Project Number: 5501472-12 PI: Hope, D
Title: Providing Machine Readable Bibliographic Control of Info. On State
and Land Grant Un. Publications
Start Date: 08/28/1992 End Date: 10/31/1993
Award Amount: $3,132.00
UNIVERSITY OF FLORIDA
University Project # 'eL)
TitleofProposal: Providing Machine-Readable Bibliographic Control of
Information on State and Land-Grant Un. Publications.
Submitted toAgency/Program: USDA, National Agricultural Library
(NOTE TO THE P.I.: Please provide mailing instructions on page 2)
UNIVERSITY ENDORSEMENTS: The attached proposal has been examined by the officials whose signatures appear below. The principal academic review
of the proposal is the responsibility of the Department/Center and College. If additional space is needed for signatures, please provide them on a separate
sheet of paper.
Principal Investigator: (Project Director)
NAME: Dorotly Hope Date
TITLE:Acting Chair, Catalog Dept.
CAMPUSADDRESS: 300 Smathers Library
TELEPHONE: (904) 392-0351
SOC. SEC. NO.
Co-Principal Investigator: (If Applicable)
SOC. SEC. NO.
NAME: Carolyn J. Henderson Date
TITLE:Asst. Dir. of Support Services
Department Head: (If more than one)
Approval by Dean or Director:
y XR L^t^z^_ ___
Approval by Dean or Director: (If more than one)
Other Endorsement (If Needed):
Approval by Vice-President for Agricultural Affairs
(For all projects involving IFAS Personnel)
Approval by Vice-President for Health Affairs:
(For all projects involving JHMHC Personnel)
Official Authorized to Sign for the University:
NAME: Dale B. Canelas
TITLE: Director of Libraries
Division of Sponsored Research
University of Florida
SEND NOTICE OF AWARD TO:
The University of Florida
Division of Sponsored Research
219 Grinter Hall
Gainesville, FL 32611
AGENCY APPLICATION DEADLINE
(DO NOT LEAVE BLANK)
0 postmark l receipt
TO BE COMPLETED BY I
PRINCIPAL INVESTIGATOR (Do Not Comp
Last Name (Print or Type)
Catalog Department l
Department or Unit to Administer Account
Last Name (Print or Type)
ete Shaded Boxes)
W I I Z
Initials Social Security
Social Security Number
Social Security Number
TitleofProject: Providing Machine-Readable Bibliograhpic Control of Information
on State and Land-Grant Un. Publications.
INDIRECT COST (IDC):
X FOR ALL APPLICABLE IDC ACCRUED, RETURN IDC TO: (CHECK ONE)
(A) PI and Home Department Only.
(B) PI, CO-PI and their Home Departments (equal split).
EIES AND IFAS (C) PI, Center and Home Department.
FACULTY OMIT (D) PI and Center Only (No Department IDC return).
THIS SECTION. (E) OTHER (provide explanation)
NAME OF DEPARTMENTS) TO ACCRUE IDC, IF APPLICABLE University Libraries / Catalog Dept. I l I
NAME OF CENTER TO ACCRUE IDC, IF APPLICABLE I I T
IF SPONSOR DOES NOT ALLOW IDC, PLEASE CHECK HERE: L
CERTIFICATIONS AND ASSURANCES
Exp Date Number
Human Subjects o I I LLJ t NII I I Proprietary Data E
Animal Subjects D II-II I Il Copyright D
Recombinant DNA/RNA O Invention O
FDA Good Lab Practices O Clearinghouse Review 1
Biohazards] (If none, please check here): E Classified Research ]
TYPE: CATEGORY: MAILING INSTRUCTIONS:
New R Research O Mail Original and 3 copies to: (Check One)
Renewal 1 Training 1 TTSDA, Agricultural Research 1 First Class
Continuation 1] Other E Contracting & Asst. Div. O Federal Express
Supplemental O Attn: Christina Getachew Samas Acc't. #
Revised 1 6303 Ivy Lane, Rm. 836 O Other
Greenbelt, MD 20770-1433
EI I II I 1 Send 2 copies to P.I.
DSR USE ONLY
UPN IIII I I PROPOSAL DATE: II IIAGENCY CODE I 1 I I
BUDGBEG I F 1 BUDGEND 1 1 I PROJ BEG I PROJ END 1 1 1 1
AMT REQUESTED: I I I[II I
INDIRECT COSTS-AMT 5: I I I I I RATE: 1 BASE:
OFF CAMPUS- $: I I I I I I 1 RATE: 11 BASE: I
COSTSHARING- AMT 5: I I I I COST SHARING %:
RECEIVED: BUDGET CHECK: IstCLS: FEDEX: DIRECT: 205:
UFFL:_ YES NO DATE CONTACTED: NR: INTERNAL: COPIES NEEDED:
uMEO STArTS oElf*MnWr O AcGA.L LOF reSm4m u *J, wFEUTnr
co@"~.-= r*--------"- ""'- 8-0510-2-178 rimOF 4= NEW
USDA, National Agricultural -rar
10301 Baltinore Blvd. Iwooa~We
Beltsville, MD 20705 Final Signature 12 months
texjm.cr.TpM o e ~2 rn- o Tt
18,791.00 s n/a
PEnnMeAc reZunzanew n....4 a-- --------E--------- AU ---
University of Florida N/A 7 USC 3318
204 Library West
Gainesville, FL 32611 co.de < xw
P"FLNPA 111* m-e2 2ca cnr--g- -- -s-
Univ. of Florida, Smathers Library Administrative Office
204 Library West National Agricultural Library
Gainesville, FL 32611 10301 Baltimore Blvd., Rm. 201
Beltsville, MD 20705
N""Tiding Machine-Readable mnn0 m la '-~EP -
Bibliographic Control of Informati n USDA, NAL, TSB Cataloging Branch
on State and Land-Grant Un. Publications 10301 Baltimore Blvd., Room 110.
Beltsville, MD 20705
BASIS FOR AWARD
This Areement inkcudes the foCowin
I Satremet of Wor or
D Project. Srnmmry or
0 ProposaI; and
3 General Provrsons
0 7CFR3015. SubpartU (by refence)
2 FORM ARS-4s
0 Special Proviions
4 Technical Reprots
0 s==l reports to: AutheriDed Departmen tal O tacie
A Otier (Specify)
1. Performing Organization Certification Page 2
2. Report of Inventions and Subcontracts
3. Certification Regarding Debarment, Suspension and other Responsibility
Matters Appendix A.
4. Certification Regarding Drug-Free Workplace Requirenents (Appendix C)
5. Instructions from the Authorized Departmental Officer (ADO) to the
Authorized Departmental Officer's Designated Representative (ADODR)
NOTE: By signing this agreement, the Performing Organization provides the
certifications required above.
FOR THE LUTWE STATES DLARTMfft OFAGFCXtL7UtE
UMoscF oIarR a.W cJsS Ht.ae I WA CA
JOSEPH H. HCWARD
paymrrrTm .. rV ..r.. APO ,1 D..A... E.. ...
4AtslM e TsNwAnC2anMEcn o ~a
(Check appropriate boxes)
THE PERFORMING ORGANIZATION CERTIFIES THAT IT:
O is. (3 is not, a small business concern.
2.- is, (D is not, a minority business enterprise.
3. (a) 0 has. has not. employed or retained any company or person (other than a full-time bona fide employee working
solely for the.performing organization) to solicit or secure this agreement, and
(b) 0 has, Q has not, paid or agreed to pay any company or person (other than a full-time bona fide employee working
solely for the performing organization) any fee. commission, percentage, or brokerage feecontingent upon the award
of this agreement, and if so, agrees to furnish information relating thereto as requested by the Authorized
4. ChasO has not, participated in a previous contract, agreement, or subcontract subject to Equal Opportunity and
Affirmative Action Causes herein and has filed compliance reports where required.
5. Operates as individual, 0 partnership, .0 corporation, incorporated in the State of a
0 public; 0 private," Q educational institution or affiliate.
6. Applicable if Federal'obligation exceeds $100,000
(a) 0 has, O has not, been listed on the -Environmental Protection Agencies List of Violating Facilities.
(b) Will promptly notify the Authorized Departmental Officer if the receipt of any communications from the
Environmental Protection Agency indicating that any facility used in the performance of this agreement is
under consideration to be listed on the said List of Violating Facilities.
(c) That this certification, including this paragraph (c). will be included in every subaward or subcontract.
7. Is in a position to undertake, perform, and complete this agreement and will diligently perform work in accordance with the
UNITED STATES DEPARTMENT OF AGRICULTURE
WHEREAS, access to information on state and land-grant universities
publications is vital for agricultural and natural resources researchers
and scholars; and
WHEREAS, there is a need to provide machine-readable bibliographic
control of these materials now available at the National Agricultural
Library (NAL) and the University Libraries of the University of Florida;
WHEREAS, the inclusion of these materials in the AGRICDLA database will
greatly enhance and benefit the agricultural and scientific community of
the United States and the World; and
WHEREAS, it is the intention of the parties to this Cooperative
Agreement that it shall for their mutual benefit and the benefit of the
people of the United States; and
WHEREAS, the cooperative work to be conducted under this Cooperative
Agreement will be cooperatively planned and conducted;
NOW, THEREFORE, for and in consideration of the promise and mutual
covenants herein contained and other good and valuable considerations,
the parties hereby mutually agree with each other as follows:
A. The University Libraries, University of Florida (Cooperator) Acrees:
1. To prepare in consultation with NAL plans and outline of the
work to be undertaken.
2. To provide for the cataloging of special materials such as
University and State documents, thesis, and dissertations in
the agricultural and natural resources fields and other
materials held by NAL in various formats as follows:
a. Search above stated publications in AGRICOLA, ISIS, and
bibliographic utilities in order to find acceptable
records to use as copies.
b. Prioritize publications for processing according to their
c. Provide minimal level cataloging for the materials
d. Input the bibliographic entries for the database.
3. To provide appropriate personnel and travel for the work
mutually agreed upon. Travel of staff, during the
period covered by the Agreement, will be funded and approved using
the regular travel guidelines of the Cooperator.
4. That it will make quarterly progress reports and a final written
report to NAL.
5. That it will make quarterly financial management reports using the
Standard Form (SF) 269.
B. The National Aqricultural Library (NAL) Agrees:
1. To work closely with the Cooperator in the planning and conduct of
2. To provide training in policies and procedures that govern NAL
cataloging, as needed.
3. To facilitate and provide access to AGRICOLA and other databases
for the purpose of identifying potentially useful records.
4. To provide professional staff for the coordination and conduct of
this project, and provide facilities, equipment, and services, as
5. Partially defray the cost of the project by reimbursing the
Cooperator for allocable, allowable, reasonable, and necessary
costs in an amount not to exceed that given in the Federal
Obligation block of ARS Form 451, a part hereof. Indirect cost are
6. Funds deposited, to partially defray the cost of the project, may
be used by the Cooperator to hire temporary help to replace staff
of the Cooperator's institution that are working at NAL.
C. It is Mutually Understood and Agreed:
1. The funding shown in the Federal Obligation block on Form ARS-451
is hereby applied under this Cooperative Agreement to cover the
anticipated costs to be reimbursed to the Cooperator for research
work as outlined.
2. That no part of funds made available by NAL to the Cooperator shall
be expended for capital improvements, non-expendable equipment, nor
travel of NAL employees.
3. That payments to the Cooperator will be made quarterly upon
submission of properly executed voucher or invoice and an
accompanying progress report.
4. Checks covering payments under this Cooperative Agreement will be
drawn in the name of the Cooperator unless a written request from
the Cooperator accompanies the billing requesting, for purposes of
check identification, that such checks also include the name of a
particular department of the Cooperator's organization. If further
check identification is needed, the Cooperator may: a) number the
invoice and request that it be shown on the check, b) submit the
invoice in duplicate and request that one copy of the invoice be
returned with the check, or c) request that the Cooperative
Agreement number cited on the invoice be shown on the check.
5. The Cooperator will use its best efforts to provide performance
under this Cooperative Agreement within the Federal Obligation
amount shown on Page 1 of this Agreement and notify the Authorized
Departmental Official's Designated Representative (ADODR) when it
is anticipated that performance under this Cooperative Agreement
will exceed this amount. The Cooperator is not obligated to
continue performance under this Cooperative Agreement or otherwise
incur costs in excess of the Federal Obligation amount unless
authorized by the ADO. Cost incurred in excess of the Federal
Obligation amount shall not be reimbursed without written approval
and written ratification by the Director, Contracting and
Assistance Division, ARS. Unallowable cost will not be approved in
6. All rights, title, and interests in an invention solely made by an
employee of NAL shall be owned by NAL. Any invention made jointly
under this Cooperative Agreement by at least one employee of NAL
and at least one employee of the Cooperator shall be jointly
owned. Any invention made under this Cooperative Agreement solely
by an individual employed by the Cooperator shall be owned by the
Cooperator provided NAL is granted a royalty free, nonexclusive,
world-wide, irrevocable license to practice the invention for U.S.
7. Cooperator employees, while engaged in work at NAL facilities, will
abide by NAL's rules of the workplace. Unless otherwise provided
for herein, Cooperator employees shall not operate Government-owned
vehicles without prior specific written authorization by the ADO.
8. It is further understood that ARS shall not be held responsible for
any injury sustained or malady or death incurred by the
Cooperator's personnel who occupy NAL space; neither will NAL be
held responsible for any breakage, theft, or acts of vandalism to
the Cooperator's equipment and supplies during the period of the
Cooperative Agreement. The employees of the Cooperator, while
engaged in duties at NAL, shall adhere to the hours of work,
conduct and other incidental matters stated in the rules and
regulations of the U.S. Department of Agriculture and NAL.
9. NAL may technically supervise work of a Cooperator's employees
while at NAL facilities engaging in work under this Cooperative
Agreement; however, NAL may not intervene in the employer-employee
relationship between a Cooperator and its employees. In addition,
NAL may not act so as to hire or otherwise engage in the personnel
management of a Cooperator's employees.
10. The Cooperator shall provide and maintain the necessary types of
insurances, as may be needed under this Cooperative Agreement,
including, but not limited to worker's compensation, employer's
liability, and comprehensive general liability in amounts
sufficient to protect the Federal Government's interest in not
being subject to unwarranted damage claims resulting from the
Cooperator's use of NAL facilities.
11. Either party may furnish equipment and/or facilities at no cost to
the other, as may be mutually agreed to between the Cooperator and
the ADODR for successful completion of this project; however, in no
manner shall NAL be held liable for damage or loss of Cooperator's
property located at NAL facilities.
12. Data collected, compiled, and evaluated under this Cooperative
Agreement shall be shared and mutually interchanged by the
Cooperator and NAL with the final results of this project made
available to both parties.
13. In advertising, the Cooperator will not refer in any manner to the
Federal Government or agencies thereof in connection with the use
of the results of this cooperative project without prior specific
written authorization by the ADO. Unless otherwise provided
herein, information obtained as a result of this project will be
made available to the public in printed or other forms by the
Government at its discretion. The Cooperator will be given due
credit for its cooperation in the project.
14. Any public information released concerning work carried out under
this Cooperative Agreement will describe the contributions of both
parties to the research effort.
15. Any technical publication developed as a result of this Cooperative
Agreement shall be submitted by the developing party to the other
for advice and comment. In event of dispute, a separate
publication may be made with effective statements of acknowledgment
16. NAL participation in this Cooperative Agreement shall be subject to
passage by the Congress of the United States of an appropriation of
funds for the fiscal year from which expenditures may be legally
17. This Cooperative Agreement may be amended by the ADO at any time by
mutual agreement between the parties in writing. Unilateral
amendments may be issued by the ADO for changes which are purely
administrative in nature.
18. This Cooperative Agreement may be terminated by either of the
parties upon 60 calendar days' notice in writing of one party to
the other party.
19. The ADO has delegated ADODR responsibilities to the individual
named on Page 1 of this Agreement subject to the limitations as
provided for in the ADODR Instructions.
20. Correspondence and documentation regarding this Agreement should
cite Agreement Number 58-0510-2-178 and copies of such
correspondence and documentation between the Cooperator and the
ADODR shall be sent by the originating party to the ADO at:
Joseph H. Howard
USDA, National Agricultural Library
10301 Baltimore Blvd.
Beltsville, MD 20705
21. Where in the Special Provisions the Agricultural Research Service
(ARS) is referred to, read instead the National Agricultural
United States Department of Agriculture
Non-Assistance Cooperative Agreement
1. Definitions. ....... ..................... 1
2. Key Personnel ............................ 1
3. Subawards and Subcontracting .............. 1
4. Utilization of Small Disadvantaged
Business Enterprises ....................... 1
5. Travel ................................ 2
6. Questionnaires and Survey Plans .............. 2
7. Advertising ............................... 2
8. Allowable Costs ......................... 2
9. Disbursing Funds ........................ 2
10. Standards of Work ....................... 2
11. Reports of Work......................... 2
12. Assignment of Claims .................... 3
13. Examination of Records by the Controller General
or the Inspector General ................... 3
14. Utilization of Small Business Concerns .......... 3
15. Notice to Agency of Labor Disputes ............ 3
16. Title to Equipment .......... .............. 3
17. Equipment Management Requirements........... 3
18. Officials Not to Benefit ..................... 3
19. Acknowledgment of Support and Disclaimer ...... .3
20 Patents and Copyrights .................... 3
21. Motor Vehicle Accident Liability................ 4
22. Liability--Other ......................... 4
23. Debt Collection .......................... 4
24. Termination by Mutual Agreement ............. 5
25. Suspension or Termination for Cause ........... 5
26. Termination Review Procedures ............. 5
27. Protection of Human Subjects............... 5
28. Care of Laboratory or Experimental Animals ...... 6
29. Assurances ............; ................. 6
30. Safety and Health ......................... 6
31. Legal Authority Certification .................. 6
32. Order of Precedence ....................... 6
The following terms shall have the meaning set forth below:
The Agriculture Research Service (ARS) or the National
Agricultural Library (NAL).
b. Authorized Departmental Officer (ADO)
Any person authorized to enter into. administer, and
terminate Non-Assistance Cooperative Agreements.
c. Cost Sharing
Participation by the Cooperator in the cost of meeting their
responsibilities under this Non-Assistance Cooperative
d. Non-Assistance Cooperative Agreement
An authorized contractual arrangement between the
Agency and the Cooperator whereby both parties agree
to conduct research, education, information programs
or projects that are of mutual interest to both parties
and wherein both parties contribute resources to the
accomplishment of their mutual objectives. Hereinafter
referred to as "Agreement"
The party or parties, other than the Agency, that is part of
f. Authorized Departmental Officer's Designated
The Agency employee, acting within the scope of
delegated authority, who is responsible for participating
with the Cooperator in the accomplishment Of this
Agreement's objectives and monitoring and evaluating the
g. Principal Investigator (PI)
The Cooperator's employee who is responsible for
conducting the effort of the Cooperator in the
accomplishment of this Agreement's objectives.
Office of Management and Budget
Federal Acquisition Regulations
2. Key Personnel
a. Written approval of the ADO is required to change the PI or
to continue the research, education, or information work.
without the participation of the PI, for a period in excess of
three continuous months.
b. A substantial reduction of the effort devoted to the work by
the PI requires written approval of the ADO.
c. -The PI shall obtain prior written approval of the ADO
before changing the objectives of this Agreement. as
stated in the Agreement, or the phenomenon or
phenomena under study.
3. Subawards and Subcontracting
No contract, subcontract, grant, or other arrangement shall be
made with any other party for performing all or any portion of
this project. except for articles, supplies, equipment, and
services which are both necessary for and merely incidental
to the work required under the Agreement without prior
written approval of the ADO.
4. Utilization of Small Disadvantaged Business
a. It is the policy of the Federal Government that small
disadvantaged business enterprises shall have the
maximum practicable opportunity to participate in the
performance of this Agreement
b. The Cooperator agrees to use its best efforts to carry out
frlIPA A -C
c. The term "small disadvantaged business enterprise"
means a business, at least 51 percent of which is owned
and controlled by minority group members or, in the case
of publicly owned businesses, at least 51 percent of the
stock of which is owned by minority group members.
d. For purposes of this definition, minority group members
are Black American. Hispanic American, Native American,
Asian Pacific American, and Asian Indian American orother
individuals found to be disadvantaged by the
administration pursuant to Section 8(a) of the Small
e. The Cooperator may rely upon written representations by
subcontractors or subawardees regarding their status as
minority business enterprises or banks in lieu of
f. Foreign organizations are exempt from this clause.
a. Travel may only be performed to provide direct benefit to
the research, information, or education project being
supported by this Agreement
b. Travel costs are limited to the extent provided by formal
Cooperative travel policy. If the Cooperator has no formal
travel policy. Agency travel regulations shall be applied in
determining the amount of travel chargeable to this
c. Surface travel or less than first-class air accommodations
shall be used where and when available for travel charged
to this Agreement
d. United States flag air carriers must be used for foreign
e. Prior ADO written approval is required for travel outside
the United States, its possessions, its territories, and
f. Prior ADO written approval is required for personnel
movements of special or mass nature.
6. Questionnaires.and Survey Plans
The provisions of Title 5 of the Code of Federal Regulations,
Part 1320 (5 CFR 1320), apply if this Agreement involves the
collection of identical information from the public.
Manufacturers, distributors, or other persons whose product
has been approved by the U.S. Department of Agriculture for
industry or other public use in connection with this
Agreement are prohibited from use of Agency documents, or
reference thereto, in their advertising literature or in any other
way that indicates endorsement of the product by the U.S.
Department of Agriculture.
8. Allowable Costs
a. Payment up to the amount specified in this Agreement
shall be made only for allowable, allocable. reasonable, and
necessary costs in accordance with the following cost
principles in effect on the date of the award:
(1) For educational institutions and hospitals-OMB
Circular No. A-21:
(2) For State and local governments-OMB Circular
(3) For nonprofit organizations--OMB Circular No. A-122:
(4) For commercial firms-FAR 31.2.
b. Prior written ADO approval is required foc
(1) Purchase of general-purpose equipment, eg,
office machines and furnishings, air conditioning.
reproduction or printing apparatus, motor vehicles, or
automatic data processing equipment;
(2) Special-purpose equipment costing $5000 or more
(3) Printing and binding as set forth in the Government
Printing and Binding Regulations; and.
(4) Production. purchase, presentation, or distribution of
9. Disbursing Funds
Federal employees are prohibited from receiving funds of or
disbursing funds of the Cooperator.
10. Standards of Work
a. The Cooperator agrees that the performance of work or
services pursuant to this Agreement shall conform to high
b. The Cooperator certifies that it is in a position to
undertake, perform, and complete this Agreement and will
diligently perform and carry out its responsibilities.
11. Reports of Work
The Cooperator is responsible for monitoring and reporting
upon performance to the ADOOR, as follows:
a. Performance Reports. Unless otherwise specified in this
Agreement. the performance report, in an original and two
copies, is due 90 calendar days after the anniversary date
of the award. Subsequent reports are due quarterly
thereafter during the period of this Agreement or any
extension or renewal thereot Such reports are to include:
(1) A summary of progress, including a comparison of
actual accomplishments with goals) established for the
time periodtbeing covered and the reasons for slippage
if the objectives are not met
(2) An outline of any problems encountered or the
occurrence of unusual or favorable developments
during the period; and
(3) A brief summary of work to be accomplished during the
ensuing quarterly period.
b. Final Report Unless otherwise specified in this Agreement
the final performance report shall be due 90 calendar days
following the expiration date of this Agreement This
report is to include appropriate identifying data and the
(1) A description of all work results, conclusions, and if
(2) Titles of theses of dissertations resulting. if any.
(3) Names of scientific or other collaborators connected
with the project including students (show title or status.
e.g- associate professor, graduate student):
(4) Other deliverables as given in this Agreement
(5) Copies of copyrighted or copyrightable materials
including computer software:
(6) A description of inventions resulting from the work and
a statement of status concerning any protection sought
(7) A copy of any publications resulting from this
(8) Signature of PI and date.
c. Significant Developments. Events may occur between
scheduled performance reporting dates which significantly
impact the overall effort. Therefore, the Cooperator shall
promptly notify the ADOOR when the following conditions
or situations surface.
(1) Unanticipated delays or adverse conditions which
threaten to materially impair its ability to meet the prime
objectives) of this Agreement This disclosure is to
include a statement of any action taken or contemplated
and any assistance needed to resolve the problemss; or-
(2) Favorable developments which are expected to enable
it to meet established schedules or goals sooner or at
less cost than anticipated or may produce more
beneficial results than originally planned.
12. Assignment of Claims
a. Pursuant to the provisions of the Assignment of Claims Act
of 1940 (31 U.S.C. 203.41 U.S.C. 15). if this Agreement
provides for payments aggregating S1,000 or more, claims
for monies due or to become due the Cooperator from the
agency under this Agreement may be assigned to a bank,
trust company, or.other financial institution, including any
Federal lending agency, and may thereafter be further
assigned and reassigned to any such institution.
b. Any such assignment or reassignment shall cover all
amounts payable under this Agreement and not already
paid. and shall not be made to more than one party, except
that such an assignment or reassignment may be made to
one party as agent or trustee for two or more parties
participating in such financing.
-13. Examination of Records by the Comptroller General or
the Inspector General
a. The Cooperator agrees that the Comptroller General of the
United States or the U.S. Department of Agriculture's
Inspector General or any of their duly authorized
representatives shall, until expiration of three years after
final payment under the Agreement, have access to and
the right to examine any directly pertinent books,
documents, papers, and records of the recipient involving
transactions under this Agreement
b. This requirement shall be passed through to lower tier
subcontractors or subawards exceeding S10,000 in value.
c. This requirement is not applicable to foreign Cooperators.
14. Utilization of Small Business Concerns
The Cooperator agrees to accomplish the maximum amount
of subcontracting and subawarding to small business
concerns that the Cooperator finds to be consistent with the
efficient performance of this Agreement.
15. Notice to Agency of Labor Disputes
Whenever the Cooperator has knowledge that any actual or
potential labor dispute is delaying or threatens to delay the
timely performance of this Agreement, the recipient shall
immediately give notice thereof, including all relevant
information with respect thereto, to the ADO.
16. Title to Equipment
As au:-orized by 7 U.S.C. 3318. tit!e to expendable and
nonexpendable equipment supplies, and other tangible
personal property purchased under this Agreement shall vest
in the Cooperator from date of acquisition unless otherwise
stated in this Agreement
17. Equipment Management Requirements
The Cooperator's procedures for managing equipment
purchased with Agency funds are to meet the following
a. Property records are to be accurate and up-to-date;
b. Property is to be properly maintained in good working
c. Property is to be insured.
18. Officials Not to Benefit
No member of or delegate to Congress, or resident
commissioner, shall be admitted to any share\or part of this
Agreement or to any benefit that may arise therefrom; but this
provision shall not be construed to extend this Agreement if
made with a corporation for its general benefit
19. Acknowledgment of Support and Disclaimer
a. The following acknowledgment of Agency support
must appear in the publication of any copyrighted or
uncopyrighted material which is based upon or developed
under this Agreement
"This material is based upon work supported by the U.S.
Department of Agriculture, (Agency name entered), No.
(recipient enters Agreement Number here)."
b. All materials, except scientific articles, or papers published
in scientific journals, must also contain the following
"Any opinions, findings, conclusions, or recommendations
expressed in this publication are those of the authors) and
do not necessarily reflect the views) of the US.
Department of Agriculture."
20. Patents and Copyrights
a- Patents and Inventions. The clause found at 37 CFR Part
401.14 is incorporated into this Cooperative Agreement by
reference and is applicable to all organizations regardless of
size. Terms are defined as follows:
(1) Contractor means the Performing Organization as
identified on the Form ARS-451, a part hereof.
(2) Contract means this Cooperative Agreement; and
(3) Federal Agency. Agency, or funding Federal Agency
means the US. Department of Agriculture.
(1) The central point of contact within the US. Department
of Agriculture for communications relating to the
administration of this clause is:
Deputy Assistant General Counsel for Patents
Research and Operations Division
Office of the General Counsel
U.S. Department of Agriculture
Room 2328. South Building
Washington. OC 20250-1400
(2) Disclosure statements are made through the
Authorized Departmental Officer to:
National Patent Program
USDA. Agricultural Research Service
Room 401. Building 003, BARC-W
Beltsville. MD 20705
(3) Practice statements are made to the Patent
c. Copyrights. The provisions of 7 CFR 3015.175(b) are
incorporated by reference.
d. This Clause shall be incorporated in all other subcontracts
or subawards. regardless of tier, for experimental.
developmental, or other research work.
21. Motor Vehicle Accident Lability
A Cooperators employees may, from time to time, operate
Federal Government-owned motor vehicles in the
furtherance of this Cooperative Agreement only when
specifically authorized to do so by the ADO.
a. The Cooperator shall abide by Federal Tort Claims
procedures to the extent that they are applicable which
allows that under certain limited circumstances the Federal
Government may on a case-by-case basis assume some
liability under the Federal Tort Claims Act for damages to
third parties resulting from accidents caused by Cooperator
employees operating a Government motor vehicle in the
course of their employment while under the specific
direction and control of a Federal employee.
b. ARS will assume responsibility for damage to Federal
Government-owned motor vehicles driven by a
Cooperator's employees when it is determined.by an ARS
Board of Survey (or its equivalence) that the Cooperators
employee was properly authorized to operate the vehicle
and was not negligent in causing the damage.
c. ARS will assume no responsibility for dariage to Federal
Government-owned motor vehicles driven by a
Cooperator's employees when it is determined by an ARS
Board of Survey (or its equivalence) that the Cooperator's
employee was not properly authorized to drive the vehicle
or that the employee was negligent and ARS will seek to
legally recover losses resulting from such damage.
d. Negligence for purposes of this agreement has the same
meaning as defined in the "ARS Federal Tort Claims Act
Manual 227.1" which defines the term as follows:
"...The performance of some act which a person of
ordinary prudence would not have done under similar
circumstances, the failure to do what a person of ordinary
prudence would have done under similar circumstances, or
conduct which falls below the standard established by
law for the protection of others against unreasonable risk
e. An ARS Board of Survey is an administrative fact finding
tribunal and its activities are not a substitute for a court of
(. Cooperative personnel may serve on an ARS Board of
Survey provided they do not constitute a majority of the
membership, follow the rules the Board establishes to
govern its conduct, and function in an impartial manner.
The following shall apply under this Agreement as applicable
to the Cooperator:
a. Organizations Not Immune From Tort Liability
Organization will provide its personnel with such liability
insurance as workers" compensation, employes liability,
comprehensive general liability (bodily injury .
comprehensive automobile liability (bodily injury and
property damage) insurance, and/or such other insurance
as deemed necessary by the Cooperator. The Cooperator
is responsible for determining the types and amounts of
insurance coverage needed to provide adequate protection
for its employees, taking into account the nature and scope
of services to be performed under this Cooperative
Agreement or sub-agreement or contract under this
Whether or not the Cooperator provides liability coverage
to its employees, it agrees to indemnify and hold harmless
ARS to the limit permitted by law or regulation, its
employees and/or agents against all losses or expenses
by reason of any liability imposed by law upon the Cooperator's
employees or agents or acts of commission or omission
resulting in personal injury, death, or damage to property in
the performance of their duties under this Cooperative
b. State Agencies Immune From Tort Liability
Agency certifies upon signature of this Cooperative
Agreement, that it enjoys partial or total immunity from Tort
Ability as a State agency and that liability insurance
coverage will be obtained and maintained only to the
extent deemed necessary by the Cooperator. ARS assumes
no liability to third parties nor will it reimburse the
Cooperator for liability to third parties, with respect to loss
due to death, bodily injury, or damage to property resulting
in any way from the performance of this Cooperative
Agreement or any sub-agreement or contract under this
Cooperative Agreement Whether or not the Cooperator
provided liability to its employees, it agrees to indemnify
and hold harmless ARS to the limit permitted by law or
regulation, its employees, and/or agents against all losses
or expenses by reason ~ of any liability imposed by law upon
the Cooperators employees or agents for acts of
commission or omission resulting in personal injury, death,
or damage io property in the performance of their duties
under this Agreement
c. The Cooperator shall immediately notify the ADOOR and
promptly furnish copies of all pertinent papers received by
the Cooperator if any suit or liability action-is filed or if any
claim is made against it The Cooperator shall, if required
by the Federal Government. authorize Government
representatives to settle or defend the claim and to
represent the Cooperator in or take charge of any litigation.
The Cooperator may, at its own expense, be associated
with the Government representatives in any such claim or
23. Debt Collection
a. Any monies that are payable or may become payable from
the United States under this Agreement to any person or
legal entity not an agency or subdivision of a State or local
government may be subject to administrative offset for the
collection of delinquent debt to the person or legal entity
owner to the United States under the Federal Claims
Collection Act of 1966. as amended by the Debt Collection',
Act of 1982(31 U.S.C. 3701.3711.3716-3719): 4 CFR Part
102 and 7 CFR Part 33.
b. Information on the person's or legal entity's responsibility
for a commercial debt or delinquent consumer debt owed
the United States will be disclosed to consumer or
commercial crediting reporting agencies.
24. Termination by Mutual Agreement
a. Circumstances may arise in which either the Agency or
the Cooperator wishes to terminate performance under this
Agreement in whole or in part If both parties agree that
continuation of this Agreement would not produce results
commensurate with further expenditure of funds or for any
other valid reason, this Agreement may be terminated by
b. If the Cooperator wishes to terminate, its representative
should advise the ADO in writing, with a copy to the
ADOOR. If the Agency wishes to terminate the project, the
ADO will so advise the recipient with copies to the PI and
c. Within 30 days after receipt of a request from either party
for termination by mutual agreement, the other party will
provide an appropriate written response. The two parties
shall agree upon the termination conditions, including
effective date and, in the event of partial termination, the
portion to be terminated. The Cooperator shall not incur
new obligations for the terminated portion after the effective
date of termination and shall cancel as many outstanding
obligations as possible. The Agency shall allow full credit
to the Cooperator for the Federal share of noncancellable
obligations properly incurred by the Cooperator prior to
termination. The Cooperator shall submit a final report In
the event of disagreement between the parties, the ADO
shall make a final determination, subject to the procedures
described in clause 26 below.
25. Suspension or Termination for Cause
a. When it has been determined by the Agency that the
Cooperator has materially failed to comply with the terms
and conditions of this Agreement, the Agency unilaterally
(1) Suspend this Agreement in whole or in part or
(2) Terminate this Agreement in whole or in part for cause.
b. The Agency prefers that deficiencies be corrected
whenever practicable; therefore, action to suspend or
terminate an Agreement normallywill be taken only after
the Cooperator has been informed in writing of the nature
of the problem, with notification that failure to correct the
deficiency may result in suspension or termination of this
Agreement However, this policy does not preclude
immediate suspension or termination when such action is
reasonable under the circumstances and necessary to
protect the interests of the Federal Government and the
public. The Cooperator will be requested to respond-in
writing within 30 days of such notification, describing the
action taken or the plan designed to correct the deficiency.
Copies of this correspondence will be furnished to the PI
and to the ADOOR. If a satisfactory response is not
received within 30 days of receipt of such a
communication, the ADO may issue a notice suspending
authority to further obligate funds in whole or in part. The
notice of suspension will be sent by certified mail (return
receipt requested) to the Cooperator. with copies to the PI
and to the AOOOR. The notice will set forth activities
covered by the suspension, the effective date of
suspension, and the corrective action required to be taken
by the recipient to lift the suspension.
c. In the event that the cited deficiency is not corrected to the
satisfaction of the Agency, the ADO may issue a notice of
termination in the same manner as outlined above. The
notice of termination will establish the reasons for the
action and the effective date.
d. If this Agreement is suspended pursuant to this clause, no
obligations incurred by the Cooperator during the period of
suspension will be allowable until such time that the
suspension is lifted.
If this Agreement is terminated pursuant to this clause, the
Cooperator shall hot incur new obligations after the
effective date of the termination notice and shall cancel as
many outstanding obligations as possible. The settlement
of termination costs will be determined in'accordance with
the applicable Federal Cost Principles.
e. Within 90 days of the effective late of termination, the
Cooperator shall furnish an itemized accounting of al
funds expended for allowable costs prior to the effective
date of termination, including the unexpended balance'of
funds and a final report The Cooperator may request a
review of the termination decision in accordance with
procedures described in clause 26 below.
26. Termination Review Procedures
a. Any request for review of a notice of termination or
settlement of a dispute should be addressed to the Head of
the Agency. It must be postmarked no later than 30 days
after date of receipt of such notice. The request for review
must contain a full statement of the Cooperator's position,
all pertinent facts relating to the case, and reasons in
support of such position.
b. The Agency Head will acknowledge receipt of the request
for review and will appoint a Review Committee consisting
of a minimum of three persons, none of whom may either
be from the Ageocy program that is responsible for
monitoring the project or from the office that is responsible
for monitoring the administrative aspects of this Agreement
The Review Committee will request the ADO to provide
copies of all pertinent background materials and
documents. It may. at its discretion, invite representatives of
the Cooperator and the Agency program to discuss
pertinent issues and to submit any additional information
that it deems necessary. The Chairperson of the Review
Committee vill insure that all review activities or
proceedings are documented.
c. Based upon its review, the Committee will prepare and
forward its recommendations to the Agency Head who will
advise the parties concerned of the final administrative
27. Protection of Human Subjects
a. The Cooperator is responsible for safeguarding the rights
and welfare of any human subjects involved in research.
development, and related activities. The Cooperator may
conduct research involving human subjects only as
approved by the recipients cognizant Institutional Review
b. The Cooperator is to comply with the U.S. Department of
Health and Human Services' regulations regarding human
subjects, appearing in 45 CFR Part 46 (as amended).
c. Selection of subjects or groups of subjects are to be made
without regard to sex. race. religion, or national origin
unless these characteristics are factors to be studies.
28. Care of Laboratory or Experimental Animals
The Cooperator gives assurance that
a. The transportation, care, and use of animals should be in
accordance with the Animal Welfare Act (7 US.C. 2131 et
seq.) and other applicable Federal laws, guidelines, and
b. Procedures involving animals should be designed and
performed with due consideration of their relevance to
human or animal health, the advancement of knowledge, or
the good of society.
c. The animals selected for a procedure should be of an
appropriate species and quality and the minimum number
required to obtain valid results. Methods such as
mathematical models, computer simulation, and in vitro
biological systems should be considered.
d. Proper use of animals, including the avoidance or
minimization of discomfort, distress, and pain when
consistent with sound scientific practices, is imperative.
Unless the contrary is established, investigators should
consider that procedures that cause pain or distress in
human beings.may cause pain or distress in other animals.
e.. Procedures with animals that may cause more than
momentary or slight pain or distressshould be performed
with appropriate sedation, analgesia, or anesthesia.
Surgical or other painful procedures should not be
performed on unanesthetized animals paralyzed by
t Animals that would otherwise suffer severe or chronic pain
or distress that cannot be relieved should be painlessly
killed at the end of the procedure or. if appropriate, during
g. The living conditions of animals should be appropriate for
their species and contribute to their health and comfort
Normally, the housing, feeding, and care of all animals
used for biomedical purposes must be directed by a
veterinarian or other scientist trained and experienced in
the proper care, handling, and use of the species being
maintained or studied. In any case, veterinary care shall be
provided as indicated.
h. Investigators and other personnel shall be appropriately
qualified and experienced for conducting procedures on
living animals. Adequate arrangements shall be made for
their inservice training, including the proper and humane
care and use of laboratory animals.
L Where exceptions are required in relation to the provisions
of these Principles, the decisions should not rest with the
investigators directly concerned but should be made. with
due regard to Principle II. by an appropriate review group
such as an institutional animal research committee. Such
exceptions should not be made solely for the purposes of
teaching or demonstration.
j. For guidance throughout these Principles the Cooperator
is referred to the Guide for the Care and Use of Laboratory
Animals prepared by the Institute of Laboratory Animal
Resources. National Research Council.
The Cooperator hereby gives assurance that it will comply
with the following:
a. Section 5 of the International Air Transportation Fair
Competitive Practices Act of 1974 (49 US.C. 1517);
b. Title VI of the Civil Rights Actof 1964 (42 U.S.C. 2000d):
c Clean Air Act. as amended (42 US.C. 1857. et seq, as
amended by Public Law 91-604) and Section 308 of the
Federal Water Pollution Control Act (33 U.SC. 251 et seq,
as amended by Public Law 92-500);
d. Flood Disaster Protection Act of 1968. as amended, and the
Flood Protection Disaster Act of 1973 (42 US.C.
e. That it will assist the Agency in complying with the Section
106 of National Historic Preservation Act of 1966 (16 U.S.C.
470). Executive Order 11593. and the Archaeological and
Historic Preservation Act of 1974 (16 US.C. 496-1. et seq.)
f. Title IX of the Education Amendments of 1972 (20 US.C.
g. Section 504 of the Rehabilitation Act of 1973. as amended
(29 U.S.C. 794):
h. Age Discrimination Act of 1975 (42 U.S.C. 6101-6107);
L Clean Air Act of 1970 (42 US.C. 7401 et seq.);
j. The CoopeOrtor will not use Agency funds for partisan or
political activity purposes; and
k. Federal regulations regarding equal opportunity
nonsegregated facilities and affirmative action (41 CFR,
L The Single Audit Act (Public Law 98-502), as implements
by Office of Management and Budget Circular No. A-128.
30. Safety and Health
If ARS personnel occupy and use facilities owned or'
controlled by the Cooperator pursuant to this Cooperative
Agreement, then the Cooperator agrees to abide by all laws,
policies, regulations, and directives governing occupational
safety and health that applies to ARS employees including, but
not limited to:
a- Occupational Safety and Health Administration Standards
b. National Fire Protection Association Codes, and
c. Environmental Protection Agency Regulations and
31. Legal Authority Certification
The Cooperator hereby certifies that it possesses legal
authority to enter into this Agreement
32. Order of Precedence
In the event of any inconsistency between or among the
various provisions of this Agreement the following order of
a. Statement of Work and Budget.
b. Special Provisions.
c. General Provisions.
REPORT OF INVENTIONS AND SUBAWARDS
1. Cooperators shall submit interim and final invention reports and promptly
give notification of the award of subaward(s) containing a "Patent Rights"
clause. Plain sheets of paper may be used to make these reports.
2. An interim report is due at least every 12 months from date of award and
every 12 months thereafter.
3. A final report is due within 6 months of termination if the Performing
Organization is a small business firm or a domestic nonprofit organization
and within 3 months for all others.
B. Interim and Final Reports Must Contain:
1. Name of Performing Organization.
2. Research Agreement number.
3. Research Agreement award date.
4. Type of Report identification (Interim or Final).
5. Reporting period.
6. Report of Inventions and Subawards content.
7. A listing of all inventions made.
a. The name of inventor(s).
b. The title of inventionss.
c. The disclosure number, patent application number, or patent number.
d. Has selection been made to file patent applications in the United
States or foreign countries?
e. Have confirmation instruments assignments been forwarded to ARS?
8. Certification of compliance with required invention identification and
disclosure procedures and certification of reporting all inventions.
9. Any required information not previously reported on subawards containing a
"Patent Rights" clause awarded during the course of the Research Agreement.
C. Subaward Reports Contain:
1. Name of Performing Organization.
2. Research Agreement number.
3. Research Agreement award date.
4. Type of Report Identification (Interim or Final).
5. Report period.
6. Name of Subawardee(s).
7. Complete address of Subawardee(s).
8. Subaward identification numberss.
9. The "Patent Rights" clause incorporated, including year and date of clause.
10. Description of work performed under subaward(s).
11. Date of awardss.
12. Estimated completion date(s).
D. Negative Reports are required.
E. Department of Defense (DD) Form 882, Report of Inventions and Subcontracts, may
be used in lieu of the above narrative report.
REPORT OF INVENTIONS AND 'SUBCONTRACTS FORM APPROVED
(Pursuant to "Patent Right. Contract Clause) (See'lnstructions on Reverse Side.) o0Ms NO. 0704.0015
AMNI OF CONTRACTOR I SUBCONTRACTOR o, CONTRACT NUMBER 2.. NAME OF GOVERNMENT PRIME CONTRACTOR o, CONTRACT NUMBER 3. TYPE or REPORT
'PJIFSS lincludo ZIp Codil d. AWARD DATE (YYMMOD) b. ADDRESS (Includo Zip Codo) d. AWARD DATE IYYMMDDI 4. nEPOnRTlt PERIOD
FROM: ,:,,/( ,'
SECTION I SUBJECT INVENTIONS
'CCI INVENTIONS" REOUIREO TO BE REPORTED BY CONTRACTOR I SUBCONTRACTOR (If "None" so stlae)
b. '. DISCLOSURE NO. d. ELECTION TO FILE a. COFIRMATORY
PATENT APPLICATIONS INSTRUMENT OR
NAME OF INVENTORS) T INVENTIONS) PATENT APPLICATION PATENT APP CTIO .. ASSIGMENT FOREVAn
IL.as, Flihl, M.I.I SuRIAL NO. On 0-O r-" FOIIEI(lN 10 CON1IACt IO OFIcCE
PATENT NO -. .....
PATENT NOYES NO YES NO YES rNO
PLAYER OF INVENTORS) NOT EMPLOYED BY CONTRACTOR I SUBCONTRACTOR. g, ELECTED FOREIGN COUNTRIES IN WHICH A PATENT APPLICATION WILL BE FILED.
ME OF INVENTOR (Last. Flrstl M.I.) 1. NAME OF INVENTOR (Lstl, First, M.I.) I. ITII. FOREIGN COUNTRIES
TITLE'OF INVENTION OF PATENT APPLICATION
NME OF EMPLOYER II. NAME OF EMPLOYER
CL'RESS OF EMPLOYER (Include Zip Codel III. ADDRESS OF EMPLOYER (Include Zip CODE)
SECTION II SUOCONTRACTS (Contalnlng a "Potent RIghnlt clause)
CONTRACTS AWARDED BY CONTRACTOR I SUBCONTRACTOR (II "None" so sate)l
b., d. DAR e, I. SUBCONTRACT
." ODICRIPTION OF WORK TO BE OAIES |YYMMDDI
AME OF SUBCONTRACTORS) ADDRESS (Inolude Zip Code) SUBCONTRACT NO.(S) "PATENT RIOHT8" PERFORMED UNDER TO DATES IYMMOl
CLAUSE DATE SUBCONTRACTS) AWARD ESTIMATED
S_ NO. (YYMM) ___COMPLETION
SECTION III CERTIFICATION
rTIFICATION OF REPORT BY CONTRACTOR I SUBCONTRACTOR. (Not required II Small Buslness or ONon-Prollt organlzallon.) (Check approprlato box)
vv AMn ~
Ni OF CONTRACTOR I SUBCONTRACTOR OFFICIAL (Lails First. M.I) o. I cillfy thla tle roporrlng party has proooduroe for prompl Idnnllllcalln atnd llmnialy dc111tinoa nof "S uli)I'.i
Inventlons," thaI suoh procedures hove been followed and lhel all "Slul')cl Iiivnelloni" hnvn Iun o lrltld.
SIGNATURE OF AUTHORIZED CONTRACTOR I SUBCONTRACTOR OFFICIAL nrATF I
This form Is for use In submitting INTERIM and FINAL Inven-
tion reports to the Contracting Officer and for use In the prompt
notificallon of the award of subcontracts containing a "Patent
Rights" clause. If the form does not afford stifficient space,
multiple forms may be used or plain sheets of paper with proper
identification of Information by Item may be attached.
An INTERIM report Is due at least every 12 months from the
date of contract award and shall Include (a) a listing of "Subject
Inventions" during the reporting period,. (b) a certification of
comnpllance with required Invention Identification and disclosure
procedures together with a certification of reporting of all
"Subject inventions," and (c) any required Information not
previously reported on subcontracts awarded during the reporting
period and containing a "Patent Rights" clause.
A FINAL report Is due within 6 months if contractor Is a small
business firm of domestic nonprofit organization and within 3
mnlths for all others after completion of the contract work and
shall include (a) a listing of all "Subject Inventions" required by
the contract to be reported, and (b) any required Information not
previously reported on subcontracts awarded during the course
of or under the contract and containing a "Patent Rights" clause.
While tie form may be used for simultaneously reporting Inven-
tions and subcontracts, It may also be used for reporting, promptly
aftlr award, subcontracts containing a "Patent Rignts" clause.
Dates shall be entered where Indicated In certain Items on this form
and shall be entered In four or six digit numbers in the order of
year and month (YYMM) or year, month and day (YYMMDD).
Example: April 1981 should be entered as 8104 and April 15, 1981
should be entered as 810415.
Item la. Self-explanatory.
Item lb. Self-explanatory.
Item Ic, If "same" as tein 2c, so state.
Item Id. Self-explanatory.
litc 2u, If "same" as Item In, so state.
Item 2b. Self-explanatory,
Item 2c. Procurement Instrument Identification (I'1) llnumber
of contract (DAR 20-203).
Item 2d. thru 5e. Self-explnnntory
Item 5f, 11 and IIl. The name and address of telo employer of
each Inventor not employed by the contractor subcontractor
Is needed inasmuch as the Covcrnment's rights in a reported
Invention may not be determined solely by the ctrms of the
"Patent Rights" clause In the contract; Example (1): If an
Invention is made by n Govcrnment employee assigned to work
with a contractor, the Government rights In such an Invention
will be determined under Executive Order 10096. Example (2):
If ann invention Is mado under a contract by Jolut inventors and
one of the Inventors Is n Government employee, the Governmecnt's
rights in such an Inventor's Interest In the invention will also
be determined under Executivo Order 10096, except where. the
contractor Is a small business or nonprofit orgnnlzntlon, In which
case the provisions of Section 202(c) of P.L, 96-517 will apply.
Item 5g, I. Sclf-explnnntory
Itelm 5g, 1. Self-explanatory with the exception that the con-
tractor or subcontractor shall Indicate, If know\ at the time
of this report, whether application will be filed under either
the Patent Coopontloi Tronty (ICT) or the Iu iroplcni PaI'nt
Convention (E1C). If such Is known, the letters PCT of EPC
shall be entered after each listed country.
Item 6n. Self-explanatory
Item 6b. Solf-explanatory
Item 6c. Self-explannlory
Item 6d. Patent Rights Clauses are located it 37 CFR Part 401.
Item 6e. thru 7b. Solf-xplannatory
'Item 7c. Certification not required by small business firms and
domestic nonprofit orgnilzantonls.
U.S. DEPARTMENT OF AGRICULTURE
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters Primary Covered Transactions
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 7 CFR Part 3017, Section 3017.510, Participants' responsibilities. The regulations were published
as Part IV of the January 30, 1989, Federal Register (pages 4722-4733). Copies of the regulations may be
obtained by contacting the Department of Agriculture agency offering the proposed covered transaction.
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS ON REVERSE)
(1) The prospective primary participant certifies to the best of its knowledge and belief, that it and
(a) are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any Federal department or agency;
(b) have not within a three-year period preceding this proposal been convicted of or had
a civil judgment rendered against them for commission of fraud or a criminal offense
in connection with obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction; violation of Federal
or State antitrust statutes or commission of embezzlement, theft, forgery, bribery,
falsification or destruction of records, making false statements, or receiving stolen
(c) are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (Federal, State or local) with commission of any of the offenses
enumerated in paragraph (1)(b) of this certification; and
(d) have not within a three-year period preceding this application/proposal had one or
more public transactions (Federal, State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
Organization Name PR/Award Number or Project Name
Name(s) and Title(s) of Authorized Representative(s)
Form AD-1047 (1/92)
Instructions for Certification
1. By signing and submitting this form, the prospective primary participant is providing the certification
set out on the reverse side in accordance with these instructions.
2. The inability of a person to provide the certification required below will not necessarily result in denial
of participation in this covered transaction. The prospective participant shall submit an explanation of why
it cannot provide the certification set out on this form. The certification or explanation will be considered in
connection with the department or agency's determination whether to enter into this transaction. However,
failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such
person from participation in this transaction.
3. The certification in this clause is a material representation of fact upon which reliance was placed when
the department or agency determined to enter into this transaction. If it is later determined that the
prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Government, the department or agency may terminate this transaction for cause or
4. The prospective primary participant shall provide immediate written notice to the department or agency
to whom this proposal is submitted if at any time the prospective primary participant learns that its
certification was erroneous when submitted or has become erroneous by reason of changed circumstances.
5. The terms "covered transaction," 'debarred," "suspended," "ineligible," "lower tier covered transaction,"
"participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as
used in this clause, have the meanings set out in the Definitions and Coverage sections of the rules
implementing Executive Order 12549. You may contact the department or agency to which this proposal is
being submitted for assistance in obtaining a copy of those regulations.
6. The prospective primary participant agrees by submitting this form that, should the proposed covered
transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person
who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered
transaction, unless authorized by the department or agency entering into this transaction.
7. The prospective primary participant further agrees by submitting this form that it will include the clause
titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier
Covered Transactions," provided by the department or agency entering into this covered transaction, without
modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the
covered transaction, unless it knows that the certification is erroneous. A participant may decide the method
and frequency by which it determines the eligibility of its principals. Each participant may, but is not required
to, check the Nonprocurement List.
9. Nothing contained in the foregoing shall be construed to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and information of
a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of theseinstructions, if a participant in a covered
transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred,
ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available
to the Federal Government, the department or agency may terminate this transaction for cause or default.
Form AD-1047 (1/92)
UNITED STATES DEPARTMENT OF AGRICULTURE
DRUG-FREE WORKPLACE REQUIREMENTS (GRANTS)
ALTERNATIVE I FOR GRANTEES OTHER THAN INDIVIDUALS
This certification is required by the regulations imple- were amended and published as Part It of the May 25.
meeting Sections 5151-5160 of the Drug-Free Workplace 1990 Federal Register (pages 21681-21691). Copies of
Act of 1988 (Pub. L. 100-690. Title V. Subtitle D: 41 U.S.C. the regulations may be obtained by contacting the Depart-
701 et seq.). 7 CFR Part 3017. Subpart F, Section ment of Agriculture agency offering the grant.
3017.600, Purpose. The January 31.1989. regulations
(Before completing Certification, read instructions on page 3)
A. The grantee certifies that it will or will continue to provide a drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, posses
sion, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that
will be taken against employees for violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to inform employees about -
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance programs; and
(4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy
of the statement required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under
the grant, the employee will -
(1) Abide by the terms of the statement: and
(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in
the workplace no later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph (d)(2) from
an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must
provide notice, including position title, to every grant officer on whose grant activity the convicted employee
Form AD-1049 (REV 5"90)
was working. unless the Federal agency has designated a central point for the receipt of such notices. Notice
shall include the identification numbers) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (d)(2).
with respect to any employee who is so convicted -
(1) Taking appropriate personnel action against such an employee, up to and including termination,
consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation
program approved for such purposes by a Federal, State, or local health, law enforcement, or other
(g) Making good faith effortto continue to maintain a drug-free workplace through implementation of paragraphs
(a), (b), (c), (d), (e) and (f).
B. The grantee may insert in the space provided below the site(s) for the performance of work done
in connection with the specific grant:
Place of Performance (Street address, city, county. State, zip code)
Check if there are workplaces on file that are not identified here.
Organization Name Award Number or Project Name
Name and Title of Authorized Representative
Form ADs104 (REVS W)
INSTRUCTIONS FOR CERTIFICATION
1. By signing and submitting this form, the grantee is
providing the certification set out on pages 1 and 2.
2. The certification set out on pages 1 and 2 is a material
representation of fact upon which reliance is placed
when the agency awards the grant. If it is later determined
that the grantee knowingly rendered a false certification,
or otherwise violates the requirements of the Drug-Free
Workplace Act, the agency, in addition to any other
remedies available to the Federal Government, may take
action authorized under the Drug-Free Workplace Act.
3. Workplaces under grants, for grantees other than
individuals, need not be identified on the certification. if
known, they may be identified in the grant application. If
the grantee does not identify the workplaces at the time
of application, or upon award, if there is no application,
the grantee must keep the identity of the workplaces) on
file in its office and make the information available for
Federal inspection. Failure to identify all known work-
places constitutes a violation of the grantee's drug-free
4. Workplace identifications must include the actual ad-
dress of buildings (or parts of buildings) or other sites
where work under the grant takes place. Categorical
descriptions may be used (e.g., all vehicles of a mass
transit authority or State highway department while in
operation. State employees in each local unemployment
office, performers in concert halls or radio studios).
5. If the workplace identified to the agency changes
during the performance of the grant, the grantee shall
inform the agency of the changess. if it previously
identified the workplaces in question (see paragraph
6. Definitions of terms in the Nonprocurement Suspen-
sion and Debarment common rule and Drug-Free Work-
place common rule apply to this certification. Grantees'
attention is called, in particular, to the following definitions
from these rules:
"Controlled" substance means a controlled substance in
Schedules I through V of the Controlled Substances Act
(21 U.S.C. 812) and as further defined by regulation (21
CFR 1308.11 through 1308.15);
"Conviction" means a finding of guilt (including a plea of
nolo contender) or imposition of sentence, or both, by
any judicial body charged with the responsibility to deter-
mine violations of the Federal or State criminal drug
"Criminal drug statute" means a Federal or non-Federal
criminal statute involving the manufacture, distribution,
dispensing, use, or possession of any controlled sub-
"Employee" means the employee of a grantee directly
engaged in the performance of work under a grant,
including: (i) all 'direct charge" employees; (ii) all "indirect
charge" employees unless their impact or involvement is
insignificant to the performance of the grant; and, (iii)
temporary personnel and consultants who are directly
engaged in the performance of work under the grant and
who are on the grantee's payroll. This definition does not
include workers not on the payroll of the grantee (e.g.,
volunteers, even if used to meet a matching requirement;
consultants or independent contractors not on the
grantee's payroll; or employees of subrecipients or sub-
contractors in covered workplaces).
Form AD-1049 (REV 590)
United States Agricultural Contracting 6303 Ivy Lane
'A)) Department of Research and Assistance Greenbelt, Maryland
Agriculture Service Division 20770-1433
SUBJECT: Delegation as Authorized Departmental Officer's Designated
Representative for Specific Cooperative Agreement No. 58-0520-2-178
with the University of Florida, Smathers Library
TO: Idalia P. Acosta
USDA, NAL, TSD, Cataloging Branch
10301 Baltimore Blvd., Room 110
Beltsville, MD 20705
FROM: Joseph H. Howard
Authorized Departmental Officer
You are hereby appointed the Authorized Departmental Officer's Designated
Representative (ADODR) for this Agreement. This appointment is effective until
expiration of the agreement including any extension or revocation by the
Authorized Departmental Officer (ADO). This appointment is specifically
delegated to you. None of the responsibilities may be redelegated to any other
individual without written approval of the Authorized Departmental Officer.
As part of your duties, you are required to:
1. Complete Form AD-392, Statement of Financial Interests and Outside
Employment. The Ethics Reform Act of 1989 requires individuals
involved in nonprocurement (agreements/grants) activities to submit
this Form within 30 days of the date of appointment. If you have any
questions concerning this matter, you should contact the Agency
Ethics Officer on FTS 344-0131 or CCMM 301/344-0131.
2. Represent the ADO in the administration of this Agreement within the
limitations set forth in the Agreement and this Instruction. Actions
reserved to the ADO are set forth below.
3. Became thoroughly familiar with and faithfully administer the terms
and conditions of the Agreement including the General and Special
Provisions and documents related thereto.
4. Ensure the Agreement will not be used to avoid, and subvert any
recognized procurement, property, fiscal, and personnel policies and
5. Routinely monitor and evaluate performance under the Agreement to
ensure that the project is satisfactorily progressing.
ADODR Delegation 2
Specific Cooperative Agreement No. 58-0520-2-178
6. For Specific Cooperative Agreements and Grants:
Non-Letter of Credit payment procedures: receive, verify, and
recommend/not recommend claims for advances or reimbursement.
Claims are billed for actual expenditures incurred and at the
intervals agreed upon in the Agreement. When payment is
recommended, send the voucher to the ADO, ARS Headquarters, at
the address below. The Headquarters ADO approves or disapproves
claims for advances or reimbursement.
USDA, ARS, Contracting and Assistance Division
Attn: Kathleen J. Michels
6303 Ivy Lane, Rm. 836
Greenbelt, MD 20770-1433
7. Receive and approve or disapprove research progress reports, if
any, at the intervals agreed upon in the Agreement. Send copies
to the ADO.
8. Receive reports, if any, of inventions made under the Agreement
and forward them to the ARS, Coordinator, Patent Program,
BARC-West, Beltsville, MD 20705.
9. Ensure that progress, time, and funds are appropriately allocated
to complete a project.
10. Ensure that two copies of the Final Report and publications
generated under this Agreement, if any, are sent to the National
Agricultural Library, Acquisitions and Serials Branch,
Beltsville, Maryland 20705. Notice of dissemination of the Final
Report, with a copy of the Final Report and, as appropriate,
publications sent to the Library shall be forwarded to the ADO
for placement in the official Agreement file. These submissions
are to state the Agreement number and Cooperator's/Grantee's name
on the document.
11. Send, upon termination, a copy of the final billing (non-Letter
of Credit payment procedures) to the ADO for placing in the
12. Advise the ADO should there be any discriminatory acts observed
or suggested by a party to the Agreement.
Note: Discrimination on the basis of race, religion, color, sex,
national origin, age, or physical disability is prohibited.
ADODR Delegation 3
Specific Cooperative Agreement No. 58-0520-2-178
Primary actions reserved for the Authorized Departmental Officer are:
1. Upon recommendations by the ADODR, proposed amendments providing
a. Changes, including additions, deletions and/or extensions to
or termination of the work to be performed under the
Agreement by either party.
b. Changes of Principal Investigator (PI) for a period in
excess of three consecutive months.
c. Increases or decreases to the Federal Obligation amount or
amount of the contribution by the Cooperator.
d. Subcontract awards to third parties for performing all or
any portion of the Agreement (see General Provisions).
e. Approval of purchases for general-purpose equipment and/or
special-purpose equipment costing $5,000 or more, printing
and binding, audiovisual materials or services (see General
f. Approval of the acquisition of nonexpendable equipment,
computer services or equipment.
g. Approval for travel outside the United States, its
possessions, territories, and Canada or special or mass
movements of personnel.
Specific Cooperative Agreement No. 58-0520-2-178
University of Florida, Smathers Library
The following acknowledgment of receipt of this designation is provided for
completion by the Authorized Departmental Officer's Designated Representative
Please sign and return a copy to:
Contracting and Assistance Division
6303 Ivy Lane, Rm. 836
Attn: Kathleen J. Michels
Greenbelt, MD 20770-1433
I acknowledge receipt of the ADODR designation.
Idalia P. Acosta, ADODR Date
Idalia P. Acosta, ADODR
r.)OPERATIVE AGREEMENT -
A Slares and W,'cages
A PISalrPs) .. . s 14,281.00 s 896.00 s 14,281.00
1 Pt(s)/PD(s) _
2 Other Professional Personnel .....__________
1 250 .00
3 Support Personnel . . 0.00
Total Salaries and ages . .... 14,281 .00 2,146 .00 14,281 .00
B Fringe Benefits (If charged as Direct Costs) . 4,510.00 434 .00 4 ,510.00
C Total Salaries. Wages, and Fringe Benefits (A plus B) 18,791 .00 2,580.00 18 791.00
D Nonexpendable Equipment . . .
E. Materials and Supplies . .
1. Domestic (Includ;ng Canada) ...... ....*___
2. Foreign .. ... .
C. Publication Costs/Page Charges ......... .
H. Computer (ADPE) Costs . . ... 50000
I All Other Direct Costs .......... ____ 250 00 500 00
) Total Direct Costs (C through ) . . >- 18,791 .00 3,330 .00 19 ,291 .00
K. Indirect Costs (Speciy rate and base) . .
L. Total Costs (I plus K) . . 18,791 .00 3,330 .00 19 ,291 .00
1. This'is an estimated budget and is prepared for each program year the
Cooperative Agreement is planned to be in effect.
2. Statute requires a contribution of resources by all parties toward meeting the
objectives of the.Cooperative Agreement.
3. ARS cannot fully reimburse for indirect costs or, for certain organizations, for
any indirect costs and tuition remission.
4. Unallowable costs cannot be considered a resource contribution.
J1-L 15 'z.3 1I:@5
F1'11 USDA-iGRTCULTURPL LIB
PA GE. 002
TO: (PCI0emneIs Offi) f. aouefTln smE
USDA, ARS, CAD USDA, NAL,-TSD
PRONT REQUEST Contracts, Rm. 836 Cataloii g,: Rm 110
DtM:AsS=, 6303 Ivy Lane, Greenbelt, MD 2077C Beltsville, MD 20702
2 a g IA. PMtCUREiFt D PR1 AO.
nam"He Co" M `4 oF00- 4 u:r FVNV PUwwasPuvry ~~ ^ rrr nM^T S
o__wNO. f/App, 0ATe. I coOE cot n. omRa, ,, SUB-- 3-0510-920-04051-1
3k06 uly 13, 1993
a- .. ...- -. ..'; .- ,....- ..--.. SH P 0To: (COA ame Do i 5lo~
.-.;. :---- ": .S :" ..... :. .,.-- DA, National Agricultural Library
,- '-,.. SD, Cataloging Branch, Rm. 110
1 ..0301 Baltimore Blvd., Beltsville, MD
S:.10'X AM. C 17 VW
ffM e _aJCr LuNe UAM TTY .A u-m AOUT
In reference to the Cooperative
Agreement #58-0510-2-178 with the
University of Florida we would like ,.
I amend it.
Previous Balance 18,791.00
: Addendum 3,131.83 3,131 83
New Total 21,922.83
2 and extend it from August 31, 1993
through Uoctober 31, 1993.
Debbie Norsworthy 504-7728
TOMOCAL CONACr TELE3WONE NO.
21 FM PD r ... 22 CX3OIC T ? hR7 .-
SubToali 3,131- 83
.Z3.0..- -.D V 26 ES -EDAT
7' t -i_; .. .. :~po
2 2 7n'OUNTING CASS ?I.T 30 3
Lim A S C 0 C OiJTlTI4 ALIOUN
i I *
I o.. I .
I I I ..- -
University of Florida, Smathers Lib. istrative Manager, NAL
-- -. .
24 Library West NATURE OF AUTHOREa RERa aEer .AnV
Gainesville, FL 32611 1 a