.

g. 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.

h. 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.

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

j. Total Direct Charges. Totals for items a - j.

k. Indirect Charges (Overhead). The DOI has approved deviation from the federal negotiated indirect cost rate agreement for the CRU Program. For the CRU program, indirect cost rates are capped at 15% and this reduction is outlined within each CRU Cooperative

Agreement.

l. 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.

• Funding Opportunity Number field enter G22AS00040. This is the Funding Opportunity

Number for the CRU Program.

• Funding Opportunity Competition ID field, enter the last four digits of your Cooperative

Research Agreement Number (for example, 1434-12HQRU1578, or 1434-13HQRU1511).

B. Grants.gov Application Submission and Receipt Procedures

1. Electronic Delivery

USGS is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. USGS requires applicants to submit their applications online through Grants.gov.

2. How to Register to Apply through Grants.gov

a. Instructions: Read the instructions below about registering to apply for USGS funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to four weeks to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required application submission deadlines.

If individual applicants are eligible to apply for this grant funding opportunity, refer to:

https://www.grants.gov/web/grants/applicants/individual-registration.html

Organization applicants can find complete instructions here:

https://www.grants.gov/web/grants/applicants/organization-registration.html

1) Obtain a DUNS Number: All entities applying for funding, including renewal funding, must have a Data Universal Numbering System (DUNS) number from Dun & Bradstreet (D&B).

Applicants must enter the DUNS number in the data entry field labeled "Organizational DUNS" on the SF-424 form.

https://www.grants.gov/web/grants/applicants/individual-registration.html https://www.grants.gov/web/grants/applicants/organization-registration.html

For more detailed instructions for obtaining a DUNS number, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html

2) Register with SAM: In addition to having a DUNS number, organizations applying online through Grants.gov must register with the System for Award Management (SAM). All organizations must register with SAM in order to apply online. Failure to register with SAM will prevent your organization from applying through Grants.gov.

For more detailed instructions for registering with SAM, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html

3) Create a Grants.gov Account: The next step in the registration process is to create an account with Grants.gov. Applicants must know their organization's DUNS number to complete this process. Completing this process automatically triggers an email request for applicant roles to the organization's E-Business Point of Contact (EBiz POC) for review. The EBiz POC is a representative from your organization who is the contact listed for SAM. To apply for grants on behalf of your organization, you will need the Authorized Organizational Representative (AOR) role.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html

4) Authorize Grants.gov Roles: After creating an account on Grants.gov, the EBiz POC receives an email notifying them of your registration and request for roles. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online anytime after you have been approved as an AOR.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html

5) Track Role Status: To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html

b. Electronic Signature: When applications are submitted through Grants.gov, the name of the organization's AOR that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html https://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html legally binding commitments on behalf of the organization as an AOR; this step is often missed and it is crucial for valid and timely submissions.

3. How to Submit an Application to USGS via Grants.gov

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different webforms within an application. For each funding opportunity announcement (FOA), you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to:

https://www.grants.gov/web/grants/applicants/apply-for-grants.html

1) Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

2) Complete a Workspace: Add participants to the workspace, complete all the required forms, and check for errors before submission.

a. Adobe Reader: If you decide not to apply by filling out webforms you can download individual PDF forms in Workspace so that they will appear similar to other Standard or

[INSERT AGENCY NAME] forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at:

https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

b. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

c. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.

3) Submit a Workspace: An application may be submitted through workspace by clicking the

Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to https://www.grants.gov/web/grants/applicants/apply-for-grants.html https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html provide you with time to correct any potential technical issues that may disrupt the application submission.

4) Track a Workspace: After successfully submitting a workspace package, a Grants.gov

Tracking Number (GRANTXXXXXXXX) is automatically assigned to the package. The number will be listed on the Confirmation page that is generated after submission.

For additional training resources, including video tutorials, refer to:

https://www.grants.gov/web/grants/applicants/applicant-training.html

Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-

4726 and email at support@grants.gov. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant you are applying for.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support

Center and get a ticket number. The Support Center ticket number will assist the [INSERT AGENCY

NAME] with tracking your issue and understanding background information on the issue.

4. Timely Receipt Requirements and Proof of Timely Submission

a. Online Submission. All applications must be received by the time on the due date established for each program. Proof of timely submission is automatically recorded by Grants.gov. An electronic date/time stamp is generated within the system when the application is successfully received by

Grants.gov. The applicant AOR will receive an acknowledgement of receipt and a tracking number

(GRANTXXXXXXXX) from Grants.gov with the successful transmission of their application.

Applicant AORs will also receive the official date/time stamp and Grants.gov Tracking number in an email serving as proof of their timely submission.

When USGS successfully retrieves the application from Grants.gov, and acknowledges the download of submissions, Grants.gov will provide an electronic acknowledgment of receipt of the application to the email address of the applicant with the AOR role. Again, proof of timely submission shall be the official date and time that Grants.gov receives your application. Applications received by Grants.gov after the established due date for the program will be considered late and will not be considered for funding by USGS.

Applicants using slow internet, such as dial-up connections, should be aware that transmission can take some time before Grants.gov receives your application. Again, Grants.gov will provide either an error or a successfully received transmission in the form of an email sent to the applicant with the AOR role.

The Grants.gov Support Center reports that some applicants end the transmission because they think that nothing is occurring during the transmission process. Please be patient and give the system time to process the application.

https://www.grants.gov/web/grants/applicants/applicant-training.html mailto:support@grants.gov

C. 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.

D. 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.

1. Assistance Administration

This Agreement will be administered by the USGS Contracting Officer indicated on the award cover page. Written communications shall make reference to the Assistance Award number and shall be mailed (or emailed) to the Contracting Officer.

2. Payment

Payments under financial assistance awards must be made using the Department of the Treasury

Automated Standard Application for Payments (ASAP) system (www.asap.gov).

a) The Recipient agrees that it has established or will establish an account with ASAP. USGS will initiate enrollment in ASAP. If the Recipient does not currently have an ASAP account, they must designate an individual (name, title, address, phone and e-mail) who will serve as the Point of http://www.asap.gov/

Contact (POC).

b) With the award of each grant/cooperative agreement, a sub-account will be set up from which the

Recipient can draw down funds. After Recipients complete enrollment in ASAP and link their banking information to the USGS ALC (14080001), it may take up to 10 days for sub-accounts to be activated and for funds to be authorized for drawdown in ASAP.

c) Inquiries regarding payment should be directed to ASAP at 855-868-0151.

d) Payments may be drawn in advance only as needed to meet immediate cash disbursement needs.

3. Revisions and Prior Approvals

Modifications to this Agreement shall generally be executed by mutual written consent of the parties, with the exception of certain purely administrative changes that may be executed unilaterally by the

USGS. Recipients may make certain limited budgetary and programmatic changes without prior

USGS approval as outlined in 2 CFR 200.308 and 200.407. Any proposed change which requires prior written approval of the USGS shall be submitted in writing to the address at D.1 at least thirty (30) days prior to the requested effective date of the proposed change. The USGS will respond to the change request within thirty (30) days of receipt.

a) Extensions. Recipients are specifically advised that requests for extension or other change to the project period of performance require prior written approval. Such requests must be submitted as outlined above and be accompanied by a statement supporting the extension and a revised budget indicating the planned use of all unexpended funds during the proposed extension period.

b) Transfer of Funds. Recipients are specifically advised that prior written approval of the USGS

Contracting Officer is not required for transfer of funds between direct cost categories when the cumulative amount of the transfer during the performance period does not exceed ten percent

(10%) of the total USGS award. Prior written approval is required from the USGS Contracting

Officer for transfers of funds in excess of the ten percent limitation.

E. Reports and Publications

The following reports will be required from all award recipients:

1. Progress Reports

a) Progress Report Forms will be submitted to CRU HQ within 90 calendar days after the agreement year (i.e., 12 months after the approved effective date of the Agreement and every 12 months thereafter until the expiration date of the Agreement.). For Agreements with a total anticipated performance period of 12 months or less, only a Final Technical Report will be required. A progress report is not required in the final year, unless the Recipient requests an extension to the project period.

b) Progress shall include the following:

(i) A comparison of actual accomplishments to the objectives of the Federal award and overall progress in response to the performance metrics.

(ii) The reasons why established goals were not met, if appropriate.

(iii) Additional pertinent information.

c) Between the required reporting dates, events may occur which have significant impact upon the project or program. In such cases, the Recipient shall inform the USGS as soon as the following types of conditions become known:

(i) Problems, delays, or adverse conditions which will materially impair the ability to meet the objective of the Agreement. This disclosure must include a statement of the action taken, or contemplated, and any assistance needed to resolve the situation.

(ii) Favorable developments which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more or different beneficial results than originally planned.

2. Final Technical Report

a) The Recipient shall submit two copies of the final technical report to the USGS Project Officer and one copy of the transmittal letter to the USGS Contracting Officer. The final performance report will be due no later than 90 calendar days after the period of performance end date.

b) The final technical report shall document and summarize the results of Recipient’s work. The report shall include a quantitative description of activities and overall progress in response to the performance metrics which documents and summarizes the results of the entire Agreement. The final report shall include tables, graphs, diagrams, sketches, etc., as required to explain the results achieved under the Agreement. The report shall also include recommendations and conclusions based upon both the experience and the results obtained.

3. Annual Financial Reports

a) The Recipient will submit an annual SF 425, Federal Financial Report, for each individual USGS award. The SF 425 is available at https://www.grants.gov/forms/post-award-reporting-forms.html.

The SF 425 will be due in accordance with the following schedule.

http://www.grants.gov/forms/post-award-reporting-forms.html http://www.grants.gov/forms/post-award-reporting-forms.html

Award Performance Start

Date

Annual Interim Report

End Date

(year following start date)

Annual Interim Report

Due Date

(90 days after report end date)

January 1- March 31 March 31 June 30

April 1- June 30 June 30 September 30

July 1- September 30 September 30 December 31

October 1 – December 31 December 31 March 31

b) The SF 425 must be submitted electronically through the FedConnect Message Center

(www.fedconnect.net) or, if FedConnect is not available, by e-mail to SF425@usgs.gov with a cc to the Contracting Officer. Recipient must include the USGS award number and Research Work

Order Number in the subject line of all correspondence. 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.

4. Final Financial Report

a) The Recipient will liquidate all obligations incurred under the award and submit a final SF 425, Federal Financial Report in accordance with E.3.b. no later than 90 calendar days after the

Agreement completion date.

b) Recipient will promptly return any unexpended federal cash advances or will complete a final draw from ASAP to obtain any remaining amounts due. Once 120 days has passed since the

Agreement completion date, USGS shall unilaterally deobligate federal funds as reflected in the

Final SF 425.

c) 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 SF 425, Federal Financial Report, 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 USGS Contracting Officer with an explanation. If approved, the USGS will either request and pay a final invoice or reestablish the ASAP subaccount to permit the Recipient to make a revised final draw.

Any revised final report representing additional reimbursable amounts must be mailto:SF425@usgs.gov 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.

5. Publications

a) Acknowledgment of Support

Recipient is responsible for assuring that an acknowledgment of USGS support:

1. is made in any publication (including World Wide Web pages) of any material based on or developed under this Agreement, in the following terms:

This material is based upon work supported by the U.S. Geological Survey under Grant/Cooperative Agreement No. (insert agreement number).

2. is orally acknowledged during all news media interviews, including popular media such as radio, television and news magazines.

b) Disclaimer

Recipient is responsible for assuring that every publication of material (including World Wide

Web pages) based on or developed under this Agreement, contains the following disclaimer:

The views and conclusions contained in this document are those of the authors and should not be interpreted as representing the opinions or policies of the U.S.

Geological Survey. Mention of trade names or commercial products does not constitute their endorsement by the U.S. Geological Survey.

c) USGS Logo

Use of the USGS logo (also known as "visual identity" or "identifier") constitutes the recipient’s agreement to and acceptance of the following terms:

• The USGS identifier is trademarked and not in the public domain.

• Use of the trademarked USGS identifier is authorized by USGS for use only by recipients of USGS funding.

• Use is authorized on information products that result from research funded by the financial assistance award.

• Use the USGS identifier for any other purpose without written permission from

USGS is prohibited; doing so constitutes trademark infringement.

• Recipient will adhere to the design requirements, which are as follows:

o The USGS identifier must appear in black, white, or green only.

o The USGS identifier cannot be modified in any way except for proportional sizing.

o The USGS identifier should appear at the same size as logos of other agencies, if any.

o If used on a digital product, the USGS identifier should link to www.usgs.gov

d) Publication

Publication of the results of any project carried out under this assistance award is authorized in professional journals, trade magazines, or may be made by the USGS. Such manuscripts or publications submitted to journals or professional publications for publication shall be accompanied by the following notation:

This manuscript is submitted for publication with the understanding that the United

States Government is authorized to reproduce and distribute reprints for Governmental purposes.

e) Copies for USGS

Recipient is responsible for assuring that the USGS Project Office is provided a digital version, preferably as a MS Word DOCx file, of every accepted manuscript upon acceptance for publication by the journal.

f) Department of the Interior Requirements

Two copies of each publication produced under a Grant or Cooperative Agreement shall be sent to the Natural Resources Library with a transmittal that identifies the sender and the publication. The address of the library is:

U.S. Department of the Interior

Natural Resources Library

Division of Information and Library Services

Gifts and Exchange Section

18th and C Streets, NW

Washington, DC 20240 http://www.usgs.gov/

PART IV. General Provisions

A. Department of the Interior Standard Terms and Conditions

The Recipient shall be subject to the Department of the Interior Standard Terms and Conditions which are incorporated herein by reference and available on the Internet at: https://www.doi.gov/grants/doi-standard-terms-and-conditions

B. Additional Terms and Conditions

a) Research Integrity

1) USGS requires that all grant or cooperative agreement Recipient organizations adhere to the

Federal Policy on Research Misconduct, Office of Science and Technology Policy, December 6, 2000, 65 Federal Register (FR) 76260. The Federal Policy on Research

Misconduct outlines requirements for addressing allegations of research misconduct, including the investigation, adjudication, and appeal of allegations of research misconduct and the implementation of appropriate administrative actions.

2) The Recipient must promptly notify the USGS Project Office when research misconduct that warrants an investigation pursuant to the Federal Policy on Research Misconduct is alleged.

b) Data Availability

1) Applicability. The Department of the Interior is committed to basing its decisions on the best available science and providing the American people with enough information to thoughtfully and substantively evaluate the data, methodology, and analysis used by the Department to inform its decisions.

2) Use of Data. The regulations at 2 CFR 200.315 apply to data produced under a Federal award, including the provision that the Federal Government has the right to obtain, reproduce, publish, or otherwise use the data produced under a Federal award as well as authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes.

3) Availability of Data. The recipient shall make the data produced under this award and any subaward(s) available to the Government for public release, consistent with applicable law, to allow meaningful third party evaluation and reproduction of the following:

a. The scientific data relied upon;

b. The analysis replied upon; and

c. The methodology, including models, use to gather and analyze the data.

https://www.doi.gov/grants/doi-standard-terms-and-conditions https://www.doi.gov/grants/doi-standard-terms-and-conditions

c) Conflict of Interest

1) Applicability.

a. This section intends to ensure that non-Federal entities and their employees take appropriate steps to avoid conflicts of interest in their responsibilities under or with respect to Federal financial assistance agreements.

b. In the procurement of supplies, equipment, construction, and services by recipients and by subrecipients, the conflict of interest provisions in 2 CFR 200.318 apply.

2) Requirements.

a. Non-Federal entities must avoid prohibited conflicts of interest, including any significant financial interests that could cause a reasonable person to question the recipient’s ability to provide impartial, technically sound, and objective performance under or with respect to a Federal financial assistance agreement.

b. In addition to any other probations that may apply with respect to conflicts of interest, no key official of an actual or proposed recipient or subrecipient, who is substantially involved in the proposal or project, may have been a former Federal employee who, within the last one (1) year, participated personally and substantially in the evaluation, award, or administration of an award with respect to that recipient or subrecipient or in development of the requirement leading to the funding announcement.

c. No actual or prospective recipient or subrecipient may solicit, obtain, or use non-public information regarding the evaluation, award, or administration of an award to that recipient or subrecipient or the development of a Federal financial assistance opportunity that may be of competitive interest to that recipient or subrecipient.

3) Notification.

a. Non-Federal entities, including applicants for financial assistance awards, must disclose in writing any conflict of interest to the DOI awarding agency or pass-through entity in accordance with 2 CFR 200.112, Conflicts of Interest.

b. Recipients must establish internal controls that include, at a minimum, procedures to identify, disclose, and mitigate or eliminate identified conflicts of interest. The recipient is responsible for notifying the USGS Contracting Officer in writing of any conflicts of interest that may arise during the life of the award, including those that have been reported by subrecipients.

4) Restrictions on Lobbying. Non-Federal entities are strictly prohibited from using funds under this grant or cooperative agreement for lobbying activities and must provide the required certifications and disclosures pursuant to 43 CFR Part 18 and 31 USC 1352.

5) Review Procedures. The USGS Contracting Officer will examine each conflict of interest disclosure on the basis of its particular facts and the nature of the proposed grant or cooperative agreement, and will determine whether a significant potential conflict exists and, if it does, develop and appropriate means for resolving it.

6) Enforcement. Failure to resolve conflicts of interest in a matter that satisfies the

Government may be cause for termination of the award. Failure to make required disclosures may result in any of remedies described in 2 CFR 200.338, Remedies for

Noncompliance, including suspension or debarment (see also 2 CFR Part 180).

d) Program Income

1) If the Recipient is an educational institution or nonprofit research organization, any other program income will be added to funds committed to the project by the Federal awarding agency and Recipient and be used to further eligible project or program objectives, as described in 2 CFR 200.307(e)(2).

2) For all other types of Recipients, any other program income will be deducted from total allowable costs to determine the net allowable costs before calculating the Government's share of reimbursable costs, as provided in 2 CFR 200.307(e)(1).

e) Government Furnished Equipment or Equipment Authorized for Purchase

Title to equipment acquired wholly or in part with Federal funds shall be vested in the

Recipient unless otherwise specified in the award document. The Recipient shall retain control and maintain an inventory of such equipment as long as there is a need for such equipment to accomplish the purpose of the project, whether or not the project continues to be supported by

Federal funds. When there is no longer a need for such equipment to accomplish the purpose of the project, the Recipient shall use the equipment in connection with other Federal awards the

Recipient has received. Disposal of equipment shall be in accordance with 2 CFR 200.313.

Insert the following if no equipment will be provided or purchased:

No equipment is provided or authorized for purchase on this grant/cooperative agreement.

Insert the following if property will be provided or purchased:

The following equipment will be vested with the Recipient: (list equipment)

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.

f) 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…