CRU Program announcement

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. G19AS00004
For Fiscal Year 2019
ISSUE DATE: September 17, 2018

CLOSING DATE:
June 19, 2019 (new or changes in scope of work or total estimated cost)
August 8, 2019 (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.
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

USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

valid Office of Management and Budget control number. The OMB Control Number is 1028-NEW for this information collection; the
expiration date is TBD. 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.

USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

PROGRAM ANNOUNCEMENT CHANGES
Footer – Updated year and Program Announcement No.
Front Pages

•
•

Updated Program Announcement No., fiscal year and closing dates
Updated ‘Table of Contents”, Part IV/C page number

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

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Added Secretary of the Interior priorities in 3rd paragraph

Part II. A. Timeatables (page 2)

•

Updated fiscal year and due dates

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

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Updated Funding Opportunity Number

USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

TABLE OF CONTENTS
PART I. Public Law and Program Priorities……………………………………………………………1
A. The Cooperative Research Units Program ............................................................. 1
B. Statutory Authority of Program ............................................................................. 2
C. Research Work Orders………………………………...……………………………2
PART II. Timetables, Eligibility and Proposal Format Instructions ..................................................... 2
A. Timetables ............................................................................................................ 2
B. Eligibility – Who May Submit a Proposal .............................................................. 2
C. Proposal and Budget Content Instructions ............................................................. 2
PART III. Proposal Delivery/Submission Instructions and Deliverables .............................................. 4
A. Preparing and Submitting a Research Work Order Application via Grants.gov ....... 4
B. Grants.gov Application Submission and Receipt Procedures ………………………5
C. SF 424 Instructions................................................................................................. 8
D. Award Administration Information ........................................................................ 9
E. Reports and Publications......................................................................................... 9
PART IV. General Provisions ........................................................................................................... 13
A. Cost Principles, Audit, and Administrative Requirements .................................... 13
B. Method of Payment ............................................................................................. 13
C. Additional Regulations……………………………………………………...……..14
D. Additional Articles Required For Compliance With Statute Or Regulation .......... 14
E. Additional General Terms and Conditions……………………………………...…28
Important Contacts: ........................................................................................................................... 31

USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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 is consistent with the Secretary of the Interior priorities of 1) Create a
conservation stewardship legacy second only to Teddy Roosevelt, and 2) Strike a regulatory balance.
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
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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 2019, due dates are as
follows:
June 19, 2019 (new or changes in scope of work or total estimated cost)
August 8, 2019 (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
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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: http://www.usgs.gov/datamanagement/plan/dmplans.php.
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
references as journal articles, chapters in books, abstracts, maps, digital data, etc.
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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 applicantowned 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
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

Note: All proposals must be coordinated with the Recipient’s Cooperative Research Unit prior to
submission.
•
•

Funding Opportunity Number field enter G19AS00004. 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 1434-08HQRU1511).

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.
For more detailed instructions for obtaining a DUNS number, refer to:
https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-dunsnumber.html
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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-withsam.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-usernamepassword.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-aorauthorization.html
5) Track Role Status: To track your role request, refer to:
https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aorstatus.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
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
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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
provide you with time to correct any potential technical issues that may disrupt the application
submission.

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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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 1-800-5184726 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.
C. SF 424 Instructions
All new and continuation/revision applications must contain the completed SF 424 and project/budget
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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.
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.
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

(ii)
(iii)

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

(ii)

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.
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.

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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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 C.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
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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.
b)

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

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) 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.

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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

d)

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.

e)

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

PART IV. General Provisions
A. 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.
B. Method of 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
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.
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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.

e)

RWOs are subject to periodic reviews by the Recipient’s application Cooperative Research Unit
and Project Officer designated in each RWO.

C. 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
o
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)]

D. 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-ReducingText-Messaging-while-Driving/)
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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 B240956, 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
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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.

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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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 nonFederal entity.
2. Executive means officers, managing partners, or any other employees in management
positions.
3. Subaward:
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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.

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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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 nonFederal 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) Enhancement of Recipient and Subrecipient Employee Whistleblower Protection (41 USC Section
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

4712)
a. This award, related subawards, and related contracts over the simplified acquisition threshold
and all employees working on this award, related subawards, and related contracts over the
simplified acquisition threshold are subject to the whistleblower rights and remedies
established at 41 USC 4712.
b. Recipients, their subrecipients, and their 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 USC 4712.
c. The recipient shall insert this clause, including this paragraph (c), in all subawards and in
contracts over the simplified acquisition threshold related to this award.
i)

Prohibition on Issuing Financial Assistance Awards to Entities that Require Certain Internal
Confidentiality Agreements (P.L. 113-235)
Section 743 of Division E, Title VII of the Consolidated and Further Continuing Resolution
Appropriations Act of 2015 (Pub. L. 113-235) prohibits the use of funds appropriated or otherwise
made available under that or any other Act for grants or cooperative agreements to an entity that
requires employees or contractors of such entity seeking to report fraud, waste, or abuse to sign
internal confidentiality agreements or statements prohibiting or otherwise restricting such
employees or contractors from lawfully reporting such waste, fraud, or abuse to a designated
investigative or law enforcement representative of a federal department or agency authorized to
receive such information.
Recipients must not require their employees or contractors seeking to report fraud, waste, or abuse
to sign internal confidentiality agreements or statements prohibiting or otherwise restricting such
employees or contractors from lawfully reporting such waste, fraud, or abuse to a designated
investigative or law enforcement representative of a federal department or agency authorized to
receive such information.
Recipients must notify their employees or contractors that existing internal confidentiality
agreements covered by this condition are no longer in effect.

j)

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
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

1.

2.

3.

4.
5.

6.

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.).
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.
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.
MADE when used in relation to any invention means the conception or first actual
reduction to practice of such invention.
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.
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 nonprofit 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, paidup 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.
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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
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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 administration of patent matters and in a format suggested by the
recipient each subject invention made under this Agreement in order that the recipient can
comply with the disclosure provisions of paragraph c. above, and to execute all papers
necessary to file patent applications on subject inventions and to establish the
Government’s rights in the subject inventions. The disclosure format should require, as a
minimum, the information requested by paragraph c.1 above. The recipient shall instruct
such employees through the employee agreements or other suitable educational programs
on the importance of reporting inventions in sufficient time to permit the filing of patent
applications prior to U.S. or foreign statutory bars.
3.
The recipient will notify USGS of any decision not to continue prosecution of a patent
application, pay maintenance fees, or defend in a reexamination or opposition proceeding
on a patent, in any country, not less than 30 days before the expiration of the response
period required by the relevant patent office.
4.
The recipient agrees to include, within the specification of any U.S. patent application
and any patent issuing thereon covering a subject invention, the following statement: “This
invention was made with Government support under (identify the Agreement) awarded by
the U.S. Geological Survey. The Government has certain rights in this invention.”
5.
The recipient or its representative will complete, execute and forward to USGS a
confirmation of a License to the U.S. Government and the page of a United States patent
application that contains the Federal support clause within two months of filing any
domestic or foreign patent application.
g. Subcontracts
1.
The recipient will include this Patent Rights clause, suitably modified to identify the
parties, in all subcontracts, regardless of tier, for experimental, developmental or research
work. The subcontractor will retain all rights provided for the recipient in this Patent Rights
clause, and the recipient will not, as part of the consideration for awarding the subcontract,
obtain rights in the subcontractors’ subject inventions.
2.
In the case of subcontracts, at any tier, when the prime award by USGS was a contract
(but not a cooperative agreement), USGS, subcontractor, and contractor agree that the
mutual obligations of the parties created by this Patent Rights clause constitute a contract
between the subcontractor and the Foundation with respect to those matters covered by this
Patent Rights clause.
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h. Reporting on Utilization of Subject Inventions
The recipient agrees to submit on request periodic reports no more frequently than annually on
the utilization of a subject invention or on efforts at obtaining such utilization that are being
made by the recipient or its licensees or assignees. Such reports shall include information
regarding the status of development, date of first commercial sale or use, gross royalties
received by the recipient and such other data and information as USGS may reasonably specify.
The recipient also agrees to provide additional reports in connection with any march-in
proceeding undertaken by USGS in accordance with paragraph j. of this Patent Rights clause.
As required by 35 U.S.C. § 202(c)(5), USGS agrees it will not disclose such information to
persons outside the Government without the permission of the recipient.
i. Preference for United States Industry
Notwithstanding any other provision of this Patent Rights clause, the recipient agrees that
neither it nor any assignee will grant to any person the exclusive right to use or sell any subject
invention in the U.S. unless such person agrees that any products embodying the subject
invention or produced through the use of the subject invention will be manufactured
substantially in the U.S. However, in individual cases, the requirement for such an agreement
may be waived by USGS upon a showing by the recipient or its assignee that reasonable but
unsuccessful efforts have been made to award licenses on similar terms to potential licensees
that would be likely to manufacture substantially in the U.S. or that under the circumstances
domestic manufacture is not commercially feasible.
j. March-in Rights
The recipient agrees that with respect to any subject invention in which it has acquired title,
USGS has the right in accordance with procedures at 37 CFR § 401.6 and USGS regulations at
45 CFR § 650.13 to require the recipient, an assignee or exclusive licensee of a subject
invention to grant a non-exclusive, partially exclusive, or exclusive license in any field of use
to a responsible applicant or applicants, upon terms that are reasonable under the circumstances
and if the recipient, assignee, or exclusive licensee refuses such a request, USGS has the right
to grant such a license itself if USGS determines that:
1.
such action is necessary because the recipient or assignee has not taken or is not
expected to take within a reasonable time, effective steps to achieve practical application of
the subject invention in such field of use;
2.
such action is necessary to alleviate health or safety needs which are not reasonably
satisfied by the recipient, assignee, or their licensees;
3.
such action is necessary to meet requirements for public use specified by Federal
regulations and such requirements are not reasonably satisfied by the recipient, assignee, or
licensee; or
4.
such action is necessary because the agreement required by paragraph i. of this Patent
Rights clause has not been obtained or waived or because a licensee of the exclusive right
to use or sell any subject invention in the U.S. is in breach of such agreement.
k.

Special Provisions for Agreements with Non-profit Organizations
If the recipient is a nonprofit organization, it agrees that:
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1.

rights to a subject invention in the U.S. may not be assigned without the approval of
USGS, except where such assignment is made to an organization which has as one of its
primary functions the management of inventions, provided that such assignee will be
subject to the same provisions as the recipient;
2.
the recipient will share royalties collected on a subject invention with the inventor,
including Federal employee co-inventors (when USGS deems it appropriate) when the
subject invention is assigned in accordance with 35 U.S.C. § 202(e) and 37 CFR § 401.10;
3.
the balance of any royalties or income earned by the recipient with respect to subject
inventions, after payment of expenses (including payments to inventors) incidental to the
administration of subject inventions, will be utilized for the support of scientific or
engineering research or education; and
4.
it will make efforts that are reasonable under the circumstances to attract licensees of
subject inventions that are small business firms and that it will give preference to a small
business firm if the recipient determines that the small business firm has a plan or proposal
for marketing the invention which, if executed, is equally likely to bring the invention to
practical application as any plans or proposals from applicants that are not small business
firms; provided that the recipient is also satisfied that the small business firm has the
capability and resources to carry out its plan or proposal. The decision whether to give a
preference in any specific case will be at the discretion of the recipient. However, the
recipient agrees that the Secretary of Commerce may review the recipient’s licensing
program and decisions regarding small business applicants, and the recipient will negotiate
changes to its licensing policies, procedures or practices with the Secretary when the
Secretary’s review discloses that the recipient could take reasonable steps to implement
more effectively the requirements of this paragraph k.4.
l. Communications
All communications required by this Patent Rights clause must be submitted through the Office
of Policy and Analysis (OPA), U.S. Geological Survey, Reston, VA
20192, gs_usgs_patents@usgs.gov.

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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

E. Additional General 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) Access and Rights to Research Data and Other Intangible Property
1)

Recipients that are institutions of higher education, hospitals, or non-profit
organizations are required to release research data first produced in a project supported in
whole or in part with Federal funds that are cited publicly and officially by a Federal agency
in support of an action that has the force and effect of law (e.g., regulations and
administrative orders). “Research data” is defined as the recorded factual material
commonly accepted in the scientific community as necessary to validate research findings.
It does not include preliminary analyses; drafts of scientific papers; plans for future
research; peer reviews; communications with colleagues; physical objects (e.g., laboratory
samples, audio or video tapes); trade secrets; commercial information; materials necessary
to be held confidential by a researcher until publication in a peer-reviewed journal;
information that is protected under the law (e.g., intellectual property); personnel and
medical files and similar files, the disclosure of which would constitute an unwarranted
invasion of personal privacy; or information that could be used to identify a particular
person in a research study.

2)

These requirements do not apply to commercial organizations or to research data
produced by State or local governments. However, if a State or local governmental grantee
contracts with an educational institution, hospital, or non-profit organization, and the
contract results in covered research data, those data are subject to these disclosure
requirements.

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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

3)

Requests for the release of research data subject to this policy are required to be made to
USGS, which will handle them as FOIA requests under 43 CFR 2.25. If the data are
publicly available, the requestor will be directed to the public source. Otherwise, the USGS
Contract Officer, in consultation with the affected Recipient and the PI, will handle the
request. This policy also provides for assessment of a reasonable fee to cover Recipient
costs as well as (separately) the USGS costs of responding.

4)

Rights to research data and other intangible property shall be distributed in accordance
with 2 CFR 200.315.

c) Conflict of Interest
The Recipient must establish safeguards to prohibit its employees and Subrecipients from
using their positions for purposes that constitute or present the appearance of a personal or
organizational conflict of interest. The Recipient is responsible for notifying the USGS
Contracting Officer in writing of any actual or potential conflicts of interest that may arise during
the life of this award. Conflicts of interest include any relationship or matter which might place the
Recipient or its employees in a position of conflict, real or apparent, between their responsibilities
under the agreement and any other outside interests. Conflicts of interest may also include, but are
not limited to, direct or indirect financial interests, close personal relationships, positions of trust in
outside organizations, consideration of future employment arrangements with a different
organization, or decision- making affecting the award that would cause a reasonable person with
knowledge of the relevant facts to question the impartiality of the Recipient and/or Recipient's
employees and Sub-recipients in the matter.
The USGS Contracting Officer and the servicing Ethics Counselor will determine if a
conflict of interest exists. If a conflict of interest exists, the USGS Contracting Officer will
determine whether a mitigation plan is feasible. Mitigation plans must be approved by the USGS
Contracting Officer in writing. Failure to resolve conflicts of interest in a manner that satisfies the
government may be cause for termination of the award.
Failure to make required disclosures may result in any of the 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).
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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

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.

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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004

Important Contacts:
Cooperative Unit Headquarters Office Staff:
Melissa Thode
Phone: (703) 648-4265
Email: mthode@usgs.gov
Brenda Croston
Phone: (703) 648-4263
Email: brenda_croston@usgs.gov
Derek Geary
Phone: (703) 648-4380
Email: dgeary@usgs.gov
USGS Office of Acquisition and Grants Staff:
Grant Specialists:
Desiree Santa
Grant Specialist
Phone: (703) 648-7382
Email: dsanta@usgs.gov
Faith Diane Graves
Contract Specialist
Phone (703) 648-7356
Email: fgraves@usgs.gov
Grants.gov and ASAP Enrollment Support:
Laura M. Mahoney
Grant Analyst
Phone: (703) 648-7344
Email: lmahoney@usgs.gov

-- END OF PROGRAM ANNOUNCEMENT--

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USGS-CRU 2019 PROGRAM ANNOUNCEMENT NO. G19AS00004