United States Department of Agriculture
Research, Education and Economics
ARS * CSREES * ERS * NASS
Bulletin
| Title: | Research Support Agreements |
| Number: | 01-153 |
| Date: | May 9, 2001 |
| Originating Office: | Extramural Agreements Division, AFM/ARS |
| Distribution: | ARS Headquarters, Areas, and Locations |
| Expires: | Until Rescinded |
| This bulletin provides revised policy on appointment limitations for Full-time Temporary employees and treatment of tuition remission in conjunction with the Research Support Agreement |
Background
A national workgroup was formed to study and discuss how Agency personnel were
currently utilizing the Research Support Agreement (RSA). The workgroup found that Agency
policy governing the use of the RSA may be less than adequate. An inventory was conducted
Agency wide to determine the number of current RSA employees and the period of time
covered by each employee's assignment. It was determined that the RSA was being utilized
to acquire long-term support positions, and that this practice jeopardizes continued use
of this unique authority.
Purpose
The purpose of this bulletin is to establish new internal controls limiting use of
the RSA for acquiring personal services to short-term requirements only, implementing a
4-year limitation on the duration of full-time temporary positions acquired through the
RSA.
Authorized Uses
Policy
Effective October 1, 2001, assignment of RSA employees obtained for providing Full-time temporary personal services shall be limited to 4 years in duration.
Effective immediately, reimbursement of tuition costs may be negotiated and as such, shall be considered an allowable cost under the RSA.
Form REE-452R has been revised to eliminate redundancy and duplicate terms and conditions and to incorporate mutually agreed to clauses. (Exhibit 1)
Pursuant to the provisions of 7 U. S. C. 2209c, RSA Task Orders may be awarded in one
fiscal year with performance ending in another fiscal year provided that the following
conditions are met:
Procedures
/CW/
Curtis Wilburn, Jr., Director
Extramural Agreements Division
Exhibit 1, REE-452R, General Provisions
Exhibit 2, RSA Statement of Work
Exhibit 3, OF-347, Task Order
United States Department of Agriculture
General Provisions
Research Support Agreement
TABLE OF CONTENTS
Subject
1. DEFINITIONS
2. LEGAL AUTHORITY CERTIFICATION
3. AUTHORIZED USES
4. LIMITATIONS AND RESTRICTIONS
5. OTHER ADMINISTRATIVE RESPONSIBILITIES AND CONSIDERATIONS
6. ASSURANCES
7. PATENT AND INVENTIONS
8. ADODR RESPONSIBILITIES
9. TASK ORDERS (This is the obligating document)
10. PRIOR APPROVALS
11. FUNDING AVAILABILITY
12. ALLOWABLE COSTS
13. INDIRECT COSTS
14. PAYMENTS
15. DEBT COLLECTION
16. AMENDMENTS
17. REPORTING REQUIREMENTS
18. TECHNICAL SUPERVISION
19. RULES OF THE WORKPLACE
20. LABOR DISPUTES
21. TRAVEL
22. LIABILITY
23. MOTOR VEHICLE ACCIDENT LIABILITY
24. CAPITAL IMPROVEMENT
25. ACKNOWLEDGMENT OF SUPPORT AND DISCLAIMER
26. TERMINATION
27. RETENTION AND ACCESS REQUIREMENTS FOR RECORDS
The following terms shall have the meaning set forth below:
Agency - The USDA Agency making the award; Agricultural Research Service (ARS),
Economic Research Service (ERS), or the National Agricultural Statistics Service (NASS).
Authorized Departmental Officer technical Representative (ADODR) - The Awarding
Agency's technical representative, acting on behalf of the Authorized Departmental
Officer.
Authorized Departmental Officer (ADO) - The Agency Official authorized to enter
into, administer, and terminate this agreement.
Award Authorization (ARS-451) - Research Agreement signature page.
CFR - Code of Federal Regulations
COOPERATOR - The party(s) to this Agreement responsible for supplying goods and/or
services to the Agency.
EFT - Electronic Funds Transfer
FAR - Federal Acquisition Regulations
HHS/PMS - Health and Human Services/Payment Management System - a method of
receiving payment by electronic draw down.
MMR- Monthly Management Report. An itemized monthly expenditure report submitted by
the Cooperator to the ADODR and the Research Leader (RL) who verify they have received
what is paid for.
TASK ORDER (TO) (Optional Form (OF)-347 or equivalent) - Order for Supplies or
Services. Submitted by the ADODR to the Cooperator for pricing of goods and services.
OMB - Office of Management and Budget
USC - United States Code
The Cooperator certifies that it has legal authority to enter into this agreement.
The ADO is responsible for ensuring that goods and personal services allowed under this
Agreement meet the following authorized uses:
Agency personnel may engage in the following except as prohibited under limitations and
restrictions. (See paragraph 4)
Purchase of supplies and consumable items costing $10,000 or less (or 10% percent of the
Simplified Acquisition Procedures threshold) and directly related to the supported
research.
Cooperator's employees may work alongside Government employees and may perform tasks similar to Government employees. The Government plans work to be done, directs work in progress, and inspects performed tasks.
Reimbursement for manuscript processing (page charges).
Agency employees are not allowed to participate in the following personnel actions:
The following personnel acquisitions are unauthorized:
This agreement cannot be used to avoid established Federal procurement or property
procedures. Specifically:
The Agency may not intervene in the employee-employer relationship between the Cooperator and its employees. The administrative supervision of cooperator employee's must remain the sole responsibility of the Cooperator.
The following clarifications are provided on the Agency's authority and responsibility under this agreement:
The Cooperator hereby gives assurance that it will comply with the following:
The Cooperator will comply with the following provisions regarding the rights and welfare of human subjects:
- The Cooperator is responsible for safeguarding the rights and welfare of any human subjects involved in research, development, and related activities supported by this Agreement. The Cooperator may conduct research involving human subjects only as prescribed in the statement of work and as approved by the Cooperator's cognizant Institutional Review Board. Prior to conducting such research, the Cooperator shall obtain and document a legally sufficient informed consent from each human subject involved. No such informed consent shall include any exculpatory language through which the subject is made to waiver, or to appear to waiver, any of his or her legal rights, including any release of the Cooperator or its agents from liability for negligence.
- The Cooperator agrees to comply with U.S. Department of Health and Human Services' regulations regarding human subjects, appearing in 45 CFR Part 46 (as amended).
- The Cooperator will comply with USDA policy which is to assure that the risks do not outweigh either potential benefits to the subjects or the expected value of the knowledge sought.
- Selection of subject or groups of subjects shall be made without regard to sex, race, color, religion, or national origin unless these characteristics are factors to be studied.
"Subject Inventions" shall mean any invention conceived or first reduced to practice under this Agreement, and which is patentable or otherwise protectable under Title 35 of the United States Code, under Section 2321 of Title 7 of the United States Code, et seq., or under the patent laws of a foreign country.
The ADO has delegated ADODR responsibilities to the individual(s) (See Form 451, Page 1 of
this Agreement), subject to the limitations as provided in the ADODR Designation and
Instructions, (attached and made a part hereto).
The Cooperator agrees to furnish the Agency goods and services, including personal
services, as ordered in writing by the ADODR. Billing shall not exceed the amount
authorized on the TO. The Cooperator is not to continue performance under this Agreement
or otherwise incur costs in excess of the amount of each TO, unless authorized by a duly
signed amendment to the TO. Unallowable costs will not be approved in any case. (See
Paragraph 12 for allowable costs.)
Written approval of the ADODR is required for the following:
Unilateral amendments to this agreement may be issued by the ADO for changes which are
purely administrative in nature.
The Agency's participation 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 made.
Payment up to the amount specified in each TO shall be made only for allowable, allocable, reasonable, and necessary costs in accordance with the cost principles in effect on the date of the award.
Indirect costs may be reimbursed by the Agency at a negotiated indirect cost rate not
to exceed 10 percent of total direct costs.
Payment shall be made by either EFT or the HHS/PMS method. (See Form 451, Page 1 of this Agreement, for the applicable method). All payment requests are to be submitted in the English language.
Applicable if payment is by EFT:
Applicable if payment will be made through the HHS/PMS payment method:
Questions and Instructions for obtaining payment through the HHS/PMS should be directed to:
Chief, Financial Assistance Financing Branch
PO Box 6021
Rockville, Maryland 20852
(301)443-1660
Any monies that are payable or may become payable under this Agreement may be subject to
administrative offset for the collection of delinquent debt to the person or legal entity
owned to the United States under the Federal Claims Collection Act of 1966, as amended by
the Debt Collection Act of 1982 (31 USC 3701, 3711, 3716-3719); 4 CFR Part 102 and 7 CFR
Part 3. Information on the person's or legal entity's responsibility for a commercial debt
or delinquent consumer debt owed to the United States will be disclosed to consumer or
commercial crediting reporting agencies.
A duly signed amendment is required any time a task order requires change in duration,
funds or personnel.
The Cooperator agrees to furnish a detailed Monthly Management Report to the ADODR within
30 calendar days of the end of each month and a final report within 90 days of TO
expiration. The following minimum information is required:
The Agency may technically supervise work of Cooperator's employees assigned to this
agreement at Agency facilities. The Agency may not, however, intervene in the
employer-employee relationship between the Cooperator and its' employees. In addition, the
Agency is not authorized to hire or otherwise engage in the personnel management practices
of the Cooperator's institution.
Cooperator employees, while engaged in work at the Agency's facilities, will abide by the
Agency's standard operating procedures regarding the maintenance of laboratory notebooks,
dissemination of information, equipment operation standards, hours of work, conduct, and
other incidental matters stated in the rules and regulations of the Agency.
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 cooperator
shall immediately notify the ADO and ADODR and provide all relevant information with
respect thereto.
Travel may only be performed by Cooperator personnel to provide direct benefits to the research projects supported by this and must be authorized on the Task Order.
Travel costs are limited to those allowed by the Cooperator's formal travel policies. If the Cooperator has no formal travel policy, Federal travel regulations shall be applied in determining the amount of travel chargeable to Agency.
Surface travel or less than first-class air accommodations shall be used where and when available for travel charged to Agency.
United States flag air carrier must be used for foreign air travel when available.
Reimbursement to the Cooperator for payment of travel expenses of Agency personnel are unallowable.
The Cooperator agrees to provide its' personnel with liability insurance such as Worker's
Compensation, employer's liability, comprehensive general liability (bodily injury),
comprehensive automobile liability (bodily injury and property damage), 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 agreement. Insurance procured for the sole purpose of covering work
under this agreement may be charged to Task Orders as a direct cost.
If the Cooperator certifies that it enjoys partial or total immunity from Tort Liability as a State agency and that liability insurance coverages will be obtained and maintained only to the extent allowed under State statute, ARS will assume 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 agreement or any sub-agreement or contract under this agreement.
Whether or not the Cooperator provides liability insurance to its' employees, to the extent allowed under State statutes, the Cooperator agrees to indemnify and hold harmless ARS, 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 for acts of commission or omission resulting in personal injury, death, or damage to property in the performance of their duties under this agreement.
A Cooperator's employee may operate Federal Government-owned motor vehicles in furtherance
of this agreement only when specifically authorized to do so in writing by the ADODR.
The Agency will assume responsibility for damage to Federal Government's vehicles driven by a Cooperator's employee when it is determined by the Agency that the Cooperator's employee was properly authorized to operate the vehicle, the vehicle was used within the scope of the authorization, and was not negligent in causing the damage.
The Agency will assume no responsibility for damage to the Federal Government's motor
vehicles driven by a Cooperator's employee when it is determined by the Agency that the
Cooperator's employee was not properly authorized to drive the vehicle or that the
employee was negligent and the Agency will seek to legally recover losses resulting from
such damages.
Negligence for the purposes of this Agreement is defined 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 of harm.”
Federal funds made available to this agreement to the Cooperator under this agreement
shall not be expended for capital improvements of Agency or Cooperator facilities.
The following acknowledgment of Agency support must appear in the publications of any
material which is based upon or developed under this Agreement (whether or not
copyrighted):
“This material is based upon work supported by the U.S. Department of Agriculture, under Agreement No. (Cooperator must enter the applicable agreement number here).”
All such materials, must also contain the following disclaimer unless the publication is formally cleared by USDA:
“Any opinions, findings, conclusion, or recommendations expressed in this
publication are those of the author(s) and do not necessarily reflect the view of the U.S.
Department of Agriculture.”
Public Information
Any public information concerning work carried out under this Agreement will describe
the contributions of both parties to the work effort. In the event of a dispute, a
separate publication may be made with effective statements of acknowledgment and
disclaimer.
Technical Publication
Any technical publication developed as a result of this 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 and disclaimer.
This Agreement may be terminated by either of the parties upon 180 calendar days' notice
in writing of one party to the other party. All Task Orders issued in conjunction with
this agreement automatically terminate on the termination date of this agreement.
The Agency reserves the right to terminate this agreement, any or all task orders or withhold payments if the Agency determines that:
The Cooperator failed to comply with the terms and conditions of this Agreement and/or Task Order(s).
There is evidence of misuse of funds by the Cooperator.
The parties fail to reach a solution acceptable to both regarding any disagreement
concerning the Agreement.
Any other event which substantially affects the material terms of this Agreement.
Financial records, supporting documents, statistical records, and all other records pertinent to this agreement, including task orders, shall be retained for the life of the Agreement and 3 years following expiration and/or termination of this agreement, except in the following instances:
If any litigation, claim, or audit is started before the expiration of the 3-year period, the records shall be retained until all litigation, claims or audit findings involving the records have been resolved and final action taken.
The Agency, the Inspector General, Comptroller General of the United States, or any of their duly authorized representatives, have the right of timely and unrestricted access to any books, documents, papers, or other records of Cooperators that are pertinent to the Agreement, in order to make audits, examinations, excerpts, transcripts and copies of such documents. This right also includes timely and reasonable access to a Cooperator's personnel for the purpose of interview and discussion related to such documents. The rights of access in this paragraph are not limited to the required retention period, but shall last as long as records are retained.
RESEARCH SUPPORT AGREEMENT (RSA)
Agreement No. 58-XXXX-2-XXX
INTRODUCTION:
The (insert Cooperator) and the Agricultural Research Service (ARS) desire to
enter into this Agreement for the purpose of supporting research to be carried out at ARS
and Cooperator facilities; and ARS desires the Cooperator to provide goods and services,
including personal services, necessary to carrying out the research of mutual interest
within the (insert AREA NAME). ARS Research is organized into 22 National Programs.
These programs serve to bring coordination, communication and empowerment to the more than
1200 research projects carried out by ARS.
STATEMENT OF MUTUAL INTEREST:
The Cooperator is engaged in and has an independent interest in one or more of the
research programs identified below. All parties derive direct benefit to their individual
research programs by participating in this agreement.
(Note to ADO's: Select programs relative to your AREA from the list below.)
. Animal Production, Product Value and Safety
Program No. Title
101 Food Animal
Production
103 Animal Health
104 Arthropod Pests
of Animals and Humans
105 Animal
Well-Being & Stress Control Systems
106 Aquaculture
107 Human Nutrition
108 Food Safety
(animal & plant products)
. Natural Resources and Sustainable Agricultural
Systems
Program No. Title
201 Water Quality
and Management
202 Soil Resource
Management
203 Air Quality
204 Global Change
205 Rangeland,
Pasture and Forages
206 Manure and
Byproduct Utilization
207 Integrated
Agricultural Systems. Crop Production, Product Value and Safety
Program No. Title
301 Plant,
Microbial, and Insect Genetic Resources, Genomics and Genetic Improvements
302 Plant
Biological and Molecular Processes
303 Plant Diseases
304 Crop Protection
and Quarantine
305 Crop Production
306 Quality and
Utilization of Agricultural Products
307 Bioenergy and
Energy Alternatives
308 Methyl Bromide
Alternatives
RESPONSIBILITIES
A. The Cooperator Agrees to:
B. ARS Agrees to:
*(ADOs Note: If negotiated rate is less than 10% enter actual amount agreed to here. Rate is not to exceed 10% in any case.)