ARS Extramural Agreements Program

1. ARS Extramural Agreements Program ONE OF THE RECENT CHANGES WE’RE MAKING IS TO ADD EMPHASIS TO PROGRAM STEWARDSHIP AND FISCAL ACCOUNTABILTY REQUIREMENTS IN EXTRAMURAL PROJECTS.ONE OF THE RECENT CHANGES WE’RE MAKING IS TO ADD EMPHASIS TO PROGRAM STEWARDSHIP AND FISCAL ACCOUNTABILTY REQUIREMENTS IN EXTRAMURAL PROJECTS.

2. ARS Extramural Agreements Program New Paradigm for accountability: Why? Dept. initiative to develop rules for SCA, RSA, RCA, and TFCA President’s Mgmt. Agenda initiative requiring improved fiscal accountability Improper Payments Act of 2002 Growth of ARS investment in extramural program Anticipated flat or reduced budgets

3. ARS Extramural Agreements Program Impact - What its Means for You Codification of REE non-assistance policies Development/implementation of AIMS Development/implementation of competency requirements and training programs Initiatives to improve external awareness of ARS partnership requirements and expectations New delegation of authority requirements and guidelines for ADO and ADODR

4. ARS Extramural Agreements Program Stewardship: The efficient and effective management of the public funds that have been entrusted to ARS. Reflects our responsibility for the development and implementation of ARS programs. Stewardship is the foundation of everything that we do. Recognizing our responsibility for efficient and effective management of Stewardship is the foundation of everything that we do. Recognizing our responsibility for efficient and effective management of

5. ARS Extramural Agreements Program Oversight: Ensuring that ARS programs are delivered consistent with laws, regulations, and policies. Ensuring that extramural projects are conducted in compliance with the terms and conditions of the agreement Being cognizant of cooperator’s progress and status of the project Ensuring that extramural projects are conducted in compliance with the terms and conditions of the agreement Being cognizant of cooperator’s progress and status of the project Ensuring that extramural projects are conducted in compliance with the terms and conditions of the agreement Being cognizant of cooperator’s progress and status of the project Ensuring that extramural projects are conducted in compliance with the terms and conditions of the agreement Being cognizant of cooperator’s progress and status of the project

6. ARS Extramural Agreements Program Accountability: Ensuring that individuals charged with stewardship responsibilities are held accountable for results. Who is accountable?

7. ARS Extramural Agreements Program Accountability and Oversight: Area Director - all agreements within Area Area ADO - all agreements within delegation of authority Research Leader- all agreements within MU ADODR - all projects within delegation of authority

8. ARS Extramural Agreements Program Authorized Departmental Officer’s Designated Representative (ADODR) Research Leader/Lab or Center Director Location Support Staff Location Administrative Officer/Technician Area Program Analyst Area Ethics Advisor Area Budget and Fiscal Officer/Budget Analyst Area Director Deputy Area Director National Program Staff Budget and Program Management Staff Area ADO Extramural Agreements Division Administrator Office of International Research Programs Office of the Administrator USDA, FAS USDA, Office of General Counsel

9. ARS Extramural Agreements Program Delegation of Extramural Agreement Authority Secretary, USDA Deputy Secretary, USDA Under Secretary, USDA Administrator, ARS Director, EAD Area ADO ADODR

10. ARS Extramural Agreement Program ARS Requirements (SCA) Legal authority for the research Relevance to an established ARS National Program Common interest in the outcome of the project Substantial involvement in performance of the project SBIR funding (2.5% of funded amount)

11. ARS Extramural Agreements Program Cooperating Institution Requirements (SCA) Joint development of a research plan compliant with ARS research requirement Joint development of a project budget Contribution of resources (NLT 20% of funded amount) Be accountable to ARS for project performance and fiscal expenditures Provide technical progress and financial status reports as required by T/C of the agreement Comply with ARS requirements for peer review

12. ARS Extramural Agreements Program What We Must Do: Understand that stewardship responsibility extends throughout the life cycle of an agreement. Know that effective stewardship requires diligent oversight. Improve internal accountability to improve extramural performance.

13. ARS Extramural Agreements Program What We Must Do: Ensure that SOW’s accurately reflect the responsibilities of both parties and that the level of performance is commensurate with available funding. Ensure that project budgets are realistic and auditable including ARS in-house costs. Ensure that ADODR’s are capable of substantial involvement in project performance and that they are not over committed

14. ARS Extramural Agreements Program What We Must Do: Ensure that cooperating institutions understand what it means to be in partnership with ARS. Ensure that all projects are properly monitored and that we know exactly what is being accomplished. Take appropriate action when performance and accountability measures are not met.

15. ARS Extramural Agreements Program What We Must Do: Ensure that extramural agreements are never used to: circumvent the Federal hiring process fund construction projects modify or improve real property acquire resources for the direct support of ARS employees pay travel costs of ARS employees purchase equipment for ARS

16. ARS Extramural Agreements Program What We Must Do: Understand that not every would be agreement, should be an agreement. Get the ADO involved early in project development. Advise the ADO immediately when issues arise in performance. Finally, READ YOUR AGREEMENTS!!

17. ARS Extramural Agreements Program Well, that’s my story folks; and..well you know the rest. Thanks for listening. Any questions?

18. ARS Extramural Agreements Program ADODR Responsibilities: Conduct preliminary negotiations with the Cooperator Develop draft proposal or statement of work, and budget Work with the LAO/T to ensure that the IDC and SBG fees are properly documented (as applicable) Submit the request package to the Area or HQ ADO (Approved ARIS Documents, SOW, Proposals, Budget, Agreement Coversheet, AD-700, as applicable)

19. ARS Extramural Agreements Program ADODR Responsibilities: Ensure no work is begun by any party prior to receipt of a fully executed agreement. Become familiar with the terms and conditions of the agreement

20. ADODR Responsibilities Administration of the Agreement Monitor the Cooperators performance and compliance with the terms and conditions of the agreement Ensure all expenditures are appropriate and accounted for as budgeted Obtain and review technical and financial reports from the Cooperator as specified in the terms and conditions of the agreement. (Note: This is not the same as the annual report - ARS-421!!)

21. ARS Extramural Agreements Program Authorities and Responsibilities: Only the ADO has authority to commit Agency resources through extramural agreements; ADO is ultimately responsible for all aspects of projects conducted under extramural agreement authority ADO delegates authority to the ADODR for technical oversight of extramural projects ADODR is responsible for developing true partnerships and ensuring that projects are mission relevant ADODR is responsible for monitoring cooperator’s performance and ensuring that payment is warranted Cooperator’s Progress Report IS NOT the ARS-421! Timely close-out of each project

22. ADODR Responsibilities Administration of the Agreement (cont’d) Provide copies of approved reports to the ADO Report any failure of the Cooperator to meet the objectives of the agreement or failure to submit required reports in a timely manner to the RL Work with the RL/ADO/PAA on all ARIS actions (Adding funds, extending time, key personnel changes and ARS-421 Annual Report)

23. Do’s Obtain line management approval Follow Agency policies and procedures Discuss funding arrangements with the Cooperator Discuss Payment requirements Discuss period of performance and expectations. Discuss reporting requirements

24. Don’ts You cannot: Use an agreement to hire personnel Supervise Cooperator’s personnel Use an agreement for construction Use an agreement to modify or improve Real Property Use funds committed to an SCA to pay travel costs of ARS employees Use funds committed to an SCA to purchase equipment solely for ARS’ use

25. Don’ts (cont’d) Do not sign anything or commit Agency resources Do not negotiate: Indirect costs Intellectual Property provisions Liability/indemnification clauses Award Type Do not authorize work prior to receipt of a signed agreement from the ADO

26. ADODR ResponsibilitiesClosing the Agreement Obtain and review the Cooperator’s final financial, technical and/or invention reports promptly upon expiration or termination of the agreement and provide copies to the ADO Work with the RL/PA to ensure that the final ARS-421 report is marked for termination AFTER the ADO officially closes the agreement

27. Know the terms and conditions of your agreements READ THE FINE PRINT!